ISO/IEC 42001 GAP Analysis

To your best ability, answer yes or no.
If you are not sure, answer no; for a some guidance and suggestions.

You will be emailed the report with suggested courses of action for each clause.

4.1 Have you determined the external and internal issues relevant to your purpose that affect the intended results of the AI management system (including your role(s) relative to AI systems and applicable legal, regulatory, and ethical factors)?

YesNo Invalid Input

4.2 Have you identified interested parties relevant to the AIMS and determined their relevant needs and expectations?

YesNo Invalid Input

4.3 Have you determined and documented the scope of the AI management system?

YesNo Invalid Input

4.4 Have you established, implemented, maintained, and continually improved an AI management system, including the processes needed and their interactions?

YesNo Invalid Input

5.1 Does top management demonstrate leadership and commitment to the AIMS?

YesNo Invalid Input

Clause 5.2 Has top management established a documented AI policy that is appropriate, provides a framework for objectives, includes commitments to applicable requirements and continual improvement, and is communicated?

YesNo Invalid Input

5.3 Have roles, responsibilities, and authorities for the AIMS been assigned, communicated, and understood?

YesNo Invalid Input

6.1.1 & 6.1.2 Have you established a process to identify and assess AI-related risks and opportunities with defined criteria, and retained documented information of the results?

YesNo Invalid Input

6.1.3 Have you defined and implemented an AI risk treatment process, produced a Statement of Applicability, and created a risk treatment plan?

YesNo Invalid Input

6.1.4 Have you defined a process for AI system impact assessment and considered the results in risk assessment?

YesNo Invalid Input

6.2 Have you established measurable AI objectives and planned how to achieve them?

Yes No Invalid Input

6.3 When changes to the AIMS are needed, are they carried out in a planned manner?

Yes No Invalid Input

7.1.1 Have you determined and provided the resources needed for the AIMS?

YesNo Invalid Input

7.2 ** Have you ensured competence of relevant persons and retained evidence?

YesNo Invalid Input

7.3 Have you ensured awareness of the AI policy, individual contributions, and implications of nonconformity?

Invalid Input

7.4 Have you determined the need for internal and external communications relevant to the AIMS?

YesNo Invalid Input

7.5 Do you control documented information required by the AIMS and the standard?

YesNo Invalid Input

8.1 Have you planned, implemented, and controlled the processes needed to meet AIMS requirements and implement actions from Clause 6?

YesNo Invalid Input

8.2 Do you perform AI risk assessments at planned intervals or when significant changes occur, and retain results?

YesNo Invalid Input

8.3 Do you implement the AI risk treatment plan and retain results?

YesNo Invalid Input

8.4 Do you perform AI system impact assessments at planned intervals or when significant changes occur, and retain results?

YesNo Invalid Input

9.1 Have you determined what to monitor and measure, the methods, timing, analysis, and responsibilities, and retained evidence of results?

YesNo Invalid Input

9.2 Have you conducted internal audits at planned intervals with appropriate planning, competence, and documented results?

YesNo Invalid Input

9.3 Has top management reviewed the AIMS at planned intervals and retained documented results?

YesNo Invalid Input

10.1 Does the organization continually improve the suitability, adequacy, and effectiveness of the AIMS?

YesNo Invalid Input

10.3 When a nonconformity occurs, do you react, address root causes, implement corrective action, review effectiveness, and retain records?

YesNo Invalid Input

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