ISO-IEC-42001-Lead-Auditor PECB ISO/IEC 42001:2023 Artificial Intelligence Management System Lead Auditor Exam Free Practice Exam Questions (2025 Updated)

Based on ISO/IEC 42001, which of the following is NOT one of the factors that an organization must consider when determining the risks and opportunities related to an AI system?

Scenario 9:

Scenario 9: Securisai, located in Tallinn. Estonia, specializes in the development of automated cybersecurity solutions that utilize AI systems. The company recently implemented an artificial intelligence management system AIMS in accordance with ISO/IEC 42001. In doing so, the company aimed to manage its Al-driven systems’ capabilities to detect and mitigate cyber threats more efficiently and ethically. As part of its commitment to upholding the highest standards of Al use and management, Securisai underwent a certification audit 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, and procedures 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 the certification 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 despite being initially bound by a long-term agreement with the current certification body. This decision was motivated by the desire to partner with 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 for submission to the new certification body. This includes a formal request, the most recent audit report underscoring its adherence to ISO/IEC 42001, the latest corrective action plan that highlights its continuous efforts toward improvement, and a copy of its current valid certification 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.

During an AIMS audit at a cybersecurity company, the team found a major nonconformity — ineffective access controls for sensitive data.

Question:

Given this situation, what is the appropriate next step?

Which among the following is NOT a level of AI?

Scenario 2: OptiFlow is a logistics company located in New Delhi, India. The company has enhanced its operational efficiency and customer service by integrating AI across various domains, including route optimization, inventory management, and customer support. Recognizing the importance of AI in its operations, OptiFlow decided to implement an Artificial Intelligence Management System (AIMS) based on ISO/IEC 42001 to oversee and optimize the use of AI technologies.

To address Clauses 4.1 and 4.2 of the standard, OptiFlow identified and analyzed internal and external issues and needs and expectations of interested parties. During this phase, it identified specific risks and opportunities related to AI deployment, considering the system's domain, application context, intended use, and internal and external environments. Central to this initiative was the establishment and maintenance of AI risk criteria, a foundational step that facilitated comprehensive AI risk assessments, effective risk treatment strategies, and precise evaluations of risk impacts. This implementation aimed to meet AIMS’s objectives, minimize adverse effects, and promote continuous improvement. OptiFlow also planned and integrated strategies to address risks and opportunities into AIMS’s processes and assessed their effectiveness.

OptiFlow set measurable AI objectives aligned with its AI policy across all organizational levels, ensuring they met applicable requirements and matched the company’s vision. The company placed strong emphasis on the monitoring and communication of these objectives, ensuring they were updated annually or as needed to reflect changes in technology, market demands, or internal processes. It also documented the objectives, making them accessible across the company.

To guarantee a structured and consistent AI risk assessment process, OptiFlow emphasized alignment with its AI policy and objectives. The process included ensuring consistency and comparability, identifying, analyzing, and evaluating AI risks.

OptiFlow prioritizes its AIMS by allocating the necessary resources for its comprehensive development and continuous enhancement. The company carefully defines the competencies needed for personnel affecting AI performance, ensuring a high level of expertise and innovation.

OptiFlow also manages effective internal and external communications about its AIMS, aligning with ISO/IEC 42001 requirements by maintaining and controlling all required documented information. This documentation is meticulously identified, described, and updated to ensure its relevance and accessibility. Through these strategic efforts, OptiFlow upholds a commitment to excellence and leadership in AI management practices.

To comply with Clause 9 of ISO/IEC 42001, the company determined what needs to be monitored and measured in the AIMS. It planned, established, implemented, and maintained an audit program, reviewed the AIMS at planned intervals, documented review results, and initiated a continuous feedback mechanism from all interested parties to identify areas of improvement and innovation within the AIMS.

Which of the following requirements of Clause 6.1.2 AI risk assessment did OptiFlow NOT consider?

Which among the following core concepts of Artificial Intelligence uses artificial neural networks inspired by the human brain to process complex data like images, text, and speech?

Question:

During which phase of the certification process is confirmation of registration performed?

Question:

For which of the following activities are certification bodies responsible?

Which statement best reflects the principle of professional skepticism?

What is the right series of AI system lifecycle?

How does ISO 19011 recommend auditors select audit criteria?

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:

An organization is undergoing a certification audit to evaluate its compliance with ISO/IEC 42001 and ISO/IEC 27001 for its AIMS and ISMS, respectively. What type of audit is the organization undergoing in this case?

Scenario 5 (continued):

Scenario 5: Aizoia, located in Washington, DC, has revolutionized data analytics, software development, and consulting by using advanced Al algorithms. Central to its success is an Al platform adept at deciphering complex datasets for enhanced insights. To ensure

that its Al systems operate effectively and responsibly, Aizoia has established an artificial intelligence management system AIMS based on ISO/IEC 42001 and is now undergoing a certification audit to verify the AIMS’s effectiveness and compliance with ISO/IEC 42001.

Robert, one of the certification body's full-time employees with extensive experience in auditing, was appointed as the audit team leader despite not receiving an official offer for the role. Understanding the critical importance of assembling an audit team with diverse skills

and knowledge, the certification body selected competent individuals to form the audit team. The certification body appointed a team of seven members to conduct the audit after considering the specific conditions of the audit mission and the required competencies.

Initially, the certification body, in cooperation with Aizoia, defined the extent and boundaries of the audit, specifying the sites (whether physical or virtual), organizational units, and the activities for review. Once the scope, processes, methods, and team composition had been defined, the certification body provided the audit team leader with extensive information, including the audit objectives and documented details on the scope, processes, methods, and team compositions.

Additionally, the certification body shared contact details of the auditee, including locations, time frames, and the duration of the audit activities to be conducted. The team leader also received information needed for evaluating and addressing identified risks and opportunities for the achievement of the audit objectives.

Before starting the audit, Robert wrote an engagement letter, introducing himself to Aizoia and outlining plans for scheduling initial contact. The initial contact aimed to confirm the communication channels, establish the audit team's authority to conduct the audit, and summarize the audit's key aspects, such as objectives, scope, criteria, methods, and team composition. During this first meeting, Robert emphasized the need for access to essential information that would help to conduct the audit.

Moreover, audit logistics, such as scheduling, access, health and safety arrangements, observer attendance, and the need for guides or interpreters, were thoroughly planned. The meeting also addressed areas of interest or concern, preemptively resolving potential issues and finalizing any matters related to the audit team composition.

As the audit progressed, Robert recognized the complexity of Aizoia’s operations, leading him to conclude that a review of its Al-related data governance practices was essential for compliance with ISO/IEC 42001. He discussed this need with Aizoia's management, proposing an expanded audit scope. After careful consideration, they agreed to conduct a thorough review of the Al data governance practices, but there was no mutual decision to officially change the audit scope. Consequently. Robert decided to proceed with the audit based on the original scope, adhering to the initial audit plan, and documented the conversation and decision accordingly.

Based on the scenario above, answer the following question:

Question:

Based on Scenario 5, did the certification body provide all the necessary information to conduct the audit to the audit team leader?

What should an auditor do to evaluate the auditee’s conformity to control A.9 Use of AI systems?

Which of the following should be considered when determining the feasibility of the audit?

Were VeridicAI’s action plans drafted appropriately? Refer to Scenario 8.

Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al technologies to analyze customer behavior. Founded in 2023, the company

employs natural language processing, machine learning, and predictive analytics to provide real time insights to a range of businesses. VeridicAI has implemented an

artificial intelligence management system AIMS based on ISO/IEC 42001 to manage its Al technologies effectively. The AIMS scope includes select departments within

the company, for which it has received a four-year certification against ISO/IEC 42001. Committed to transparency. VeridicAI publicly shares details of this certification.

As the certification nears its end, VeridicAI is preparing for an audit to renew its certification.

The audit process was led by Sharona, the audit team leader, who is a full-time employee of the certification body. Sharona and the audit team undertook all planned

audit activities. Afterward, they organized the closing meeting with VeridicAl’s management. During the meeting, Sharona and the team made a recap on audit

objectives and scope, presented the audit findings and conclusions, presented identified nonconformities, and organized a session for questions and answers for the

auditee.

VeridicAI received a conditional recommendation for certification, underscoring its compliance with the industry's standards. Sharona confirmed that the company met

the essential requirements but noted some identified minor nonconformities. In response, VeridicAI compiled and submitted a comprehensive action plan that

addresses all identified nonconformities within a designated timeframe. Because of the comprehensive action plan, Sharona did not see the need for an additional on-

site visit to verify the effectiveness of the action plan.

Sharona played an integral role in the certification decision process. Her thorough understanding of VeridicAI's operations, gained from the audit, guided the

certification body towards a well-informed certification decision.

During an audit, the auditor uncovers sensitive data regarding the AI system's algorithms and their decision-making processes. Which principle must the auditor adhere to when handling this information?

Scenario 1:

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:

Which of the following AI principles has Future Horizon Academy applied?

Scenario 4: Finalogic leads the application of artificial intelligence in the financial services sector, which is used to improve risk assessment, fraud detection, and customer service. The company has implemented an artificial intelligence management system (AIMS) based on ISO/IEC 42001 to ensure operational quality, ethical AI use, regulatory compliance, and transparency, allowing for consistent oversight and structured governance.

This month, Finalogic is undergoing an audit to obtain certification against ISO/IEC 42001, a critical step in demonstrating its commitment to responsible AI. To evaluate Finalogic's conformity to the audit criteria, the audit team adopted a comprehensive, evidence-based approach. The gathered evidence ranged from analyses of unquantifiable information to analyses of samples related to determining the audit criteria—including internal reports generated by Finalogic's own AI system—which assert successful integration and compliance with the standard.

Additionally, presentations by the company’s AI team during the audit highlighted the system’s success in customer service enhancements and fraud detection, emphasizing improved efficiency, decision-making accuracy, and user trust. An evaluation report prepared by an independent third-party firm specializing in AI systems also provided an objective review of Finalogic's AIMS. It assessed the system's effectiveness, bias, and compliance through a thorough examination.

During the audit, the audit team applied the same level of effort and utilized the same techniques across all audit areas, regardless of their risk level. This strategy ensured a consistent and thorough evaluation of the AIMS, uncovering any latent weaknesses or inefficiencies that might otherwise go unnoticed.

Despite Finalogic's advanced AIMS and adherence to ISO/IEC 42001 for ethical AI practices, there remains a risk of AI algorithms inadvertently perpetuating bias or making inaccurate predictions due to unforeseen flaws in training data or algorithmic models. This could lead to unfair loan rejections or approvals, potentially causing financial losses or damaging the company’s reputation for fairness and accuracy in its financial services. By acknowledging these risks, Finalogic remains committed to refining its AI governance, implementing bias mitigation strategies, and enhancing transparency to uphold its reputation as a leader in AI-driven financial services.

What type of audit is Finalogic undergoing?