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ISO 42001 AI Management System Internal Audit Checklist - Foundation Level

This checklist is designed for organizations that are starting their AI governance journey. The focus is not on advanced AI optimization, but on establishing awareness, responsibilities, basic controls, documented processes, and initial risk management practices.

This checklist template is designed for logistics, manufacturing, service companies and focuses on Basic information, AI Management System Context and Governance, AI Policy, Objectives and Planning.

AI System Deployment logistics, manufacturing, service companies
Level: Foundation / Initiation
Frequency: once a year
Minutes to fill: 120
Questions: 30

What This Template Covers

Use this template to review Basic information, AI Management System Context and Governance, AI Policy, Objectives and Planning with a structured format that supports consistent follow-up and faster decision-making.

  • Basic information
  • AI Management System Context and Governance
  • AI Policy, Objectives and Planning

Why This Version Is Different

Unlike generic templates, this version is tailored to the ai system deployment category, the Foundation / Initiation maturity level, and the workflow of logistics, manufacturing, service companies.

Module: Checklist
Best for: logistics, manufacturing, service companies
Completion time: 120 minutes

Template Questions

Showing first 15 rows

Title Answer type

Basic information

Audit date

Date

Name of the auditors

Text

Audited department

Text

Names of the interviewed employees

Text

#. Attachments

Multiple file upload

Section 1 - AI Management System Context & Governance

1. Has the organization identified how and where artificial intelligence systems are used or planned to be used?

Clauses: Clause 4.1 - Understanding the organization and its context. The organization understands its current and planned AI usage, including business processes where AI systems influence decisions, operations, or services.
Recommendations: Create an AI inventory listing existing and planned AI applications, their purpose, users, owners, and business impact.
Select

2. Has the organization identified internal and external stakeholders affected by AI systems?

Clauses: Clause 4.2 - Understanding interested parties. Relevant stakeholders such as employees, customers, suppliers, regulators, and affected individuals are considered.
Recommendations: Document stakeholder groups and their expectations regarding AI transparency, safety, privacy, and reliability.
Select

3. Has the organization defined the scope of its AI Management System?

Clauses: Clause 4.3 - Determining the scope of the AIMS. The organization has identified which AI systems, processes, locations, and functions are included within the AI governance framework.
Recommendations: Define a practical initial scope focusing on the highest-impact AI applications.
Select

4. Has management assigned responsibility for AI governance and oversight?

Clauses: Clause 5.3 - Roles, responsibilities and authorities. AI-related responsibilities are clearly assigned rather than left undefined between IT, business, and compliance teams.
Recommendations: Assign AI owners and define responsibilities for risk management, monitoring, and approval decisions.
Select

5. Has the organization established basic AI governance principles or rules?

Clauses: Clause 5.2 - AI policy. The organization has communicated basic expectations for responsible AI use.
Recommendations: Create an AI policy covering acceptable use, accountability, human oversight, and risk awareness.
Select

Section 2 - AI Policy, Objectives & Planning

6. Has the organization defined objectives for responsible and effective AI use?

Clauses: Clause 6.2 - AI objectives and planning. AI adoption is connected to business goals while considering risks and responsibilities.
Recommendations: Define measurable AI objectives such as improving efficiency, maintaining accuracy, or reducing operational risk.
Select

7. Are AI-related risks considered when planning AI initiatives?

Clauses: Clause 6.1 - Actions to address risks and opportunities. Potential negative impacts of AI are considered before implementation.
Recommendations: Introduce basic AI risk assessment before deploying new AI solutions.
Select

30 total questions

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