ISO 42001:2023 Requirements Checklists
| File Reference : | ISO 42001:2023 Requirements Checklists |
This checklist follows the ISO 42001:2023 clauses with a plain explanation of each, plus the documentation and the 38 Annex A controls.
Prepared using the F-Q2 Audit Checklist form template.
The files are supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
- Page number / total pages
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ISO 42001:2023 Internal Audit Checklist Template
Internal audit checklists for ISO 42001:2023, the AI management system standard: a full clause checklist with a plain explanation of what each clause asks for, a documentation checklist, and a checklist for all 38 Annex A controls. Each records the scope, criteria, auditor and date at the top, with space against each item for the status and the evidence held.
They can be used when first setting up an AI management system to show that every clause has been met, and then as the internal audit record once the system is running.
Note: ISO clause checklists only include the clause numbers and short prompts for each clause (due to copyright reasons) and therefore a full version of the ISO standard is required to be used in conjunction with these checklists.
What the Checklists Cover
- Context (clause 4) - issues, interested parties, scope and the AI management system
- Leadership (clause 5) - leadership and commitment, the AI policy and roles
- Planning (clause 6) - risks and opportunities, AI risk assessment, AI risk treatment, AI system impact assessment, AI objectives and planning of changes
- Support (clause 7) - resources, competence, awareness, communication and documented information
- Operation (clause 8) - operational planning and control, and AI risk assessment, risk treatment and system impact assessment carried out
- Performance evaluation (clause 9) - monitoring, measurement, analysis and evaluation, internal audit and management review
- Improvement (clause 10) - continual improvement, and nonconformity and corrective action
- Documentation - the mandatory documents and records, clause by clause, and the Annex A controls that have to be documented
- Annex A - all 38 controls
Using the Checklists
Work through the full clause checklist to audit the AI management system, using the explanation against each clause to see what evidence to look for. The Annex A checklist checks that the controls chosen in the statement of applicability are in place, and the documentation checklist is a quick check before a certification audit. Audits can be spread across the year, with the checklists covering the whole standard over the audit programme.
Planning the Audit
Have the AI policy, the AI risk assessment and treatment records, AI system impact assessments, the statement of applicability and the record of the last management review to hand, along with the standard itself.
Completed Example
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Included in the ISO 42001 Toolkit
These checklists are part of the ISO 42001 Toolkit and the integrated toolkits that include ISO 42001.
Related Documents
Documents that work alongside these checklists:
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