ISO 42001 Lead Auditor Training Course - Vietnam

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