ISO/IEC 42001 Lead Auditor

Organizations that use AI need to show customers, partners and regulators that they manage it responsibly, and an audit provides that proof. An auditor reviews the organization's records, interviews its staff and reports whether its management of AI meets the agreed requirements.

ISO/IEC 42001 is the international standard for managing AI in an organization. It sets out how an organization gives people clear roles for AI and assesses the risks and impacts of each AI system. The organization then checks and improves how it uses AI over time. This way of working is called an AI management system, or AIMS. When an auditor finds a requirement the organization has yet to meet, the auditor records it as a nonconformity.

The PECB ISO/IEC 42001 Lead Auditor training course prepares you to plan, conduct and close audits of an AI management system against ISO/IEC 42001. It develops your ability to assess evidence, identify nonconformities and communicate findings about how an organization manages AI.

Course Summary

Delivery format: Self-study
Language: English
Suggested study schedule (The Tech Academy): 14 days at 3 hours a day, about 42 hours in total. Plan more time if the subject is new to you or you want extra practice and revision. PECB plans this course as five days of study, including the exam.
Included: More than 450 pages of PECB course material, the exam and certification fees and an attestation of course completion worth 31 CPD credits
Credential: Passing the exam lets you apply for a PECB ISO/IEC 42001 Auditor credential. PECB awards the level that matches your experience, starting at Provisional Auditor for people new to the field. Certification Requirements, farther down this page, lists every level
Support: Exam support from The Tech Academy, including office hours every two weeks for 90 days from enrollment, comes with this course. See Exam Support on this page.

Why Should You Attend?

As more organizations adopt ISO/IEC 42001, they need auditors who can assess how AI is managed. Audits of an AIMS support transparency, security and accountability in the use of AI.

This course prepares you to plan and conduct ISO/IEC 42001 audits using recognized audit practice. After the course, you can sit the exam and apply for the PECB Certified ISO/IEC 42001 Lead Auditor credential, or the level that matches your experience.

Who Should Attend?

Career changers moving into governance, risk and compliance (GRC) roles, such as GRC Analyst
Graduates who want to show proof of their skills at interviews with a PECB certificate
Auditors who want to specialize in AIMS audits
Managers or consultants who want to master the AIMS audit process
People responsible for keeping an organization in conformity with AIMS requirements
Expert advisors in AI management
Professionals who analyze business requirements for AI implementation
People who develop or implement AI solutions or design AI system architecture

New to ISO/IEC 42001? Start with the ISO/IEC 42001 Foundation course, then move on to this one.

Learning Objectives

By the end of this course, you will be able to:

Explain the concepts and principles of an AIMS based on ISO/IEC 42001
Interpret the requirements of ISO/IEC 42001 from an auditor's point of view
Assess an AIMS's conformity to ISO/IEC 42001 using audit concepts and principles
Plan, conduct and close an ISO/IEC 42001 audit following ISO/IEC 17021-1, ISO 19011 and other good audit practices
Manage an ISO/IEC 42001 audit program

Exam Support from The Tech Academy

Your course includes exam support from The Tech Academy, prepared separately from PECB's training materials:

Study plan: a 14-day plan at 3 hours a day that covers the seven exam domains in order
Practice questions: questions for each exam domain, written by The Tech Academy, with an explanation for every answer
Study-notes guidance: how to build notes that follow the exam domains. PECB lists personal notes among the references allowed in this open-book exam
Practice assessment: a timed check, scored by exam domain, that shows your strengths and the areas to revise
Exam-day checklist: how to prepare for the online exam, from the technical check 48 hours ahead to your ID and the materials allowed on your desk
Office hours: live sessions with Dr. Rose Shumba every two weeks for 90 days from enrollment, for questions about your course and about taking the PECB exam, open to everyone enrolled in this course

Educational Approach

Theory combined with the ISO/IEC 42001 requirements and industry audit practices
Explanations illustrated with examples from case studies
Essay-type exercises and multiple-choice quizzes, some based on scenarios
Quizzes structured like the certification exam

Prerequisites

A fundamental knowledge of ISO/IEC 42001 and of AI principles and concepts.

Course Agenda

The topics follow PECB's five-day plan for this course. At your own pace, you work through them in this order.

Day 1: Introduction to the artificial intelligence management system and ISO/IEC 42001
Day 2: Audit principles, and preparing for and initiating an audit
Day 3: On-site audit activities
Day 4: Closing the audit
Day 5: Certification exam

Examination

The PECB ISO/IEC 42001 Lead Auditor exam covers seven competency domains:

Domain 1: Fundamental principles and concepts of an artificial intelligence management system
Domain 2: Artificial intelligence 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

PECB's list of exams gives the exam type, duration and available languages.

Certification Requirements

After you pass the exam, you apply for the credential that matches your experience. Every level requires a pass on the PECB ISO/IEC 42001 Lead Auditor exam, or an equivalent, and a signed PECB Code of Ethics.

Credential	Professional experience	Audit experience
PECB Certified ISO/IEC 42001 Provisional Auditor	None	None
PECB Certified ISO/IEC 42001 Auditor	2 years, including 1 year in AI	200 hours of audit activities
PECB Certified ISO/IEC 42001 Lead Auditor	5 years, including 2 years in AI	300 hours of audit activities
PECB Certified ISO/IEC 42001 Senior Lead Auditor	10 years, including 7 years in AI	1,000 hours of audit activities

Audit activities can include planning an audit, managing an audit program, drafting audit reports, nonconformity reports and working documents, reviewing documented information, conducting on-site audits, following up on nonconformities and leading an audit team.

Questions About Enrolling

Does passing the exam make me certified?

Passing the exam lets you apply for a PECB credential, and PECB reviews your application. Foundation credentials are open to everyone who passes the exam and signs the PECB Code of Ethics. For Lead Implementer, Lead Auditor and Lead Manager courses, PECB awards the level that matches your experience. If you are new to the field, you start at the Provisional level and can apply to upgrade as you gain experience. Each course page lists the requirements for every level.

Can I add a portfolio program?

Yes, with ISO/IEC 27001 Foundation, ISO/IEC 27001 Lead Implementer and ISO/IEC 42001 Lead Implementer. Each portfolio program is a separate Tech Academy program with its own price and enrollment.

Explore the portfolio programs and find the one for your course

Do I need a portfolio program to get exam support?

Exam support, including office hours every two weeks for 90 days from enrollment, comes with the ISO/IEC 27001 and ISO/IEC 42001 courses themselves. Portfolio programs are an optional extra, sold separately.

Can I join a portfolio program if I trained with another provider?

Yes. Each portfolio program is sold on its own, for anyone who is taking or has completed the matching training.