ISO/IEC 42001:2023 · ARTIFICIAL INTELLIGENCE MANAGEMENT SYSTEM

Build trustworthy,
governable and
audit-ready AI systems.

AWAIA helps organizations establish Artificial Intelligence Management Systems (AIMS), implement governance controls, assess AI risks and impacts, prepare for certification audits, and sustain long-term compliance aligned with ISO/IEC 42001:2023.

ISO 42001
AIMS-aligned methodology
AIRA · AISIA
Risk & impact assessment
Stage 1 + 2
End-to-end audit readiness
Continual
Post-certification governance
WHAT IS ISO/IEC 42001?

The international standard for Artificial Intelligence Management Systems.

ISO/IEC 42001:2023 is the first international standard defining how organizations should govern Artificial Intelligence. It specifies the requirements for establishing, implementing, maintaining and continually improving an Artificial Intelligence Management System (AIMS).

An AIMS gives the enterprise a single operating system for responsible AI, connecting accountability, transparency, risk management, regulatory readiness and continual improvement across every AI system in production.

01

Governance & Accountability

Codifies ownership, oversight and decision rights across the AI lifecycle.

02

Risk Management

Embeds systematic identification, evaluation and treatment of AI-specific risks.

03

Regulatory Readiness

Aligns operations with the EU AI Act, sectoral regulators and emerging AI law.

04

Stakeholder Trust

Demonstrates responsible AI practice to customers, regulators and investors.

05

Operational Consistency

Standardizes how AI systems are built, deployed, monitored and retired.

06

Continual Improvement

Institutionalizes feedback loops, audits and management review cadence.

AI RISK & IMPACT MANAGEMENT

Risk-informed governance for enterprise AI systems.

ISO 42001 elevates risk and impact to first-class governance objects. AWAIA operationalizes both — AIRA for organizational risk, AISIA for downstream impact — and threads them through your AIMS.

AIRA

Artificial Intelligence Risk Assessment

A disciplined risk programme grounded in ISO 31000, calibrated for AI systems.

  • Risk management procedure aligned to ISO 31000
  • Identification of internal and external risk sources
  • Risk prioritization and quantification
  • Construction and maintenance of the AI Risk Register
  • Mitigation plans and treatment strategies
  • Hierarchy of risk controls applied to AI operations
AISIA

AI System Impact Assessment

Evaluating how each AI system affects individuals, groups and society at scale.

  • Impact management procedure aligned to ISO/IEC 23894
  • Internal and external impact analysis
  • Application of ISO 42001 Annex A controls
  • Use of Annex B implementation guidance
  • Governance control implementation across the AI lifecycle
  • Impact mitigation and continual reassessment
AWAIA ISO 42001 SERVICE METHODOLOGY

A structured journey from governance assessment to certification readiness.

PHASE 01
01

Kickoff Meeting

Aligning leadership, scope and obligations before a single control is designed.

  • Project planning and engagement roadmap
  • Milestones, deliverables and success criteria
  • Scope of services and scope of certification
  • Legal and regulatory requirements review
  • Stakeholder roles and governance responsibilities
PHASE 02
02

Creation of Core Team

Standing up the institutional ownership structure that will carry the AIMS.

  • Appointment of the ISO Leader
  • Formation of the AIMS Team
  • Designation of internal auditors
  • Governance ownership and escalation paths
PHASE 03
03

Gap Analysis

A structured assessment of the organization against the full surface of ISO 42001.

  • Assessment against ISO/IEC 42001 requirements
  • AI lifecycle responsibility evaluation
  • Customer and contractual requirements
  • Internal policies and procedures review
  • Gap analysis report with prioritized action items
PHASE 04
04

AIMS Awareness Training

Building shared literacy so governance is operated, not just documented.

  • Organization-wide AIMS awareness
  • Practical ISO 42001 understanding
  • Process and role alignment
  • Customer-centric AI service design
  • Embedding a governance culture
PHASE 05
05

AI Risk Assessment (AIRA)

An ISO 31000-aligned risk programme engineered for AI systems.

  • Risk management procedure aligned to ISO 31000
  • Identification of internal and external risk factors
  • Risk prioritization and categorization
  • Construction of the AI Risk Register
  • Mitigation plans and hierarchy of risk controls
PHASE 06
06

AI System Impact Assessment (AISIA)

Evaluating how each AI system affects individuals, groups and society.

  • Impact procedure aligned to ISO/IEC 23894
  • Internal and external impact analysis
  • Application of ISO 42001 Annex A controls
  • Use of AIMS implementation guidance
  • Impact mitigation and continual reassessment
PHASE 07
07

Documentation

The institutional record that makes the AIMS inspectable and defensible.

  • Policies and procedures
  • Standard operating procedures and work instructions
  • Templates and controlled records
  • Governance evidence repositories
PHASE 08
08

Additional Controls

Operational governance controls that run between audits, not only during them.

  • Governance control across the AI lifecycle
  • Monitoring of control effectiveness
  • Periodic review and re-baselining
  • Process efficiency evaluation
  • Continual improvement loops
PHASE 09
09

Internal Auditor Training

Building an internal audit capability inside the organization.

  • Audit methodology training
  • Evidence collection techniques
  • Interview frameworks
  • Non-conformity reporting
PHASE 10
10

Internal Audit

A rehearsal of the certification body assessment against the live AIMS.

  • Internal audit execution
  • Corrective actions and closure
  • Management review preparation
  • Certification readiness validation
PHASE 11
11

Root Cause Analysis & Corrective Actions

Resolving the underlying cause, not only the surface finding.

  • 5 Why structured questioning
  • Fishbone (Ishikawa) cause categorization
  • Corrective Action Reports (CAR)
  • Implementation of corrective actions
  • Post-implementation effectiveness review
PHASE 12
12

Management Review Meeting

Executive accountability on a fixed cadence, on the record.

  • Risk and audit findings review
  • Non-conformance status and closure
  • Resource, training and supplier performance
  • Stakeholder feedback and regulatory change
  • Objective review and improvement opportunities
PHASE 13
13

Certification Audit — Stage 1

A documentation-first verification that the AIMS is structurally complete.

  • Documentation and policy review
  • SOP and work instruction validation
  • Risk assessment review (AIRA, AISIA)
  • Internal audit and MRM review
PHASE 14
14

Certification Audit — Stage 2

Full certification audit support, executed alongside your teams.

  • Detailed certification audit coordination
  • AIMS implementation review with the auditor
  • Personnel preparation and rehearsal
  • Real-time audit support and clarification
  • Non-conformance closure and follow-up
PHASE 15
15

Continuation of Compliance

Sustaining the AIMS through surveillance, renewal and regulatory change.

  • Ongoing advisory and governance support
  • Recurring internal and external audits
  • Refresher training for AIMS personnel
  • Governance documentation amendments
  • Certification renewal coordination
DOCUMENTATION & GOVERNANCE CONTROLS

Operational governance built on documented systems.

A defensible Artificial Intelligence Management System is one that can be inspected, audited and continuously improved. AWAIA designs the complete documentation architecture and governance operating model required to sustain ISO/IEC 42001 compliance.

DOCUMENTATION ARCHITECTURE

The institutional record of how AI is governed.

  • Policies
  • Procedures
  • Standard Operating Procedures (SOPs)
  • Work Instructions
  • Records
  • Templates
  • Departmental Documentation
  • Governance Evidence Repositories
CONTROL OPERATIONS

Controls that operate, not just exist.

  • Establishment of Operational Controls
  • Monitoring of Control Effectiveness
  • Periodic Review and Re-baselining
  • Process Efficiency Evaluation
  • Continual Improvement Loops
AUDIT READINESS & CERTIFICATION

Prepared for certification, not just compliance.

Certification is the outcome of a mature management system. AWAIA prepares organizations for both Stage 1 and Stage 2 audits through evidence validation, control verification and auditor-facing readiness reviews.

STAGE 1 READINESS

Documentation and system preparedness.

  • Gap assessment against ISO/IEC 42001
  • Documentation completeness review
  • Governance structure validation
  • Risk and impact evidence review
  • Internal readiness workshops
  • Corrective action planning
STAGE 2 CERTIFICATION

Operational effectiveness verification.

  • Control implementation verification
  • Process effectiveness assessment
  • Operational evidence validation
  • Audit interview preparation
  • Non-conformity response support
  • Certification coordination assistance
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