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PECB ISO-IEC-42001-Lead-Auditor Exam Questions
- Topic 1: Fundamental principles and concepts of an AI management system: This section of the exam measures the skills of an AI Compliance Officer and covers the basic principles of artificial intelligence, including ethical use, trustworthiness, and transparency. It introduces the purpose and importance of having an AI management system in place for responsible AI governance.
- Topic 2: AI management system requirements: This section of the exam measures the skills of a Lead Auditor and focuses on understanding the key requirements outlined in ISO/IEC 42001. It explains how organizations should structure their AI-related activities and processes to meet compliance standards effectively.
- Topic 3: Fundamental audit concepts and principles: This section of the exam measures the skills of a Lead Auditor and outlines essential audit concepts such as evidence collection, impartiality, objectivity, and ethical conduct. It introduces the core principles that form the foundation of a reliable and consistent auditing process.
- Topic 4: Preparing an ISO/IEC 42001 audit: This section of the exam measures the skills of a Lead Auditor and covers how to plan and prepare for an AI management system audit. It includes creating audit plans, selecting team members, and setting clear objectives to ensure a smooth audit process.
- Topic 5: Conducting an ISO/IEC 42001 audit: This section of the exam measures the skills of a Lead Auditor and focuses on executing the audit according to ISO/IEC 42001 guidelines. It includes collecting evidence, interviewing relevant staff, and evaluating compliance with the AI management system standards.
- Topic 6: Closing an ISO/IEC 42001 audit: This section of the exam measures the skills of an AI Compliance Officer and explains how to complete the audit process. It includes reporting findings, managing nonconformities, and conducting follow-ups to ensure continuous improvement and compliance.
- Topic 7: Managing an ISO/IEC 42001 audit program: This section of the exam measures the skills of an AI Compliance Officer and deals with overseeing an entire audit program. It involves managing multiple audits, tracking audit performance, and aligning audit outcomes with broader organizational goals related to AI governance.
Free PECB ISO-IEC-42001-Lead-Auditor Exam Actual Questions
Note: Premium Questions for ISO-IEC-42001-Lead-Auditor were last updated On Jun. 06, 2026 (see below)
Which of the following should be considered when determining the feasibility of the audit?
Feasibility of the audit depends greatly on the auditee's willingness and cooperation in providing access to documents, staff, systems, and sites.
ISO/IEC 17021-1:2015 Clause 9.1.1 mentions that the audit process feasibility depends on the auditee's willingness to support the audit activities.
Similarly, ISO 19011:2018 Clause 5.4 outlines that: ''Feasibility considerations include the auditee's cooperation and the availability of access to information and personnel.''
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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?
The most relevant core principle here is Fairness and Non-Discrimination. This principle aims to ensure that AI systems do not create or perpetuate bias, especially in high-stakes decision-making areas such as financial services.
According to ISO/IEC 42001:2023 -- Clause 6.1.2 and Annex A (A.8.2.4), organizations must evaluate and manage risks related to bias, discrimination, and ethical implications of AI decisions.
In the PECB Lead Auditor Guide, Fairness is cited as critical in sectors like finance, hiring, healthcare, and where decisions may adversely impact protected groups.
PECB Lead Auditor Guide -- Domain 1: ''Core Principles of Trustworthy AI''
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During an audit, the auditor employed data analytic technology to identify anomalies and unusual patterns in the decision-making processes of an AI system used by a financial institution to approve or reject loan applications. Which data analytic technology did the auditor use?
The auditor used Data Mining.
Data mining involves exploring large datasets to identify patterns, anomalies, or relationships.
ISO/IEC 20546:2019 Clause 3.5 defines data mining as: ''The process of discovering patterns, correlations, anomalies, and associations within large datasets.''
In ISO/IEC 42001:2023, auditors are encouraged in Clause 9.2.2 to use appropriate technological tools to analyze AI system behavior, including using big data technologies for pattern recognition during audits.
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Which control in Annex A of ISO 42001:2023 focuses on the need for stakeholder engagement in AI system development?
Annex A -- Control A.5.2.2: Stakeholder Consultation explicitly requires organizations to consult 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 to identify expectations, values, ethical concerns, and social impact risks associated with the AI system.
Stakeholder engagement supports transparency, ethical alignment, and social acceptability of AI solutions.
PECB Lead Auditor Guide -- Domain 2: ''Governance and Control Requirements for Ethical AI''
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Scenario 4 (continued):
BioNovaPharm, a German biopharmaceutical company, has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to optimize various aspects of drug discovery, including analyzing extensive biological data, identifying potential drug candidates, and streamlining clinical trial processes. After having the AIMS in place for over a year, the company contracted a certification body and is now undergoing an AIMS audit to obtain certification against ISO/IEC 42001.
Adopting a risk-based approach, the audit team focused on risk throughout their activities. The level of detail outlined in the audit plan corresponded to the scope and complexity of the audit. The team employed a ranking system for detailed audit procedures, prioritizing those with the highest risk.
Once the stage 1 audit began, the audit team started reviewing the auditee's documented information. To assess whether BioNovaPharm complies with the legal and regulatory requirements related to incident communication, the audit team examined evidence provided by the company's external legal office. The evidence confirmed that BioNovaPharm applies the requirements of the EU Al Act, which mandates that providers of high-risk Al systems report serious incidents to relevant authorities.
Following the completion of the stage 1 audit, John, an audit team member, documented the stage 1 audit outputs, including the observations of the audit team that could result in nonconformities during the on-site audit. However, the audit team leader, Emma, who was overseeing the audit activities, observed that John failed to document significant observations related to the lack of transparency in the Al decision-making processes of BioNovaPharm. Considering that Emma observed John's lack of competence in undertaking some
audit activities, a disciplinary note was recorded for John.
Based on Scenario 4, is the decision of the top management representative not to provide the additional evidence requested by the audit team justifiable?
Verbal evidence alone is considered less reliable.
ISO/IEC 42001 Clause 9.2.2 states that ''auditors shall corroborate interviews with documented information or other tangible evidence whenever possible.''
The ISO 19011:2018 Guidelines for Auditing Management Systems (adopted for auditing principles) Clause 6.5.6 also clearly specifies: ''Interview results should be verified with other forms of evidence because interviews alone are insufficient.''
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