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ISO 42001:2023 – AI Management System self assessment checklist

This checklist provides a simplified summary of ISO 42001 requirements to help organisations assess their readiness for certification and identify areas for improvement before implementation. It is not a replacement for the full Standard, but a practical readiness guide aligned with the structure of ISO 42001 - Artificial Intelligence Management System (AIMS).

AI Management System

Clauses 4-10 cover the AIMS framework, leadership, planning, support, operations, and continuous improvement for AI governance

AI Control Areas

Annex A provides recommended controls for AI governance, data quality, bias mitigation, transparency, and compliance

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Clause 4 - Context of the Organisation

Has your organisation defined the purpose and scope of its AI Management System?

Have internal and external issues relevant to AI ethics, data, and risk been identified?

Are stakeholders (customers, regulators, data subjects, employees) and their expectations documented?

Is the AIMS scope statement maintained and available to interested parties?

Are AI-related laws, standards, and frameworks (e.g. EU AI Act, ISO 31000, ISO 27001) considered?

Clause 5 - Leadership and Commitment

Has top management demonstrated leadership and accountability for AI governance?

Is there a published AI policy committing to trustworthy, safe, and ethical AI?

Are roles, responsibilities, and authorities for AI risk and compliance assigned?

Is management review of AI performance and incidents performed regularly?

Are staff aware of leadership's expectations for ethical AI behaviour?

Clause 6 - Planning

Have you identified AI-specific risks and opportunities that could impact objectives?

Is an AI risk assessment process established and documented?

Are objectives and measurable targets for AI trust, transparency, and accuracy defined?

Have you planned controls or safeguards to manage unacceptable AI risks?

Are change management processes in place for AI model updates and retraining?

Clause 7 - Support

Have you allocated the resources required for maintaining the AIMS?

Are employees competent and trained in AI ethics, security, and bias mitigation?

Is there a communication plan for AI governance information (internal + external)?

Are all documents and data records controlled (versioning, access, retention)?

Are AI datasets and training data governed for quality, representativeness, and security?

Clause 8 - Operation

Have you defined operational controls for AI development, deployment, and maintenance?

Do you maintain AI lifecycle documentation (design, testing, validation, release)?

Are third-party AI models or APIs evaluated for risk, bias, and licensing?

Do you manage AI changes through approved processes and re-validation?

Is incident response defined for AI malfunction, misuse, or ethical breaches?

Are explainability and traceability built into your AI systems?

Clause 9 - Performance Evaluation

Do you track KPIs for AI accuracy, fairness, robustness, and user impact?

Are internal audits conducted on AI controls, data governance, and bias testing?

Are stakeholder feedback mechanisms in place for AI outcomes?

Is management review documented with decisions and follow-up actions?

Clause 10 - Improvement

Is there a process for correcting nonconformities in AI design or behaviour?

Do you perform root-cause analysis for AI-related incidents or failures?

Are continuous improvements identified and implemented?

Do you use lessons learned to refine risk controls and retrain models?

Annex A - AI Control Areas

Recommended controls similar to ISO 27001 Annex A, tailored for AI management

Annex A - AI Control Areas (Examples)

Check if your organisation has considered the following control areas

Completed the Checklist? Ready to Get Certified?

After completing this ISO 42001 checklist, contact us for a quote and timeline for your ISO 42001:2023 AI Management System certification journey. We can help you implement trustworthy, ethical, and compliant AI governance.

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