DAILY

AIMS gap analysis

Beta Artificial intelligence
  • Kap. 4–10 ISO 42001
  • Anhang A ISO 42001

Gap analysis for an AI management system under ISO/IEC 42001: context and leadership, planning and support, the control areas of Annex A, and evaluation and improvement. Each gap names the clause and the AI Act obligations that closing it also covers. The questions summarise requirements in Daily's own words; the standard's text remains authoritative.

Context and leadership

1. Are the scope of the management system and the organisation's role towards AI systems (provider, deployer, both) defined?
Kap. 4.1, 4.3 ISO 42001
2. Have the requirements of interested parties, including legal obligations, been identified?
Kap. 4.2 ISO 42001
3. Has top management set and communicated an AI policy?
Kap. 5.2, Anhang A.2 ISO 42001
4. Are roles, responsibilities and authorities for AI assigned, including human oversight?
Kap. 5.3, Anhang A.3 ISO 42001

Planning and support

5. Are AI risks assessed and treated by a defined process?
Kap. 6.1.2, 6.1.3 ISO 42001
6. Are the impacts of AI systems on individuals, groups and society assessed?
Kap. 6.1.4, Anhang A.5 ISO 42001
7. Are there measurable objectives for the responsible use of AI?
Kap. 6.2 ISO 42001
8. Is the competence of the people involved in AI determined and evidenced?
Kap. 7.2, Anhang A.4 ISO 42001
9. Is the required documentation controlled (version, approval, retention)?
Kap. 7.5 ISO 42001

Control areas (Annex A)

10. Are the resources per AI system documented: data, tools, computing, people?
Anhang A.4 ISO 42001
11. Is there a defined life cycle with requirements, verification and validation before release?
Anhang A.6 ISO 42001
12. Is operation monitored, are events logged and deviations analysed?
Anhang A.6 ISO 42001
13. Are the provenance, quality and preparation of data for AI systems documented?
Anhang A.7 ISO 42001
14. Do users and affected persons receive the necessary information, and can incidents be reported?
Anhang A.8 ISO 42001
15. Is it defined what AI systems may be used for, and is compliance checked?
Anhang A.9 ISO 42001
16. Are responsibilities with suppliers, partners and customers allocated across the life cycle?
Anhang A.10 ISO 42001

Evaluation and improvement

17. Are internal audits of the management system planned and carried out?
Kap. 9.2 ISO 42001
18. Does top management review the management system at planned intervals?
Kap. 9.3 ISO 42001
19. Are nonconformities handled with root cause analysis and corrective action?
Kap. 10.2 ISO 42001
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