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ISO 42001 Audit Explained | For Australian Organisations
First Published:
January 27, 2026
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Small & Medium Businesses
Large Organisations & Infrastructure
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An ISO 42001 audit helps organisations confirm whether their Artificial Intelligence Management System (AIMS) aligns with ISO/IEC 42001 and operates effectively. For organisations working toward certification, audits provide independent assurance that AI governance and risk controls function as intended.
This article explains what an ISO 42001 audit involves, how it supports certification, and how audit outcomes connect to ongoing ISO 42001 compliance. It gives Australian organisations a clear view of expectations without replacing professional audit or certification support.
Here we focus on audit concepts and findings. For a complete walkthrough of certification and how audit fits into achieving ISO 42001 certification, see our certification blog.
What an ISO 42001 Audit Covers
An audit examines how an organisation governs artificial intelligence across its operations. Auditors focus on governance structures, risk management processes, lifecycle controls, and supporting evidence rather than individual AI models or tools.
During the assessment, auditors look for consistency. They expect teams to follow defined processes and maintain reliable records over time. As a result, accountability and evidence matter more than stated intent.
How Audits Support ISO 42001 Certification
Audits sit at the centre of the ISO 42001 certification lifecycle. Without successful audit outcomes, a certification body cannot issue or maintain certification.
Most organisations encounter several assessment stages. First, internal reviews test readiness. Next, certification audits confirm conformity with the standard. After certification, surveillance reviews verify ongoing ISO 42001 compliance.
Although each stage has a different purpose, together they demonstrate that the AI management system works in real operations.
Types of Audits Organisations Encounter
Internal audits
Internal audits allow organisations to test controls before engaging an external assessor. Teams or independent advisors usually conduct these reviews. They help identify gaps early and reduce surprises during certification.
Stage 1 certification audit
The Stage 1 certification audit reviews scope, documentation, and readiness. Auditors confirm that governance structures exist and that the organisation is prepared for deeper assessment. However, operational testing remains limited at this stage.
Stage 2 certification audit
The Stage 2 certification audit evaluates how the system operates in practice. Auditors review evidence, interview stakeholders, and confirm that teams apply risk controls consistently across the organisation.
When requirements are met, the certification body issues ISO 42001 certification.
Surveillance reviews and ongoing compliance
After certification, surveillance reviews take place at regular intervals. These reviews confirm that controls continue to operate and that continual improvement occurs. As a result, ISO 42001 compliance becomes an ongoing responsibility rather than a one-time exercise.
What an ISO 42001 Audit Assesses During Certification
An audit assesses whether the AI management system is well designed and effectively implemented.
Auditors typically review leadership accountability, governance oversight, and AI risk management processes. In addition, they examine lifecycle controls covering design, development, deployment, monitoring, and retirement.
Most importantly, auditors look for alignment between policy and practice. If documentation says one thing but teams do another, auditors will raise findings.
Evidence Expectations in an ISO 42001 Audit
Evidence quality often determines audit outcomes.
Auditors expect organisations to present clear governance records, AI risk assessments, monitoring outputs, and management review evidence. They also expect to see issues tracked and resolved over time.
Isolated examples rarely satisfy audit expectations. Instead, auditors look for patterns that demonstrate systematic governance.
Common Findings That Delay Certification
Certain findings appear frequently, especially for organisations adopting AI governance standards for the first time.
Common issues include unclear AI scope, inconsistent risk assessment practices, weak monitoring evidence, and governance responsibilities that exist on paper but not in daily operations.
When organisations address these issues early, they reduce audit risk and improve certification outcomes.
How Audits Relate to Ongoing Compliance
ISO 42001 compliance means operating in line with ISO/IEC 42001 requirements. Organisations may assess compliance internally, but audits verify it objectively.
An ISO 42001 audit confirms that controls operate as intended and remain effective over time. For organisations pursuing certification, audit outcomes ultimately determine whether certification is granted and maintained.
Preparing for an ISO 42001 Audit
Effective preparation focuses on clarity and consistency rather than volume. Organisations should define AI scope clearly, assign governance responsibilities, and maintain usable evidence.
For organisations planning certification, this overview provides the foundation before engaging formal ISO 42001 certification and audit support.
ISO 42001 Audits in the Australian Context
In Australia, expectations around ethical AI, transparency, and accountability continue to rise. As a result, ISO 42001 audits increasingly support procurement decisions, partner assurance, and regulatory confidence.
Audits help organisations demonstrate that AI governance works in practice rather than existing only as policy.
FAQs
What is the purpose of an ISO 42001 audit?
An ISO 42001 audit checks whether an organisation’s AI management system meets ISO/IEC 42001 requirements and operates effectively.
Are audits required for ISO 42001 certification?
Yes. Certification requires successful certification audits, supported by internal reviews and surveillance assessments.
Who performs these audits?
Internal teams, independent advisors, and accredited certification bodies perform audits depending on the stage.
How often do audits occur?
Frequency depends on the certification cycle, with surveillance reviews conducted periodically after certification.
Next Steps
An ISO 42001 audit plays a critical role in demonstrating effective AI governance. When organisations understand what auditors assess and how evidence is evaluated, they can prepare efficiently and reduce risk during certification.
An ISO 42001 audit aligns closely with ISO 27001 because both standards use the same management system structure and governance principles. Organisations that already operate an ISO 27001–certified Information Security Management System can reuse established risk assessment processes, internal audits, management reviews, and evidence collection to support ISO 42001 audit requirements.
This overlap reduces duplication and effort, while allowing AI governance to integrate naturally into existing information security and risk programs. For many organisations, this makes ISO 42001 a logical extension of their existing ISO 27001 services rather than a standalone compliance initiative.
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