A checklist of the actions needed to implement ISO 42001, from the key AI documents and impact assessments to the Statement of Applicability, AI suppliers and management review.

Effective Implementation Checklists

This checklist is supplied in fully editable MS Word format and can be easily customised and edited. The document uses pre-defined style formatting throughout, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:

• Checklist name and title
• Information-classification
• Version
• Page number / total pages

alphaZ documents - beautifully designed, tried and tested checklists. No junk, jargon or unnecessary content. Simple and usable checklists developed over 25 years through practical use in the real world.

Further Reading

Further guidance on implementing ISO 42001:

• ISO 42001 Clause 4.4 - AI Management System
• ISO 42001 Clause 4.3 - Determining the Scope of the AI Management System
• ISO 42001 Clause 6.1 - Actions to Address Risks and Opportunities
• ISO 42001 knowledge base

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To get access to this file please click on Add to Cart to purchase for immediate download. If you have an alphaZ Subscription just click on Download Files to view all the files available to download. This checklist is also included in the ISO 42001 Toolkit, so the toolkit route gives you this file plus everything else you need in one download.

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AIMS Implementation Checklist

The I-C-IMS Implementation - AI checklist is a Word checklist of the actions needed to implement an AI management system (AIMS) to ISO 42001. Each action has a column for the planned completion date and a column for notes and the date completed.

It points to the alphaZ documents used at each step, so it works best alongside the ISO 42001 Toolkit.

What's Included in this Checklist

• AI management system - PP-1-42 Artificial Intelligence completed, the AI policy approved and communicated, the AI risks and controls register complete, the scope and the organisation's role in relation to AI recorded, and AI risk criteria set with residual risk accepted by management
• AI system impact assessment - an impact assessment for each relevant AI system, covering its deployment, intended use and foreseeable misuse, its context and the applicable jurisdictions, with the results retained
• Statement of Applicability - a decision recorded against all 38 Annex A controls, with the justification and implementation status
• AI system lifecycle and data - lifecycle and data records for any AI system developed or provided, with technical documentation and event logging in place
• Interested parties and objectives - the interested parties register covering everyone relevant to the AIMS, a route for external parties to report an adverse impact, and AI objectives set with responsibilities and dates
• Communication and awareness - all staff aware of the AIMS, the AI policy and the rules on AI tools, awareness recorded, and reporting routes for AI concerns and incidents available to all staff
• Use of AI systems and human oversight - conditions of use recorded against each AI system, activities that must remain human-led defined, and arrangements for human oversight and any automated decision-making in place
• AI suppliers and third parties - AI suppliers and model providers appraised, the key supplier register complete, and responsibilities across the AI system life cycle agreed with each supplier, provider or customer
• Monitoring, audit and management review - the AI focus committee in place where required, monitoring recorded, internal audits planned and completed, and the management review documented

Forms and Records Named in the Checklist

• F-AI1 AI System Lifecycle and F-AI2 AI Data Matrix - for any AI system developed or provided
• F-AI3 Artificial Intelligence Impact Assessment - for each relevant AI system
• F-IMS70 Statement of Applicability - AI - the decision on each Annex A control
• F-IMS22 Interested Parties Register - for the parties relevant to the AIMS
• F-Q9 Supplier / Contractor Appraisal and ER3 Key Supplier / Contractor Register - for AI suppliers and model providers
• F-Q17A Internal Audit Schedule - AI and F-Q3-42001 AI Management Review - for planning audits and recording the management review

A Record of Progress

The checklist has spaces for who prepared it, the date and notes, so a completed copy shows the AI lead and top management what has been put in place, what is still outstanding and when it is due. Kept in the IMS folder, it also shows an auditor how the system was implemented.

Who Needs an AIMS Implementation Checklist?

Organisations working towards ISO 42001 certification, and the person leading the implementation, who want a practical list of what to put in place and by when.

Included in the ISO 42001 Toolkit

This checklist is part of the ISO 42001 Toolkit.

Using the Checklist

Add a planned completion date to each action, and record notes and the date completed as each one is done. Once the actions are complete, the ISO 42001:2023 Requirements Checklists check the system against the clauses and the Annex A controls.

Related Documents

Actions point to the documents used for each step, including PP-1-42 Artificial Intelligence Policy Procedure, P-120 Artificial Intelligence Policy, ER42 AI Risks and Controls Register, F-AI3 AI Impact Assessment, F-IMS70 Statement of Applicability - AI and F-AI4 AI Focus Committee. The I-C-IMS Implementation Checklists are the equivalent for an ISO 9001 based system.