ISO 42001 Lead Auditor Training Course in Exeter

ISO 42001 Lead Auditor Training Course Outline

Module 1: Fundamentals of ISO 42001

• Purpose and Benefits of an Artificial Intelligence Management System
• Scope and Application of ISO 42001
• AI Concepts, Principles and Terminology
• Responsible Development, Provision and Use of AI Systems
• AI System Lifecycle
• Relationship with Other Management Systems

Module 2: Organisational Context and AI Governance

• Understanding the Organisation and Its Environment
• Identifying Interested Parties and Their Requirements
• Determining the AIMS Scope
• Establishing AIMS Processes
• Leadership and Commitment
• AI Policy
• Roles, Responsibilities and Authorities

Module 3: AIMS Planning, Support and Operation

• Risks and Opportunities
• AI Risk Assessment and Treatment
• AI Objectives and Plans
• Resources, Competence and Awareness
• Communication and Documented Information
• Operational Planning and Control
• Management of Organisational and Technological Changes

Module 4: Performance Evaluation and Improvement

• Monitoring, Measurement, Analysis and Evaluation
• Internal Audit Requirements
• Management Review
• Nonconformity and Corrective Action
• Continual Improvement
• Maintaining AIMS Effectiveness
• Foundation-Level Knowledge Assessment

Module 5: Internal Audit Principles

• Purpose of an AIMS Internal Audit
• Audit Principles Based on ISO 19011:2026
• Integrity, Confidentiality and Independence
• Evidence-Based and Risk-Based Auditing
• Auditor Competence and Professional Judgement
• Roles and Responsibilities of Internal Auditors
• Maintaining Objectivity During Audits

Module 6: Planning an Internal AIMS Audit

• Establishing an Internal Audit Programme
• Defining Audit Objectives, Scope and Criteria
• Reviewing AIMS Documented Information
• Identifying Significant AI Risks and Processes
• Preparing an Audit Plan
• Developing Audit Checklists and Trails
• Selecting Representative Samples

Module 7: Conducting the Internal Audit

• Conducting Opening Meetings
• Interviewing Responsible Personnel
• Observing AI-Related Activities
• Reviewing Policies, Procedures and Records
• Evaluating AI Risk Management Processes
• Reviewing AI System Impact Assessments
• Collecting and Verifying Audit Evidence

Module 8: Internal Audit Reporting and Follow-Up

• Evaluating Evidence Against Audit Criteria
• Identifying Conformity and Nonconformity
• Drafting Clear Audit Findings
• Preparing the Internal Audit Report
• Conducting the Closing Meeting
• Reviewing Corrective Action Plans
• Verifying Corrective Action Effectiveness

Module 9: Initiating and Planning AIMS Implementation

• Establishing the Organisational Need for an AIMS
• Conducting an Initial Gap Assessment
• Defining the AIMS Scope and Objectives
• Establishing the Implementation Team
• Assigning Roles and Responsibilities
• Developing an Implementation Roadmap
• Allocating Resources and Setting Milestones

Module 10: Establishing AIMS Processes and Documentation

• Developing the AI Policy
• Establishing AI Governance Arrangements
• Designing Required AIMS Processes
• Developing Documented Information
• Establishing Communication Mechanisms
• Managing Organisational and Technological Changes
• Integrating AIMS Processes with Existing Operations

Module 11: Implementing AI Risk, Impact and Lifecycle Management

• Developing an AI Risk Management Methodology
• Identifying, Analysing and Evaluating AI Risks
• Selecting and Implementing Risk Treatment Measures
• Conducting AI System Impact Assessments
• Applying ISO 42005:2025 Guidance
• Managing AI System Design, Development and Deployment
• Establishing Operation, Monitoring and Retirement Controls

Module 12: Implementing Data and Third-Party Controls

• Establishing AI Data Requirements
• Managing Data Quality and Provenance
• Managing Training, Validation and Test Data
• Verifying and Validating AI Systems
• Establishing Human Oversight
• Managing AI Suppliers and Service Providers
• Allocating Responsibilities Across Third-Party Relationships

Module 13: Evaluating and Improving the AIMS

• Establishing Performance Indicators
• Monitoring and Measuring AIMS Performance
• Evaluating Control Effectiveness
• Conducting Internal Audits
• Completing Management Reviews
• Managing Nonconformities and Corrective Actions
• Preparing the Organisation for Certification Assessment

Module 14: Lead Audit Principles and Programme Management

• First-, Second- and Third-Party Audits
• Audit Principles Under ISO 19011:2026
• ISO 42006:2025 Certification Considerations
• Lead Auditor Roles and Responsibilities
• Auditor Competence and Impartiality
• Selecting Auditors and Technical Experts
• Establishing and Managing an Audit Programme

Module 15: Preparing and Initiating an AIMS Audit

• Establishing Contact with the Auditee
• Determining Audit Feasibility
• Defining Audit Objectives, Scope and Criteria
• Reviewing AIMS Documented Information
• Preparing the Audit Plan
• Developing Sampling Plans and Audit Trails
• Allocating Audit Team Responsibilities
• Conducting the Opening Meeting

Module 16: Stage 1 and Stage 2 Certification Audits

• Assessing Organisational Readiness
• Confirming the AIMS Scope
• Reviewing AI Policy and Governance Arrangements
• Evaluating Risk and Impact Assessment Processes
• Assessing Internal Audit and Management Review
• Planning Detailed Audit Activities
• Interviewing Personnel and Examining Evidence
• Evaluating AIMS Implementation and Effectiveness

Module 17: Audit Evidence, Findings and Reporting

• Collecting Sufficient and Appropriate Evidence
• Evaluating Digital and System-Generated Evidence
• Applying Representative Audit Sampling
• Identifying and Documenting Nonconformities
• Applying the Certification Body’s Finding Classification Rules
• Reaching Audit Conclusions
• Preparing the Audit Report
• Conducting the Closing Meeting

Module 18: Audit Follow-Up and Certification Activities

• Reviewing Corrections and Root Cause Analysis
• Evaluating Corrective Action Plans
• Verifying Corrective Action Effectiveness
• Closing Audit Findings
• Surveillance and Recertification Audits
• Special and Follow-Up Audits
• Managing Changes Affecting Certification

ISO 42001 Lead Auditor Training Course Exam Information

To achieve the ISO 42001 Lead Auditor Training Course, candidates will need to sit for an examination. The exam format is as follows: 

• Question Type: Multiple Choice 
• Total Questions: 30 
• Total Marks: 30 Marks 
• Pass Mark: 50%, or 15/30 Marks 
• Duration: 40 Minutes  
• Open Book/ Closed Book: Closed Book

Who Should Attend this ISO 42001 Lead Auditor Training Course?

The ISO 42001 Lead Auditor Training Course is perfectly suited for professionals eager to deepen their understanding of artificial intelligence management systems and auditing processes according to global standards. It is particularly beneficial for:

• Quality Assurance Managers
• Risk Management Professionals
• Compliance Officers
• IT Security Managers
• AI System Developers
• Organisational Policy Makers
• Internal and External Auditors
• AI Technology Consultants

Prerequisites of ISO 42001 Lead Auditor Training Course

There are no formal prerequisites to attend this ISO 42001 Lead Auditor Training Course.

ISO 42001 Lead Auditor Training Course Overview

ISO (International Organisation for Standardisation) is a global federation of national standards bodies that develops and publishes international standards. Its importance lies in providing a consensus-based, market-relevant framework that supports innovation and provides solutions to global challenges. For organisations, ISO 42001 Lead Auditor Training enhances compliance, improves risk management, and drives the effectiveness of AI management systems. Individuals benefit from this training by gaining critical auditing skills, increasing their value to employers, and enhancing their understanding of AI systems. For delegates, this training paves the way for career advancement opportunities, positioning them as experts in AI system auditing and compliance.

In the ISO 42001 Lead Auditor Training course, delegates will delve into the intricacies of auditing artificial intelligence management systems as prescribed by the ISO/IEC 42001 standard. The training covers a comprehensive curriculum, starting from the basics of AI technologies and ethical considerations to advanced auditing techniques. Participants will explore the certification process, the specific requirements of the ISO standard, and the role of auditors in ensuring compliance and promoting continuous improvement within organisations.

Course Objectives

• To understand ISO/IEC 42001 and its applicability
• To learn effective AI system auditing techniques
• To assess compliance with global standards
• To identify and mitigate AI-related risks
• To develop evidence-based audit findings
• To enhance AI system management and security

After attending this training, delegates will be equipped with the skills to conduct thorough and effective audits of AI management systems. They will be capable of planning and executing audits that assess compliance with ISO/IEC 42001, identifying non-conformities, and recommending improvements.

What’s included in this ISO 42001 Lead Auditor Training Course?

• World-Class Training Sessions from Experienced Instructors
• ISO 42001 Lead Auditor Training Certificate
• Digital Delegate Pack