AIMS Audit Prep (ISO 42001)
Operational playbook for ISO 42001:2023 AI Management System (AIMS) audit preparation. Whether targeting initial certification, surveillance audit, or annual internal audit.
When to use this skill vs. iso42001-ai-management:
- This skill: audit imminent; need readiness sprint
- iso42001-ai-management: building AIMS from scratch; multi-quarter program
When to use this skill
| Situation | Skill applies | |-----------|---------------| | ISO 42001 Stage 1 audit scheduled | Yes — documentation review prep | | Stage 2 (onsite/operational) audit | Yes — operational evidence sprint | | Annual surveillance audit | Yes — surveillance prep | | Internal AIMS audit | Yes — internal audit playbook | | AI Impact Assessment for new system | Yes — scripts/ai_impact_assessment_checker.py | | Building AIMS from scratch | Use ra-qm-team/iso42001-ai-management |
ISO 42001 audit structure
Stage 1 (documentation review)
- Auditor reviews AIMS documentation (typically 1-3 days)
- Confirms scope, applicability, key documents present
- Identifies gaps before Stage 2
- Typically 2-3 weeks before Stage 2
Stage 2 (operational assessment)
- Auditor onsite (or remote) verifies AIMS operating effectively
- 3-10 days depending on scope + system count
- Walkthroughs, interviews, evidence sampling
- Conclusion: certification recommended (subject to non-conformity closure) or not
Surveillance audits
- Annual; reduced scope vs initial
- Typically 1-3 days
- Focus on high-risk areas + changes since prior audit
Re-certification (year 3)
- Full audit; similar to initial
- Typically every 3 years
AIMS audit-prep sprint
4-week sprint (mature AIMS, surveillance audit)
Week 1: Internal audit + gap analysis
Week 2: Remediation + AI inventory refresh
Week 3: Documentation review + walkthrough rehearsal
Week 4: Auditor onsite8-week sprint (Stage 1 + Stage 2 initial certification)
Weeks 1-3: AIMS documentation completion (Annex A controls coverage)
Weeks 4-5: Stage 1 audit + gap closure
Weeks 6-7: Stage 2 operational evidence prep + mock walkthroughs
Week 8: Stage 2 auditISO 42001 clauses + Annex A controls
Clauses (4-10): management system
| Clause | Topic | |--------|-------| | 4 | Context of the organization | | 5 | Leadership | | 6 | Planning (including AI risk + AI objectives) | | 7 | Support (resources, competence, awareness, communication, documentation) | | 8 | Operation (AI lifecycle, supplier relationships) | | 9 | Performance evaluation (monitoring, internal audit, management review) | | 10 | Improvement (nonconformity, continual improvement) |
Annex A controls (10 areas)
| Annex A area | Topics | |--------------|--------| | A.2 | Policies related to AI | | A.3 | Internal organization | | A.4 | Resources for AI systems | | A.5 | Assessing impacts of AI systems | | A.6 | AI system lifecycle | | A.7 | Data for AI systems | | A.8 | Information for interested parties | | A.9 | Use of AI systems | | A.10 | Third-party relationships |
Critical audit areas
AI Inventory + Impact Assessments
| Item | Evidence | Common gap | |------|----------|------------| | Complete AI system inventory | Inventory document | Shadow AI not captured | | AI Impact Assessment (AIIA) per system | Per-system AIIA | Skipped for "low-risk" systems | | AIIA reviewed periodically | Review records | One-time only | | Risk classification of systems | Per system | Not documented |
AI Policy + Governance
| Item | Evidence | Common gap | |------|----------|------------| | AI policy approved + dated | Signed policy | Not signed / stale | | AI ethics principles | Documented principles | Generic; not actionable | | AI governance body | Charter / minutes | Not formalized | | Roles + responsibilities | RACI | Not defined |
AI Lifecycle Management (Annex A.6)
| Item | Evidence | Common gap | |------|----------|------------| | AI development lifecycle defined | Process documentation | Not formalized | | Data quality controls | Per system | Generic only | | Model validation procedures | Per system | Validation skipped | | AI system testing | Per system | Inadequate testing | | Deployment controls | Per system | No controls | | Operational monitoring | Per system | Drift not monitored | | Decommissioning procedures | Per system | Not defined |
Data Governance (Annex A.7)
| Item | Evidence | Common gap | |------|----------|------------| | Data sources documented | Per system | Vague | | Data quality assessed | Quality metrics | Not measured | | Data lineage tracked | Documentation | Untracked | | Sensitive data protection | Controls | Insufficient |
Third-party AI (Annex A.10)
| Item | Evidence | Common gap | |------|----------|------------| | Third-party AI inventory | List | Incomplete | | Vendor due diligence for AI | Per vendor | Generic IT only | | Contract terms for AI vendors | AI-specific clauses | Standard MSA only |
Quick start
- Run readiness score:
python3 scripts/aims_readiness_score.py --config aims-controls.yaml - Check AIIA per system:
python3 scripts/ai_impact_assessment_checker.py --aiia system-aiia.yaml - Pick sprint length based on score
- Execute sprint per [references/iso42001-aims-readiness-checklist.md](references/iso42001-aims-readiness-checklist.md)
Common AIMS audit findings
- AI inventory incomplete — shadow AI not captured
- AIIA missing for systems that look "small" but have impact
- AI lifecycle process not implemented (designed only)
- Data governance generic — not AI-specific
- Performance monitoring missing — drift not detected
- AI policy stale — written before current AI deployment
- Third-party AI vendors not assessed
- Continual improvement not evidenced
Tooling
| Script | Purpose | |--------|---------| | scripts/aims_readiness_score.py | Score AIMS readiness per clause + Annex A area | | scripts/ai_impact_assessment_checker.py | Validate AI Impact Assessment completeness |
References
- [iso42001-aims-readiness-checklist.md](references/iso42001-aims-readiness-checklist.md) — punch list per clause + Annex A
- [aims-internal-audit-playbook.md](references/aims-internal-audit-playbook.md) — internal audit execution playbook
Related skills
ra-qm-team/iso42001-ai-management— deep ISO 42001 AIMS program managementra-qm-team/eu-ai-act-specialist— EU AI Act regulatory companionra-qm-team/audit-prep/ai-act-readiness— AI Act audit-prep variantra-qm-team/audit-prep/compliance-readiness— multi-framework readiness