[Q73-Q92] Updated Sep-2025 Test Engine to Practice Test for ISO-IEC-42001-Lead-Auditor Exam Questions and Answers!

ISO-IEC-42001-Lead-Auditor PECB

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September 8, 2025

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Updated Sep-2025 Test Engine to Practice Test for ISO-IEC-42001-Lead-Auditor Exam Questions and Answers!

ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Certification Sample Questions and Practice Exam

NO.73 Scenario:
UrDesign, an interior design company, has recently decided to use machine learning for classification, regression tasks, and more complex tasks related to structured prediction.
Question:
What category of machine learning did UrDesign decide to use?

Supervised machine learning

Semi-supervised machine learning

Unsupervised machine learning

Reinforcement learning

Supervised machine learning involves learning from labeled data, where tasks include classification and regression-exactly matching the description given. ISO/IEC 22989:2022 (Clause 6.5) defines supervised learning accordingly.
Reference: ISO/IEC 22989:2022, Clause 6.5 (Machine Learning Categories).

NO.74 What does the ‘Human-Centered Design’ core element prioritize in AI development?

Maximizing profit

Designing AI systems that prioritize human needs and values

Increasing automation

Minimizing user interaction

Human-Centered Designfocuses on designing AI systems thatrespect and enhance human well-being, align withuser needs and values, and promoteinclusive and accessible technologies.
According toISO/IEC 42001:2023 – Clauses 4.2 and 6.1.2, and highlighted throughout thePECB Lead Auditor Guide – Domain 1, AI systems should beusable, inclusive, and ethically aligned, especially when intended for diverse or vulnerable user groups.
This principle ensures thathumans remain in control and benefitfrom the capabilities of AI.
Reference: ISO/IEC 42001:2023 – Clause 4.2 (Needs of interested parties), Clause 6.1.2 (Ethical impact and risk analysis) PECB Lead Auditor Guide – Domain 1: “Human-Centered Design and Trustworthy AI”

NO.75 Scenario 1 (continued):
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution’s ownrequirements and that the system is being maintained effectively.
Question:
Based on functionality, what type of AI system did Future Horizon Academy establish?

Reactive machines

Theory of mind

Limited memory

General AI

The AI system described uses training data and prior experience (historical data) to make decisions, which matchesLimited Memorysystems. ISO/IEC 22989:2022 (supportive reference) categorizes Limited Memory AI as those that rely on past data and metadata to improve decision making, and ISO/IEC 42001 refers to AI functionality understanding under Clause 4.2 when considering context and system type.Reference:ISO/IEC
22989:2022 Section 5.2.3; ISO/IEC 42001:2023 Clause 4.2.

NO.76 Question:
A certification body is conducting surveillance audits for a company managing multiple sites, including a temporary construction site with a limited duration.
The audit team is considering whether the presence of this temporary site should influence the frequency of surveillance audits.
Can this factor necessitate an adjustment in the audit schedule?

Yes, because it represents a management system certification of limited duration

No, temporary construction sites do not influence audit frequency

Yes, but only if the construction site operates under different seasonal conditions

Temporary sitesmustbe considered in surveillance audit planning, as they aretime-limitedandpresent specific operational risks.
* ISO/IEC 17021-1:2015 Clause 9.6.2.2states:”Audit frequency and scheduling must consider factors such as temporary sites, risk exposure, and operational changes.”
* TheIAF MD1 Guidelinesfurther support the adjustment of surveillance activities based on the presence of temporary sites or operations.
Reference:ISO/IEC 17021-1:2015 Clause 9.6.2.2; IAF MD1 Mandatory Document.

NO.77 Question:
Which of the following describes a joint audit?

When two or more auditing organizations cooperate to audit a single auditee

When two or more management systems are audited together at a single auditee

When an internal audit and a third-party audit are conducted simultaneously

When audits are conducted back-to-back for efficiency

AJoint Auditis when two or more audit organizationscooperateto audit the same auditee.
* ISO 19011:2018 Clause 3.9defines joint audit as:”An audit carried out by two or more auditing organizations cooperating to audit a single auditee.”
* This is further echoed in ISO/IEC 42001:2023, which supports joint audits especially inmulti-country and consortium environments (Clause 9.2.1 reference to audit scope management).
Reference:ISO 19011:2018 Clause 3.9; ISO/IEC 42001:2023 Clause 9.2.1.

NO.78 Which control in Annex A of ISO 42001:2023 focuses on the need for stakeholder engagement in AI system development?

Continuous Improvement

Stakeholder Consultation

Risk Assessment

Data Management

Annex A – Control A.5.2.2: Stakeholder Consultationexplicitly requires organizations toconsult with relevant stakeholders(such as users, impacted communities, regulators, etc.) during the development and operation of AI systems.
This control emphasizes the importance of engaging stakeholders toidentify expectations, values, ethical concerns, and social impact risksassociated with the AI system.
Stakeholder engagement supports transparency, ethical alignment, and social acceptability of AI solutions.

NO.79 A financial institution uses an AI system to approve loan applications. Recently, there have been complaints that the system disproportionately denies loans to applicants from certain minority groups.
Which core element should the institution prioritize to address these complaints?

Fairness and Non-Discrimination

Transparency and Explainability

Accountability

Privacy and Security

The most relevant core principle here isFairness and Non-Discrimination. This principle aims to ensure that AI systems do notcreate or perpetuate bias, especially in high-stakes decision-making areas such as financial services.
According toISO/IEC 42001:2023 – Clause 6.1.2andAnnex A (A.8.2.4), organizations must evaluate and manage risks related tobias, discrimination, and ethical implicationsof AI decisions.
In thePECB Lead Auditor Guide, Fairness is cited as critical in sectors likefinance, hiring, healthcare, and where decisions may adversely impact protected groups.

NO.80 Question:
Can ISO/IEC 42001 be integrated into an integrated management system (IMS) with ISO/IEC 27001 and ISO
9001?

No, since they do not have a similar standard structure

Yes, because they share a similar standard structure

No, because each management system should be implemented separately

Yes, but only under special organizational approval

ISO/IEC 42001 follows theHigh-Level Structure (HLS)(Annex SL) used by ISO management system standards such as ISO/IEC 27001 and ISO 9001. This structural alignment allows for easy integration into a unified management system, facilitating shared documentation, policies, audits, and continual improvement processes.
Reference:ISO/IEC 42001:2023 Introduction, Clause 0.3; ISO Directives Part 1, Annex SL.

NO.81 Scenario 9:
Scenario 9: Securisai, located in Tallinn.Estonia, specializes in the development of automated cybersecurity solutions that utilize AIsystems. The company recently implemented an artificial intelligence management system AIMS in accordance with ISO/IEC 42001. Indoing so, the company aimed to manage its Al-driven systems’ capabilities to detect and mitigate cyber threats more efficiently andethically. As part of its commitment to upholding the highest standards of Al use and management, Securisai underwent a certificationaudit to demonstrate compliance with ISO/IEC 42001.
The audit process comprised two main stages: the initial or stage 1 audit focused on reviewing Securisai’s documentation, policies, andprocedures related to its AIMS. This review laid the groundwork for the stage 2 audit, which involved a comprehensive, on-site evaluation of the actual implementation and effectiveness of the AIMS within Securisai’s operations. The goal was to observe the AIMS in operation,ensuring that it not only existed on paper but was effectively integrated into the company’s daily activities and cybersecurity strategies.
After the audit, Roger, Securisai’s internal auditor, addressed the action plans devised to rectify nonconformities identified during thecertification audit. He developed a long term strategy, highlighting key AIMS processes for triennial audits. Roger’s internal audits play a key role in advancing Securisai’s goals by employing a systematic and disciplined method to assess and boost the efficiency of risk management, governance processes, and strategic decision-making. Roger reported his findings directly to Securisai’s top management.
Following the successful rectification of nonconformities, Securisai was officially certified against ISO/IEC
42001.
Recently, the company decided to transfer its ISO/IEC 42001 certification registration from one certification body to another despitebeing initially bound by a long-term agreement with the current certification body.
This decision was motivated by the desire to partnerwith a certification body that offers deeper insights and expertise in the rapidly evolving field of artificial intelligence in cybersecurity.
To ensure a smooth transition and uphold its certification status, Securisai is diligently compiling the required documentation forsubmission to the new certification body. This includes a formal request, the most recent audit report underscoring its adherence toISO/IEC 42001, the latest corrective action plan that highlights its continuous efforts toward improvement, and a copy of its current validcertification registration.
A year following Securisai’s initial certification audit, a subsequent audit was carried out by the certification body on its AIMS. The purpose of this audit was to assess compliance with ISO/IEC 42001 and verify the ongoing improvement of the AIMS. The audit team concluded that Securisai’s AIMS consistently meets the requirements set by ISO/IEC 42001.
Question:
Roger followed up on action plans resulting from external audits. Is this acceptable?

No, it is the responsibility of the external auditor to follow up on action plans resulting from external audits

Yes, the internal auditor should follow up on action plans submitted during internal and external audits

No, the internal auditor should follow up on action plans submitted in response to nonconformities resulting only from internal audits

It isacceptableand even advisable for internal auditors to monitor bothinternalandexternal audit findingsto ensure the system’s ongoing effectiveness.
* ISO/IEC 42001:2023 Clause 9.2.2states:”Internal audits shall ensure the AIMS conforms to both the organization’s own requirements and the requirements of the standard, including actions arising from external audits.”
* ISO 19011:2018 Clause 5.5allows internal auditors to verify that corrective actions from all sources (internal and external audits) are implemented effectively.
Reference:ISO/IEC 42001:2023 Clause 9.2.2; ISO 19011:2018 Clause 5.5.

NO.82 The process to assess the potential consequences for individuals or groups of individuals, or both, and societies that can result from the AI system throughout its life cycle is known as:

AI System Risk Assessment

AI System Impact Assessment

Documentation of AI Systems

None of the above

The correct term here isAI System Impact Assessment(AIIA), which is distinctly referenced inISO/IEC
42001:2023 – Clause 6.1.2as part of the organization’s process to identify and assesspotential impactsof AI systems on stakeholders.
An AIIA is designed to evaluate theethical, societal, legal, and human rights implicationsof AI use. It supportstransparency, stakeholder trust, and ethical alignment.
WhileAI Risk Assessment(Clause 6.1.1) focuses more on organizational and system-level risks (e.g., technical, legal), theImpact Assessmentlooks atexternal consequences- especially forindividuals and groups.

NO.83 Which core element focuses on ensuring that the creators and operators of AI systems are responsible for the outcomes and impacts of those systems?

Safety and Reliability

Privacy and Security

Accountability

Fairness and Non-Discrimination

Accountabilityis the core principle that ensures individuals or organizations involved in thedesign, development, and deploymentof AI systems areresponsible for their outcomes, decisions, and impacts.
According toISO/IEC 42001:2023 – Clause 5.3andClause 6.1.2, accountability requires organizations to define roles and responsibilities, ensure that systems are monitored for risks, and establishescalation or remediation procedureswhen negative impacts occur.
ThePECB Lead Auditor Guide – Domain 1highlights accountability as a key requirement for maintaining trust, legal compliance, and ensuring AI systems operate under clear lines ofgovernance and oversight.
Reference: ISO/IEC 42001:2023 – Clauses 5.3 (Roles, responsibilities and authorities), 6.1.2 (AI-specific risk and impact analysis) PECB Lead Auditor Guide – Domain 1: “Accountability in AIMS and Ethical AI”

NO.84 Scenario 1 (continued):
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution’s own requirements and that the system is being maintained effectively.
Question:
Prior to the certification audit, the institution conducted an internal audit and management review. Is this acceptable?

No, only an internal audit should be conducted before the initial audit

Yes, an internal audit and management review can be conducted before the certification audit

No, the internal audit should be conducted after the certification audit to ensure any recommendations from the audit team are addressed

No, internal audits are only required for recertification audits

ISO/IEC 42001:2023 Clause 9.2 (Internal Audit) and Clause 9.3 (Management Review) require organizations toperform internal audits and management reviewsto ensure the system’s continued suitability, adequacy, and effectivenessprior to certification audits.Reference:ISO/IEC 42001:2023 Clauses 9.2 and 9.3.

NO.85 Which core element of AIMS is defined as: “Organizations are responsible for the development, deployment, and use of AI systems, and their potential impacts”?

Accountability

Responsibility

Commitment

None of the above

The correct core element isAccountability.
According toISO/IEC 42001:2023 – Clause 5.3, andPECB Lead Auditor Guide – Domain 1,accountability is defined as the obligation of organizations totake responsibility for the outcomes and impactsof AI systems across the lifecycle – including design, development, deployment, and operation.
This includes establishing:
* Clear roles and responsibilities
* Oversight mechanisms
* Escalation procedures for unintended consequences
It directly addresses the ethical and governance need to ensure AI systems are not used irresponsibly or without clear attribution.
Reference: ISO/IEC 42001:2023 – Clause 5.3 (Organizational roles, responsibilities and authorities) PECB Lead Auditor Guide – Domain 1: “Accountability in AI Governance”

NO.86 Question:
Can the work assignments of audit team members be changed during the audit?

Yes, changes can be made to ensure the achievement of audit objectives

No, changes cannot be made once the audit starts

Yes, but only if the changes are approved by the auditee

Yes,audit team assignments can be adjustedduring the audit to ensure the audit remains effective and objective.
* ISO/IEC 17021-1:2015 Clause 9.2.4.1states:”The audit team leader shall reassign tasks as necessary during the audit to ensure audit objectives are achieved.”
* TheISO 19011:2018 Clause 6.4.9similarly permits dynamic reassignment of roles based on real-time findings or logistical needs.The auditee’s permission is not required unless changes impact the audit scope or confidentiality agreements.
Reference:ISO/IEC 17021-1:2015 Clause 9.2.4.1; ISO 19011:2018 Clause 6.4.9.

NO.87 During the audit planning phase, what is the primary activity an auditor should focus on?

Conducting interviews with staff

Preparing checklists and audit plans

Issuing corrective actions

Reviewing the final report

During theaudit planning phase, the auditor’s key responsibility is toprepare audit plans, checklists, and resource allocationsto ensure an effective and efficient audit.
According toISO 19011:2018 – Clause 6.4.1, planning includes preparing the audit plan, defining the audit schedule, and ensuring that required documents, tools, and team members are ready.
ThePECB Lead Auditor Guide – Domain 4further emphasizes preparing tailoredaudit checklistsbased on ISO/IEC 42001 clauses and relevant organizational processes.

NO.88 The process to assess the potential consequences for individuals or groups of individuals, or both, and societies that can result from the AI system throughout its life cycle is known as:

AI System Risk Assessment

AI System Impact Assessment

Documentation of AI Systems

None of the above

NO.89 Question:
While preparing for an AIMS audit, a technology company faced an issue: the auditor lacked a required security clearance for accessing sensitive information related to government contracts.
The company requested a replacement auditor. Is this acceptable?

Yes, the auditor not holding the security clearance required by the auditee is a valid reason to request the replacement of the auditor

No, the auditee can request the replacement of the auditor only if the auditor is in a conflict of interest situation

No, the auditee can request the replacement of the auditor only if the auditor has audited the company in the past

It isacceptablefor an auditee to request a change if the assigned auditorlacks necessary security clearancesto perform the audit properly.
* ISO/IEC 17021-1:2015 Clause 5.2.2requires that auditors must have appropriate competence, including security requirements, for sensitive audits.
* TheLead Auditor Trainingspecifies:”Auditee organizations have the right to request a replacement of auditors if competence (including security clearance) is insufficient for audit scope requirements.” Reference:ISO/IEC 17021-1:2015 Clause 5.2.2; ISO/IEC 42001 Lead Auditor Guide Chapter 5 (“Auditor Competence and Replacement”).

NO.90 Question:
Which of the following standards emphasizes the importance of conducting AI system impact assessments to evaluate the potential effects on individuals and societies affected by the AI system?

ISO/IEC 42005

ISO/IEC 42006

ISO/IEC 22989

ISO/IEC 27001

ISO/IEC 22989:2022 (Information technology – Artificial intelligence concepts and terminology) defines the necessity for AI system impact assessments, particularly in evaluating the societal and individual implications. While ISO/IEC 42001 mentions risk assessment, ISO/IEC 22989 focuses more on the conceptual need for impact assessments.
Reference: ISO/IEC 22989:2022, Clauses 6.1 and 6.3 (Impact and Risk Considerations).

NO.91 In which step are the audit findings, including nonconformities, documented and reviewed?

Initiating the audit

Conducting the audit

Closing meeting

Audit reporting

TheAudit Reportingstep involves the formaldocumentation of audit findings, including:
* Nonconformities
* Observations
* Opportunities for improvement
* Conformity conclusions
According toISO 19011:2018 – Clause 6.6.1, and reflected inISO/IEC 42001:2023 – Clause 9.2.2, theaudit report must be reviewed and finalizedafter the audit activities are complete and include verified evidence of all findings.
ThePECB Lead Auditor Guide – Domain 6emphasizes that the audit report is thefinal outputof the audit process and includes all findings that were identified and reviewed during the audit lifecycle.
Reference: ISO 19011:2018 – Clause 6.6.1 (Preparing and distributing the audit report) ISO/IEC 42001:2023 – Clause 9.2.2 (Internal audit) PECB Lead Auditor Guide – Domain 6: “Audit Reporting and Closing Activities”

NO.92 A healthcare provider wants to develop a system that can analyze medical images, such as X-rays and MRIs, to assist doctors in diagnosing diseases. Which AI concept is most relevant for this application?

Natural Language Processing (NLP)

Computer Vision

Machine Learning (ML)

Deep Learning (DL)

The AI concept most relevant for analyzingvisual data like X-rays and MRIsisComputer Vision. This field focuses on enabling machines tounderstand and interpret image and video data.
As outlined in thePECB Lead Auditor Guide – Domain 1, Computer Vision is specifically applied in medical imaging, object detection, facial recognition, and other tasks requiring interpretation of visual content.
WhileDeep Learningmay be used as an underlying technique (e.g., convolutional neural networks), Computer Visionis the broader and correct domain applicable to the question.
Reference: PECB Lead Auditor Guide – Domain 1: “AI Technologies and Use Cases” ISO/IEC 42001:2023 – Clause 8.2.3 (Selecting suitable AI approaches based on purpose and data types)

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