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RACI Matrix — AIMS Activities

ISO/IEC 42001:2023 | Clause 5.3 — Template

Document ID: AIMS-RACI-001
Version: 1.0
Owner: AI Governance Lead
Date: ___________________________
Review Cycle: Annual or upon role/structure change

Key

Code Meaning
R Responsible — Does the work
A Accountable — Ultimate owner; signs off
C Consulted — Input required before action
I Informed — Notified of outcome

AIMS RACI Matrix

AIMS Activity CEO / Top Mgmt AI Gov Lead / CAIO AI System Owner AI Developer / MLOps DPO Risk Manager Internal Auditor HR / People Lead Legal
CLAUSE 4 — CONTEXT
Context analysis and PESTLE I A/R C I C C I I C
AI Systems Inventory maintenance I A R R I C I I I
Interested Parties Register I A/R C I C C I I C
Scope Statement approval A R C I C C I I C
CLAUSE 5 — LEADERSHIP
AI Policy approval A R C I C C I I C
AI Policy communication I A/R I I I I I R I
Role and responsibility assignment A R C I C C I C I
Governance committee establishment A R C I C C I I I
Budget approval for AIMS A R C I I C I I I
CLAUSE 6 — PLANNING
AI risk assessment (per system) I A R C C R I I C
Risk treatment planning I A R C C R I I C
Statement of Applicability I A/R C C C C I I I
AI objectives setting A R C I C C I I I
Change management I A/R C C I C I I I
CLAUSE 7 — SUPPORT
Resource planning A R C I I C I I I
Competence gap analysis I A R R I I I R I
Training programme delivery I A I I I I I R I
Training records maintenance I A I I I I I R I
Awareness communications I A/R I I I I I R I
Document control I A/R C C C C I I I
CLAUSE 8 — OPERATION
AI Impact Assessment I A R C C C I I C
AI Lifecycle management I A R R C C I I C
Pre-deployment gate review I A R C C C I I I
Supplier risk assessment I A R C C R I I C
AI change control I A R C I C I I I
CLAUSE 9 — PERFORMANCE
Performance monitoring I A R R I R I I I
Internal audit planning I A I I I I R I I
Internal audit execution I I C C C C A/R I I
Management review (chair) A/R R C I C C C C C
Management review actions A R C I I C I I I
CLAUSE 10 — IMPROVEMENT
Nonconformity recording I A/R R R C C I I I
Root cause analysis I A R R C C C I I
Corrective action implementation I A R R C C I I C
Continual improvement log I A/R C C I C I I I
AI incident management I A R R C C I I C

Role Descriptions Summary

Role Description
CEO / Top Management Ultimate accountability for AIMS; approves policy and resources
AI Governance Lead / CAIO Day-to-day AIMS management; owns most AIMS processes
AI System Owner Accountable for specific AI systems in scope
AI Developer / MLOps Technical implementation; model documentation; bias testing
DPO Data Privacy Officer; AI + personal data compliance interface
Risk Manager AI risk register; treatment plans; monitoring oversight
Internal Auditor AIMS internal audits; independent of areas audited
HR / People Lead Competence, training, awareness programmes
Legal Regulatory compliance; contractual controls; AI disclosures

See AI-SYSTEM-OWNERSHIP-REGISTER.md for per-system accountability assignments.

Review History

Version Date Changes Approved By
1.0 Initial issue

ISO/IEC 42001:2023 AI Governance Toolkit | Clause 5.3 | See root README.md for full index