ISO 42001 Controls List: A detailed xls control list
This detailed ISO 42001 controls list is made to help your organization align with AI governance requirements and maintain responsible AI practices.
It comes in an Excel (XLS) spreadsheet format, allowing you to easily download and edit it.
Below is an overview of what you can expect, along with some of the key features that support effective implementation and monitoring.
Included in ISO 42001 Controls list spreadsheet
This ISO 42001 controls list is presented in an Excel file for straightforward navigation and updating. It includes:
- ISO 42001 Controls List: A clearly organized detailed list of each control relevant to ISO 42001 compliance, broken down by categories and references.
- Controls Explained: Simple explanations for each requirement so you can see the purpose behind every control.
- Implementation Steps and Purpose: Full context and usable steps for each control.
- Implementation Status Tracking: Real-time tracking for implementation and internal audit checks.
- Controls Checklist: Checklists attached to each control to verify that policies, procedures, and records meet the outlined standard.
- Maturity Level: Assess and select Audit Maturity Level of each control based on the ISO 29190 Maturity Model.
- References to Standards: References to relevant ISO 42001 clauses and supplementary resources.
- Dynamic Dashboard: Automated charts and metrics to monitor progress and maturity.
- Open & Ongoing Controls List: Automated list for open and ongoing controls.
ISO 42001 Control Implementation Guidance
Each control within the controls spreadsheet includes its purpose and step-by-step implementation guidance, helping you understand why the control exists and how to carry it out.
For example:
- AI Policy (A.2.2): Describes how to document a policy for AI system development and use.
- Roles and Responsibilities (A.3.2): Explains how to assign roles based on expertise, risk management, and organizational needs.
Tracking Implementation Status
The ISO 42001 controls list Excel file allows you to track the status of each control:
- Open: The control has not yet been addressed.
- Ongoing: Work is in progress, with tasks assigned.
- Completed: The control is fully implemented.
- N/A: The control does not apply to your specific scope.
Internal Audit Checklist
To prepare for internal or external audits, the spreadsheet includes an internal audit checklist.
These checks make it straightforward to identify ISO 42001 control gaps and plan improvements.
Each control has corresponding audit questions and points to verify, such as:
- Policy Documentation: Confirm the existence and clarity of an AI policy.
- Policy Alignment: Check if the policy aligns with:
- Business strategy.
- Organizational values and culture.
- Risk tolerance and legal requirements.
- Policy Content: Confirm the AI policy includes:
- Guiding Principles for AI activities.
- Processes for handling deviations and exceptions.
- Legal and Risk Coverage: Check that risks are identified and controlled.
- Stakeholder Involvement: Ensure relevant stakeholders were part of the decision-making process.
- Implementation Status: Validate if the policy is implemented and being followed.
- Review Process: Confirm there’s a defined process for reviewing and updating the AI policy.
Maturity Level – ISO 29190 Maturity Model
A drop-down menu lets you assess the audit maturity level for each control:
- Open: Indicates that the audit for this control has not started.
- (0) Incomplete Process: Denotes that the process has been initiated but is far from meeting the desired requirements.
- (1) Completed Process: Marks the control as audited with all criteria satisfactorily addressed.
- (2) Managed Process: Reflects that the process is under control, with a defined structure and execution strategy in place.
- (3) Established Process: Indicates that the process is well-documented and consistently followed across the organization.
- (4) Predictable Process: Highlights that the control operates predictably, with results measurable and reliable.
- (5) Optimized Process: Represents the highest maturity level, showing continual improvement and integration with broader organizational goals.
- N/A: Used for controls that may not be applicable to the organization or its specific implementation of ISO 42001.
References to Standards and Supporting Frameworks
Every control links to relevant ISO clauses and other frameworks (e.g., ISO 31000) for additional guidance.
This helps ensure your documentation and processes remain consistent with recognized best practices.
For instance:
- AI Policy: Refers to ISO 42001 Clause 5.2 and AI System Impact Assessment Templates.
- Risk Management: References ISO 31000 and RACI frameworks for accountability.
- Roles and Responsibilities Refers to frameworks like RACI matrices and ISO 31000 (Risk Management).
Dynamic Dashboard and Data Visualization
A built-in dashboard uses charts and graphs to display your progress.
Having these visuals in a single Excel file makes it easier to communicate results to stakeholders.
- Pie Charts: Show the distribution of Open, Ongoing, and Completed controls.
- Maturity Radar: Visualize your performance across the different control areas.
- Progress Bars: Quickly compare completion rates for each category.
Open and Ongoing Controls List
To keep your focus on what still needs attention, the template automatically filters out Open and Ongoing controls.
This way, you can quickly see what tasks should be prioritized and who is responsible for each.
How This ISO 42001 Controls Spreadsheet Supports Compliance
Implementing ISO 42001 can feel overwhelming, especially when roles, policies, and technical details intersect.
A single controls Excel file lightens the load.
- Collaboration: Share the xls with team members to ensure everyone knows their responsibilities.
- Traceability: Keep a record of updates, audits, and maturity assessments over time.
- Clarity: Combine all ISO 42001 requirements into one consistent location for easy reference.
FAQ
What is the ISO 42001 Controls List?
It’s a controls spreadsheet—in an Excel (XLS) format—created to guide organizations through the requirements of ISO 42001, which focuses on responsible AI system governance.
It includes a detailed list of controls, references, and a built-in controls checklist for easy compliance tracking.
Why do I need this spreadsheet for ISO 42001 implementation?
Implementing ISO 42001 can be complex, especially if your team is unfamiliar with the requirements.
This controls excel template breaks down each control, provides implementation guidance, and helps you keep track of what’s open, ongoing, or completed—all in one place.
What’s included in the download?
You’ll receive a ready-to-use XLS file containing:
- A detailed list of all ISO 42001 controls explained clearly.
- Step-by-step implementation steps for each control.
- A status tracker showing Open, Ongoing, Completed, or N/A.
- A controls checklist tailored for internal audits.
- A dashboard for visualizing progress and maturity.
Is this ISO 42001 Controls List customizable?
Yes. You can modify the spreadsheet to fit your organization’s structure.
Add or remove rows, edit content, or adjust the internal audit checklist to match your specific operations and processes.
Can I use this list if I’m just getting started with ISO 42001?
Definitely. It’s designed to guide both beginners and experienced compliance teams.
The controls explained section provides context, while the implementation steps help you plan a systematic rollout in your organization.
Download and Get Started
You can download this ISO 42001 controls list immediately and begin modifying it to your organization’s needs.
The spreadsheet requires no advanced software—just standard Microsoft Excel.
Once imported, you can add details, delete irrelevant items, and start tracking progress right away.