Audit Calendar & Non-Conformities
ISO/IEC 42001 audit schedule and non-conformity tracking
Audit Calendar
Scheduled and completed audits for ISO 42001 certification
| Audit Type | Date | Auditor | Scope | Status | Next Audit |
|---|---|---|---|---|---|
| internal | Jan 15, 2026 | Dr. Elena Rossi (Internal Audit Lead) | Full AIMS scope covering all 8 AI systems, clauses 4-10 and Annex A controls | Completed | Jul 15, 2026 |
| management review | Mar 1, 2026 | Executive Leadership Team | AIMS effectiveness review, resource adequacy, risk landscape update, certification readiness assessment | Completed | Sep 1, 2026 |
| stage 1 | Jun 15, 2026 | SGS Switzerland (External) | Documentation review and readiness assessment for ISO 42001 certification. Review of AIMS documentation, policies, and procedures. | Planned | Sep 15, 2026 |
| stage 2 | Sep 15, 2026 | SGS Switzerland (External) | Full certification audit covering implementation effectiveness across all clauses and Annex A controls for all in-scope AI systems. | Planned | Sep 15, 2027 |
Non-Conformity Tracker
Track and manage non-conformities identified during audits
| NC Number | Title | Severity | Clause Ref | Corrective Action | Status | Due Date |
|---|---|---|---|---|---|---|
| NC-001 | Incomplete AI policy documentation | Minor | 5 | Policy update to include decommissioning procedures, third-party governance section, and cantonal regulatory mapping. Assigned to Legal team for revision by April 2026. | In Progress | Apr 30, 2026 |
| NC-002 | Missing data quality metrics for training data | Major | 8 | Define data quality metrics (completeness, accuracy, timeliness, consistency) for all training datasets. Implement automated quality checks. Priority for high-risk systems SYS-002 and SYS-006. | Open | May 31, 2026 |
| NC-003 | No formal AI risk assessment process | Major | 6 | Develop and implement a standardized AI risk assessment methodology aligned with ISO 31000 and NIST AI RMF. Create risk assessment templates and train all system owners. Pilot with SYS-001 and SYS-002. | In Progress | May 15, 2026 |
| NC-004 | Insufficient staff awareness training | Minor | 7 | Mandatory AI awareness training for all staff by end Q2 2026. Department heads to track completion. Monthly progress reports to AI Officer. Consider gamification and micro-learning approaches. | Open | Jun 30, 2026 |
| NC-005 | Third-party AI monitoring gap | Observation | 8 | Establish quarterly vendor review process. Subscribe to vendor release notes and policy updates. Include third-party monitoring in operational procedures. Completed initial monitoring setup for OpenAI API changes. | Closed | Feb 28, 2026 |