AI Risk Assessment & Impact Assessment Checklist
This checklist helps organizations evaluate potential risks, impacts, and controls related to artificial intelligence systems before deployment and during operation. The checklist supports organizations implementing principles from ISO/IEC 42001 AI Management System, especially: Clause 6.1 - Actions to address risks and opportunities, Clause 8.1 - Operational planning and control, Clause 9.1 - Monitoring, measurement, analysis and evaluation, Clause 10.1 - Continual improvement, Annex A - AI system impact assessment and risk management controls. It is suitable for: New AI solution evaluation. AI project approval. Periodic AI risk review. Existing AI system reassessment
This checklist template is designed for logistics, manufacturing, service companies and focuses on Basic information.
What This Template Covers
Use this template to review Basic information with a structured format that supports consistent follow-up and faster decision-making.
- Basic information
Why This Version Is Different
Unlike generic templates, this version is tailored to the ai system deployment category, the Basic maturity level, and the workflow of logistics, manufacturing, service companies.
Template Questions
Showing first 15 rows
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Basic information |
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Assessment date |
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Name of the auditors |
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Audited department/business unit |
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Names of the interviewed employees |
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1. Has the intended purpose and business objective of the AI system been clearly defined?
Clauses:
Clause 6.2 - AI objectives and planning. Annex A - AI system lifecycle controls. The organization clearly understands why the AI system is being introduced and what decisions or processes it supports.
Recommendations:
Document: AI purpose, Expected benefits, Intended users, Supported processes, Limitations and restrictions.
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2. Has the organization classified the AI system according to its level of risk and potential impact?
Clauses:
Clause 6.1 - Risks and opportunities. Annex A - AI impact assessment controls. AI systems are evaluated based on their potential consequences for people, operations, customers, and the organization.
Recommendations:
Create AI risk categories such as: Low impact, Medium impact, High impact, Critical impact.
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3. Have potential risks associated with the AI system been identified and documented?
Clauses:
Clause 6.1 - Actions to address risks and opportunities. The organization identifies possible failures, misuse scenarios, and unintended consequences.
Recommendations:
Assess risks related to: Incorrect outputs, Security threats, Data issues, Operational failures, Human misuse.
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4. Has the impact of AI decisions or recommendations on stakeholders been evaluated?
Clauses:
Annex A - AI system impact assessment. The organization considers how AI outputs may affect employees, customers, suppliers, or other stakeholders.
Recommendations:
Evaluate: Who is affected, Possible negative outcomes, Required safeguards, Communication needs.
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5. Has the quality and suitability of data used by the AI system been assessed?
Clauses:
Annex A - Data quality controls. The organization confirms that AI data is appropriate for the intended purpose.
Recommendations:
Review: Data accuracy, Completeness, Relevance, Timeliness, Data ownership.
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6. Have risks related to bias, unfair outcomes, or inappropriate AI decisions been evaluated?
Clauses:
Annex A - AI impact assessment controls. The organization considers whether AI outputs could create unfair or unintended results.
Recommendations:
Perform periodic reviews for: Bias risks, Unequal impacts, Incorrect assumptions, Data limitations.
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7. Are transparency and explainability requirements defined for the AI system?
Clauses:
Annex A - Transparency and explainability controls. Relevant users understand how AI outputs should be interpreted.
Recommendations:
Define: Required explanation level, User guidance, AI limitations, Decision boundaries.
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8. Has the need for human oversight and intervention been assessed?
Clauses:
Annex A - Human oversight controls. The organization determines when human review is required before accepting AI outputs.
Recommendations:
Define: Human approval points, Escalation rules, Override mechanisms.
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9. Have cybersecurity and data protection risks related to the AI system been assessed?
Clauses:
Annex A - Security controls. Clause 6.1 - Risk management. The AI system is protected from unauthorized access, manipulation, and misuse.
Recommendations:
Evaluate: Access controls, Data protection, Model security, Integration risks.
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12 total questions
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