This checklist assesses the organization's AI governance framework, risk management processes, and oversight mechanisms based on ISO 42001, CIS Controls, and NIST CSF frameworks.
| Organization Name: | Assessment Date: | ||
|---|---|---|---|
| Assessor Name: | Assessment Type: | Pre-Engagement / Post-Engagement |
| Status | Description |
|---|---|
| Compliant | The organization fully meets the requirements of the control. |
| Partially Compliant | The organization partially meets the requirements of the control. |
| Non-Compliant | The organization does not meet the requirements of the control. |
| Not Applicable | The control is not applicable to the organization's environment. |
| Control ID | Control Description | Compliance Status | Evidence | Remediation |
|---|---|---|---|---|
| GOV-1.1 | The organization has established a formal AI governance structure with defined roles, responsibilities, and reporting lines, including a Chief AI Security Officer (CAISO) or equivalent role. |
Establish a formal AI governance structure with clearly defined roles and responsibilities, including a CAISO role. Document the governance structure in organizational policies and ensure reporting lines are clearly defined. |
| Control ID | Control Description | Compliance Status | Evidence | Remediation |
|---|---|---|---|---|
| GOV-1.2 | The organization has implemented a comprehensive AI risk management framework that identifies, assesses, mitigates, and monitors AI-specific risks. |
Develop and implement an AI-specific risk management framework aligned with NIST AI RMF or similar standards. Ensure the framework includes processes for risk identification, assessment, mitigation, and monitoring. |
| Control ID | Control Description | Compliance Status | Evidence | Remediation |
|---|---|---|---|---|
| GOV-1.3 | The organization has developed and implemented comprehensive AI policies and procedures that address governance, ethics, security, privacy, and compliance requirements. |
Develop a comprehensive set of AI policies and procedures covering governance, ethics, security, privacy, and compliance. Ensure policies are approved by leadership and communicated to all stakeholders. |
| Control ID | Control Description | Compliance Status | Evidence | Remediation |
|---|---|---|---|---|
| GOV-1.4 | The organization has established an AI ethics framework with principles, guidelines, and oversight mechanisms to ensure ethical AI development and use. |
Develop an AI ethics framework with clear principles and guidelines. Establish an ethics committee or review board to provide oversight for AI development and use cases. |
| Control ID | Control Description | Compliance Status | Evidence | Remediation |
|---|---|---|---|---|
| GOV-1.5 | The organization has implemented processes to identify, track, and comply with AI-related regulations, standards, and contractual obligations. |
Establish a compliance management process for AI-related regulations and standards. Assign responsibility for tracking regulatory changes and ensure regular compliance assessments. |
| Control ID | Control Description | Compliance Status | Evidence | Remediation |
|---|---|---|---|---|
| GOV-1.6 | The organization has established board-level or executive oversight of AI governance, including regular reporting on AI risks, compliance, and performance. |
Establish board-level or executive oversight of AI governance. Implement regular reporting mechanisms for AI risks, compliance status, and performance metrics to executive leadership. |
| Total Controls | Compliant | Partially Compliant | Non-Compliant | Not Applicable | Compliance Score |
|---|---|---|---|---|---|
| 6 | 0 | 0 | 0 | 0 | 0% |
| Assessor Signature: | Date: | ||
|---|---|---|---|
| Client Signature: | Date: |