ISO 42001 Lead Auditor Training Course Outline
Module 1: Introduction to ISO/IEC 42001 and Management Systems
- Evolution of AI Management Systems
- Importance of ISO/IEC 42001 in Global Standards
- Comparisons with Other Management System Standards
Module 2: Certification Process
- Overview of ISO/IEC 42001 Certification
- Steps to Achieve Certification
- Role of Conformity Assessment Bodies
Module 3: Fundamental Concepts and Principles of Artificial Intelligence
- Basic AI Concepts and Terminologies
- Ethical Considerations and Responsible AI Use
- AI Lifecycle Management
Module 4: Overview of ISO/IEC 42001 Requirements
- Detailed Breakdown of the Standard's Clauses
- Requirements for AI System Management
- Integration with Organisational Processes
Module 5: Fundamental Audit Concepts and Principles
- Principles of Effective Auditing
- Audit Methodology and Frameworks
- Importance of Evidence-Based Auditing
Module 6: Impact of Other Technologies in Auditing
- How Technologies Like Blockchain and IoT Influence AI Audits?
- Security Challenges in AI Auditing
- Future Trends in Technology and Auditing
Module 7: Evidence-Based Auditing
- Gathering and Evaluating Evidence in AI Systems
- Techniques for Objective Audit Findings
- Case Studies on Evidence-Based Auditing
Module 8: Risk-Based Auditing
- Implementing a Risk-Based Approach in AI Audits
- Identifying and Assessing AI-Related Risks
- Strategies for Mitigating Risks in AI Management
Module 9: Initiation of the Audit Process
- Planning and Preparation for an AI Audit
- Stakeholder Engagement and Setting Objectives
- Resource Allocation and Audit Scope Definition
Module 10: Stage 1 Audit
- Key Activities and Checklists for Stage 1
- Document Review and Initial Findings
- Preparing for Stage 2
Module 11: Preparing for Stage 2 Audit
- Detailed Preparations Based on Stage 1 Outcomes
- Fine-Tuning Audit Strategies and Focus Areas
- Engagement with Key Personnel
Module 12: Stage 2 Audit
- Conducting the Main Audit Activities
- Data Collection and Analysis Techniques
- Reporting and Follow-up Procedures
Module 13: Communication During the Audit
- Effective Communication Strategies
- Handling Objections and Conflicts
- Maintaining Transparency and Accountability
Module 14: Audit Procedures
- Standard Operating Procedures for AI Audits
- Role of Audit Tools and Software
- Compliance with ISO/IEC 42001
Module 15: Creating Audit Test Plans
- Designing Effective Test Plans for AI Systems
- Simulation and Testing Methodologies
- Review and Adjustment of Test Plans
Module 16: Auditing the Requirements of ISO/IEC 42001
- In-Depth Review of Each Requirement
- Practical Auditing Tips for Compliance
- Examples of Non-Conformities and Corrective Actions
Module 17: Drafting Audit Findings and Nonconformity Reports
- Techniques for Clear and Precise Reporting
- Handling and Documenting Nonconformities
- Importance of Follow-up Actions
Module 18: Audit Documentation and Quality Review
- Best Practices for Documentation
- Quality Control Processes in Auditing
- Archival and Access of Audit Records
Module 19: Closing the Audit
- Final Review and Closure Procedures
- Ensuring All Objectives Are Met
- Post-Audit Feedback and Improvement Suggestions
Module 20: Evaluation of Action Plans by the Auditor
- Monitoring and Evaluation of Corrective Action Plans
- Continuous Improvement Based on Audit Findings
- Role of Auditors in Ongoing Compliance
Module 21: Beyond the Initial Audit
- Long-Term Strategies for AI System Management
- Preparing for Surveillance Audits
- Evolving Standards and Practices
Module 22: Managing an Internal Audit Programme
- Developing an Internal Audit Capability
- Training and Competency of Auditors
- Continuous Learning and Development
Module 23: Closing Training and Exam Prep
- Review of Key Course Concepts
- Preparation Tips for the Certification Exam
- Final Assessments and Evaluations