100% PASS QUIZ ISO-IEC-42001-LEAD-AUDITOR - ISO/IEC 42001:2023ARTIFICIAL INTELLIGENCE MANAGEMENT SYSTEM LEAD AUDITOR EXAM–EFFICIENT EXAM PATTERN

100% Pass Quiz ISO-IEC-42001-Lead-Auditor - ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam–Efficient Exam Pattern

100% Pass Quiz ISO-IEC-42001-Lead-Auditor - ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam–Efficient Exam Pattern

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

TopicDetails
Topic 1
  • 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 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
  • 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.
Topic 4
  • 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 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.

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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q111-Q116):

NEW QUESTION # 111
During the audit planning phase, what is the primary activity an auditor should focus on?

  • A. Issuing corrective actions
  • B. Preparing checklists and audit plans
  • C. Conducting interviews with staff
  • D. Reviewing the final report

Answer: B

Explanation:
During theaudit planning phase, the auditor's key responsibility is toprepare audit plans, checklists, and resource allocationsto ensure an effective and efficient audit.
According toISO 19011:2018 - Clause 6.4.1, planning includes preparing the audit plan, defining the audit schedule, and ensuring that required documents, tools, and team members are ready.
ThePECB Lead Auditor Guide - Domain 4further emphasizes preparing tailoredaudit checklistsbased on ISO/IEC 42001 clauses and relevant organizational processes.
Reference: ISO 19011:2018 - Clause 6.4.1 (Planning the audit)
PECB Lead Auditor Guide - Domain 4: "Audit Planning Activities and Tools"


NEW QUESTION # 112
An AI system is being developed to assist elderly people in their daily activities. The system needs to be intuitive and align with the needs and values of its users. Which core element of AI should guide the design and development of this AI system?

  • A. Transparency and Explainability
  • B. Human-Centered Design
  • C. Accountability
  • D. Fairness and Non-Discrimination

Answer: B

Explanation:
The correct guiding principle in this scenario isHuman-Centered Design. This principle is explicitly emphasized inISO/IEC 42001:2023, particularly in the context of aligning AI systems withhuman needs, values, and well-being.
Human-Centered Design ensures that the AI system is designed with afocus on users, particularly vulnerable populations like the elderly. The AI should be intuitive, inclusive, and usable while enhancing human capabilities.
In ISO/IEC 42001:2023:
* Clause 4.2 (Understanding the needs and expectations of interested parties)requires that systems consider stakeholders, particularly end users, when defining system requirements.
* Clause 6.1.2 (AI risk identification and assessment)andClause 8.2.3 (Operational planning and control)reinforce designing systems that respect and respond to human diversity and usability needs.
ThePECB Lead Auditor Guide - Domain 1lists Human-Centered Design as one of thefoundational AI principlesessential for promoting trust, accessibility, and adoption among users - especially those with specific assistance needs.
Reference: ISO/IEC 42001:2023 - Clauses 4.2, 6.1.2, 8.2.3
PECB Lead Auditor Guide - Domain 1, Topic: "Trustworthy and Ethical AI Principles," Subsection: Human- Centered Design


NEW QUESTION # 113
Scenario 8 (continued):
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, theaudit 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.
After being recommended for certification (pending submission of corrective actions), InnovateSoft did not notify the auditor about completion of corrections and corrective actions.
Question:
Is this acceptable?

  • A. No, audit team leader must be informed to evaluate the effectiveness of the actions with a visit on the auditee's site
  • B. No, the auditee is required to inform the auditor about the completion status of the corrections and corrective actions
  • C. Yes, since the auditee was recommended for certification upon the submission of corrective action plans without a prior visit

Answer: B

Explanation:
The auditee mustformally inform the certification body(or designated auditor) once corrective actions are completed - even if no follow-up visit is required.
* ISO/IEC 17021-1:2015 Clause 9.4.9.3requires the auditor toreview evidence of correction and corrective actions, and the client is responsible for providing this.
* TheLead Auditor Manualemphasizes:"The audit team cannot confirm closure of nonconformities without documented evidence or confirmation from the auditee." Reference:ISO/IEC 17021-1:2015 Clause 9.4.9.3; ISO/IEC 42001 Lead Auditor Study Guide - Section 9 ("Audit Closure").


NEW QUESTION # 114
Scenario 9 (continued):
Scenario 9: Securisai, located in Tallinn.Estonia, specializes in the development of automated cybersecurity solutions that utilize AIsystems. The company recently implemented an artificial intelligence management system AIMS in accordance with ISO/IEC 42001. Indoing so, the company aimed to manage its Al-driven systems' capabilities to detect and mitigate cyber threats more efficiently andethically. As part of its commitment to upholding the highest standards of Al use and management, Securisai underwent a certificationaudit to demonstrate compliance with ISO/IEC 42001.
The audit process comprised two main stages: the initial or stage 1 audit focused on reviewingSecurisai's documentation, policies, andprocedures 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 thecertification 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 despitebeing initially bound by a long-term agreement with the current certification body.
This decision was motivated by the desire to partnerwith 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 copyright its certification status, Securisai is diligently compiling the required documentation forsubmission to the new certification body. This includes a formal request, the most recent audit report underscoring its adherence toISO/IEC 42001, the latest corrective action plan that highlights its continuous efforts toward improvement, and a copy of its current validcertification 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.
Roger followed up on action plans after the external audit at Securisai, but he was directly involved in strategic decision-making processes, potentially affecting his audit objectivity.
Question:
Based on Scenario 9, which principle of internal auditing did Roger violate?

  • A. Independence
  • B. Objectivity
  • C. Integrity

Answer: A

Explanation:
Independenceis compromised when an auditor has direct involvement in the management or decision-making processes of the system being audited.
* ISO/IEC 19011:2018 Clause 4.5defines independence as:"The basis for the impartiality and objectivity of the audit conclusions."
* ISO/IEC 17021-1:2015 Clause 5.2.5reinforces that personnel auditing must be free from involvement in the area audited.
* By participating in strategic decision-making, Roger violated the independence principle.
Reference:ISO/IEC 19011:2018 Clause 4.5; ISO/IEC 17021-1:2015 Clause 5.2.5.


NEW QUESTION # 115
An audit team member is tasked with evaluating a sophisticated AI system used for autonomous driving. They lack the necessary expertise but proceed without consulting a specialist. Which principle is being neglected in this scenario?

  • A. Independence
  • B. Integrity
  • C. Confidentiality
  • D. Due Professional Care

Answer: D

Explanation:
The principle being neglected isDue Professional Care.
According toISO 19011:2018 - Clause 4(f), auditors are expected to applydiligence, competence, and judgmentduring audit activities. If an auditor proceeds with an auditwithout the required expertise, especially for a high-risk system like autonomous driving, this violates the principle of due care.
ThePECB Lead Auditor Guide - Domain 3clearly states that in complex technical environments (such as AI or autonomous systems), auditors mustseek assistance from domain specialistswhen they lack direct experience.
Reference: ISO 19011:2018 - Clause 4(f): "Due professional care"
PECB Lead Auditor Guide - Domain 3: "Auditor Competence and Responsibilities"


NEW QUESTION # 116
......

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