ISO 42001 Documentation Tracker
Designed to support organizations in managing the documentation requirements for ISO/IEC 42001 AI Management System (AIMS) certification.
The Real Challenge Behind Responsible AI
Organizations pursuing ISO 42001 certification face a common obstacle: understanding what documentation they actually need. The standard references requirements across seven clauses and 39 controls – spread throughout a technical document that doesn’t provide a consolidated checklist.
This tracker was built because visibility precedes progress. Before you can demonstrate compliance, you need to know exactly what documentation you’re working toward. Before you can allocate resources, you need to see the full scope. Before you can present status to leadership, you need a single source of truth.
This template provides a comprehensive framework listing all 68 documentation requirements from ISO/IEC 42001:2023, organized with status tracking fields, source clause references, and notes sections for your implementation journey.
What This Template Provides:
- Complete listing of 29 core mandatory documents (Clauses 4-10)
- All 39 Annex A control documentation requirements
- Status tracking fields (Complete, In Progress, Not Started, N/A)
- Direct clause/control source references for traceability
- Notes/Location column for organizational customization
- Coverage summary section for progress monitoring
- Editable Word format for team collaboration
Who Uses This?
Designed for:
- Compliance Officers managing AI governance programs
- Project Managers coordinating ISO 42001 implementation
- Risk Managers overseeing AI system documentation
- Quality Assurance professionals supporting certification
- AI/ML Teams responsible for documentation requirements
- Internal Auditors preparing for certification assessments
What’s Inside
The tracker includes two comprehensive tables:
Table 1: Core Mandatory Documents (Clauses 4-10) Covers all required documents including: AIMS Scope, AI Policy, Leadership and Commitment Documentation, Roles & Responsibilities, AI Objectives, AI Risk Criteria, Risk Assessment Process, Risk Treatment Plan, Statement of Applicability (SoA), AI Impact Assessment Process, Resource Documentation, Evidence of Competence, and all required records.
Table 2: Annex A Controls Documentation Covers all controls across: Policies and Governance (A.2-A.3), Resources for AI Systems (A.4), AI System Impact Assessment (A.5), AI System Lifecycle (A.6), Data for AI Systems (A.7), Information for Interested Parties (A.8), Use of AI Systems (A.9), and Third Party/Customer Relationships (A.10).
Why Documentation Visibility Matters
Organizations don’t fail ISO 42001 certification because they lack technical capability. They face challenges because documentation requirements span multiple clauses without a consolidated view. Teams work in silos, creating documents without understanding the complete picture. Auditors arrive to find gaps that could have been identified months earlier.
The documentation requirements for ISO/IEC 42001:2023 represent the tangible evidence that your AI Management System operates as designed. Per the standard, organizations must maintain documented information required by the standard and any additional documented information the organization determines is necessary for AIMS effectiveness.
This tracker doesn’t replace the hard work of creating documentation—it provides the visibility to plan and track that work systematically.
Framework Alignment
This template is structured directly from:
- ISO/IEC 42001:2023 — The world’s first certifiable AI management system standard
- Clauses 4-10 — Core management system requirements (Context, Leadership, Planning, Support, Operation, Performance Evaluation, Improvement)
- Annex A Controls — 39 AI-specific controls organized across 10 domains
- Annex B Guidance — Implementation guidance referenced in control descriptions
Note: This template references the structure and requirements of ISO/IEC 42001:2023. Organizations should obtain the official standard from ISO (www.iso.org) for complete normative requirements.
Key Features
Based on the actual template content:
- 29 Core Required Document Categories — Every mandatory documentation element from Clauses 4-10 with source references
- 39 Annex A Control Items — Complete listing of all control documentation requirements
- Requirement Level Indicators — Clear distinction between “REQUIRED” (mandatory) and “Annex A Control” (applicability-based) items
- Status Tracking System — Four-option status field (Complete ✅, In Progress ☑, Not Started ❌, N/A) with symbol legend
- Source Traceability — Direct clause/control references (e.g., “Clause 4.3”, “A.6.2.4”) for each requirement
- Documentation Descriptions — Plain-language descriptions of what each document should address
- Notes/Location Field — Customizable column for document locations, version numbers, and implementation notes
- Coverage Summary Section — Progress tracking fields for Core Requirements (/29) and Annex A Controls (/39)
Comparison: Ad-Hoc Tracking vs. Structured Documentation Tracker
| Aspect | Ad-Hoc Approach | Documentation Coverage Tracker |
|---|---|---|
| Requirement Visibility | Scattered across standard text | Consolidated in single view |
| Clause References | Requires manual lookup | Pre-mapped to each item |
| Status Tracking | Informal or undocumented | Standardized status fields |
| Coverage Gaps | Discovered during audits | Visible during planning |
| Team Coordination | Inconsistent ownership | Clear notes/location fields |
| Progress Reporting | Manual compilation | Summary section included |
FAQ Section
Q: Does this tracker guarantee ISO 42001 certification? A: No. This tracker is a documentation management tool that provides visibility into requirements. Certification depends on your organization’s actual implementation, documentation quality, and successful completion of the certification audit process. This template supports your planning efforts but does not ensure any specific outcome.
Q: What’s the difference between “REQUIRED” and “Annex A Control” items? A: Required items (29 documents from Clauses 4-10) are mandatory for all organizations seeking certification. Annex A Control items (39 controls) have applicability determined through your risk assessment process and documented in your Statement of Applicability (SoA). When an Annex A control is deemed applicable, it becomes mandatory for your organization.
Q: Can I customize the tracker for my organization? A: Yes. The template is provided in editable Word format. You can add columns, modify descriptions, and adapt the structure to align with your organizational processes.
Q: Does this include the actual ISO 42001 standard content? A: No. This tracker references clause numbers and provides descriptions of documentation requirements but does not reproduce the normative content of ISO/IEC 42001:2023. Organizations should purchase the official standard from ISO (www.iso.org) for complete requirements.
Q: How often should I update the tracker? A: The template notes suggest monthly reviews during AIMS implementation. Update status, notes, and documentation locations as your implementation progresses.
Q: What software do I need to use this template? A: Documents are optimized for Microsoft Word to ensure proper formatting, table functionality, and collaborative editing capabilities. Compatible with Microsoft 365, Word 2016+, and applications with .docx support.
Ideal For
- Organizations preparing for ISO/IEC 42001 certification
- Compliance teams building AI governance programs
- Project managers coordinating documentation efforts
- Internal audit teams conducting gap assessments
- Consultants supporting client implementations
- Risk managers overseeing AI system documentation
- Quality teams establishing AIMS frameworks
