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Exam Details

• Exam Name: ISO/IEC 42001:2023 Lead Auditor Certified (42001-LA)
• Exam Format: Multiple choice, online with remote supervision (proctoring)
• Exam Delivery: Safe Exam Browser
• Number of Questions: 75 questions: 75% scenarios / 25% conceptual
• Exam Duration: 120 minutes
• Passing Score: 70% (53 out of 75 correct answers)
• Available Languages: Spanish / English
• Attempts: Maximum 2 attempts (minimum 15 days between attempts)
• Validity: 3 years · 15 CPD credits per year

Main Subjects

• Audit, leadership and AI management fundamentals (10%): ISO 19011 applied to team leadership; First-, second- and third-party audits; Leadership and communication in the audit; AIMS maturity.
• Audit program and team leadership (15%): Risk-based annual program; Independent and competent team; Roles: lead, technical experts, observers and specialists; Conflicts, pressure and mentoring auditors.
• Planning and preparing led audits (15%): Review of the AI policy, the SoA and the Impact Assessment; Checklists and audit plan; Audit risks; On-site, remote and hybrid logistics and sampling.
• Leading the audit: clauses 4 to 10 (25%): Context, leadership and planning; Support, operation and AI suppliers; Performance evaluation and improvement; Disputed findings, lack of cooperation and fraud.
• Advanced evaluation of AI controls (15%): Annex A controls and Annex B guidance; AI objectives (Annex C) and sectors (Annex D); Statement of Applicability and control effectiveness.
• Reporting, certification decisions and follow-up (12%): Major NC, minor NC, observation and opportunity for improvement; Final report and closing meeting; Recommending certification, suspension or non-certification; Appeals and follow-up.
• Integrated auditing, regulation and risk (8%): Integration with ISO/IEC 27001, ISO 9001, ISO 22301 and ISO/IEC 27701; EU AI Act, GDPR and NIST AI RMF; Risk management with ISO 31000.

Who is this certification for?

• Management system lead auditors: Who want to extend their scope to AI governance.
• Compliance, privacy and risk directors: Who lead conformity assessments of AI systems.
• Senior AI governance consultants: Who conduct second- and third-party audits.
• 42001-IC and 42001-IAE certified professionals: Who complete the AI governance path.

Prerequisites

Mandatory: ISO/IEC 42001:2023 Implementer Certified (42001-IC) and ISO/IEC 42001:2023 Internal Auditor Certified (42001-IAE). 42001-LA is the highest level of the CertJoin ISO/IEC 42001 path.