The ISO 42001 Compliance Checklist provides a structured, practical roadmap for organizations aiming to implement an Artificial Intelligence Management System (AIMS) and achieve certification under the ISO 42001 standard.
It begins by outlining the foundational steps: defining the scope of the AIMS, understanding AI governance principles, and determining whether the organization acts as an AI provider, developer, or user. Early emphasis is placed on conducting a gap analysis to compare existing controls with ISO 42001 requirements and identifying overlaps with ISO 27001, noting that “achieving ISO 42001 compliance is generally easier due to the overlap in requirements and controls between the two standards.”
The checklist stresses the importance of top‑management support, including building a business case, assigning responsibilities, and engaging department leaders. It then moves into implementation, recommending appointment of a project manager, development of a detailed project plan, and integration of AIMS with existing processes. Organizations are guided to define objectives, document policies, implement controls, integrate systems, and create a Statement of Applicability.
A significant portion of the checklist focuses on operationalizing AIMS controls: establishing ethical AI policies, defining reporting processes, managing resources, conducting impact assessments, documenting AI objectives, ensuring responsible development, maintaining deployment and monitoring records, and implementing strong data management and quality practices. It also highlights the need for clear third‑party responsibility documentation.
Internal audits and management reviews form the backbone of ongoing compliance, ensuring non‑conformities are identified and corrected. The checklist then prepares organizations for external certification audits by advising them to organize documentation, clarify audit scope, and consider pre‑certification assessments.
The final section outlines how to engage effectively during the certification audit, respond to findings, and commit to continuous improvement. Keys to success include integrating AIMS into business strategy, maintaining stakeholder engagement, avoiding distractions during implementation, and using certification to build trust with customers and partners. Overall, the checklist serves as a comprehensive guide for establishing ethical, transparent, and well‑governed AI operations.
