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AIMS Process Map

ISO/IEC 42001:2023 | Clause 4.4 — Template

Document ID: AIMS-PMAP-001
Version: 1.0
Owner: AI Governance Lead
Date: ___________________________
Review Cycle: Annual or upon significant AIMS change

1. Purpose

This document maps all processes within the AI Management System (AIMS), showing their owners, inputs, outputs, and interactions. It satisfies the requirement in Clause 4.4 that the organisation establish, implement, maintain and continually improve an AIMS — including all required processes and their interactions.

2. AIMS Process Overview

[Clause 4 — Context]
      |
            v
            [Clause 5 — Leadership & Policy]
                  |
                        v
                        [Clause 6 — Planning: Risk Assessment, Objectives, SOA]
                              |
                                    v
                                    [Clause 7 — Support: Resources, Competence, Communication, Documents]
                                          |
                                                v
                                                [Clause 8 — Operation: AI Lifecycle, Impact Assessment, Supplier Mgmt]
                                                      |
                                                            v
                                                            [Clause 9 — Performance Evaluation: Monitoring, Audit, Mgmt Review]
                                                                  |
                                                                        v
                                                                        [Clause 10 — Improvement: Corrective Actions, Continual Improvement]
                                                                              |
                                                                                    +---> Feeds back into Clauses 4-9 (continuous loop)

3. Process Register

Process ID Process Name Clause Owner Inputs Outputs Key Controls Review Cycle
P-01 Context Analysis 4.1 / 4.2 AI Governance Lead PESTLE factors, stakeholder input Context Register, Interested Parties Register Annual review gate Annual
P-02 Scope Definition 4.3 AI Governance Lead Context Register, AI Systems Inventory AIMS Scope Statement Management approval Annual or on change
P-03 Leadership Commitment 5.1 CEO / Top Management Business strategy, regulatory requirements AI Policy, governance committee Board sign-off Annual
P-04 AI Policy Management 5.2 AI Governance Lead Regulatory requirements, stakeholder needs Published AI Policy Version control, approval Annual
P-05 Roles and Responsibilities 5.3 AI Governance Lead Org chart, AI systems inventory RACI Matrix, role descriptions Job description alignment Annual
P-06 AI Risk Assessment 6.1 Risk Manager Context Register, AI Systems Inventory AI Risk Register Defined assessment methodology Per system, annual minimum
P-07 Risk Treatment Planning 6.1 Risk Manager AI Risk Register Risk Treatment Plan, SOA Management approval Per risk cycle
P-08 AI Objectives Management 6.2 AI Governance Lead AI Policy, Risk Register AI Objectives Register Measurable targets Quarterly review
P-09 Change Management 6.3 AI Governance Lead Change requests, audit findings Change Log Impact assessment As triggered
P-10 Resource Management 7.1 AI Governance Lead AIMS requirements, budget Resource Plan Management approval Annual
P-11 Competence Management 7.2 HR / AI Gov Lead Role requirements, gap analysis Training Records Competence evidence Annual
P-12 Awareness and Communication 7.3 / 7.4 AI Governance Lead Policy updates, stakeholder needs Communication Plan, records Delivery confirmation Ongoing
P-13 Document Control 7.5 AI Governance Lead Document creation requests Master Document List Version control, approval Ongoing
P-14 AI Impact Assessment 8.2 AI System Owner New/changed AI systems Impact Assessment Reports Pre-deployment gate Per deployment
P-15 AI Lifecycle Management 8.3 AI System Owner Design requirements, data, model System Cards, deployment records Stage gate reviews Per system lifecycle
P-16 Supplier Management 8.4 Procurement / AI Gov Lead Third-party AI systems Supplier Assessments, Supplier Risk Register Contractual controls Annual per supplier
P-17 Performance Monitoring 9.1 Risk Manager AI system metrics, AIMS KPIs Performance Dashboard Automated monitoring alerts Continuous / Monthly
P-18 Internal Audit 9.2 Internal Auditor Audit programme, AIMS documentation Audit Reports, NCRs Auditor independence Annual programme
P-19 Management Review 9.3 CEO / AI Gov Lead All AIMS performance inputs Management Review Minutes, action register Quorum, agenda discipline Annual minimum
P-20 Corrective Action 10.1 AI Governance Lead NCRs, incidents, audit findings Corrective Action Plans, NCR log Root cause analysis As triggered
P-21 Continual Improvement 10.2 AI Governance Lead Management review outputs, best practices Improvement Log PDCA cycle Ongoing

4. Process Interactions

Process Feeds Into Receives From
P-01 Context Analysis P-02, P-06, P-08 P-19 Management Review
P-06 Risk Assessment P-07, P-17 P-01, P-14, P-18
P-14 Impact Assessment P-15, P-07 P-06, P-09
P-18 Internal Audit P-20, P-19 P-13, all processes
P-19 Management Review P-20, P-21, P-01 P-17, P-18, P-08
P-20 Corrective Action P-06, P-21 P-18, P-19, P-14

5. Master Document List Cross-Reference

See 06-CLAUSE7-SUPPORT/MASTER-DOCUMENT-LIST.md for the complete list of all AIMS documents, owners, versions, and review dates.

Review History

Version Date Changes Approved By
1.0 Initial issue

ISO/IEC 42001:2023 AI Governance Toolkit | Clause 4.4 | See root README.md for full index