AI Checklist Generator

From the makers of Manifestly Checklists

Email address

Home > EU AI Act assessment checklist

EU AI Act assessment checklist

1. General Information

Identify the AI system

Document the purpose of the AI system

Specify the intended users and beneficiaries

Determine the deployment environment

Here are some additional steps that could be included in the **1. General Information** section of the New EU AI Act assessment checklist

Provide a brief overview of the technology and algorithms used in the AI system

Outline the key functionalities and features of the AI system

Describe the lifecycle of the AI system, including development, deployment, and retirement

Identify any relevant stakeholders involved in the development or use of the AI system

Assess the legal and regulatory context relevant to the AI system

Include a summary of potential use cases and scenarios where the AI system will be applied

Specify any applicable ethical guidelines or principles that the AI system adheres to

Document any previous versions or iterations of the AI system, if applicable

Highlight any partnerships or collaborations involved in the development of the AI system

Clarify the scope of the assessment, including what aspects of the AI system will be evaluated

2. Risk Classification

Assess the risk level of the AI system (minimal, limited, high, or unacceptable)

Review AI system characteristics.
Categorize risk level based on predefined criteria.
Document rationale for classification.
Ensure comprehensive understanding of system functionalities.

Evaluate the potential impact on fundamental rights

Identify relevant fundamental rights at stake.
Analyze how AI outcomes may affect these rights.
Consider both positive and negative implications.
Consult legal frameworks for guidance.

Identify potential risks to health and safety

Evaluate system functionality in health-related scenarios.
Assess possible physical and psychological impacts.
Consult health and safety regulations.
Identify worst-case scenarios for risk assessment.

Certainly! Here are some additional steps that could be included in the "Risk Classification" section of the New EU AI Act assessment checklist

Analyze the context of use to determine external factors that may influence risk

Review user demographics and environments.
Consider cultural, social, and economic factors.
Assess regulatory landscape in deployment areas.
Investigate historical context and precedents.

Assess the potential for discrimination and bias in AI outcomes

Examine training data for bias sources.
Analyze decision-making processes within the AI.
Test AI outcomes against diverse demographic groups.
Implement fairness metrics to evaluate performance.

Evaluate data quality and its implications for risk assessment

Review data sources for reliability.
Assess completeness and accuracy of data.
Identify data processing methods and their effects.
Ensure data meets ethical standards for use.

Identify vulnerabilities in the AI system that could be exploited

Conduct security assessments and penetration testing.
Analyze architecture for potential weaknesses.
Review access controls and data protection measures.
Document known vulnerabilities and their impacts.

Consider the potential for misuse of the AI system by malicious actors

Identify foreseeable misuse scenarios.
Assess motivations of potential malicious actors.
Evaluate safeguards against misuse.
Develop response strategies for potential incidents.

Review historical incidents and case studies related to similar AI systems

Research past AI-related incidents and outcomes.
Analyze lessons learned from previous cases.
Identify patterns and common vulnerabilities.
Document findings for risk assessment.

Consult relevant stakeholders and experts for insights on potential risks

Engage with industry experts and regulatory bodies.
Gather diverse perspectives from affected communities.
Incorporate stakeholder feedback into risk analysis.
Document insights and recommendations received.

Determine the geographical scope of the AI system's deployment and its implications for risk

Identify regions where the AI will be used.
Consider local regulations and cultural factors.
Assess varying risk profiles based on geography.
Document implications for compliance and impact.

Assess the lifecycle risks associated with the AI system, including development, deployment, and decommissioning phases

Review risks at each lifecycle stage.
Evaluate risk management strategies for each phase.
Document transitions and potential points of failure.
Incorporate feedback loops for continuous improvement.

Develop a risk mitigation strategy based on the identified risks and their classifications

Prioritize risks based on severity and likelihood.
Create action plans for risk reduction.
Assign responsibilities for implementation.
Establish monitoring and review processes.

3. Compliance Requirements

Identify applicable requirements based on risk classification

Ensure data governance and management practices are in place

Verify transparency measures for AI operations

Assess accountability and oversight mechanisms

Here are some additional steps that could be included in the Compliance Requirements section of the EU AI Act assessment checklist

Conduct a thorough assessment of algorithmic bias and fairness

Implement measures for user consent and rights management

Establish procedures for handling and reporting incidents or breaches

Ensure compliance with applicable sector-specific regulations and standards

Develop and maintain an AI ethics framework aligned with EU guidelines

Conduct regular training for staff on compliance and ethical AI usage

Create a clear framework for liability and redress in the event of harm caused by AI systems

Ensure compatibility with existing privacy laws, such as GDPR

Evaluate the need for third-party audits or certifications

Document compliance efforts and maintain records for regulatory review

4. Data Management

Evaluate data quality and representativeness

Document data sources and data processing methods

Ensure compliance with data protection regulations (e.g., GDPR)

Here are some additional steps that could be included in the Data Management section of the EU AI Act assessment checklist

Assess the relevance and appropriateness of the data for the intended AI application

Implement data minimization strategies to limit data collection to what is necessary for the purpose

Establish data governance policies that define roles and responsibilities for data handling

Conduct regular audits of data usage and access controls to ensure security and compliance

Ensure transparency in data usage by providing clear information to users about how their data is used

Evaluate the need for data anonymization or pseudonymization to protect personal information

Develop a data retention policy that specifies how long data will be stored and when it will be deleted

Create protocols for handling data breaches, including notification processes and mitigation strategies

Engage with stakeholders to discuss and gather feedback on data management practices

Implement mechanisms for user consent where applicable, ensuring users are informed and can withdraw consent easily

5. Technical Documentation

Prepare technical specifications of the AI system

Document algorithms and model training processes

Include information on system performance and limitations

Certainly! Here are some additional steps that could be included in the "Technical Documentation" section of the EU AI Act assessment checklist

Provide a clear description of the data sources used for training and validation

Outline the validation and testing processes employed to ensure system reliability

Document the architecture of the AI system, including hardware and software components

Include details on the version control and change management processes for the AI system

Describe the methodologies used for risk assessment and mitigation related to the AI system

Provide information on the explainability and interpretability of the AI models

Include details on any third-party tools or libraries utilized in the development process

Document the compliance with relevant standards and guidelines for AI systems

Outline the security measures implemented to protect the AI system from vulnerabilities

Provide a comprehensive list of assumptions and dependencies of the AI system

6. Human Oversight

Establish protocols for human oversight of the AI system

Define roles and responsibilities for users and operators

Ensure mechanisms for human intervention are in place

Here are some additional steps that could be included in the "Human Oversight" section of the EU AI Act assessment checklist

Develop training programs for users and operators on the importance of human oversight

Create guidelines for when and how human intervention should occur

Implement a feedback loop for users to report issues or concerns regarding AI decisions

Establish criteria for evaluating the effectiveness of human oversight measures

Ensure documentation of human oversight actions and decisions for accountability

Facilitate regular reviews of human oversight practices to adapt to new challenges or findings

Promote transparency of AI system operations to enhance user understanding and trust

Designate a dedicated oversight team responsible for monitoring AI system performance

Integrate user experience and feedback into the development of human oversight protocols

Conduct regular drills or simulations to practice human intervention scenarios

7. Monitoring and Evaluation

Develop a monitoring plan for the AI system post-deployment

Set criteria for evaluating the system’s performance

Plan for regular audits and assessments

Here are some additional steps that could be included in the Monitoring and Evaluation section of the checklist

Establish key performance indicators (KPIs) to measure system effectiveness

Collect user feedback and experiences to identify areas for improvement

Implement a reporting mechanism for incidents or anomalies in system behavior

Schedule periodic reviews of the AI system against compliance standards

Analyze data for bias or unintended consequences resulting from the AI system

Engage with stakeholders to gather insights on system impact and usability

Update the monitoring plan based on findings from evaluations and audits

Document lessons learned and best practices for future AI system developments

Ensure transparency in reporting outcomes to relevant stakeholders

Maintain a feedback loop for continuous improvement based on monitoring results

8. Stakeholder Engagement

Identify relevant stakeholders (users, beneficiaries, regulators)

Engage with stakeholders for feedback and concerns

Document stakeholder input and responses

Here are some additional steps you could include within the Stakeholder Engagement section of the checklist

Establish clear communication channels for ongoing dialogue with stakeholders

Organize workshops or focus groups to facilitate deeper discussions with stakeholders

Develop and distribute surveys to gather quantitative data on stakeholder opinions

Create a stakeholder engagement plan outlining objectives, methods, and timelines

Analyze and synthesize stakeholder feedback to identify common themes and issues

Share findings from stakeholder engagement efforts with all relevant parties

Implement a system for addressing and responding to stakeholder concerns and suggestions

Monitor stakeholder engagement activities to assess effectiveness and areas for improvement

Provide periodic updates to stakeholders on how their input has influenced project outcomes

Foster partnerships with stakeholders to co-develop solutions or initiatives

9. Reporting and Documentation

Prepare a compliance report summarizing findings

Maintain records of assessments and decisions made

Ensure documentation is accessible and up-to-date

Here are some additional steps that could be included in the "Reporting and Documentation" section of the New EU AI Act assessment checklist

Establish a timeline for regular updates to the compliance report

Document the methodologies used for assessments and evaluations

Create a version control system for all documentation to track changes

Include an executive summary that highlights key findings and recommendations

Ensure that all documentation aligns with EU AI Act requirements and standards

Develop a template for consistent reporting across different assessments

Include feedback mechanisms for stakeholders to provide input on the documentation

Ensure that all relevant stakeholders are informed of reporting procedures

Conduct periodic audits of the reporting and documentation practices

Train relevant personnel on documentation standards and procedures

10. Review and Improvement

Establish a process for continuous improvement of the AI system

Schedule regular reviews of compliance and risk assessment

Adapt to new regulations and standards as they evolve

This checklist provides a structured approach to assess compliance with the EU AI Act, ensuring that all relevant aspects are considered.

Here are some additional steps that could be included in the "Review and Improvement" section of the EU AI Act assessment checklist

Gather feedback from users and stakeholders on AI system performance and compliance

Analyze incidents and near misses to identify areas for improvement

Conduct regular training sessions for staff on updates to compliance requirements and best practices

Review and update risk assessment methodologies to reflect emerging threats and vulnerabilities

Benchmark AI system performance against industry standards and best practices

Implement a system for tracking changes in technology and their potential impact on compliance

Establish a formal process for documenting lessons learned from reviews and improvements

Create a feedback loop to incorporate user experiences into system enhancements

Set measurable objectives for improvement initiatives and monitor their progress

Engage with external experts or consultants for independent reviews of the AI system's compliance and effectiveness

Download CSV Download JSON Download Markdown

Use in Manifestly

Hey there! Here's a little about us or visit our recurring workflow SaaS: Manifestly Checklists

Light Dark