ISO 42001
Процес аудиту

What Is an ISO 42001 Audit?

An ISO 42001 audit is an independent assessment of your organisation's Система управління ШІ (AIMS) against the requirements of ISO/IEC 42001:2023. The audit verifies that your organisation has established, implemented, and is effectively maintaining a management system for governing AI systems responsibly.

The audit is conducted by qualified auditors with expertise in AI governance, information security, and management systems. Unlike a consultancy engagement, an audit is an independent assessment — the auditor evaluates your system objectively and determines whether it conforms to the standard's requirements.

The ISO 42001 audit follows the same general approach used for other management system audits (ISO 27001, ISO 9001), but with specific focus on AI-related controls. Auditors evaluate your AI policy, risk assessment methodology, AI impact assessments, Annex A control implementation, and evidence of ongoing management and improvement.

At BALTUM, audits are conducted through the SMAuditor platform, which streamlines documentation review, evidence collection, and communication between auditors and organisations. This digital-first approach reduces audit time while maintaining thoroughness and rigour.

Audit Stages

The ISO 42001 certification audit is conducted in two stages, each with a distinct purpose. Both stages must be completed successfully for the certificate to be issued.

The Stage 1 audit typically takes 3-5 business days. Your auditor will provide a detailed report identifying any gaps or areas that need to be addressed before Stage 2. If significant gaps are found, you will have the opportunity to resolve them before proceeding.

The Stage 2 audit is the substantive assessment of your AIMS implementation. Your auditor will review objective evidence that your AI governance processes are working as intended. This includes examining records, observing processes, and interviewing personnel responsible for AI governance within your organisation.

What Auditors Look For

Understanding what auditors evaluate helps you prepare effectively. ISO 42001 auditors assess your AIMS across several key dimensions, looking for evidence that your management system is both well-designed and effectively implemented.

Auditors also look for evidence of management commitment — that top management is actively involved in AI governance, has allocated appropriate resources, and has established clear accountability. The management review process is a key indicator of leadership engagement.

For a detailed breakdown of the ISO 42001 requirements and Annex A controls, refer to our blog resources.

How to Prepare for Your ISO 42001 Audit

Thorough preparation is the key to a smooth and successful audit. The following steps will help you get audit-ready efficiently.

• Complete your documentation — Ensure your AI policy, risk assessment, statement of applicability, impact assessments, and all required procedures are documented and up to date. BALTUM provides a comprehensive documentation package to accelerate this process.
• Conduct an internal audit — Perform an internal review of your AIMS before the external audit to identify and address any gaps or nonconformities.
• Hold a management review — Ensure top management has reviewed the AIMS performance, including risk assessments, audit results, and improvement actions.
• Gather evidence — Collect records, logs, meeting minutes, training records, and other evidence that demonstrates your AIMS is actively implemented and not just documented.
• Brief your team — Ensure personnel who may be interviewed understand the AIMS, their roles, and how AI governance processes work in practice.
• Review Annex A controls — Verify that each selected control from your Statement of Applicability has documented evidence of implementation and effectiveness.
• Use the SMAuditor platform — Upload your documentation and evidence to the SMAuditor platform before the audit begins to streamline the review process.

Post-Audit: Certificate and Ongoing Maintenance

Understanding what happens after the audit helps you plan for the full certification lifecycle.

If the auditor identifies minor nonconformities during the audit, you will have an agreed timeframe (typically 30-90 days) to implement corrective actions. Major nonconformities must be resolved before the certificate can be issued. Most organisations achieve certification without major nonconformities when they have properly prepared using the documentation package and internal audit process.

BALTUM's Audit Approach

BALTUM's approach to ISO 42001 auditing is designed to be thorough yet efficient, combining deep AI governance expertise with a streamlined digital process.

Expert AI governance auditors. BALTUM's auditors are specialists in AI governance, information security, and management systems. They understand the practical realities of AI development and deployment, not just the theoretical requirements of the standard. This means audit findings are actionable and relevant to your actual AI operations.

SMAuditor platform. All audit activities are managed through the SMAuditor platform — from documentation submission and review through evidence collection, findings, and certificate management. The platform provides a structured, transparent audit experience with real-time visibility into audit progress.

Minimal disruption. BALTUM's audit process is designed to minimise disruption to your operations. The Stage 2 implementation assessment typically takes 2-4 hours, and the entire certification process can be completed in 2-4 weeks from application to certificate.

Internationally recognised. BALTUM is a member of AIEI (AI Ethics and Integrity International), UK Cyber Security Council, CREST, and ELQN. Your certificate is recognised in 100+ countries through our global network of 6+ accredited certification partners.

Ready to begin? Start with a free AI readiness assessment at baltum.ai or request a quote from our certification team.