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Training content
Overview
The ISO/IEC 42001 Information Technology Artificial Intelligence Management System Lead Auditor Training course aims to develop lead auditors capable of assessing the requirements of the ISO/IEC 42001 standard, which enables organisations to manage their artificial intelligence systems using a responsible, reliable, transparent and risk-based approach.
The training covers artificial intelligence management system principles, the clauses and annex requirements of the standard, artificial intelligence risk and impact assessments, audit planning and implementation processes, the evaluation of nonconformities, and audit reporting methods.
The programme is designed to cover both theoretical knowledge and practical application. Participants have the opportunity to develop their auditing skills through case studies and sample audit scenarios.
This training can be delivered in two different formats: a comprehensive 5-day programme and an intensive 3-day programme.
Objectives and Outcomes
Purpose of the Training
The purpose of this training is to:
- Teach participants the structure and requirements of the ISO/IEC 42001 standard,
- Explain the approaches and methods used to audit artificial intelligence management systems,
- Develop competence in evaluating artificial intelligence risks, controls and governance mechanisms from an audit perspective,
- Develop lead auditor-level knowledge and skills in audit planning, conduct, reporting and follow-up processes,
- Train professionals who can manage audit teams and produce audit conclusions based on objective evidence.
By the End of the Training, Participants Will Be Able to
Participants who successfully complete the training will be able to:
- Interpret the clause-specific requirements of the ISO/IEC 42001 standard,
- Evaluate the scope, policy, objectives, roles and responsibilities of an artificial intelligence management system,
- Review artificial intelligence risk assessment, risk treatment and impact assessment processes,
- Evaluate Annex A controls and Annex B guidance from an audit perspective,
- Apply audit principles within the framework of ISO 19011,
- Plan Stage 1 and Stage 2 audits,
- Collect and evaluate objective evidence during an audit,
- Document nonconformities clearly, measurably and with reference to the standard,
- Prepare an audit report and manage the closure process,
- Lead the audit team in the role of lead auditor.
Programme and Method
Day 1 – ISO/IEC 42001 Requirements and Risk Management
- Purpose, scope and structure of the ISO/IEC 42001 standard
- Fundamental concepts of an artificial intelligence management system
- Requirements of Clauses 4–10
- Artificial intelligence policy, objectives and responsibilities
- Risk assessment and risk treatment
- Impact assessment
- Annex A controls and Annex B guidance
- SoA approach
- Data governance and third-party risks
Day 2 – Audit Planning and Audit Techniques
- Audit principles according to ISO 19011
- Role of the lead auditor
- Audit scope, criteria and objectives
- Stage 1 and Stage 2 audit approach
- Preparation of the audit plan
- Document review
- Opening meeting and interviews
- Evidence gathering and sampling
- Auditing artificial intelligence systems and controls
Day 3 – Findings, Reporting and Follow-up
- Formulation of findings
- Assessment of nonconformities
- Major/minor nonconformity approach
- Writing nonconformity statements
- Audit reporting
- Closing meeting
- Assessment of corrective actions
- Follow-up and surveillance audits
Attendance and Certificate
Certification Rule
A certificate of attendance is issued to all participants whose attendance has been confirmed. To receive a certificate of achievement, participants must achieve a passing grade in the examination at the end of the training; participants who use all their examination attempts but do not pass will be issued a certificate of attendance.
FAQ and Resources
1. Who is this training suitable for?
It is suitable for professionals working in management system auditing, artificial intelligence governance, information technology, quality, risk management and compliance.
2. What is the difference between the 5-day and 3-day training courses?
The 5-day training course is more comprehensive and covers the topics in detail.
The 3-day training course is more intensive and is particularly suitable for participants with an auditing background.
3. Does the training include practical exercises?
Yes. The programme includes case studies, sample audit scenarios, writing findings and reporting exercises.
4. Is there an examination at the end of the training?
Depending on the programme design, a final examination or assessment may be conducted.
5. Can the training be delivered online or face-to-face?
Yes. The training can be arranged online or face-to-face, depending on the organisation's requirements.
6. Is a certificate issued at the end of the training?
Yes. A certificate may be issued based on attendance and successful completion.
Resources
The training content is developed based on the following key references:
- ISO/IEC 42001 – Artificial Intelligence Management System
- ISO 19011 – Management Systems Auditing Guidelines
- ISO/IEC 17021-1 – Conformity assessment and management system certification requirements
- Good practice guidelines on corporate artificial intelligence governance, risk management and responsible artificial intelligence practices
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