A structured gap analysis template designed to support organizations in evaluating their current AI governance posture against ISO/IEC 42001:2023 requirements. Covers Pre-Assessment readiness, Clauses 4–10, and Annex A normative controls with built-in evidence tracking and status documentation fields.
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AIMS Automated Assessment Template – Spreadsheet
Implementing an AI Management System aligned with ISO/IEC 42001:2023 begins with understanding where your organization stands today. This assessment template provides a structured framework for conducting a gap analysis across all auditable clauses of the standard — from organizational context and leadership through operations, performance evaluation, and continual improvement — plus the normative Annex A controls. The template includes pre-built assessment criteria, status tracking fields, evidence documentation columns, and a notes section for implementation planning. Organizational customization is required to reflect your specific AI systems, risk profile, and governance maturity.
Key Benefits
- Provides a structured framework for conducting ISO 42001 gap analysis across Clauses 4–10 and Annex A controls
- Includes 150+ original assessment criteria mapped to the standard’s clause structure
- Supports evidence documentation with dedicated Evidence and Notes columns for each requirement
- Covers the full Plan-Do-Check-Act cycle — from Pre-Assessment readiness through continual improvement
- Includes Annex A normative controls assessment covering AI system lifecycle, data governance, and third-party management
- Provides a reusable framework for initial gap analysis, mid-implementation tracking, pre-audit validation, and ongoing surveillance readiness
- Designed as a complement to the official ISO/IEC 42001:2023 standard, not a replacement
Who Uses This?
Designed for compliance officers, AI governance leads, CISOs, risk managers, IT directors, and project managers responsible for evaluating organizational readiness for ISO/IEC 42001:2023 certification or alignment.
Includes Pre-Assessment organizational readiness section (8 criteria), full Clauses 4–10 assessment (covering sub-clauses 4.1–4.4, 5.1–5.3, 6.1.1–6.3, 7.1–7.5, 8.1–8.4, 9.1–9.3, 10.1–10.2), and Annex A controls assessment (A.2–A.10) with status tracking, evidence fields, and notes columns.
Why This Matters
ISO/IEC 42001:2023 is the first international standard for AI management systems. Organizations pursuing certification — or those aligning their AI governance practices with internationally recognized frameworks — face a foundational challenge: understanding the gap between their current state and the standard’s requirements before committing resources to implementation. Without a structured assessment, organizations risk building governance programs that miss critical requirements, waste budget on the wrong priorities, or discover structural gaps only during costly external audits.
The standard’s certification pathway begins with a gap analysis that covers all clauses from 4 through 10 and the Annex A controls. This assessment creates the prioritized roadmap that informs resource allocation, implementation timelines, and leadership budget conversations. For organizations subject to the EU AI Act’s requirements or aligning with frameworks such as the NIST AI Risk Management Framework, this template also provides a structured starting point for evaluating AI governance maturity against recognized international benchmarks.
A well-executed gap analysis also serves a longer lifecycle: the same assessment framework used for initial readiness evaluation can be reused for mid-implementation progress tracking, pre-audit internal validation supporting Clause 9.2 internal audit requirements, and ongoing surveillance readiness between annual audits during the three-year certification cycle.
Framework Alignment
- ISO/IEC 42001:2023 — Assessment criteria mapped directly to the standard’s clause structure (Clauses 4–10) and Annex A normative controls (A.2–A.10)
- ISO/IEC 27001:2022 — Compatible assessment structure using shared Annex SL harmonized management system framework, supporting integrated management system implementations
- NIST AI Risk Management Framework (AI RMF 1.0) — Risk assessment and impact assessment criteria in Clauses 6 and 8 align with NIST AI RMF’s GOVERN, MAP, MEASURE, and MANAGE functions
- EU AI Act — Impact assessment and risk treatment criteria support organizational evaluation of governance practices relevant to EU AI Act compliance obligations
- OECD AI Principles — Ethical impact and societal consequence assessment criteria reflect OECD principles on responsible AI stewardship
Key Features
- Pre-Assessment Readiness Section (8 Criteria): Evaluates organizational prerequisites including executive sponsorship, AI inventory, budget allocation, implementation team formation, and stakeholder buy-in — before formal clause-level assessment begins
- Clause 4 — Context of the Organization (16 Criteria): Covers internal/external issues, stakeholder identification, AIMS scope definition, and management system process documentation
- Clause 5 — Leadership (13 Criteria): Assesses top management commitment, AI policy establishment, and governance roles and responsibilities including RACI matrix readiness
- Clause 6 — Planning (29 Criteria): Evaluates AI risk assessment methodology, risk treatment and Statement of Applicability, AI system impact assessment, objectives planning, and change management processes across sub-clauses 6.1.1–6.1.4, 6.2, and 6.3
- Clause 7 — Support (16 Criteria): Covers resources, competence, awareness, communication, and documented information controls
- Clause 8 — Operation (19 Criteria): Assesses operational planning and control, AI risk assessment execution, risk treatment implementation, and AI system impact assessment at planned intervals — aligned to the standard’s actual 8.1–8.4 sub-clause structure
- Clauses 9–10 — Performance Evaluation and Improvement (28 Criteria): Covers monitoring, internal audit, management review, continual improvement, and nonconformity/corrective action processes
- Annex A Controls Assessment (27 Criteria): Evaluates normative control implementation across AI policies (A.2), internal organization (A.3), resources (A.4), impact assessment (A.5), AI system lifecycle (A.6), data governance (A.7), information for interested parties (A.8), use of AI (A.9), and third-party relationships (A.10)
Comparison Table: Generic Checklist vs. This Professional Assessment Template
| Assessment Area | Generic AI Governance Checklist | ISO 42001 AIMS Readiness Assessment Template |
|---|---|---|
| Clause Structure | May reference select clauses or general AI principles | Maps to all auditable clauses (4–10) with verified sub-clause numbering aligned to ISO/IEC 42001:2023 |
| Annex A Controls | Typically absent or limited to high-level references | Includes 27 assessment criteria across all Annex A control domains (A.2–A.10) |
| Pre-Assessment Readiness | Rarely included | Dedicated section evaluating organizational prerequisites before formal assessment begins |
| Evidence Documentation | Status tracking only | Includes Evidence and Notes columns for each criterion, supporting Clause 7.5 documented information requirements |
| Risk & Impact Assessment | General risk categories | Separate assessment criteria for AI risk assessment (8.2), risk treatment (8.3), and AI system impact assessment (8.4) — distinct processes per the standard |
| Lifecycle Coverage | Single-use checklist | Designed for reuse across gap analysis, implementation tracking, internal audit, and surveillance readiness |
FAQ Section
Q: Does this template replace the need to purchase the ISO/IEC 42001:2023 standard? A: No. This template is designed to support organizations in evaluating readiness for ISO/IEC 42001:2023 implementation. It is an original assessment tool and does not reproduce the normative text of the standard. Organizations pursuing certification or formal alignment should obtain the official standard from ISO (iso.org) or their national standards body.
Q: What does the template actually include? A: The template includes 150+ original assessment criteria organized across a Pre-Assessment section, Clauses 4–10 (with verified sub-clause mapping), and Annex A normative controls (A.2–A.10). Each criterion includes fields for Clause reference, Sub-Clause, Requirement description, Status, Evidence, and Notes.
Q: Can this template be used for internal audits? A: The template provides a structured framework that may support internal audit preparation and evidence tracking as referenced in Clause 9.2 of the standard. However, it is an assessment tool requiring organizational customization — not a substitute for a formal internal audit program conducted by competent auditors.
Q: Is this template relevant for organizations aligning with the EU AI Act or NIST AI RMF? A: While the template is structured specifically around ISO/IEC 42001:2023, many of its assessment areas — particularly AI risk assessment, impact assessment, data governance, and third-party management — address governance domains that overlap with EU AI Act obligations and NIST AI RMF functions. The template may serve as a useful starting point for evaluating governance maturity against multiple frameworks.
Q: What level of customization is required? A: The template provides assessment criteria and tracking structure. Organizations will need to customize the tool to reflect their specific AI systems in scope, risk profile, organizational structure, and governance maturity. Assessment criteria descriptions represent paraphrased interpretations of standard requirements, not verbatim normative text.
Q: How is this template structured for different organizational roles? A: The Pre-Assessment section addresses executive and project management concerns (sponsorship, budget, timeline). Clauses 4–8 focus on practitioner-level implementation requirements. Clauses 9–10 address performance evaluation and improvement relevant to audit and management review functions. The Annex A section covers technical and operational controls relevant to AI development and operations teams.
Q: What file format is the template provided in? A: Documents are optimized for Microsoft Excel to ensure proper formatting, dropdown functionality, and collaborative editing capabilities. The template is also compatible with other spreadsheet applications, though formatting may vary.
Ideal For Section
- Compliance Officers and AI Governance Leads evaluating organizational readiness for ISO 42001 certification
- CISOs and Risk Managers assessing AI risk management maturity against international standards
- CIOs and IT Directors building business cases for AI governance investment based on documented gap analysis
- Project Managers leading AIMS implementation with structured milestone tracking
- Internal Auditors preparing for Clause 9.2 assessments with documented evidence frameworks
- Legal and Data Governance Teams evaluating AI system impact assessment and third-party compliance requirements
- Consultants and Advisory Firms supporting client organizations through ISO 42001 readiness and certification
Pricing Strategy Options
Single Template: $30. Positioned for accessibility and volume, reflecting the template’s role as a front-end customer journey tool — typically the first purchase before specialized templates (risk assessment methodologies, AI policies, Statement of Applicability frameworks). Pricing aligned with the organization’s commitment to making AI governance resources affordable without compromising quality.
Bundle Option: May be combined with complementary ISO 42001 implementation templates including AI Policy Template, AI Risk Assessment Methodology, Statement of Applicability Framework, and Internal Audit Checklist.
Enterprise Option: Available as part of a comprehensive ISO 42001 Implementation Documentation Suite covering the full certification journey from gap analysis through audit readiness. Enterprise pricing based on organizational scope and customization requirements — contact for pricing.
Differentiator
This assessment template provides a structurally verified, clause-by-clause evaluation framework mapped directly to the ISO/IEC 42001:2023 standard — including the commonly overlooked Annex A normative controls that certification auditors assess alongside the main clauses. Unlike generic AI governance checklists that reference select principles or frameworks at a high level, this template includes 150+ original assessment criteria with verified sub-clause numbering, dedicated evidence and notes documentation fields supporting Clause 7.5 requirements, and a Pre-Assessment readiness section that addresses organizational prerequisites before formal gap analysis begins. The template is designed for recurring use across the full certification lifecycle: initial gap analysis, mid-implementation tracking, pre-audit internal validation, and ongoing surveillance readiness. All assessment criteria are original paraphrased interpretations — not reproductions of normative standard text — ensuring the template serves as a practical complement to the official ISO/IEC 42001:2023 document.
