Checklist

Early-Stage Legal, IP & Compliance Checklist for Trials

An interactive, role-aware checklist to quickly surface legal, IP, privacy and regulatory risks during discovery experiments and pilots. Capture screening answers, notes, overall risk, and recommended next steps so teams can document intake, preserve optionality, and know when to escalate.

Interactive Tool

Early-Stage Legal, IP & Compliance Checklist for Trials

Purpose: This quick screening helps teams surface likely legal, IP, privacy and regulatory risks before running a pilot or experiment. Use it to record the minimum information that lets legal, privacy and compliance advisors triage issues quickly.

How to use: Answer each question honestly, add concise notes and links to documents, and choose the recommended next step. If you mark issues that need counsel, the saved submission can be sent or attached to your legal intake process.

This tool is a practical intake and risk-spotting aid — not a substitute for qualified legal advice.

Short name to identify the experiment or pilot.
Who is primarily driving or accountable for the pilot.
Countries, states or regions where the pilot runs or data is processed.
One-paragraph description: goals, participants, key datasets, and outputs.
Consider user consent, account terms, third-party licenses, and data provider agreements.
If No, list missing consents, license clarifications, or data switches needed.
Who will own the model, code, data derivatives, and product outputs?
List third-party libraries, licensed models, data source terms, contributor agreements.
Think about the types of personal data involved, identifiability, and downstream uses.
Describe categories of data, retention plans, access controls, and de-identification steps.
Include encryption/export restrictions, sanctioned-country rules, and residency requirements.
List countries, datasets, or tech (cryptography, models) that may trigger controls.
What type of consent or legal basis covers participant data?
Attach or link to consent forms, scripts, or terms of use.
Regulated activities often require approvals, certifications, or special controls.
Be specific (e.g., HIPAA, PCI, FERPA, GDPR health data provisions).
Consider subprocessors, model providers, APIs, and shared responsibility models.
List vendors, relevant clauses missing (e.g., DPAs), or SLA concerns.
Rate current risk to proceed: 1 (low) — 5 (high). This is a screening judgement.
Choose what should happen before the next milestone.
Select teams or roles that should receive the intake.
Link to design docs, datasets, consent forms, contracts, or ticket numbers.
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