ISO 42001 Gap Assessment

ISO 42001 COMPLIANCE ROADMAP: AI Governance framework

STANDARARD: ISO/IEC 42001:2023 (AI management systems)
CURRENT STATE: No formal governance structure
TARGET COMPLETION: 120 days

PILLAR 1: AI GOVERNANCE STRUCTURE (Days 1-30)
→ Appoint AI governance lead (assign owner)
→ Document AI use cases in your org (inventory sheet: 8 uses identified)
→ Risk classification per use case (high/medium/low)
→ Compliance accountability matrix

PILLAR 2: RISK MANAGEMENT & BIAS MITIGATION (Days 31-60)
→ Conduct AI impact assessments (template provided for 8 use cases)
→ Data quality audits (training data provenance, bias checks)
→ Model monitoring plan (drift detection, performance tracking)
→ Testing regime (adversarial tests, edge case coverage)

PILLAR 3: DOCUMENTATION & TRANSPARENCY (Days 61-90)
→ AI model cards (what each model does, limitations, datasets)
→ Decision audit trails (why model was chosen, which version deployed)
→ User-facing transparency (disclosures where AI involved)
→ Change log (versioning, retraining events)

PILLAR 4: HUMAN OVERSIGHT & CONTROLS (Days 91-120)
→ Escalation procedures (when model fails, who decides)
→ Human review checkpoints (for high-risk decisions)
→ Team training (governance responsibilities)
→ Board reporting template (quarterly update format)

KEY DOCUMENTS TO CREATE:
1. AI governance policy (1-2 pages, high-level)
2. Risk register (spreadsheet of all 8 use cases + scores)
3. Model cards (one per deployed model)
4. Audit trail template (for decision logging)

COMPLIANCE CHECKLIST: 23 items total
□ Governance structure assigned (ownership clear)
□ Risk register complete (all models risk-scored)
□ Bias testing documented (test results in audit trail)
□ Board notified (governance in minutes)

ESTIMATED RESOURCE NEED: 80 hours (1 lead + tech team support)
NOTE: This is guidance based on ISO 42001 requirements, not legal advice. Consult compliance counsel for final sign-off.