Free ISO-IEC-42001-Lead-Auditor Practice Test Questions 2026

Scenario 2 (continued):
Empsy HR Solutions is a human resources consulting company that provides innovative HR solutions to diverse industries. Recognizing the significant impact of artificial intelligence Al in HR processes, including its ability to automate repetitive tasks, analyze vast amounts of data for insights, improve recruitment and talent management strategies, and personalize employee experiences, the company has initiated the implementation of an artificial intelligence management system AIMS based on ISO/IEC 42001.
Initially, the top management established an Al policy that was aligned with the company's objectives. The Al policy provided a framework for defining Al objectives, a commitment to meeting relevant requirements, and a dedication to continually improve the AIMS.
However, it did not refer to other organizational policies, although some were relevant to the AIMS. Afterward, the top management documented the policy, communicated it internally, and made it accessible to interested parties.
The top management designated specific individuals to ensure that the AIMS meets the standard's requirements. Additionally, they ensured that these individuals were responsible for overseeing the AIMS, reporting its performance to the top management, and facilitating continual improvement. Moreover, in its awareness sessions, the company focused exclusively on ensuring that all personnel were informed about the Al policy, emphasizing their role in ensuring the effectiveness of the AIMS and the benefits of enhanced Al performance.
The company also planned, implemented, and monitored processes to meet AIMS requirements. Additionally, it set clear criteria and implemented controls based on them, ensuring effective operation, alignment with organizational objectives, and continual improvement. Empsy HR Solutions decided to implement strict measures to control changes to documented information within the AIMS. To ensure the integrity and accuracy of documentation, the company adopted version control practices. Each document update was tracked using a versioning system, with clear records of what was modified, who made the changes, and when the updates occurred. Access to make changes was restricted to authorized personnel, and any proposed modifications required approval from the designated management team before being implemented.
Moreover, considering past experiences where the company encountered unforeseen risks, Empsy HR Solutions established a comprehensive Al risk assessment process. This process involved identifying, analyzing, and evaluating Al risks to determine if it is necessary to implement additional controls than those specified in Annex A. The company also referred to Annex B for guidance on implementing controls and, ultimately, produced a Statement of Applicability So A. The SoA contained the necessary controls, including all the controls of Annex A and justifications for their inclusion or exclusion.
Lastly. Empsy HR Solutions decided to establish an internal audit program to ensure the AIMS conforms to both the company's requirements and ISO/IEC 42001. It defined the audit objectives, criteria, and scope for each audit, selected auditors, and ensured objectivity and impartiality during the audit process. The results of the first audit were documented and reported only to the top management of the company.

Question:
Based on Scenario 2, has Empsy HR Solutions established a suitable internal audit program?

A. No, results of audits should also be reported to the relevant managers

B. Yes, the internal audit program was established in accordance with ISO/IEC 42001 requirements

C. No, the company should outsource the internal audit function to ensure objectivity and impartiality

D. Yes, provided results are communicated only to top management

Based on Scenario 7, what sampling method was used to assess TastyMade's adherence to some requirements of Clause 4.1 Understanding the organization and its context?
Scenario 7: TastyMade. headquartered in Hamburg, Germany, is an established company in the food manufacturing industry that applies Al technologies in its operations. It has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to further strengthen its Al management and ensure compliance with international standards. As part of its commitment to excellence and continual improvement, TastyMade is undergoing an audit process to achieve certification against ISO/IEC 42001.
In preparation for the audit, TastyMade collaborated closely with the audit team leader to develop a detailed audit plan. This plan encompassed objectives, criteria, scope, and logistical arrangements for both on-site and remote audit activities. Recognizing the specialized nature of Al integration, a technical expert was brought in to support the audit team and ensure comprehensive coverage of relevant aspects. Upon discussion with the audit team leader, it was mutually decided that not every audit team member would need a guide throughout the audit process. At times, the TastyMade itself would assume the role of the guide, actively facilitating audit activities.
A formal opening meeting was held with TastyMade's management to provide an overview of the audit process and set expectations. During this meeting, key interested parties were briefed on the audit objectives and the methodologies that would be employed during the audit. Following the meeting, the audit team proceeded with their work, collecting information and conducting tests to evaluate the effectiveness of TastyMade's AIMS.
Daily evening meetings were held to review progress, discuss encountered issues, and facilitate collaboration among audit team members. The audit team leader adopted an open communication approach, encouraging all auditors to share their findings and challenges. The communication regarding the progress of the audit was informal, allowing for a fluid exchange of information and updates among team members.
To verify adherence to some requirements of clause 4.1 Understanding the organization and its context, the audit team arbitrarily selected for analysis a representative sample of Al management practices across different departments and functions within the company.
During the audit process, the technical expert uncovered certain technical and operational findings related to the integration and governance of Al systems.
Recognizing the significance of these findings, the expert promptly informed the audit team leader. Understanding the need for further clarification and direct communication, the audit team leader authorized the technical expert to address the findings directly with the auditee. However, to ensure proper oversight, the expert was supervised by one of the audit team members.
Throughout the audit, it became apparent that TastyMade promoted a culture of autonomy and decentralized decision-making in Al integration processes. Employees were empowered to set goals, allocate responsibilities, and devise methodologies independently, with management providing guidance and support as needed. This approach fostered innovation and agility within the company

A. Systematic

B. Random

C. Stratified

D. Judgmental

Scenario: NeuraGen, founded by a team of AI experts and data scientists, has gained attention for its advanced use of artificial intelligence. It specializes in developing personalized learning platforms powered by AI algorithms. MindMeld, its innovative product, is an educational platform that uses machine learning and stands out by learning from both labeled and unlabeled data during its training process. This approach allows MindMeld to use a wide range of educational content and personalize learning experiences with exceptional accuracy. Furthermore, MindMeld employs an advanced AI system capable of handling a wide variety of tasks, consistently delivering a satisfactory level of performance. This approach improves the effectiveness of educational materials and adapts to different learners' needs.
NeuraGen skillfully handles data management and AI system development, particularly for MindMeld. Initially, NeuraGen sources data from a diverse array of origins, examining patterns, relationships, trends, and anomalies. This data is then refined and formatted for compatibility with MindMeld, ensuring that any irrelevant or extraneous information is systematically eliminated. Following this, values are adjusted to a unified scale to facilitate mathematical comparability. A crucial step in this process is the rigorous removal of all personally identifiable information (PII) to protect individual privacy. Finally, the data is subjected to quality checks to assess its completeness, identify any potential bias, and evaluate other factors that could impact the platform's efficacy and reliability.
NeuraGen has implemented an advanced artificial intelligence management system (AIMS) based on ISO/IEC 42001 to support its efforts in AI-driven education. This system provides a framework for managing the life cycle of AI projects, ensuring that development and deployment are guided by ethical standards and best practices.
NeuraGen's top management is key to running the AIMS effectively. Applying an international standard that specifically provides guidance for the highest level of company leadership on governing the effective use of AI, they embed ethical principles such as fairness, transparency, and accountability directly into their strategic operations and decision-making processes.
While the company excels in ensuring fairness, transparency, reliability, safety, and privacy in its AI applications, actively preventing bias, fostering a clear understanding of AI decisions, guaranteeing system dependability, and protecting user data, it struggles to clearly define who is responsible for the development, deployment, and outcomes of its AI systems. Consequently, it becomes difficult to determine responsibility when issues arise, which undermines trust and accountability, both critical for the integrity and success of AI initiatives.
Based on Scenario 1, which of the following processes did NeuraGen NOT conduct regarding data?

A. Data annotation

B. Data preparation

C. Filtering

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?

A. Predictive analytics

B. Text analytics

C. Data mining

D. Sentiment analysis

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.

Question:
Based on Scenario 4, does the level of detail in the audit plan adequately reflect all aspects recommended for a comprehensive risk-based approach to planning?

A. Yes, the amount of detail provided in the audit plan reflects all the necessary aspects

B. No, detailed audit procedures should have been prioritized based on the level of risk, from lowest to highest

C. No, the audit plan should have included sufficient detail correlating with the risk of not achieving the audit objectives

D. No, the audit plan should have focused on nonconformities only

Scenario 6 (continued):
Scenario 6: HappilyAI is a pioneering enterprise dedicated to developing and deploying artificial intelligence Al solutions tailored to enhance customer service experiences across various industries. The company offers innovative products like virtual assistants, predictive analytics tools, and personalized customer interaction platforms. As part of its commitment to operational excellence and innovation, HappilyAI has implemented a robust Al management system AIMS to oversee its Al operations effectively. Currently. HappilyAI is undergoing a comprehensive audit process of its AIMS to evaluate its compliance with ISO/IEC 42001.
Under the leadership of Jess, the audit team began the audit process with meticulous planning and coordination, setting the groundwork for the extensive on-site activities of the stage 1 audit. This initial phase was marked by a comprehensive documentation review. The audit scope encompassed a critical review of HappilyAI's core departments, including Research and Development (R&D), Customer Service, and Data Security, aiming to assess the conformity of HappilyAI's AIMS to the requirements of ISO/IEC 42001.
Afterward, Jess and the team conducted a formal opening meeting with HappilyAI to introduce the audit team and outline the audit activities. The meeting set a collaborative tone for the subsequent phases, where the team engaged in information collection, executed audit tests, identified findings, and prepared draft nonconformity reports while maintaining a strict quality review process.
In gathering evidence, the audit team employed a sampling method, which involved dividing the population into homogeneous groups to ensure a comprehensive and representative data collection by drawing samples from each segment. Furthermore, the team employed observation to deepen their understanding of the Al management processes. They verified the availability of essential documentation, including Al-related policies, and evaluated the communication channels established for reporting incidents.
Additionally, they scrutinized specific monitoring tools designed to track the performance of data acquisition processes, ensuring these tools effectively identify and respond to errors or anomalies. However, a notable challenge emerged as the team encountered a lack of access to documented information that describes how tasks about AIMS are executed. In addition to this, the team identified a potential nonconformity within the Sales Department. They decided not to record this as a nonconformity in the audit report but only communicated it to the HappilyAI's representatives.
During the stage 2 audit, the certification body, in collaboration with HappilyAI, assigned the roles of technical experts within the audit team. Recognized for their specialized knowledge and expertise in artificial intelligence and its applications, these technical experts are tasked with the thorough assessment of the AIMS framework to ensure its alignment with industry standards and best practices, focusing on areas such as data ethics, algorithmic transparency, and Al system security.

Question:
Based on Scenario 6, the auditor did not include the potential nonconformity of the Sales Department in the audit report. Is this acceptable?

A. Yes, because the Sales Department is not included in the audit scope

B. No, problems, within or outside the scope of the audit, must be included in the audit report

C. Yes, because auditors have the discretion to omit any findings they deem insignificant, regardless of the audit scope

The certification body did not include all departments covered by the AIMS scope in the audit scope. Is this acceptable? Refer to Scenario 5.
Scenario 5: Alterhealth is a mid-sized technology firm based in Toronto. Canada. It develops Al systems for healthcare providers, focusing on improving patient care, optimizing hospital workflows, and analyzing healthcare data for insights that can improve health outcomes. To ensure responsible and effective use of Al in its operations, Alterhealth has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001. After a year of having the AIMS in place, the company decided to apply for a certification audit to obtain certification against ISO/IEC 42001.
The company contracted a certification body to conduct the audit, who assembled the audit team and appointed the audit team leader. The audit team leader had conducted a certification audit at Alterhealth in the past. The top management of Alterhealth decided to reject the appointment of this auditor because they believed that they would not receive added value from the audit. In response, the certification body appointed Jonathan, an independent auditor with no prior engagements with Alterhealth, as the new audit team leader. Jonathan's introduction marked the beginning of a collaborative process aimed at evaluating the conformity of the AIMS to ISO/IEC 42001 requirements.
The certification body determined the audit scope, which included only specific departments essential to the integration and application of Al, such as the Al Research, Machine Learning Applications, and Al Ethics and Compliance Departments, and did not cover all of the departments covered by the AIMS scope. Meanwhile, Alterhealth determined the audit time, setting the necessary time frame for planning and conducting a thorough and effective review to ensure all aspects of the AIMS within the selected departments were meticulously reviewed.
Afterward, Jonathan received a detailed offer from the certification body, outlining his role and including information related to the audit, such as the audit's duration, team members, their responsibilities, the limits to the audit engagement, and their salary compensation. With a clear mandate, Jonathan was tasked with a multitude of responsibilities: defining the audit objectives and criteria, planning the audit process, identifying and addressing audit risks, managing communication with Alterhealth, overseeing the audit team, and ensuring a smooth and conflict free execution.
With Jonathan's leadership and a well-defined audit framework in place, the certification audit proceeded with a structured and objective evaluation of Alterhealth's AIMS.

A. No, the audit scope must include all of the auditee's departments part of the AIMS scope

B. No, the audit scope must cover all of the auditee's departments regardless of whether they are included in the AIMS scope

C. Yes, the audit scope does not necessarily include all of the auditee's departments covered by the AIMS scope

D. Yes, if it is a Stage 1 audit only

While auditing a company’s AIMS, the audit team reviewed policies, objectives, and communications to evaluate the involvement of top management. They also conducted interviews with staff to assess the engagement of leaders at various levels in ensuring the system’s effectiveness. Based on this approach, what level of management should the auditors prioritize when assessing leadership and commitment?

A. They should focus on leadership at the top management level

B. They should focus on leadership at all levels of management

C. They should focus on the leadership of department heads

A global bank is currently evaluating the effectiveness of its AI management system controls through an AIMS audit. Which role is being played by this company?

A. An accreditation body

B. A certification body

C. An auditee

D. An advisory body

The top management of Alterhealth initially rejected the selected audit team leader because they had audited the company in the past, and thus would not bring added value for the auditee. Is this acceptable?
Scenario 5: Alterhealth is a mid-sized technology firm based in Toronto. Canada. It develops Al systems for healthcare providers, focusing on improving patient care, optimizing hospital workflows, and analyzing healthcare data for insights that can improve health outcomes. To ensure responsible and effective use of Al in its operations, Alterhealth has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001. After a year of having the AIMS in place, the company decided to apply for a certification audit to obtain certification against ISO/IEC 42001.
The company contracted a certification body to conduct the audit, who assembled the audit team and appointed the audit team leader. The audit team leader had conducted a certification audit at Alterhealth in the past. The top management of Alterhealth decided to reject the appointment of this auditor because they believed that they would not receive added value from the audit. In response, the certification body appointed Jonathan, an independent auditor with no prior engagements with Alterhealth, as the new audit team leader. Jonathan's introduction marked the beginning of a collaborative process aimed at evaluating the conformity of the AIMS to ISO/IEC 42001 requirements.
The certification body determined the audit scope, which included only specific departments essential to the integration and application of Al, such as the Al Research, Machine Learning Applications, and Al Ethics and Compliance Departments, and did not cover all of the departments covered by the AIMS scope. Meanwhile, Alterhealth determined the audit time, setting the necessary time frame for planning and conducting a thorough and effective review to ensure all aspects of the AIMS within the selected departments were meticulously reviewed.
Afterward, Jonathan received a detailed offer from the certification body, outlining his role and including information related to the audit, such as the audit's duration, team members, their responsibilities, the limits to the audit engagement, and their salary compensation. With a clear mandate, Jonathan was tasked with a multitude of responsibilities: defining the audit objectives and criteria, planning the audit process, identifying and addressing audit risks, managing communication with Alterhealth, overseeing the audit team, and ensuring a smooth and conflict free execution. With Jonathan's leadership and a well-defined audit framework in place, the certification audit proceeded with a structured and objective evaluation of Alterhealth's AIMS.

A. Yes, this is a valid reason for rejecting an auditor

B. No, an auditor can only be rejected by the auditee if a conflict of interest is present

C. No, the auditee does not have the authority to reject an auditor assigned by the certification body

D. Yes, if the auditor lacks knowledge of AI systems

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

A. Before the initial audit

B. During the initial audit

C. Beyond the initial audit

Based on Scenario 6, which aspect of assigning roles and responsibilities to the audit team is incorrect?
Scenario 6: AfrinovAl, based in Nairobi, Kenya, develops Al tools to improve agriculture in Africa. The company uses Al to address challenges faced by African farmers, offering tools for analyzing satellite images to monitor crop health, predicting pest and disease outbreaks, and automating irrigation to use water more efficiently.
AfrinovAl has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001, reflecting its commitment to ethical and effective management practices in its Al solutions.
AfrinovAl is undergoing a certification audit to obtain certification against ISO/IEC 42001. Samuel, an expert in Al technologies and management systems, is heading the audit team. Before initiating the audit process, Samuel reviewed and approved the audit plan, which served as a basis for the agreement between the certification body and the auditee.
During the stage 1 audit, the audit team focused on a detailed evaluation of AfrinovAI's documented information, critically assessing both their format and content.
Samuel held a meeting with his team to prepare for the stage 2 audit. During this meeting, responsibilities were allocated among team members, assigning specific processes, functions, sites, areas, or activities based on each auditor's expertise and the audit requirements. He also assigned auditing roles to technical experts to leverage their specialized knowledge in specific areas.
In the stage 2 audit, Samuel and his team held an opening meeting during which Samuel explained how the audit activities will be undertaken. AfrinovAI's also participated in the meeting. Afterward, the audit team conducted on-site activities to closely inspect the physical locations of the audited processes. The interviewed individuals from the auditee's personnel regarding the AIMS and observed some of the operations of the auditee. They also used sampling and technical verification to assess the implementation of Al-related controls, verify compliance with established procedures, and identify any gaps in adherence to the AIMS requirements. They skipped the review of documented information related to the AIMS since some documents had already been reviewed during the stage 1 audit. This comprehensive approach ensured a thorough evaluation of AfrinovAI's AIMS against the ISO/IEC 42001.

A. Assigning team members based on their expertise

B. Assigning auditing roles to technical experts

C. Not including guides during the assignment of roles and responsibilities

D. Assigning functions based on audit scope