Prepare by ensuring scope, controls, documented information, and operational evidence are in place, then validating through internal audit and management review before the certification audit.
Certification audit preparation is about removing uncertainty before an external review. As an implementer, that means ensuring the AIMS scope is clear, controls are selected and implemented, and documented information is managed so auditors can trace requirements to evidence.
Operational readiness matters as much as documentation: communication, competence and awareness, and management of AI operations should be demonstrable. Monitoring and measurement outputs help show that the system is active and managed, not just designed.
Internal audit and management review are the pre-audit checkpoints that confirm conformity and leadership oversight. When issues are identified, treatment of nonconformities and continual improvement activities show that the organization can detect, correct, and prevent problems—an expectation in certification contexts.
Think like an auditor: can you follow a straight line from scope → requirement → control → evidence → improvement action? If that chain is clear, certification audits become predictable.
“Audit preparation is evidence preparation across the whole system.”
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A Statement of Applicability documents which controls are selected for the AIMS and why they apply, creating traceability between risks, requirements, and controls.
An AIMS helps an organization govern how AI is planned, implemented, operated, and improved so AI initiatives remain controlled, consistent, and auditable.
It stays effective through monitoring and measurement, internal audits, management review, and continual improvement based on nonconformities and performance insights.
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