This quick reference guide translates ISO/IEC 42001’s AI management system principles—mapped to familiar SOC 2 Trust Services Criteria—into a focused checklist you can deploy when introducing AI within your own firm or guiding clients through responsible adoption.
Use it to trigger the right questions, anchor risk discussions, and demonstrate leadership in AI governance while advancing your professional growth and the value you deliver.
Governance & Leadership
Define an AI governance structure with executive accountability
Establish an AI policy framework aligned with ISO/IEC 42001
Maintain a formal AI risk management process
Engage stakeholders to define acceptable AI use and boundaries
Appoint an AI oversight role or team (e.g., AIMS owner)
AI Lifecycle Management
Maintain documented procedures for model development, deployment, and retirement
Ensure explainability and traceability of models and outcomes
Track model performance, accuracy, and limitations over time
Implement change management for models and associated datasets
Apply lifecycle controls consistently across internal and third-party AI
Security, Controls & Trust Criteria
Treat AI systems as protected assets—apply access, identity, and version control
Integrate AI controls with broader security operations (e.g., monitoring, incident response)
Regularly test for adversarial threats and abuse scenarios
Align security and privacy practices with SOC 2 criteria (confidentiality, integrity, etc.)
Apply ISO/IEC 42001 Annex A controls where applicable to mitigate specific risks
Data Integrity & Ethics
Use high-quality, unbiased, and traceable training data
Implement data quality controls and validation checkpoints
Evaluate for fairness, bias, and disparate impact
Apply privacy-by-design principles to all AI data workflows
Maintain transparency on how data is used and retained
Documentation & Audit Readiness
Keep comprehensive records of model logic, inputs, outputs, and decisions
Log AI-related incidents, changes, and risk treatments
Provide clear documentation for internal audits and external assurance reviews
Map AI controls and processes to ISO/IEC 42001 and SOC 2 frameworks
Conduct regular reviews of AIMS effectiveness and make updates as needed
Transparency & Accountability
Disclose AI usage to customers, clients, or affected users when appropriate
Provide channels for questions, disputes, or opt-outs related to AI decisions
Train staff on responsible AI use, risks, and escalation procedures
Embed ethical considerations into procurement of AI tools and vendors
Perform periodic assessments of AI impact on users and stakeholders
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