What’s Included in the ISO 42001 Internal Audit Checklist?
Achieve AIMS Conformity and effectiveness with the ISO 42001 Internal Audit Checklist Template.
This ISO 42001 Internal Audit Checklist assists your organization with Internal Audits in alignment with Clause 9.2.
The Internal Audit Checklist includes the following:
- Maturity Model Assessment: Based on COBIT Maturity Framework.
- Dashboards: Overview of audit progress, findings, and status.
- Documents & Records Tab: Checklist for documents and records.
- ISO 42001 Clauses 4-10: A detailed checklist for each clause.
- ISO 42001 Annex A. Controls: A detailed checklist for each control.
- NonConformities List: Automatically tracks major and minor NonConformities.
- Corrective Measures Tracker: For root cause analysis and corrective action management.
Detailed ISO 42001 Internal audit Template Breakdown
1. Maturity Model Assessment
COBIT 5-Based Framework Quantifies the effectiveness of each process.
- Levels 0-5: From Incomplete Process to Optimized Process.
- Improvement Focus: Highlights areas for growth and ensures processes align with ISO 42001 goals.
- Benefits: Helps you track your organization’s progress toward ISO 42001 compliance.
2. Dashboard for Audit Management
The Dashboard tab is a central control panel that provides a summary of your audit progress and results:
- Key Metrics: Displays completed, assessed, and open items for quick insights.
- Visual Representation: Includes charts and graphs to showcase audit trends and findings.
- Efficiency Boost: Consolidates all critical data in one place, saving time during audit reviews.
3. Documents & Records Tab
This tab provides an overview of all required ISO 42001 documents and records:
- Checklist of Mandatory Documents: Ensure you have all required documents, from the SoA to risk assessments.
- Status Tracking: Mark documents as available, in progress, or missing to stay organized.
4. Internal Audit Checklist Clauses 4-10
This ISO 42001 internal audit checklist template includes step-by-step guidance to audit your AIMS effectively:
The Clauses 4-10 Tab breaks down the ISO 42001 clauses into actionable audit items:
- Clause 4. Context of the Organization: Evaluate how your organization identifies external and internal issues.
- Clause 5. Leadership: Assess leadership involvement and resource allocation.
- Clause 6. Planning: Review your risk assessments and treatment plans.
- Clause 7. Support: Maintenance and continual improvement of the AIMS.
- Clause 8. Operation: Implement and control the processes needed to meet requirements.
- Clause 9. Performance Evaluation: Monitoring, measurement, analysis and evaluation.
- Clause 10. Improvement: Focus on continual improvement initiatives, NonConformities, and corrective actions.
Each clause includes checks and a maturity model to assess implementation levels.
Use this ISO 42001 internal audit checklist xls to identify potential areas of non-conformance and document findings.
5. ISO 42001 Annex A. Controls
The tab for Annex A controls provides evaluation for each Annex A control to identify areas of improvement and potential NonConformities.
6. NonConformities List
Automatically generates NonConformities identified during the audit:
- Categorization: Track findings as major NonConformities (NC), minor NonConformities (nc), or opportunities for improvement (OFI).
- Automation: The template generates this list dynamically based on your audit findings.
- Actionable Insights: Provides a focused list for management to prioritize and address.
7. Corrective Measures Tracker
This tracker helps you address identified issues effectively:
- Root Cause Analysis: Document the reasons behind NonConformities.
- Corrective Actions: Plan and monitor the implementation of actions to resolve issues.
- Status Updates: Track progress on corrective measures to ensure timely closure.
Benefits of the ISO 42001 Internal Audit Checklist Template
- Customizable: Edit the ISO 42001 internal audit checklist xls to your organization’s specific needs.
- Time-Saving: Pre-structured tabs and automated features reduce the time spent on manual tasks.
- Comprehensive: Covers all clauses, controls, and documentation requirements in ISO 42001.
- Practical Insights: Offers options for actionable recommendations for NonConformities and improvements.
Getting Started with the Checklist
- Plan Your Audit: Use the checklist to prepare and schedule the internal audit.
- Conduct the Audit: Document findings for each clause and control in the relevant tabs.
- Analyze Results: Use the dashboard and NonConformities list to prioritize areas of improvement.
- Implement Actions: Track corrective measures using the dedicated tracker.
- Review Progress: Share the maturity assessment with management for further action.
This ISO 42001 Internal Audit Checklist equips your organization to confidently prepare for external audits.
Download now and start your ISO 42001 internal audit process!
