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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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Previous Lesson

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

ISO 42001 Internal Auditor Course: Plan, Run and Report an AI Management System Audit
Preparing Checklists From Clauses 4 to 10 and Annex A
Quiz: Preparing Checklists From Clauses 4 to 10 and Annex A

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Question 1 of 5

1. Question

Why should an audit checklist use open-ended questions rather than yes/no boxes?

Yes/no questions are required by ISO 19011
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Open-ended questions force the auditor to think and document reasoning, revealing whether controls are real or rhetorical
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Open-ended questions reduce the time required for audits
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Yes/no questions are only used in certification audits, not internal audits
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Question 2 of 5

2. Question

A checklist item asks ‘Is there an AI policy?’ Which revision would be more effective?

Add more yes/no questions to the same topic
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Describe the AI policy and explain how it addresses AI risk across the organisation
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Remove the question entirely because policies are not relevant to audits
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Make the question shorter to save time
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Question 3 of 5

3. Question

According to the lesson, what should a checklist include for each control area?

Only the clause number and title
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Open-ended questions, evidence types to be gathered, and the risk context
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Only yes/no questions in sequence
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A fixed list of answers that apply to all organisations
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Question 4 of 5

4. Question

Why is it helpful to include cross-reference fields in an audit checklist?

Cross-references add length to the checklist, making it more authoritative
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Cross-references prevent audit silos by showing how controls in different clauses connect to each other
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Cross-references are required by ISO 42001
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Cross-references allow auditors to skip checking some controls
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Question 5 of 5

5. Question

Should an organisation use the same checklist for both system-level audits and process-level audits?

Yes, using one checklist for all audits ensures consistency
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No, separate checklists are needed because system-level audits examine specific AI systems while process-level audits examine organisational governance
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Checklists are optional; experienced auditors do not need them
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The standard requires one combined checklist
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