1st Edition
AI Management System Certification According to the ISO/IEC 42001 Standard How to Audit, Certify, and Build Responsible AI Systems
The book guides the reader through the auditing and compliance process of the newly released ISO Artificial Intelligence standard. It provides tools and best practices on how to put together an AI management system that is certifiable and sheds light on ethical and legal challenges business leaders struggle with to make their AI system comply with existing laws and regulations, and the ethical framework of the organization.
The book is unique because it provides implementation guidance on the new certification and conformity assessment process required by the new ISO Standard on Artificial Intelligence (ISO 42001:2023 Artificial Intelligence Management System) published by ISO in August 2023. This is the first book that addresses this issue.
As a member of the US/ISO team who participated in the drafting of this standard during the last 3 years, the author has direct knowledge and insights that are critical to the implementation of the standard. He explains the context of how to interpret ISO clauses, gives examples and guidelines, and provides best practices that help compliance managers and senior leadership understand how to put together the AI compliance system to certify their AI system. The reader will find in the book a complete guide to the certification process of AI systems and the conformity assessment required by the standard. It also provides guidance on how to read the new EU AI Act and some of the U.S. legislations, such as NYC Local Law 144, enacted in July 2023.
This is the first book that helps the reader create an internal auditing program that enhances the company’s AI compliance framework. Generative AI has taken the world by storm, and currently, there is no international standard that provides guidance on how to put together a management system that helps business leaders address issues of AI governance, AI structure, AI risk, AI audit, and AI impact analysis. ISO/IEC 42001:2023 is the first international mandatory and certifiable standard that provides a comprehensive and well-integrated framework for the issue of AI governance. This book provides a step-by-step process on how to implement the standard so the AI system can pass the ISO accreditation process.
FOREWORD
Preface
About the Author and Contributors
Introduction and Book Organization 16
PART ONE ARTIFICIAL INTELLIGENCE AND GENERATIVE AI: FORCES BEHIND THE DIGITAL TRANSFORMATION 44
Chapter 1. Artificial Intelligence: A Transformational Technology 45
Chapter 2. Generative AI: A “Spark from AGI” 54
Chapter 3. Economic Impact of Artificial Intelligence 71
Chapter 4. Digital Transformation: How to Prepare Your Organization for Change 96
Part 2. Artificial Intelligence Management System: How to Put in Place An AI Governance System. 120
Chapter 5. Clause 4: Context of the Organization 125
Chapter 6. Clause 5: Leadership 174
Chapter 7. Clause 6: Planning 204
Chapter 8. Clause 7: Support 234
Chapter 9. Clause 8: Operation 265
Chapter 10. Clause 9: Performance Evaluation 287
Chapter 11. Clause 10: Improvement 304
Bibliography 315
Appendix 328
Biography
Sid Ahmed Benraouane is a thought leader with 20+ years of experience in multiple sectors, regions, and industries. Since 2018, he has been an active member of the U.S. ISO Working Group tasked with the preparation, development, and publication of an AI Management System: ISO/IEC 42001:2023. Dr. Benraouane is also a contributing expert member to other Expert Groups working under ISO/IEC/SC 42 Joint Group 1 umbrella in charge of developing AI standards on AI risk management, AI impact analysis, AI accreditation, AI trustworthiness, and AI social and ethical impact (SO/IEC 23894:2023; ISO/IEC TR 24028:2020; ISO/IEC TR 24368:2022; ISO/IEC AWI 42005; ISO/IEC CD 42006.) Prior to his work with AI standardization on the committee (SC 42), and between 2015 and 2019, he worked with another ISO technical committee (TC 279) to develop and publish a set of ISO standards on innovation management: ISO 56000, ISO 56002, ISO 56004, and ISO 56007.
Dr. Benraouane published the following two books on the ISO innovation standards:
- Using the ISO 56002 Innovation Management System
- Managing Innovative Projects and Programs: Using the ISO 56000 Standards for Guidance and Implementation
Dr. Benraouane advises organizations on innovation, digital transformation, and AI ecosystems. With a deep understanding of the economics of digital transformation in the USA and the Middle East and North Africa region, Dr. Benraouane helps decision-makers build decision-making frameworks that enhance innovative thinking and engage the workforce in the wider digital transformation. Dr. Benraouane is a speaker at the World Government Summit on AI and Ethics and a frequent keynote speaker at regional events such as Big Data Show, Cloud and Big Data Show, Energy Digitization Summit, Artificial Intelligence Summit, World Mobility Show and Autonomous Driving, the Middle East Military Technology Conference and the Bahrain International Defense Exhibition & Conference.
Dr. Benraouane holds a Ph.D. from the University of Minnesota, USA, and taught for many years at Carlson School of Management University of Minnesota.
