At a glance
- Ref
- OH-09
- Theme
- Accountability
- Held source
- ISO/IEC 42001:2023
- Citation
- ISO/IEC 42001:2023, 7.3
- Evidence
- 3 items
- Gaps
- 2 common
Evidence to keep
- Awareness of the policyAwareness content covering the policy, the contribution and the consequences
- Awareness of the policyAttendance or acknowledgement records
- Awareness of the policyInterview evidence of awareness
Questions before you sign
- Can a random operator explain the override route?
- Are contractors covered?
- Is using the override treated as success or as trouble?
The requirement, in our words
People working under the organization's control must know the AI policy, how they contribute to the management system's effectiveness, and what follows from not conforming to its requirements.
What it means for human oversight
Awareness is what makes an operator use the override rather than work around it. The person must know the route exists, that using it is expected, and that a refusal will not be punished.
How to evidence it
Attach the artefacts above to the Awareness of the policy row with the system name, the owner and the date. The first one is the anchor: Awareness content covering the policy, the contribution and the consequences. The OH-09 file is complete when the named person can produce that artefact and explain the decision it records, without asking someone else where it is.
The reviewer will sample one live decision and ask for Attendance or acknowledgement records. If that artefact for OH-09 cannot be produced, the row is a gap, whatever the policy says.
OH-09 carries 3 evidence items and 2 common gaps. For awareness of the policy, the auditor looks for a named person with an authority, not a committee title, so the row needs both the name and the sentence that grants the power. The OH-09 statement above is ours, written from ISO/IEC 42001:2023, 7.3, not a reproduction of the licensed text.
Common gaps
- Contractors not covered
- Consequences of nonconformity never explained
Related units
Source for this page: ISO/IEC 42001:2023, 7.3. Open ISO/IEC 42001:2023, 7.3 and compare it with the OH-09 statement above. Retrieved 2026-10-21.