ISO/IEC 42001:2023 is an international standard for Artificial Intelligence Management Systems (AIMS). It provides guidelines for organizations to implement secure, responsible, and accountable AI governance, helping manage risks, ensure compliance, and maintain transparency in AI operations.

Who needs ISO 42001 compliance?

Any organization using AI technologies, especially those operating internationally, should consider ISO 42001 compliance. While it is not currently mandatory, it is recognized globally as a best practice, and many international partners expect compliance to demonstrate trustworthy AI governance.

What are the main steps to achieve ISO 42001 compliance?

Achieving ISO 42001 compliance involves three main steps: 1) Understanding the scope of compliance and identifying systems affected by AI, 2) Implementing ISO 42001 controls across its 10 clauses, including governance, planning, operations, performance evaluation, and improvement, and 3) Preparing for an official compliance assessment with an accredited third party.

What are ISO 42001 clauses organizations should focus on?

Key clauses include Clause 4 (Organizational Context), Clause 6 (AI-specific Planning), Clause 8 (AI Operations), Clause 9 (Performance Evaluations), and Clause 10 (Continuous Improvement). Each clause defines specific controls to ensure AI governance, risk management, and continuous monitoring.

How does Clause 4 help with ISO 42001 compliance?

Clause 4 focuses on establishing the organizational context for AI. It requires understanding how AI is integrated, identifying stakeholder expectations, defining the scope of AI Management Systems (AIMS), and deploying effective governance controls, ensuring a solid foundation for compliance.

What is the purpose of Clause 6 in ISO 42001?

Clause 6 addresses proactive planning for AI Management Systems, including assessing and mitigating AI risks, analyzing system impacts, aligning AI initiatives with business objectives, and preparing for changes or unexpected issues in AI operations.

What does Clause 8 cover in ISO 42001?

Clause 8 focuses on operational management of AI systems. It includes establishing operational controls, performing AI risk assessments, implementing risk treatments, and evaluating the impact of operational risks on AI performance and business objectives.

How do organizations evaluate AI performance under ISO 42001?

Clause 9 emphasizes performance evaluation through monitoring, measurement, and internal audits of AI Management Systems (AIMS). Management reviews and formal reporting help ensure AI systems meet objectives and maintain accountability and transparency.

How does Clause 10 support continuous improvement in ISO 42001?

Clause 10 requires organizations to commit to ongoing enhancement of AI Management Systems by identifying nonconformities, implementing corrective actions, and documenting improvements over time, ensuring AIMS evolve and maintain compliance.

Can RSI Security help with ISO 42001 compliance?

Yes, RSI Security guides organizations through every phase of ISO 42001 compliance—from scoping and implementing AI controls to preparing for audits. They also help integrate ISO 42001 with other frameworks like NIST AI RMF, PCI DSS, GDPR, and CMMC for streamlined compliance.

ISO 42001 Compliance Guide: Achieve Trusted AI Governance

organizations adopting AI. Companies that aim to operate internationally must consider its requirements to ensure responsible and accountable AI practices. Achieving ISO 42001 compliance involves defining your compliance scope, implementing effective AI controls, and conducting regular audits to maintain standards.

Is your organization prepared for ISO 42001 compliance? Contact our experts today to start your AI governance journey

How to Achieve ISO 42001 Compliance

Artificial intelligence (AI) offers tremendous benefits through automation and innovation, but it also introduces unique risks that require regulatory attention. One of the most significant standards addressing these risks is ISO/IEC 42001:2023, issued by the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC).
For organizations operating internationally, achieving ISO 42001 compliance involves three key steps:

Understanding the framework’s scope and applicability: determine which processes, systems, and AI models fall under ISO 42001.
Implementing controls across the standard’s 10 clauses: ensure proper governance, risk management, and monitoring mechanisms are in place.

Preparing for official assessment and certification, get ready for audits to validate compliance.
These steps simplify the adoption of this complex framework. Partnering with an experienced ISO 42001 compliance expert can further accelerate your journey and reduce implementation risks

Phase 1: Understand the Scope of ISO 42001 Compliance

The first step in achieving ISO 42001 compliance is understanding the scope of the framework. This involves two key questions: who needs ISO 42001 and which systems it applies to.
Currently, ISO 42001 compliance is not mandated by legislation in the US or other countries. However, as with other ISO/IEC standards, it is widely recognized as a global best practice. Many international organizations, especially in Europe, expect strategic partners to achieve ISO 42001 certification to demonstrate trustworthy AI governance.
ISO 42001 focuses on Artificial Intelligence Management Systems (AIMS), which oversee the governance of AI products. While this may suggest a narrow focus, its applicability is actually broad: any organization using AI should implement some form of AIMS to ensure secure, responsible, and transparent AI operations.
In short, if your organization leverages AI and operates internationally, ISO 42001 compliance likely applies to you—and it affects all systems influenced by AI technologies.

Phase 2: Implement ISO 42001 Controls for Compliance

After determining whether ISO 42001 applies to your organization and identifying the systems affected by AI tools, the next step toward ISO 42001 compliance is implementing the framework’s controls.
Like other ISO/IEC standards, ISO 42001 is organized into 10 clauses. The first three clauses are largely definitional, establishing the framework’s scope, terminology, and references to guide implementation. The core compliance requirements are found in clauses 4, 10, supported by guidance in the Annexes.
In the sections below, we provide an overview of the most important prescriptive clauses, explaining both their purpose and the specific controls your organization should deploy to achieve full ISO 42001 compliance.

Clause 4: Organizational Context for ISO 42001 Compliance

Clause 4 focuses on establishing the organizational context for AI usage, including current operations and potential future applications. Achieving ISO 42001 compliance requires formal documentation that captures your organization’s understanding of AI uses and governance responsibilities.
The four primary controls under this clause include:

Understanding the organization’s AI context (4.1): assess how AI is integrated across operations.
Identifying needs and expectations around AI use (4.2): recognize stakeholder requirements and regulatory considerations.
Determining the scope of AI Management Systems (AIMS) (4.3) – define which systems fall under ISO 42001 compliance.

Deploying effective AI Management Systems (4.4) – implement controls, policies, and oversight mechanisms.
Clauses 4 through 6 emphasize governance. Successful deployment requires documenting your understanding, sharing it across the organization, and reinforcing it with comprehensive awareness training.

Clause 6: AI-Specific Planning for ISO 42001 Compliance

Clause 6 focuses on proactive planning for AI Management Systems (AIMS), addressing risks and opportunities as they emerge. While governance remains important, this clause directly ties into business objectives and security considerations, making careful planning essential.
The primary controls for Clause 6 include:

Planning to address risks and opportunities (6.1)
1.1 General preparation for AI dynamism (6.1.1) – anticipate changes and variability in AI operations.
1.2 System-wide AI risk assessments (6.1.2) – evaluate AI-related risks across all affected systems.
1.3 System-wide AI risk treatments (6.1.3) – implement measures to mitigate identified risks.
1.4 AI system impact assessments (6.1.4) – analyze potential impacts of AI deployments on business and security objectives.
Planning to address AI-specific objectives and the AIMS (6.2) – align AI initiatives with organizational goals and compliance requirements.

Planning for AIMS changes, including contingencies (6.3) – establish processes to handle updates, unexpected issues, and system changes.
Implementing these controls requires organization-wide monitoring and mechanisms to stay aware of emerging threats, opportunities, and unexpected events, ensuring continuous ISO 42001 compliance.

Clause 8: AI-Specific Operations for ISO 42001 Compliance

Clause 8 addresses the operational management of AI Management Systems (AIMS), ensuring that AI-impacted systems remain secure, reliable, and trustworthy over time. Achieving ISO 42001 compliance at this stage requires operational planning, risk readiness, and additional considerations for system capacities.
The four primary controls for Clause 8 include:

Establishing operational planning and controls for AIMS (8.1) – define processes, procedures, and controls for day-to-day AI operations.
Performing AI risk assessments for operational concerns (8.2) – evaluate risks that specifically affect ongoing AI operations.
Developing AI risk treatments for operational concerns (8.3) – implement mitigation strategies tailored to operational risks.
Performing risk impact assessments across AI operations (8.4) – assess the potential effects of operational risks on AI performance and business objectives.
When deploying IT mechanisms, distinguish operational AI risk analysis from the general AI risk assessments performed under Clause 6. This separation makes it easier to prioritize risks, implement targeted controls, and meet ISO 42001 assessment requirements effectively.

Clause 9: AI Performance Evaluations for ISO 42001 Compliance

Clause 9 focuses on formal performance evaluations of AI Management Systems (AIMS) and their operators to ensure AI tools meet their intended objectives. Achieving ISO 42001 compliance at this stage requires robust visibility, reporting infrastructure, and organizational willingness to act on evaluation results.
The three primary controls under Clause 9 include:

Monitoring, measurement, analysis, and evaluation (9.1) – continuously track AI performance against intended outcomes.
Conducting internal audits across the AIMS (9.2)
2.1 General auditing best practices for transparency and security (9.2.1)
2.2 A formalized internal audit program, documented in policy (9.2.2)

Conducting management reviews across the AIMS (9.3)
3.1 General review best practices for transparency and security (9.3.1)
3.2 Control and trust assurance for management review inputs (9.3.2)
3.3 Control and trust assurance for management review outputs (9.3.3)
Deployment of Clause 9 aligns closely with Clauses 5 and 10. To effectively evaluate staff, particularly leaders, organizations must ensure buy-in and cultivate a culture of continuous improvement, reinforcing both governance and accountability

Clause 10: AI System Improvement for ISO 42001 Compliance

Clause 10 emphasizes planning for continuous improvement of AI Management Systems (AIMS). Achieving ISO 42001 compliance requires organizations to go beyond maintaining current performance, AIMS must evolve and improve over time.
The two primary controls under Clause 10 are:

Committing to continual AIMS improvement (10.1) – establish processes and initiatives that promote ongoing enhancement of AI governance and system performance.

Identifying and addressing nonconformities effectively (10.2) – detect gaps or deviations and implement corrective actions to strengthen AIMS.
While assessors cannot evaluate future improvements directly, organizations can demonstrate commitment by documenting changes over time, showing how AIMS has evolved, and highlighting lessons learned. This proactive approach reinforces governance and supports long-term ISO 42001 compliance.

Phase 3: Prepare for an Official Compliance Assessment

With all ISO 42001 controls in place, the next step is working with an accredited third party to formally assess your AI Management Systems (AIMS) and achieve ISO 42001 compliance. Before the official certification audit, it is highly recommended to conduct at least one preparatory assessment. Gap analyses and preliminary reviews help streamline the certification process and reduce the risk of audit failures.
The most effective ISO 42001 compliance partners support organizations through every phase, from initial scoping to control deployment. They can also minimize duplication and reduce costs by mapping ISO 42001 controls against other compliance frameworks.
For example, if your organization is pursuing additional AI compliance goals, such as the NIST AI Risk Management Framework (RMF), your ISO 42001 partner can help integrate both frameworks efficiently. The same principle applies to broader compliance initiatives, including PCI DSS, EU GDPR, CCPA, or CMMC. Strategic control mapping ensures alignment, reduces redundancy, and optimizes resource allocation.

Streamline Your ISO 42001 Compliance with RSI Security

Navigating ISO 42001 compliance can seem daunting due to the framework’s comprehensive controls and the rapidly evolving nature of AI technology. Breaking the compliance process into three clear phases, scoping, implementation, and assessment, makes it easier to manage and ensures smooth, secure, and compliant AI operations.
At RSI Security, we help organizations maximize the value of their AI systems while maintaining security, trust, and regulatory alignment. By establishing disciplined processes upfront, organizations can unlock greater flexibility and growth over time. We guide clients through ISO 42001 compliance and related frameworks before they become legally mandated, helping ensure readiness for the evolving AI landscape.
To learn more about ISO 42001 compliance services, Contact RSI Security today and take the next step toward trusted, secure AI operations

Roadmap to Compliance with ISO 42001