ISO 42001 Checklist – Prepare for AI Compliance 

The rapid growth of artificial intelligence (AI) has brought many privacy, ethical, and security concerns to the forefront of business operations. ISO/IEC 42001 is the world’s first AI management system standard created to address these concerns, providing the necessary guidelines to safeguard AI systems and ensure ethical AI practices. With many organizations new to the world of AI compliance, we developed an ISO 42001 checklist to help you evaluate your organization’s readiness for certification. 

Download the ISO 42001 checklist 

Why ISO 42001 and AI compliance matters 

With the widespread adoption of AI across numerous industries, the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC) developed ISO 42001 in 2023 to provide guidance to organizations providing, producing, or using AI systems. 

Ensuring the ethical and secure deployment of AI solutions is critical, so ISO 42001 can be essential for organizations to ensure there are correct controls in place to safeguard sensitive data.  

Achieving ISO 42001 certification and upholding the highest AI security practices can help your business demonstrate trust with key stakeholders, gain a competitive edge in the market, and foster a culture of security within your organization. 

Understanding the ISO 42001 readiness checklist 

 Before you start your ISO 42001 compliance journey, it’s imperative you have a comprehensive understanding of the framework to adequately prepare for certification. From there, your security team can start to determine if the proper controls are in place to adhere to the standard and safeguard data. 

Follow the ISO 42001 checklist below to demonstrate your dedication to AI compliance and prepare your team for certification. 

Getting started with ISO 42001 

The first step on the road to AI compliance is to adequately prepare your team by understanding the critical documents and policy requirements highlighted in the standard. 

Understand the standard 

Buy the standard(s) from ISO and understand each of the annexes needed to meet the object of the certification: 

• Annex A: Serves as a control framework for meeting organizational objectives by addressing AI related risk 

• Annex C: Highlights AI related risk sources 

Understand critical documents 

Gain a well-rounded understanding of the required documents outlined in the standard to build a responsible management system that aligns with your business goals. 

• ISO 22989: AI Concepts and Terminology 

• ISO 23894: AI Risk Management 

• ISO 31000: Enterprise Risk Management 

• ISO 42005: AI Impact Assessments 

• ISO 5338: AI System Lifecycle Processes 

• Others: 

• ISO 24368: AI Overview of Ethical and Societal Concerns 

• ISO 38500: Governance of IT  

• ISO 38507: Governance Implications of the use of AI 

Understand policy requirements 

Ensure policies are fit for purpose and fit for use in the context of your specific organization and is applicable when needed. 

Examples of policy categories include appropriateness, framework for objectives, documentation and accessibility, review and adaptation, and more. 

Initial analysis and planning 

Once your team understands critical documents and policy requirements, then you can perform an initial analysis of your management system and identify any gaps or corrective actions ahead of the external audit. 

Perform a gap analysis 

Via self-assessment, independent certification body, or compliance software tool, complete a gap assessment. Make sure to involve various department heads in the analysis to ensure comprehensive coverage. 

Develop an implementation plan 

Prioritize action items based on the gap analysis findings and assign responsibilities/deadlines for each action item. 

Engage with an advisory or consultant partner to ensure your management system is built appropriately in the context of your organization. 

Implement management system 

Organize training sessions for employees on new processes and controls and set up a monitoring system to track the implementation progress. 

Undergo internal audit 

Train internal staff to perform audits or hire external auditors for an unbiased review ahead of the official certification. 

Conduct management review 

Document all management review meetings and decisions for audit purposes, including feedback mechanisms and staff insights on the AI management system. 

Identify corrective actions 

Develop a standardized form and tracking system for reporting and resolving non-conformities and corrective actions. 

Ensure proper documentation 

Create, review, and update a centralized repository for all ISO 42001-related documents to ensure ongoing compliance.  

Engage with auditors for ISO 42001 

Interview and engage a certification body that understands your context to assess and certify your management system so you can offer additional levels of assurance to your customers.  

Choose a certification body 

Evaluate multiple certification bodies to compare expertise, costs, and reputation and choose a quality audit partner that aligns their goals with yours. 

Ensure certification body is compliant with their accreditation body and International Accreditation Forum (IAF) requirements. Check references from other companies certified by the body. 

Hold pre-audit meeting 

Prepare a list of questions and clarifications regarding the audit process and discuss the scope of the audit in detail to ensure full preparedness. 

Ensure audit readiness 

Conduct a pre-audit checklist review with the internal team responsible for ISO 42001 compliance. Simulate audit scenarios to prepare staff for the actual audit. 

Undergo the external audit process 

Designate a team member as the point of contact for auditors to streamline communication. From there, undergo assessment with interviews of key personnel and review of documentation. 

Identify follow-up actions 

Schedule a meeting to discuss audit findings and plan for immediate, short-term, and long-term actions based on the audit report with your internal team. 

Ensure continuous improvement 

Establish a continuous improvement team to oversee progress post-certification and integrate ISO 42001 compliance metrics into regular management reviews. 

Partner with A-LIGN to achieve ISO 42001 compliance 

Obtaining certification and upholding compliance with ISO 42001 is crucial for organizations leveraging AI. By utilizing this readiness checklist and collaborating with quality partner like A-LIGN, organizations can effectively navigate the standard, build brand reputation, and foster trust in your AI systems with key stakeholders. 

Be one of the first to achieve ISO 42001 certification and set your team up for ISO 42001 certification success by downloading our readiness checklist now.