Auditing Artificial Intelligence Management Systems based on ISO 42001

This course equips participants with the knowledge and skills necessary to plan, conduct, and report on internal audits of an Artificial Intelligence Management System (AIMS) based on ISO 42001. Participants will learn the principles of auditing, the specific requirements of ISO 42001 from an auditor’s perspective, and best practices for conducting effective and value-added audits in a virtual environment. This course is designed for individuals who will be performing internal audits of an ISO 42001-based AIMS.

Upon completion of this course, participants will be able to:

• Understand the principles of auditing as defined in ISO 19011
• Interpret the requirements of ISO 42001 from an audit perspective
• Plan and prepare for an internal audit of an AIMS
• Develop audit checklists and working documents
• Conduct effective audit interviews in a virtual setting
• Gather and evaluate audit evidence related to AI processes and controls
• Identify and document audit findings, including nonconformities, observations, and strengths
• Prepare audit reports that are clear, concise, and objective
• Understand the follow-up process for audit findings
• Apply auditing techniques specific to AI systems (e.g., bias detection, transparency, accountability)

Course Outline :

Day 1 :

Module 1: Principles of Auditing and ISO 19011

• Introduction to Auditing: Definition, Types of Audits
• The Principles of Auditing 
• Overview of ISO 19011: Guidelines for Auditing Management Systems
• Managing an Audit Program
• Roles and Responsibilities of Auditors
• Ethical Considerations for Auditors

Module 2: Auditing the Requirements of ISO 42001

• Auditing Clause 4: Context of the Organization (Understanding AI landscape, stakeholder expectations)
• Auditing Clause 5: Leadership (Commitment, AI Policy, Assignment of Responsibilities)
• Auditing Clause 6: Planning (AI Risk Assessment and Treatment, AI Objectives and Planning)
• Auditing Clause 7: Support (Resources, Competence, Awareness, Communication, Documented Information related to AI)

Module 3: Planning and Preparing for an AIMS Audit (0.5 hours)

• Defining the Audit Objectives, Scope, and Criteria
• Establishing the Audit Team
• Developing the Audit Plan
• Preparing Audit Checklists and Working Documents for AI-specific processes

Day 2 :

Module 4: Conducting the AIMS Audit

• Opening Meeting (Purpose and Agenda)
• Conducting Audit Interviews Effectively in a Virtual Environment
• Gathering and Verifying Audit Evidence related to AI systems and processes
• Evaluating Audit Evidence against ISO 42001 requirements
• Auditing Specific AI Aspects:
• Data Management and Governance
• AI Development Lifecycle Controls
• Validation and Verification Processes
• Human Oversight and Decision-Making
• Management of Bias, Fairness, and Transparency
• Accountability Mechanisms

Module 5: Documenting Audit Findings and Reporting (1.5 hours)

• Identifying and Classifying Audit Findings (Nonconformities, Observations, Strengths)
• Writing Clear, Concise, and Objective Audit Findings
• Preparing the Audit Report: Content and Structure
• Communicating Audit Findings to the Auditee
• Closing Meeting (Presenting Audit Findings)

Module 6: Audit Follow-up and Continual Improvement (0.5 hours)

• The Importance of Corrective Actions
• Evaluating the Effectiveness of Corrective Actions
• The Role of Auditing in the Continual Improvement of the AIMS

Course Duration

• 2 half-days – Online Classroom

Target Audience:

• Internal Auditors
• Quality Management Professionals responsible for internal audits
• AI Project Managers and Team Members involved in AIMS compliance
• Individuals seeking to become qualified internal auditors for ISO 42001
• Consultants assisting organizations with AIMS audits