ISO-IEC-42001-Lead-Auditor Reliable Study Materials, Exam ISO-IEC-42001-Lead-Auditor PDF

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PECB ISO-IEC-42001-Lead-Auditor Exam Syllabus Topics:

Topic	Details
Topic 1	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 2	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 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	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 6	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.

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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q95-Q100):

NEW QUESTION # 95
Scenario 8:
Scenario 8: InnovateSoft, headquartered in Berlin, Germany, is a software development company known for its innovative solutions andcommitment to excellence. It specializes in custom software solutions, development, design, testing, maintenance, and consulting,covering both mobile apps and web development.
Recently, the company underwent an audit to evaluate the effectiveness and compliance of its artificial intelligence management system AIMS against ISO/IEC 42001.
The audit team engaged with the auditee to discuss their findings and observations during the audit's final phases. After evaluating theevidence, the audit team presented their audit findings to InnovateSoft, highlighting the identified nonconformities.
Upon receiving the audit findings, InnovateSoft accepted the conclusions but expressed concerns about some findings inaccuratelyreflecting the efficiency of their software development processes. In response, the company provided new evidence and additionalinformation to alter the audit conclusions for a couple of minor nonconformities identified. After thorough consideration, the audit teamleader clarified that the new evidence did not significantly alter the core conclusions drawn for the nonconformities. Therefore, thecertification body issued a certification recommendation conditional upon the filing of corrective action plans without a prior visit.
InnovateSoft accepted the decision of the certification body. The top management of the company also sought suggestions from theaudit team on resolving the identified nonconformities. The audit team leader offered solutions to address the issues, fostering acollaborative effort between the auditors and InnovateSoft.During the closing meeting, the audit team covered key topics to enhance transparency. They clarified to InnovateSoft that the auditevidence was based on a sample, acknowledging the inherent uncertainty. The method and time frame of reporting and grading findingswere discussed to provide a structured overview of nonconformities. The certification body's process for handling nonconformities,including potential consequences, guided InnovateSoft on corrective actions. The time frame for presenting a plan for correction was communicated, emphasizing urgency. Insights into the certification body's post-audit activities were provided, ensuring ongoing support.
Lastly, the audit team briefed InnovateSoft on complaint and appeal handling.
InnovateSoft submitted the action plans for each nonconformity separately, describing only the detected issues and the correctiveactions planned to address the detected nonconformities. However, the submission slightly exceeded the specified period of 45 days setby the certification body, arriving three days later.
InnovateSoft explained this by attributing the delay to unexpected challengesencountered during the compilation of the action plans.
Question:
Was the audit team leader's attitude appropriate regarding the new evidence provided by the company?

A. Yes, auditors should consider the new evidence provided and modify their audit conclusion, if necessary
B. No, auditors should consult with the certification body before making any decisions regarding new evidence presented after the stage
C. No, auditors should not take into consideration new evidence or additional information after reaching audit conclusions

Answer: A

Explanation:
Auditorsmust remain open to considering additional evidence- even if submitted late - as long as it is relevant and within the audit timeframe.
* ISO/IEC 17021-1:2015 Clause 9.4.7states:"The audit team shall reconsider audit conclusions in light of any new, relevant information received before the audit report is finalized."
* TheLead Auditor Guidereinforces:"Evidence-based decision-making must include post-audit review of any additional submissions before certification decisions are made." Reference:ISO/IEC 17021-1:2015 Clause 9.4.7; ISO/IEC 42001 Lead Auditor Manual - Section 7 ("Handling New Evidence Post-Audit").

NEW QUESTION # 96
Scenario 4 (continued):
BioNovaPharm, a German biopharmaceutical company, has implemented an artificial intelligence management system AIMSbased on ISO/IEC 42001 to optimize various aspects of drug discovery, including analyzing extensive biological data, identifying potentialdrug candidates, and streamlining clinical trial processes. After having the AIMS in place for over a year, the company contracted acertification 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 plancorresponded to the scope and complexity of the audit. The team employed a ranking system for detailed audit procedures, prioritizingthose with the highest risk.
Once the stage 1 audit began, the audit team started reviewing the auditee's documented information. To assess whether BioNovaPharmcomplies with the legal and regulatory requirements related to incident communication, the audit team examined evidence provided bythe company's external legal office. The evidence confirmed that BioNovaPharm applies the requirements of the EU Al Act, whichmandates 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 theobservations of the audit team that could result in nonconformities during the on-site audit. However, the audit team leader, Emma, whowas overseeing the audit activities, observed that John failed to document significant observations related to the lack of transparency inthe 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:
Which of the following AI applications for auditing did the audit team employ?

A. Augmented analysis
B. Automated data validation
C. Automated planning
D. Augmented audit interviews

Answer: B

Explanation:
The audit team usedAutomated Data Validationby using AI to gather and validate external digital data (e.g., drug development information).
* ISO/IEC 42001 Clause 9.2.2 allows the use ofautomated methodsto collect and validate information, provided that the reliability and integrity of such systems are ensured.
* TheLead Auditor Course Guideexplains:"Automated data validation tools help auditors improve evidence collection efficiency by cross-referencing multiple datasets with minimal manual intervention." Reference:ISO/IEC 42001:2023 Clause 9.2.2; Lead Auditor Guide Module 5 ("Use of Automated Tools in Audits").

NEW QUESTION # 97
Which core element focuses on ensuring that the creators and operators of AI systems are responsible for the outcomes and impacts of those systems?

A. Privacy and Security
B. Fairness and Non-Discrimination
C. Safety and Reliability
D. Accountability

Answer: D

Explanation:
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"

NEW QUESTION # 98
Which among the following is NOT a core element of AIMS?

A. Fairness and non-discrimination
B. Independence and honesty
C. Safety and reliability
D. Privacy and security

Answer: B

Explanation:
WhileIndependence and honestyare general auditing values (as perISO 19011:2018, Clause 4 on audit principles), they arenot listed as core principlesof an AI Management System (AIMS) underISO/IEC 42001:
2023.
The recognizedcore principles and valueswithin an AIMS - according to the standard and PECB training
- include:
* Fairness and Non-Discrimination
* Privacy and Security
* Safety and Reliability
* Accountability
* Transparency and Explainability
* Human-Centered Design
These principles guide therisk management, operational control, and ethical alignmentof AI systems throughout their lifecycle, as required in Clauses 4.2, 6.1, and 8.2 of ISO/IEC 42001.
Reference: ISO/IEC 42001:2023 - Clauses 4.2, 6.1.2, 8.2.3
PECB Lead Auditor Guide - Domain 1: "Core Principles of AIMS"

NEW QUESTION # 99
What type of evidence is an external audit report?

A. Physical
B. Analytical
C. Confirmative
D. Technical

Answer: C

Explanation:
Anexternal audit reportis a form ofconfirmative evidence, as it providesthird-party verificationor validation of conformance to specified criteria.
According to the PECB Lead Auditor Guide - Domain 3,confirmative evidenceincludesdocuments like certifications, prior audit results, regulatory reports, and third-party assessments.
Such evidence supports or corroborates the auditor's findings and helps build confidence in the audit conclusions - especially when reviewingAI systems that may require external validation for ethical or technical robustness.
Reference: PECB Lead Auditor Guide - Domain 3: "Types of Audit Evidence," Table: Types of Evidence (confirmative vs physical vs analytical) ISO 19011:2018 - Clause 6.4.5 (Collecting information), which recognizes external records as valid sources of evidence

NEW QUESTION # 100
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ISO-IEC-42001-LEAD-AUDITOR RELIABLE STUDY MATERIALS, EXAM ISO-IEC-42001-LEAD-AUDITOR PDF

ISO-IEC-42001-Lead-Auditor Reliable Study Materials, Exam ISO-IEC-42001-Lead-Auditor PDF