ISO 42001 Controls List

What’s Included in the ISO 42001 Controls List?

1. ISO 42001 Controls List: A complete ISO 42001 Controls Spreadsheet of every control required for ISO 42001 compliance.
2. Purpose and Implementation Steps: Full context and actionable steps for each control.
3. Implementation Status Tracking: Real-time tracking for implementation and internal audits.
4. Internal Audit Checklist: Built-in internal audit checklist for external audit preparation.
5. Internal Auditing Status: Assess and select Audit Maturity Level of each control.
6. References to Standards: References to relevant ISO 42001 clauses and supplementary resources.
7. Dynamic Dashboard: Automated charts and metrics to monitor progress and maturity.
8. Open & Ongoing Controls List: Automated list for open and ongoing controls.

ISO 42001 Controls List

A complete list of controls aligned with ISO 42001, categorized and named for quick access. Examples include:

• AI Policy: Guides the responsible use and deployment of AI systems.
• Roles and Responsibilities: Ensures clarity and accountability for AI governance.
• Review of the AI Policy: Facilitates ongoing evaluation to maintain relevance and effectiveness.

Purpose and Implementation Steps

Each control includes:

• Purpose: Explains why the control exists (e.g., aligning policies with organizational objectives).
• Step-by-Step Implementation Instructions: Practical guidance for bringing the control to life.
  • For example
  • AI Policy involves defining principles, assigning responsibilities, and conducting periodic reviews.
  • Roles and Responsibilities focus on identifying key areas, assigning roles, and providing training.

Implementation Status Tracking

This tracker keeps you focused on priorities.

Track progress in real-time:

• Open: Not yet addressed.
• Ongoing: Actively in progress.
• Completed: Successfully implemented.
• N/A: Not in scope based on SoA

Internal Audit Checklist

Each control comes with an Internal Audit Checklist: Custom to each control, verifying compliance.

For instance A.2.2:

1. Policy Documentation: Verify that an AI policy exists and is documented.
2. Policy Alignment: Check if the policy aligns with:
   • Business strategy.
   • Organizational values and culture.
   • Risk tolerance and legal requirements.

4. Policy Content: Confirm the AI policy includes:
   • Guiding Principles for AI activities.
   • Processes for handling deviations and exceptions.
5. Stakeholder Input: Ensure stakeholders were involved in the development or review of the policy.
6. Implementation Status: Validate if the policy is implemented and being followed.
7. Review Process: Confirm there’s a defined process for reviewing and updating the AI policy.

Internal Auditing Status

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

Every control references to resources, 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

Visualize progress and maturity levels through:

1. Pie Charts: Instantly see Open, Ongoing, and Completed controls.
2. Bar Graphs: Compare progress across controls.
3. Maturity Assessments: Gauge compliance levels from “(0) Incomplete Process” to “(5) Optimized Process“

Open & Ongoing Controls List

Need a focused view? The template filters and displays controls marked as “Open” or “Ongoing,” helping you prioritize tasks requiring immediate attention.

How This Template Simplifies Compliance

Imagine no more scrambling for scattered documentation or struggling with formatting spreadsheets. This ISO 42001 Controls List Excel Template gives you clarity, structure, and a streamlined approach to compliance. Perfect for teams managing multiple priorities or organizations requiring precise compliance management.

Why This Template stands out?

A dynamic spreadsheet made with AI systems and ISO 42001 standards in mind, it bridges the gap between understanding the standard and implementing it effectively.

Makes managing AI policies, suppliers, or internal audits easy with this ISO 42001 controls list xls.

Ready to Transform Your Compliance Journey

Say goodbye to guesswork and hello to a fully organized, actionable, and audit-ready approach to ISO 42001 compliance.