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ISO/IEC 42001 - Lead Auditor

Artificial intelligence (AI) has become integral to the success of many organisations by enhancing efficiency through automation and improving decision-making by utilising advanced data analytics. However, organisations should ensure the appropriate and ethical use of AI. ISO/IEC 42001 enables organisations to implement appropriate processes and controls to ensure the responsible use and management of AI system.

As the number of organisations seeking ISO/IEC 42001 compliance increases, there is a simultaneous surge in demand for skilled auditors possessing the necessary knowledge to assess and verify compliance. Therefore, PECB has developed the ISO/IEC 42001 Lead Auditor training course to empower participants with the knowledge and skills essential for planning and conducting ISO/IEC 42001 audits based on best audit practices.

The ISO/IEC 42001 Lead Auditor training course is beneficial for professionals seeking to stay ahead of the competition. This training course equips you with the expertise needed to navigate the intricate realm of AI-influenced organisational frameworks, ensuring you are well-prepared to contribute to the success of organisations in this transformative era.
The course contributes to the creation of digital trust by ensuring that artificial intelligence systems are ethically and responsibly managed. By equipping participants with the skills to audit AI management systems, the training course helps organisations demonstrate their commitment to transparency, security, and accountability in AI usage. This enhances confidence among stakeholders, clients, and regulators, leading to the responsible and ethical deployment of AI technologies.

Learning outcomes

  • Explain the fundamental concepts and principles of an AI management system based on ISO/IEC 42001
  • Interpret the ISO/IEC 42001 requirements for an AI management system from the perspective of an auditor
  • Evaluate the AI management system conformity to ISO/IEC 42001 requirements in accordance with the fundamental audit concepts and principles
  • Plan, conduct, and close an ISO/IEC 42001 compliance audit, in accordance with ISO/IEC 17021-1 requirements, ISO 19011 guidelines, and other best practices of auditing
  • Manage an ISO/IEC 42001 audit program

Who should attend

  • Individuals with a background in auditing, whether internal or external, seeking to specialise in auditing AI management system
  • Managers or consultants seeking to master the AI management system audit process
  • Individuals responsible for maintaining conformity with the AI management system requirements in an organisation
  • Expert advisors in AI management
  • Professionals involved in analysing and understanding business requirements for AI implementation
  • Individuals involved in the development and implementation of AI solutions and in designing the architecture of AI systems

Course contents

1. Introduction to the artificial intelligence management system and ISO/IEC 42001

  • Training course objectives and structure
  • Introduction to ISO/IEC 42001 and management systems
  • Certification process
  • Fundamental concepts and principles of artificial intelligence
  • Overview of ISO/IEC 42001 requirements

2. Audit principles and the preparation for and initiation of an audit

  • Fundamental audit concepts and principles
  • The impact of other technologies in auditing
  • Evidence-based auditing
  • Risk-based auditing
  • Initiation of the audit process
  • Stage 1 audit

3. On-site audit activities

  • Preparing for stage 2 audit
  • Stage 2 audit
  • Communication during the audit
  • Audit procedures
  • Creating audit test plans
  • Auditing the requirements of ISO/IEC 42001 – Clauses 4 to 10

4. Closing of the audit

  • Auditing the requirements of ISO/IEC 42001 – Annex A Controls
  • Drafting audit findings and nonconformity reports
  • Audit documentation and quality review
  • Closing of the audit
  • Evaluation of action plans by the auditor
  • Beyond the initial audit
  • Managing an internal audit program

5. Review & exam preparation

Course fees

ISO/IEC 42001 Lead Auditor Course (5 Days)

  • Live Virtual Training: NZD$3,720 + gst

All participants will receive:

  • In class discussions, exercises and quizzes
  • ISO/IEC 42001 Lead Auditor exam (first attempt and first retake), the application of certification fee and the first year of Annual Maintenance Fee.
  • Unparalleled post course support

Virtual Courses:

  • ONLINE ACCESS: Access to e-materials and online exam voucher via the MY PECB Platform
  • E-materials are provided by default with the option to purchase hardcopy materials for an additional cost

Face-to-Face courses:

  • HARD COPY + E-COPY: Printed copy of the PECB Delegate workbook as well as access to the e-copy via the MY PECB Platform
  • Exam: Paper exam sat in-class on the final day of the course

Examination

  • 80 questions
  • Multiple choice
  • Open book
  • 3 hours (30 additional mins for EASL)
  • Pass mark 70%
  • If delegates fail their first attempt they can retake it for free within 12 months

The PECB Certified ISO/IEC 42001 Lead Auditor exam meets all the PECB Examination and Certification Program (ECP) requirements. It covers the following competency domains:

  • Domain 1: Fundamental principles and concepts of an AI management system
  • Domain 2: AI management system requirements
  • Domain 3: Fundamental audit concepts and principles
  • Domain 4: Preparing an ISO/IEC 42001 audit
  • Domain 5: Conducting an ISO/IEC 42001 audit
  • Domain 6: Closing an ISO/IEC 42001 audit
  • Domain 7: Managing an ISO/IEC 42001 audit program

For specific information about the exam type and other details, please visit the List of PECB Exams and Exam Rules and Policies.

Examination Re-Sit Options:
There is no limit to the number of times a candidate can retake an exam. However, there are certain limitations in terms of the time span between exam retakes.

  • If a candidate does not pass the exam on the 1st attempt, s/he must wait 15 days after the initial date of the exam for the next attempt (1st retake).

Note: Candidates who have completed the training course with ALC and failed the first exam attempt, are eligible for one free retake within a 12-month period from the date the coupon code is received (the fee paid for the training course, includes a first exam attempt and one retake). Otherwise, retake fees apply.

Certification Levels
After passing the exam, you can apply for one of the credentials listed in the table below. You will receive a certification once you fulfill all the requirements of the selected credential.

ISO/IEC 42001 Certification Options

For more information about ISO/IEC 42001 certifications and the PECB Certification process, please refer to Certification Rules and Policies.

Candidates can apply for the appropriate level of accreditation once exam results have been received.

ALC is an official Training Provider for ISO/IEC 42001 Lead Auditor by PECB