Checklist for Clause 6.2 of ISO/IEC 42001 (AIMS): AI Objectives and planning how to Achieve them

1. Introduction

Below is a certification-grade, auditor-ready tabular checklist for Clause 6.2 of ISO/IEC 42001 - AI Objectives and Planning to Achieve Them, developed directly from the PECB auditing slides shared and expanded into clear, testable, evidence-based audit criteria aligned with PECB / IAS-accredited audit practice.

This checklist ensures AI objectives are policy-aligned, measurable, compliant, monitored, communicated, resourced, implemented, and kept current.

2. ISO/IEC 42001 - Clause 6.2: AI Objectives and Planning to Achieve Them

Audit Checklist (Objectives, Measurement, Planning & Execution)


# Clause 6.2 Requirement Area Audit Objective Audit Questions (Checklist) Expected Evidence Conformance (Y/N/Partial) Findings / Gaps Risk Rating Improvement Actions
6.2-1 Establishment of AI Objectives Confirm formal objectives Has the organization established AI objectives at relevant functions and levels? AI objectives register     
6.2-2 Alignment with AI Policy Verify policy consistency Are AI objectives aligned with and derived from the AI Policy (Clause 5.2)? Policy-objective mapping     
6.2-3 Strategic Alignment Confirm direction Do AI objectives support the organization's strategic direction and AIMS objectives? Strategy documents; objectives cascade     
6.2-4 Measurability Enable performance tracking Are AI objectives measurable where practicable (KPIs, targets, thresholds)? KPIs; scorecards     
6.2-5 Baselines & Targets Validate clarity Are baselines, targets, and timeframes defined for AI objectives? Target statements; timelines     
6.2-6 Applicable Requirements Ensure compliance Do AI objectives take account of applicable legal, regulatory, contractual, and ethical requirements? Legal register; compliance mapping     
6.2-7 Risk & Impact Consideration Ensure risk-based planning Are AI objectives informed by AI risks, opportunities, and impact assessments (Clause 6.1)? Risk-objective linkage     
6.2-8 Monitoring Process Confirm oversight Is there a process to monitor AI objectives and track progress? Monitoring procedures; dashboards     
6.2-9 Performance Review Validate evaluation Are AI objectives regularly reviewed for performance and effectiveness? Review reports; management minutes     
6.2-10 Communication of Objectives Confirm awareness Are AI objectives communicated to relevant internal stakeholders? Communications; training records     
6.2-11 Stakeholder Awareness Validate contribution Do relevant stakeholders understand AI objectives and their role in achieving them? Interviews; awareness surveys     
6.2-12 Updating Objectives Ensure adaptability Is there a process to update AI objectives when context, risks, or priorities change? Change logs; revised objectives     
6.2-13 Documented Information Confirm control Are AI objectives available as documented information, controlled and current? DMS records; version history     
6.2-14 Planning to Achieve Objectives Verify action planning Has the organization planned actions to achieve AI objectives? Action plans; roadmaps     
6.2-15 Responsibilities Confirm accountability Are responsibilities and authorities assigned for achieving each AI objective? RACI; role assignments     
6.2-16 Resources Validate enablement Are resources (people, budget, tools) identified and allocated to achieve AI objectives? Resource plans; budgets     
6.2-17 Timeframes Ensure feasibility Are timeframes defined for completing actions to achieve AI objectives? Schedules; milestones     
6.2-18 Evaluation of Results Confirm outcome focus Are results evaluated to determine whether AI objectives are achieved? KPI results; evaluations     
6.2-19 Annex C Consideration Verify objective coverage Has the organization considered Annex C (non-exhaustive list of AI objectives) when defining its objectives? Annex C mapping     
6.2-20 Control Alignment (Annex A) Ensure measurability Are relevant control objectives and controls (e.g. A.6.1, A.9.3 in Table A.1) considered to measure and achieve AI objectives? Control-objective mapping     
6.2-21 Implementation Guidance Confirm best practice Does planning and implementation follow guidance in Annex B (e.g. B.6.1, B.9.3)? Guidance references; design notes     


3. Auditor's Conclusion - Clause 6.2

Assessment Area Conclusion
Overall Conformance Status ☐ Conform ☐ Minor NC ☐ Major NC
Quality of AI Objectives ☐ Clear & Measurable ☐ Partially Defined ☐ Weak
Effectiveness of Planning ☐ Effective ☐ Partially Effective ☐ Ineffective
Risk of Objective Failure ☐ Low ☐ Medium ☐ High

4. Common Auditor Findings (Clause 6.2)

Auditors commonly raise findings where:

  • AI objectives exist but are not measurable
  • Objectives are not linked to AI risks or impacts
  • Objectives are documented but not communicated
  • Action plans exist but lack owners or resources
  • Objectives are not reviewed or updated as context changes

This checklist explicitly prevents those nonconformities.

5. ISOLTX Operational Alignment

Clause 6.2 is operationalised through:

  • PERFORMANCE → AI objectives, KPIs, dashboards
  • ERMS → Risk-informed objective setting
  • CAS/CAL → Regulatory alignment of objectives
  • DMS → Controlled objective documentation
  • AUDIT → Objective effectiveness testing

It turns AI objectives into measurable, auditable drivers of responsible AI performance.

6. Contact Us Today

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