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ISO/IEC 42001:2023

Artificial intelligence management system standard. Specifies requirements for establishing, implementing, maintaining and improving an AI management system, including responsible AI development, deployment and use.

Controls: 128
Total Mappings: 180
Publisher: ISO/IEC Version: 2023
ISO 42001:2023 → SP 800-53 SP 800-53 → ISO 42001:2023 Coverage Analysis
AC (10) AT (6) AU (8) CA (6) CM (11) CP (5) IR (8) MA (3) MP (6) PE (1) PL (7) PS (9) PT (8) RA (8) SA (11) SC (2) SI (9) SR (10)

AC Access Control

Control Name ISO 42001:2023 References
AC-01 Policy and Procedures
A.2.2A.2.3A.9.2
AC-02 Account Management
A.3.2
AC-03 Access Enforcement
A.9.2A.9.4
AC-04 Information Flow Enforcement
A.9.4
AC-05 Separation of Duties
A.3.2
AC-06 Least Privilege
A.3.2A.9.2
AC-13 Supervision and Review — Access Control
A.6.2.6
AC-15 Automated Marking
A.7.4
AC-16 Security and Privacy Attributes
A.7.4A.7.5
AC-20 Use of External Systems
A.10.2

AT Awareness and Training

Control Name ISO 42001:2023 References
AT-01 Policy and Procedures
A.4.6
AT-02 Literacy Training and Awareness
A.4.6A.9.2
AT-03 Role-based Training
A.4.6
AT-04 Training Records
A.4.6
AT-05 Contacts with Security Groups and Associations
A.3.3
AT-06 Training Feedback
A.4.6

AU Audit and Accountability

Control Name ISO 42001:2023 References
AU-01 Policy and Procedures
A.6.2.8
AU-02 Event Logging
A.6.2.8
AU-03 Content of Audit Records
A.6.2.8
AU-06 Audit Record Review, Analysis, and Reporting
A.6.2.6A.6.2.8
AU-07 Audit Record Reduction and Report Generation
A.6.2.8
AU-09 Protection of Audit Information
A.6.2.8
AU-10 Non-repudiation
A.7.5
AU-11 Audit Record Retention
A.6.2.8

CA Security Assessment and Authorization

Control Name ISO 42001:2023 References
CA-01 Policy and Procedures
A.5.2
CA-02 Control Assessments
A.5.2A.5.3A.6.2.4
CA-03 Information Exchange
A.10.2
CA-05 Plan of Action and Milestones
A.5.3
CA-06 Authorization
A.5.2
CA-07 Continuous Monitoring
A.2.4A.6.2.6

CM Configuration Management

Control Name ISO 42001:2023 References
CM-01 Policy and Procedures
A.4.2
CM-02 Baseline Configuration
A.4.2A.6.2.3
CM-03 Configuration Change Control
A.6.2.5
CM-04 Impact Analyses
A.6.2.6
CM-05 Access Restrictions for Change
A.6.2.5
CM-06 Configuration Settings
A.4.2A.6.2.3
CM-07 Least Functionality
A.9.4
CM-08 System Component Inventory
A.4.2A.4.4
CM-12 Information Location
A.4.2A.7.3
CM-13 Data Action Mapping
A.4.3A.6.2.8A.7.3
CM-14 Signed Components
A.7.5

CP Contingency Planning

Control Name ISO 42001:2023 References
CP-01 Policy and Procedures
A.4.5
CP-02 Contingency Plan
A.4.5
CP-07 Alternate Processing Site
A.4.5
CP-09 System Backup
A.4.3
CP-10 System Recovery and Reconstitution
A.4.5

IR Incident Response

Control Name ISO 42001:2023 References
IR-01 Policy and Procedures
A.8.4
IR-02 Incident Response Training
A.8.4
IR-03 Incident Response Testing
A.8.4
IR-04 Incident Handling
A.3.3A.8.4
IR-05 Incident Monitoring
A.8.4
IR-06 Incident Reporting
A.3.3A.8.3A.8.4
IR-07 Incident Response Assistance
A.8.4
IR-09 Information Spillage Response
A.3.3A.8.4

MA Maintenance

Control Name ISO 42001:2023 References
MA-02 Controlled Maintenance
A.6.2.6
MA-03 Maintenance Tools
A.4.4
MA-06 Timely Maintenance
A.6.2.6

MP Media Protection

Control Name ISO 42001:2023 References
MP-01 Policy and Procedures
A.4.3
MP-02 Media Access
A.4.3
MP-03 Media Marking
A.7.4
MP-04 Media Storage
A.4.3
MP-05 Media Transport
A.4.3
MP-06 Media Sanitization
A.4.3

PE Physical and Environmental Protection

Control Name ISO 42001:2023 References
PE-18 Location of System Components
A.4.5

PL Planning

Control Name ISO 42001:2023 References
PL-01 Policy and Procedures
A.2.2A.2.3A.9.3
PL-02 System Security and Privacy Plans
A.2.2A.6.2.7
PL-03 System Security Plan Update
A.2.4
PL-04 Rules of Behavior
A.9.2A.9.4
PL-05 Privacy Impact Assessment
A.5.2A.5.3A.5.4A.5.5
PL-06 Security-related Activity Planning
A.6.1.2
PL-09 Central Management
A.2.2

PS Personnel Security

Control Name ISO 42001:2023 References
PS-01 Policy and Procedures
A.3.2A.4.6
PS-02 Position Risk Designation
A.3.2
PS-03 Personnel Screening
A.4.6
PS-04 Personnel Termination
A.3.2
PS-05 Personnel Transfer
A.3.2
PS-06 Access Agreements
A.9.2
PS-07 External Personnel Security
A.10.2
PS-08 Personnel Sanctions
A.3.3
PS-09 Position Descriptions
A.2.3A.3.2

PT Personally Identifiable Information Processing and Transparency

Control Name ISO 42001:2023 References
PT-01 Policy and Procedures
A.5.4
PT-02 Authority to Process Personally Identifiable Information
A.5.4A.7.3
PT-03 Personally Identifiable Information Processing Purposes
A.5.4A.9.4
PT-04 Consent
A.7.3
PT-05 Privacy Notice
A.8.2A.8.5
PT-06 System of Records Notice
A.8.5
PT-07 Specific Categories of Personally Identifiable Information
A.5.4A.7.3
PT-08 Computer Matching Requirements
A.5.4

RA Risk Assessment

Control Name ISO 42001:2023 References
RA-01 Policy and Procedures
A.5.2
RA-02 Security Categorization
A.5.2
RA-03 Risk Assessment
A.5.2A.5.3A.5.4A.5.5
RA-04 Risk Assessment Update
A.2.4A.5.2
RA-05 Vulnerability Monitoring and Scanning
A.6.2.4
RA-07 Risk Response
A.5.2A.5.3
RA-08 Privacy Impact Assessments
A.5.2A.5.4
RA-09 Criticality Analysis
A.5.2

SA System and Services Acquisition

Control Name ISO 42001:2023 References
SA-01 Policy and Procedures
A.6.1.2
SA-02 Allocation of Resources
A.4.5
SA-03 System Development Life Cycle
A.6.1.2A.6.1.3
SA-04 Acquisition Process
A.6.2.2A.10.3
SA-05 System Documentation
A.6.2.3A.6.2.7A.8.2
SA-06 Software Usage Restrictions
A.4.4
SA-07 User-installed Software
A.4.4A.9.4
SA-08 Security and Privacy Engineering Principles
A.6.1.2A.6.1.3
SA-09 External System Services
A.10.2A.10.4
SA-10 Developer Configuration Management
A.6.1.3A.6.2.3
SA-11 Developer Testing and Evaluation
A.6.2.4

SC System and Communications Protection

Control Name ISO 42001:2023 References
SC-06 Resource Availability
A.4.5
SC-24 Fail in Known State
A.4.5

SI System and Information Integrity

Control Name ISO 42001:2023 References
SI-01 Policy and Procedures
A.6.2.6
SI-02 Flaw Remediation
A.6.2.6
SI-04 System Monitoring
A.6.2.6
SI-05 Security Alerts, Advisories, and Directives
A.3.3
SI-06 Security and Privacy Function Verification
A.6.2.4
SI-07 Software, Firmware, and Information Integrity
A.6.2.4A.6.2.6
SI-09 Information Input Restrictions
A.7.4
SI-10 Information Input Validation
A.7.2A.7.4
SI-12 Information Management and Retention
A.8.5

SR Supply Chain Risk Management

Control Name ISO 42001:2023 References
SR-01 Policy and Procedures
A.10.2A.10.3
SR-02 Supply Chain Risk Management Plan
A.10.2A.10.3
SR-03 Supply Chain Controls and Processes
A.10.3
SR-04 Provenance
A.7.5
SR-05 Acquisition Strategies, Tools, and Methods
A.10.3
SR-06 Supplier Assessments and Reviews
A.10.3
SR-07 Supply Chain Operations Security
A.10.3
SR-08 Notification Agreements
A.8.4A.10.3
SR-10 Inspection of Systems or Components
A.6.2.4
SR-11 Component Authenticity
A.7.5