The Ultimate AI Compliance Checklist for 2026

Ensuring AI compliance isn’t just about meeting regulatory requirements—it’s about building trustworthy AI systems that benefit your organization and users. This checklist provides a comprehensive framework for assessing your AI compliance posture.

Governance & Accountability

Strong governance is the foundation of AI compliance. Start here:

• Designated AI Officer: Appoint a responsible person or team for AI governance
• AI Policy: Establish a clear organizational AI policy
• Risk Framework: Implement a risk assessment framework for AI projects
• Ethics Board: Consider establishing an AI ethics committee
• Training Program: Ensure relevant staff understand AI compliance requirements

AI System Inventory

You can’t comply with what you don’t know you have:

• System Catalog: Maintain a complete inventory of AI systems
• Classification: Classify each system by risk level
• Documentation: Document purpose, data sources, and deployment context
• Ownership: Assign clear ownership for each AI system
• Lifecycle Tracking: Track systems from development to retirement

Data Governance

Data is the fuel for AI—governance is essential:

• Data Quality: Ensure training data is accurate, representative, and unbiased
• Data Sources: Document all data sources and their characteristics
• Privacy Compliance: Verify compliance with GDPR and other privacy regulations
• Data Retention: Establish appropriate data retention policies
• Access Controls: Implement proper access controls for AI training data

Risk Assessment

Proactive risk management is key:

• Impact Assessment: Conduct AI impact assessments for high-risk systems
• Bias Evaluation: Regularly test for algorithmic bias
• Security Review: Assess cybersecurity vulnerabilities
• Performance Monitoring: Monitor system performance and drift
• Incident Response: Establish AI incident response procedures

Transparency & Explainability

Build trust through transparency:

• User Notice: Inform users when they’re interacting with AI
• Explainability: Ensure decisions can be explained to affected parties
• Documentation: Maintain comprehensive technical documentation
• Audit Trail: Enable logging and audit capabilities
• Appeals Process: Establish mechanisms for challenging AI decisions

Human Oversight

Keep humans in control:

• Human Review: Implement human review for high-stakes decisions
• Override Capability: Ensure humans can override AI decisions
• Monitoring: Establish ongoing human monitoring of AI systems
• Escalation Paths: Define clear escalation procedures
• Training: Train operators on proper oversight procedures

Technical Requirements

Meet technical compliance standards:

• Accuracy Standards: Define and meet accuracy requirements
• Robustness Testing: Test system robustness against adversarial inputs
• Security Measures: Implement appropriate cybersecurity protections
• Version Control: Maintain version control for models and code
• Testing Protocol: Establish comprehensive testing procedures

Vendor Management

If you use third-party AI:

• Due Diligence: Conduct compliance due diligence on AI vendors
• Contractual Terms: Include compliance requirements in contracts
• Documentation: Obtain necessary technical documentation
• Ongoing Review: Regularly review vendor compliance status
• Exit Strategy: Plan for vendor transitions if needed

Continuous Improvement

Compliance is an ongoing journey:

• Regular Audits: Conduct periodic compliance audits
• Monitoring: Implement continuous compliance monitoring
• Updates: Stay current with regulatory changes
• Training: Provide ongoing compliance training
• Feedback Loop: Incorporate lessons learned into processes

Getting Started

Don’t try to tackle everything at once. Prioritize based on:

1. Risk level of your AI systems
2. Regulatory deadlines that apply to your organization
3. Resource availability for compliance activities
4. Business criticality of different AI systems

How Metrica.uno Helps

Metrica.uno automates much of this checklist, providing:

• Automated risk classification
• Gap analysis against regulatory requirements
• Compliance tracking dashboards
• Documentation templates
• Remediation recommendations

Start your free assessment today and see where you stand.