ISO 42001 Checklist – GAP Analysis Template (.xls) for AI Compliance
If you’re preparing for ISO 42001 certification or looking to mature your organization’s AI governance, our ISO 42001 Checklist & GAP Analysis template can make the process straightforward and efficient.
Ensure your AI Management System (AIMS) aligns with ISO/IEC 42001 with this ISO 42001 checklist.
Ideal for AI professionals, compliance officers, and organizations working with artificial intelligence.
This Excel checklist template gives you a organized ISO 42001 GAP Analysis template to identify compliance gaps and prepares your organization for certification.
Downloadable as a customizable Excel spreadsheet, providing a logical structure to manage, track, and document requirements.
Identify compliance shortfalls and develop a targeted action plan.
For Complete ISO 42001 Coverage
Our checklist template covers all relevant clauses (4–10) of ISO 42001 as well as Annex A/B controls.
From initial policy development to ongoing risk assessments and performance evaluations, the template breaks down each requirement, indicating whether it’s compliant, partially compliant, or open.
With sections dedicated to AI governance, documentation, risk management, and more, you’ll have a thorough GAP Assessment.
ISO 42001 GAP Dashboard & Visual Insights
The dashboard displays summaries of your compliance status. Pie charts and bar graphs illustrate:
- Clause Compliance (4–10): A quick glance shows whether your organization is fully compliant, partially compliant, or facing critical GAPS.
- Documentation Status: Track essential documents for each clause or control, ensuring ongoing, complete, and pending items are clearly visible.
- Annex A/B Controls: Easily review open items and partial or critical GAPS related to AI policies, resources, risk assessments, and system life cycle processes.
ISO 42001 Documentation & Records Section
A Documents & Records tab itemizes all necessary policies, frameworks, and logs required for ISO 42001 compliance.
Each row links to the relevant clause or control and indicates its status (Open, Ongoing, Complete, or N/A).
This central record-keeping feature allows you to stay organized, track changes over time, and make updates.
By highlighting partial or missing documentation, you can quickly address any weaknesses in your AI management system.
Hands-on ISO 42001 GAP Analysis
For each requirement, the template prompts you to list evidence/notes, action required, and recommendations & next steps.
This structured approach:
- Ensures each gap is identified and acted upon
- Streamlines communication among team members
- Keeps all stakeholders on the same page with a shared reference for compliance tasks
As you progress, the GAP Assessment section updates automatically, giving you a dynamic overview of how far you are from complete compliance.
Customizable Excel Spreadsheet
The entire ISO 42001 GAP tool is provided in XLS format. Because it’s an Excel checklist, you won’t need special software beyond a standard spreadsheet application.
This flexibility means you can integrate our checklist template into existing project management processes or share it with stakeholders in various departments.
- Filter & Sort requirements by status, clause, or priority
- Add Custom Columns to capture additional data, department responsibilities, or deadlines
- Embed Links to relevant policies, procedures, and supporting documents
- Adapt Formatting (color-coding, grouping, highlighting) to suit your team’s workflow
Collaboration & Version Control
Multiple team members can collaborate on the same excel checklist, ensuring that the latest version always reflects current progress.
You can also import or export data to other project management platforms, helping you maintain a single source of truth for all ISO 42001–related tasks.
Time-Saving ISO 42001 Compliance Roadmap
Instead of scrambling to piece together your own approach, utilize our ISO 42001 checklist as an ISO 42001 GAP Analysis template to:
- Consolidate compliance tasks into one centralized location
- Identify critical deficiencies immediately
- Create an actionable roadmap for policy enhancements, system upgrades, and staff training
- Document continuous improvement and readiness for certification audits
Why Choose Our ISO 42001 Checklist & GAP Analysis Template?
- All-in-One Solution: Covers clauses 4–10, Annex A/B controls, documentation, and action items.
- Visual Dashboard: Instantly see GAPS, open items, and compliance statuses through color-coded charts and graphs.
- Easy to Use: No technical expertise required—just open the XLS file in Excel, Google Sheets, or other compatible software.
- Fully Customizable: Adjust the checklist to align with unique organizational structures, processes, or specialized AI applications.
- Practical & Action-Oriented: Clear direction on next steps, owners, and timelines fosters accountability and drives progress toward ISO 42001 certification.
FAQ
What is ISO 42001?
ISO 42001 is a proposed standard for AI management systems, outlining requirements and best practices for organizations to effectively govern, manage, and control the risks associated with AI.By achieving ISO 42001 compliance, companies demonstrate a commitment to responsible AI development and usage.
What does the ISO 42001 Checklist – GAP Analysis Template include?
- A dashboard offering a bird’s-eye view of compliance status
- Worksheets for clauses 4–10 detailing each requirement
- An Annex A/B controls section outlining specific AI policies and guidelines
- A documents & records tracker for referencing all key files
- Automatic GAP Analysis fields to help you note missing items, evidence, and action steps
Who should use this checklist template?
- Compliance Managers looking to analyse ISO 42001 compliance
- Project Managers coordinating ISO 42001 implementation across various teams
- Data & AI Specialists ensuring AI-related projects align with regulatory and industry standards
- Senior Management seeking a concise overview of compliance progress
Does the template cover both mandatory clauses and guidance controls?
Yes. The clauses 4–10 section covers all core requirements, while Annex A/B controls addresses specialized AI governance and best-practice measures. This ensures you have a complete compliance roadmap.
What if I have more questions or need support?
Contact our customer support team, and we’ll assist you with template usage, customization tips, and any other concerns you may have about ISO 42001 AI management system compliance.
Get Started on Your ISO 42001 Compliance
Begin your path to ISO 42001 certification. Our ISO 42001 checklist for ISO 42001 GAP Analysis enables you to organize tasks, assign responsibilities, and track achievements with minimal effort.
Download the checklist now and take the first step toward a robust, AI-ready management system that meets ISO/IEC 42001 – AI management systems