AI Pilot Safety & Ethics Checklist

{"Title":"AI Pilot Safety & Ethics Checklist","IntroductionHtml":"

Use this checklist to assess and document safety, ethical, regulatory, and operational guardrails before, during, and after an AI pilot. Complete each item, record evidence or mitigation steps, assign owners, and save the results so your team can track issues, approvals, and readiness to scale.

","SubmitLabel":"Save checklist","SuccessMessage":"Checklist saved. You can return to update entries or export the record.","DataType":"ai_pilot_safety_ethics_checklist","SchemaVersion":1,"Fields":[{"Key":"pilot_name","FieldType":"text","Label":"Pilot name","HelpText":"Short descriptive name (e.g., 'Inbound QC Visual AI Pilot').","Required":true},{"Key":"pilot_id","FieldType":"text","Label":"Pilot ID / reference","HelpText":"Optional internal tracking ID.","Required":false},{"Key":"pilot_scope","FieldType":"textarea","Label":"Pilot scope and objectives","HelpText":"What processes, lines, products, or decisions does the pilot cover? What are the measurable objectives?","Required":true},{"Key":"overall_risk_score","FieldType":"scale","Label":"Overall pilot risk (1 low — 5 high)","HelpText":"High-level assessment combining safety, quality, regulatory, and reputational risk.","Required":true,"Min":1,"Max":5,"DefaultValue":3},{"Key":"risk_matrix_summary","FieldType":"textarea","Label":"Risk matrix summary","HelpText":"List top risks, estimated likelihood, impact, and initial mitigations. Attach deeper risk register elsewhere if needed.","Required":true},{"Key":"human_oversight_required","FieldType":"yesno","Label":"Human oversight / human-in-loop required?","HelpText":"Will humans review or be empowered to override AI outputs?","Required":true},{"Key":"human_roles_and_authority","FieldType":"textarea","Label":"Defined human roles & decision authority","HelpText":"Who makes the final decision? What training/capability is required?","Required":false},{"Key":"fail_safe_defined","FieldType":"yesno","Label":"Fail-safe / safe-fallback behaviors defined?","HelpText":"If the AI fails, produces low confidence, or returns unexpected outputs, is there a safe fallback?","Required":true},{"Key":"fail_safe_description","FieldType":"textarea","Label":"Fail-safe behavior details","HelpText":"Describe stop-gaps, degraded-mode operation, manual takeover, or hold-for-human actions.","Required":false},{"Key":"data_sources_and_flow","FieldType":"textarea","Label":"Data sources, flow & transformations","HelpText":"Which data is used, where does it come from, and how is it preprocessed? Include sampling frequency, retention, and access controls.","Required":true},{"Key":"personal_or_sensitive_data_present","FieldType":"yesno","Label":"Does the pilot use personal, sensitive, or regulated data?","HelpText":"Includes PII, health data, financial, or other regulated fields.","Required":true},{"Key":"data_anonymized_or_pseudonymized","FieldType":"yesno","Label":"Is personal data anonymized/pseudonymized?","HelpText":"If yes, briefly describe the technique. If no, explain why and how privacy is protected.","Required":true},{"Key":"anonymization_steps","FieldType":"textarea","Label":"Anonymization / minimization steps","HelpText":"Describe hashing, tokenization, aggregation, or minimization approaches and any re-identification risk mitigation.","Required":false},{"Key":"performance_acceptance_defined","FieldType":"yesno","Label":"Performance acceptance thresholds defined?","HelpText":"Numeric thresholds for accuracy, precision, recall, false positive/negative rates, latency, and business KPIs.","Required":true},{"Key":"acceptance_thresholds_detail","FieldType":"textarea","Label":"Acceptance thresholds and rationale","HelpText":"List each metric, acceptance value, measurement method, and required sample size or confidence interval.","Required":false},{"Key":"false_positive_impact","FieldType":"textarea","Label":"Impact of false positives","HelpText":"Describe safety, quality, cost, or operational consequences if the model falsely flags an event.","Required":true},{"Key":"false_negative_impact","FieldType":"textarea","Label":"Impact of false negatives","HelpText":"Describe consequences if the model misses a true event.","Required":true},{"Key":"monitoring_and_logging_defined","FieldType":"yesno","Label":"Monitoring, logging & traceability plan defined?","HelpText":"Are metrics, drift detection, model versioning, and logs planned for ongoing monitoring?","Required":true},{"Key":"monitoring_metrics","FieldType":"textarea","Label":"Monitoring metrics and alerting","HelpText":"Which metrics will be tracked? What triggers alerts and who is notified? Include data retention and access for audits.","Required":false},{"Key":"stakeholder_communication_plan","FieldType":"textarea","Label":"Stakeholder communication & escalation plan","HelpText":"Who must be informed about pilot results, incidents, or pause/stop decisions? Include cadence and channels.","Required":true},{"Key":"regulatory_and_compliance_requirements","FieldType":"textarea","Label":"Regulatory, contractual or standards requirements","HelpText":"List applicable regulations, standards, or customer contractual clauses the pilot must satisfy.","Required":false},{"Key":"training_for_users_completed","FieldType":"yesno","Label":"Operator / user training completed?","HelpText":"Have frontline operators and supervisors been trained on system behavior, limitations, and override procedures?","Required":true},{"Key":"training_notes","FieldType":"textarea","Label":"Training materials & evidence location","HelpText":"Where are the training slides, attendance records, and quick reference guides stored?","Required":false},{"Key":"incident_response_plan_defined","FieldType":"yesno","Label":"Incident response and remediation plan defined?","HelpText":"Is there a documented plan for investigating and remediating model errors, data leaks, or safety incidents?","Required":true},{"Key":"incident_response_details","FieldType":"textarea","Label":"Incident response steps & contacts","HelpText":"Who leads an investigation? How are customers/employees informed? Time-to-containment goals.","Required":false},{"Key":"owner_responsible","FieldType":"text","Label":"Responsible owner (name & role)","HelpText":"Person accountable for pilot safety and ethics.","Required":true},{"Key":"start_date","FieldType":"text","Label":"Pilot start date","HelpText":"YYYY-MM-DD preferred.","Required":false},{"Key":"next_review_date","FieldType":"text","Label":"Next scheduled safety review date","HelpText":"Periodic review cadence (e.g., weekly, monthly).","Required":false},{"Key":"approval_status","FieldType":"select","Label":"Governance approval status","HelpText":"Track pilot approvals.","Required":true,"Options":[{"Value":"not_started","Label":"Not started"},{"Value":"in_review","Label":"In review"},{"Value":"approved","Label":"Approved"},{"Value":"paused","Label":"Paused"},{"Value":"stopped","Label":"Stopped"}]},{"Key":"mitigations_and_actions","FieldType":"textarea","Label":"Required mitigations / action items","HelpText":"List outstanding mitigation tasks, owners, and due dates.","Required":false},{"Key":"scale_readiness_score","FieldType":"scale","Label":"Readiness to scale (1 low — 5 high)","HelpText":"Judgment of whether the pilot is ready to scale given safety, ethics, performance, and ops readiness.","Required":true,"Min":1,"Max":5,"DefaultValue":2},{"Key":"can_scale","FieldType":"yesno","Label":"Can this pilot be safely scaled?","HelpText":"Quick yes/no decision by governance or pilot owner.","Required":true},{"Key":"notes_and_links","FieldType":"textarea","Label":"Notes, evidence links & document locations","HelpText":"Links to model cards, data dictionaries, validation reports, audit logs, and storage locations.","Required":false}]}