ISO 42001-Compliant AI Policies and Procedures: Complete Guide with Examples

ISO 42001-Compliant AI Policies and Procedures: Complete Guide with Examples

A Practical Framework for AI Governance Documentation

Introduction

ISO 42001 is the first international standard designed to ensure that artificial intelligence (AI) systems are developed, deployed, and managed in an ethical, secure, and responsible manner.
Compliance is not only about technical controls—it also requires well-crafted policies and procedures that govern how AI is used across the organization.

So, which documents should a company prepare to align with ISO 42001?
In this guide, you’ll find essential AI policy and procedure examples, with descriptions and practical content recommendations.

Core AI Policies Required for ISO 42001 Compliance

✅ 1. AI Usage Policy

Purpose: Defines how, where, and under what conditions the organization is allowed to use AI systems.

Suggested Content:

• Approved use cases and AI applications

• Boundaries for human oversight and intervention

• Regulatory compliance commitments (e.g., EU AI Act, GDPR)

• Data sources and usage limitations

• Prohibited AI practices

✅ 2. AI Ethics Policy

Purpose: Ensures that AI systems operate according to fairness, transparency, and accountability principles.

Suggested Content:

• Fairness and bias prevention guidelines

• Anti-discrimination commitments

• Ethics committee roles and responsibilities (if applicable)

• Employee rights for reporting ethical violations

✅ 3. Data Governance Policy

Purpose: Outlines how data used in AI systems is collected, processed, stored, and protected.

Suggested Content:

• Consent and data protection under GDPR/KVKK

• Data quality checks, anonymization protocols

• Ownership and source verification procedures

• Separation of training vs testing datasets

✅ 4. AI Model Development and Update Policy

Purpose: Standardizes the lifecycle of model development, deployment, and maintenance.

Suggested Content:

• Model design and validation processes

• Version control and documentation practices

• User communication during model updates

• Change impact assessment procedures

✅ 5. AI Risk & Impact Assessment Procedure

Purpose: Requires an in-depth analysis of ethical, social, and technical risks before launching AI projects.

Suggested Content:

• AI Risk Assessment (AIRA) steps

• AI Impact Assessment (AIIA) criteria

• Risk scoring and mitigation plans

• Documentation templates and reporting workflows

✅ 6. Human Oversight & Intervention Procedure

Purpose: Prevents AI systems from making fully autonomous decisions without human review or control.

Suggested Content:

• Decisions requiring manual approval

• Logging and traceability of human review

• Emergency stop protocols for malfunctioning models

• Thresholds and escalation rules

✅ 7. AI Training and Awareness Policy

Purpose: Ensures that employees understand how to use AI systems ethically and in compliance with ISO 42001.

Suggested Content:

• Regular training calendar

• Attendance records and assessment reports

• Onboarding AI orientation modules

• Awareness campaigns for non-technical staff

Additional Procedures to Consider

Document TitleDescriptionFeedback & Complaint MechanismEnables users to report errors caused by AI systemsAI Model Performance MonitoringOutlines how to track accuracy, error rates, and bias in model outputsContinuous Improvement ProcedureDescribes how to implement feedback loops for AI system updatesInternal Audit ProcedureRequires an annual audit of the ISO 42001 management system

Sample Snippet – AI Usage Policy Introduction

Purpose:
This policy has been developed to ensure that all artificial intelligence (AI) systems used or developed by [Organization Name] are managed ethically, transparently, and in full compliance with ISO 42001 requirements.

Scope:
This policy applies to all AI algorithms, models, automation systems, and related data processes utilized across the organization.

Conclusion

Compliance with ISO 42001 requires more than just technical safeguards—it demands organization-specific, well-documented, and actionable policies and procedures.

These documents will help you:
✅ Embed AI governance into daily operations
✅ Ensure smoother audits and certification readiness
✅ Promote internal awareness and accountability
✅ Build trust among regulators, clients, and the public

At Technoserve, we provide end-to-end ISO 42001 documentation services tailored for UK-based institutions.
From AI usage policies to risk assessments, we prepare everything you need for certification and implementation.

👉 Contact us today to request free sample templates and start your AI governance journey.