This step organizes the situation your organization faces and the requirements of AI-related interested parties (people and organizations that affect or are affected by AI). It comes first because it is the starting point for deciding the scope and objectives of the AI management system. You receive an interested party analysis table, external and internal issues, a SWOT analysis and a strategy action plan.
It consolidates clause 4 (Context of the organization) of ISO/IEC 42001 into one output: interested party analysis (4.2, with a separate row for AI subjects) → external issues (PESTEL) and internal issues (4.1) → SWOT and cross strategies (source ID traceability) → strategy action plan (priority, KPI, owner, deadline, budget, funding) → review from CEO and CFO perspectives → linkage table to 6.1, 6.2 and 9.3.
For interested parties, the content you enter is used as is and only blank fields are completed. If you leave it empty, a general list (to be confirmed by the organization) is used. External trends in your industry and AI trends are researched on the web (with sources and reference dates), while internal strengths and weaknesses are written only from your company's data. Only the sections for the analysis methods you choose (SWOT, PESTEL, 7M) are written.
Output
- Interested party analysis table (ID, AI role, needs, expectations, related requirements, whether to be addressed by the AIMS, management strategy by influence × interest, monitoring, linked clauses), by direct input or a general list
- PESTEL, internal issues (ID, basis, reference date), SWOT (source ID), cross strategies (SO, ST, WO, WT), strategy action plan, CEO and CFO review; the main tables are also provided in Excel
- Climate change relevance determination (AI computing energy and carbon), linkage table (6.1 risks and opportunities → 5 AI Risk Assessment, 6.2 AI objectives, 9.3 management review inputs), review, approval and revision cycle, items to be confirmed
What to do in this step, by scope of application
| Development | Supply | Use |
|---|---|---|
| Issues as a development organization (technical and data capabilities, research staff), and requirements of customers who use the model, data providers and regulators | Requirements of customers, end users and regulators, contractual and notification obligations, market and competitor trends | Departments and employees that use AI in their work, people affected by AI outputs (AI subjects), and supplier dependency issues |
Select analysis methods
Choose one or several. Clicking a card opens the operation form with that method selected (you can change it again in the form). We recommend doing the interested party analysis (4.2) first. Choose directly in the form ›
- 1Interested party analysis (4.2)Identify interested parties, needs and expectations (including AI subjects), clause mapping, 4.2 self-assessment: do this firstUse this method ›
- 2SWOT analysisStrengths, weaknesses, opportunities and threats + cross strategies (SO, ST, WO, WT)Use this method ›
- 3PESTEL analysisPolitical, economic, social, technological, environmental and legal factors (including AI regulation) + industry structure (5 Forces)Use this method ›
- 47M analysisInternal analysis from the viewpoints of manpower, machinery, materials, methods, measurement, environment and management (funding)Use this method ›
Next steps
Preceding steps: 14 Management Review · 16 Improvement · 13 Legal Requirements Identification and Monitoring · 10 Documented Information Control · The results of this step are used in the following steps: 2 AI Policy, Roles and Objectives · 3 AI System Selection · 4 AI System Inventory · 5 AI Risk Assessment · 6 AI System Impact Assessment · 7 Control Implementation and Statement of Applicability (SoA) · 10 Documented Information Control · 13 Legal Requirements Identification and Monitoring · 14 Management Review
