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ISO 42001 Internal Auditor Course: Plan, Run and Report an AI Management System Audit

What Clause 9.2 Expects From an Internal Audit Programme

Quiz: What Clause 9.2 Expects From an Internal Audit Programme

Audit Principles From ISO 19011 Applied to AI Systems

Quiz: Audit Principles From ISO 19011 Applied to AI Systems

Building a Risk Based Annual Audit Programme

Quiz: Building a Risk Based Annual Audit Programme

Writing an Audit Plan, Scope and Criteria for an AI Management System

Quiz: Writing an Audit Plan, Scope and Criteria for an AI Management System

Preparing Checklists From Clauses 4 to 10 and Annex A

Quiz: Preparing Checklists From Clauses 4 to 10 and Annex A

Sampling Evidence: Model Cards, Logs, Datasets and Approvals

Quiz: Sampling Evidence: Model Cards, Logs, Datasets and Approvals

Interviewing Data Scientists Without Getting Lost in the Maths

Quiz: Interviewing Data Scientists Without Getting Lost in the Maths

Auditing Data Governance and Training Data Provenance

Quiz: Auditing Data Governance and Training Data Provenance

Auditing Human Oversight and Escalation in Live Operations

Quiz: Auditing Human Oversight and Escalation in Live Operations

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Quiz: Building a Risk Based Annual Audit Programme

ISO 42001 Internal Auditor Course: Plan, Run and Report an AI Management System Audit
Building a Risk Based Annual Audit Programme
Quiz: Building a Risk Based Annual Audit Programme

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Question 1 of 5

1. Question

In a risk-based audit programme, what two factors determine the risk rating of an AI system?

Consequence if the system fails and likelihood of failure
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Budget available for audit and team size
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External certification body preferences and regulatory deadlines
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System age and the number of data scientists involved
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Question 2 of 5

2. Question

How often should a high-risk AI system be audited according to a risk-based programme?

Every five years during the certification surveillance cycle
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Only when the external certification auditor requests it
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Annually as a minimum
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Continuously with no scheduled programme
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Question 3 of 5

3. Question

Why is mapping the audit programme to control areas (Clauses 4-10 and Annex A) important?

It ensures every clause and control relevant to scope is audited at least once per certification cycle
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It allows the organisation to skip auditing low-risk clauses
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It eliminates the need for internal audits because control areas are self-monitoring
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It requires the external certification auditor to approve the plan in advance
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Question 4 of 5

4. Question

A financial services firm offers a fraud detection AI system and an experimental product recommendation chatbot. Which should receive more audit priority?

The chatbot because it is new
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The fraud detection system because its failure could cause financial loss and potential discrimination; consequence is higher
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Both systems equally because both are AI
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Neither, because audit is only necessary during certification
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Question 5 of 5

5. Question

What is the benefit of rotating internal auditors across different audit topics year to year?

It eliminates the need for competence training
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It builds broader organisational knowledge and reduces risk of one person becoming a single point of failure
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It allows auditors to avoid systems they find difficult
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It ensures the external certification auditor never knows who conducted internal audits
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