T08 AI Audit Checklist
Verification required. This is a working template, not a regulator-approved form. Where it names a regional instrument, the claim comes from secondary sources and is a pointer to check, not a confirmed legal requirement. This is not legal advice.
How to use: This is a blank form. Copy it and fill in the empty cells and blanks for your system. To copy it, follow the "Suggest an edit to this page" link in the footer to reach its Markdown source.
Use with the Evidence Register. Result: Effective (E), Partially effective (P), Ineffective (I), Not tested (N).
Audit: __ System(s): _ Period: Auditor: Criteria in scope (and their verification status): ___
1. Governance
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 1.1 |
AI policy approved, dated within review cycle |
AI-CTRL-012 |
|
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| 1.2 |
Roles and accountability named incl. executive owner |
AI-CTRL-012 |
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| 1.3 |
Board or executive reporting on AI risk in period |
AI-CTRL-037 |
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| 1.4 |
Regulator and jurisdiction register current (T11) |
AI-CTRL-013 |
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| 1.5 |
Ethics review or equivalent for high-impact systems |
AI-CTRL-012 |
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2. Inventory and tiering
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 2.1 |
Inventory exists with owner, purpose, tier, vendor, location |
AI-CTRL-011 |
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| 2.2 |
Completeness: 5 discovered systems appear in register |
AI-CTRL-011 |
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| 2.3 |
Tier decisions follow documented criteria (T01) |
AI-CTRL-011 |
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| 2.4 |
Vendor-embedded AI included |
AI-CTRL-011, AI-CTRL-014 |
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3. Privacy and regulatory
4. Residency
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 4.1 |
Attestation (T04) current and signed |
AI-CTRL-007 |
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| 4.2 |
Attestation matches cloud configuration (logs, backups, vector stores) |
AI-CTRL-007 |
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| 4.3 |
Transfers have a recorded legal view |
AI-CTRL-007, AI-CTRL-013 |
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5. Vendors
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 5.1 |
Due diligence (T03) before contract |
AI-CTRL-014 |
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|
|
| 5.2 |
Contract has training-use restriction, sub-processor notice, incident SLA, audit rights |
AI-CTRL-014 |
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| 5.3 |
Model-change notices handled |
AI-CTRL-014 |
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6. Oversight and safety
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 6.1 |
Human approval step exists for high-impact decisions |
AI-CTRL-023 |
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| 6.2 |
Reviewer challenge evidenced (not rubber-stamp) |
AI-CTRL-023 |
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| 6.3 |
Kill switch tested in period |
AI-CTRL-025 |
|
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| 6.4 |
Accuracy, safety and robustness tests current, incl. Arabic |
AI-CTRL-039 |
|
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| 6.5 |
Prompt-injection and exfiltration testing for generative or agentic systems |
AI-CTRL-005, AI-CTRL-039 |
|
|
|
7. Fairness (AI-CTRL-041)
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 7.1 |
High-impact decisions defined |
AI-CTRL-041 |
|
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| 7.2 |
Bias test current (pre-release, annual, on change) |
AI-CTRL-041 |
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| 7.3 |
Re-performance of one test |
AI-CTRL-041 |
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| 7.4 |
Explanation record traced for sample |
AI-CTRL-041 |
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8. Incident
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 8.1 |
Playbook includes AI incident types |
AI-CTRL-035 |
|
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| 8.2 |
Notification matrix complete (T05) |
AI-CTRL-035 |
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| 8.3 |
Exercise held in period |
AI-CTRL-035 |
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| 8.4 |
Incidents in period notified on time |
AI-CTRL-035 |
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9. Evidence and assurance
| # |
Test |
Control |
Result |
Evidence ref |
Note |
| 9.1 |
Evidence retained and retrievable |
AI-CTRL-038 |
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| 9.2 |
Previous findings closed |
AI-CTRL-038 |
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Summary
Total tests: ___ E: ___ P: ___ I: ___ N: ___
Top findings:
Limitations: criteria summarised from secondary sources; no legal opinion.