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Demo ISO-IEC-42001-Lead-Auditor Test | ISO-IEC-42001-Lead-Auditor Download Demo

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

Topic
Details

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

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.

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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q25-Q30):

NEW QUESTION # 25
Scenario 1 (continued):
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution's own requirements and that the system is being maintained effectively.
Question:
Based on Scenario 1, what category of AI systems did Future Horizon Academy utilize?

A. Semantic computing
B. Machine perception
C. Soft computing
D. Cognitive computing

Answer: D

Explanation:
Future Horizon Academy's AI involves mimicking human learning from structured data and contextual metadata, which is part ofCognitive Computing. ISO/IEC 42001 Annex B highlights cognitive capabilities such as learning, reasoning, and adapting-relevant to the described system.Reference:ISO/IEC 42001:2023 Annex B (Informative: Cognitive Capabilities).

NEW QUESTION # 26
A company develops an AI-based health monitoring system that provides insights and recommendations to users. However, users have reported that they do not understand how the system arrives at its recommendations. Which core element should the company enhance to improve user trust and understanding?

A. Human-Centered Design
B. Fairness and Non-Discrimination
C. Safety and Reliability
D. Transparency and Explainability

Answer: D

Explanation:
The issue in this case revolves aroundusers not understanding the reasoning or logicbehind the AI- generated recommendations. The relevant core element isTransparency and Explainability.
According toISO/IEC 42001:2023 - Clause 6.1.2 and Clause 8.2.3, transparency refers to theclarity of processes, decisions, and data use, while explainability focuses on makingAI system outputs understandableto human users.
ThePECB Lead Auditor Guideidentifies this as a key factor in buildingtrust, usability, and ethical AI adoption, especially insensitive domainslike healthcare.
Reference: ISO/IEC 42001:2023 - Clause 6.1.2 (Risk and impact assessment), Clause 8.2.3 (Controls related to operational use) PECB Lead Auditor Guide - Domain 1: "Transparency and Explainability" in AI Ethics

NEW QUESTION # 27
Scenario 3: Heala specializes in developing AI-driven solutions for the healthcare sector. With a keen focus on leveraging AI to revolutionize patient care, diagnostics, and treatment planning, the company 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.
It contracted a local certification body, who established the audit team and assigned the audit team leader.
Augustine, the designated audit team leader, has a wide range of skills relevant to various auditing domains.
His proficiency encompasses audit principles, processes, and methods, as well as standards for management systems and additional references. Furthermore, he is knowledgeable about Heala's context and relevant statutory and regulatory requirements.
Augustine first gathered management review records, interested party feedback logs, and revision histories for Heala's AIMS. This crucial step laid the groundwork for a deeper investigation, which included conducting comprehensive interviews with key personnel to understand how feedback from interested parties directly influenced updates to the AIMS and its strategic direction. Augustine's thorough evaluation process aimed to verify Heala's commitment to integrating the needs and expectations of interested parties, a critical requirement of ISO/IEC 42001.
Augustine also integrated a sophisticated AI tool to analyze large datasets for patterns and anomalies, and thus have a more informed and data-driven audit process. This AI solution, known for its ability to sift through vast amounts of data with unparalleled speed and accuracy, enabled Augustine to identify irregularities and trends that would have been nearly impossible to detect through manual methods. The tool was also helpful in preparing hypotheses based on data.
During the audit, Augustine failed to fully consider Heala's critical processes, expectations, the complexity of audit tasks, and necessary resources beforehand. This oversight compromised the audit's integrity and reliability, reflecting a significant deviation from the diligence and informed judgment expected of auditors.
Based on the scenario above, answer the following question:
Did Augustine possess the knowledge and skills required to be appointed as an audit team leader?

A. No, Augustine lacked understanding of Heala's organizational structure, objectives, and management practices necessary for an auditor
B. Yes, Augustine had the required knowledge and skills to exercise the role of an auditor
C. No, Augustine did not possess knowledge on Heala's operations and products

Answer: B

Explanation:
According to ISO/IEC 17021-1:2015 (used for auditor competence requirements in management system certification), audit team leaders must demonstrate competence in:
Understanding of audit principles, processes, and methods
Knowledge of relevant standards (such as ISO/IEC 42001)
Familiarity with organizational context, statutory/regulatory frameworks, and management systems Ability to collect and evaluate objective evidence Communication and leadership skills Based on the scenario:
Augustine had deep knowledge of ISO/IEC 42001, audit principles, regulatory requirements, and Heala's context.
He reviewed strategic documents, conducted interviews, and applied AI tools effectively to enhance evidence- based auditing.
His oversight in audit planning (failing to evaluate complexity, resources, and expectations) reflects a lapse in planning diligence, not a lack of knowledge or qualification.
Therefore, Augustine met the knowledge and skill requirements of an auditor and audit team leader. His failure in audit planning relates to execution, not competency, so Option C is correct.
Reference:
ISO/IEC 17021-1:2015, Clause 7.2.5 - Competence of audit team leader
ISO/IEC 42001:2023, Clause 9.2 - Internal audit
PECB ISO/IEC 42001 Lead Auditor Guide, Chapter 5 - Auditor competencies and ethical conduct ChatGPT said:

NEW QUESTION # 28
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, was the awareness session conducted in accordance with the requirements of Clause 7.3 Awareness of ISO/IEC 42001?

A. No, the awareness session should also communicate the implications of not conforming to the AIMS requirements
B. Yes, the awareness session informed employees about the AI policy and highlighted their role in ensuring the effectiveness of the AIMS
C. No, the awareness session should also explain the justification for the inclusion and the exclusion of Annex A controls
D. Yes, because awareness sessions focus only on AI policy

Answer: A

Explanation:
ISO/IEC 42001 Clause 7.3 requires that awareness training should not only inform employees about the AI policy and roles but also communicate the implications of nonconformance with AIMS requirements.
Since Empsy HR Solutions missed this, it is non-compliant.
Reference: ISO/IEC 42001:2023 Clause 7.3 (Awareness).

NEW QUESTION # 29
Scenario 5: Aizoia, located in Washington, DC, has revolutionized data analytics, software development, and consulting by usingadvanced Al algorithms. Central to its success is an Al platform adept at deciphering complex datasets for enhanced insights. To ensure that its Al systems operate effectively and responsibly, Aizoia has established an artificial intelligence management system AIMS basedon ISO/IEC 42001 and is now undergoing a certification audit to verify the AIMS's effectiveness and compliance with ISO/IEC 42001.
Robert, one of the certification body's full-time employees with extensive experience in auditing, was appointed as the audit team leaderdespite not receiving an official offer for the role. Understanding the critical importance of assembling an audit team with diverse skills and knowledge, the certification body selected competent individuals to form the audit team. The certification body appointed a team ofseven members to conduct the audit after considering the specific conditions of the audit mission and the required competencies.
Initially, the certification body, in cooperation with Aizoia, defined the extent and boundaries of the audit, specifying the sites (whetherphysical or virtual), organizational units, and the activities for review. Once the scope, processes, methods, and team composition hadbeen defined, the certification body provided the audit team leader with extensive information, including the audit objectives anddocumented details on the scope, processes, methods, and team compositions.
Additionally, the certification body shared contact details of the auditee, including locations, time frames, and the duration of the auditactivities to be conducted. The team leader also received information needed for evaluating and addressing identified risks andopportunities for the achievement of the audit objectives.
Before starting the audit, Robert wrote an engagement letter, introducing himself to Aizoia and outlining plans for scheduling initialcontact. The initial contact aimed to confirm thecommunication channels, establish the audit team's authority to conduct the audit, andsummarize the audit's key aspects, such as objectives, scope, criteria, methods, and team composition. During this first meeting, Robertemphasized the need for access to essential information that would help to conduct the audit.
Moreover, audit logistics, such as scheduling, access, health and safety arrangements, observer attendance, and the need for guides orinterpreters, were thoroughly planned. The meeting also addressed areas of interest or concern, preemptively resolving potential issuesand finalizing any matters related to the audit team composition.
As the audit progressed, Robert recognized the complexity of Aizoia's operations, leading him to conclude that a review of its Al-relateddata governance practices was essential for compliance with ISO/IEC 42001. He discussed this need with Aizoia's management,proposing an expanded audit scope. After careful consideration, they agreed to conduct a thorough review of the Al data governancepractices, but there was no mutual decision to officially change the audit scope. Consequently. Robert decided to proceed with the auditbased on the original scope, adhering to the initial audit plan, and documented the conversation and decision accordingly.
Based on the scenario above, answer the following question:
Question:
Based on Scenario 5, did the certification body take the necessary steps to assure the overall competence of the audit team?

A. No, the certification body should have based team selection solely on the audit objectives
B. No, the certification body should have delegated the responsibility for team selection to the audit team leader
C. Yes, the certification body identified the required competencies and selected team members accordingly

Answer: C

Explanation:
Thecertification bodymust ensure that audit team members possess the competencies necessary for the scope and complexity of the audit.
* ISO/IEC 17021-1:2015 Clause 7.2.1states:"The certification body shall have a process for determining the competence required for personnel involved in the management and performance of audits."
* ISO/IEC 42001:2023 Clause 9.2 stresses that audit personnel must haveappropriate knowledge of AI systems and the management system standards.
* TheLead Auditor Training Manualalso explains:"The audit team must collectively possess all the necessary knowledge and skills determined through formal analysis by the certification body." Reference:ISO/IEC 17021-1:2015 Clause 7.2.1; ISO/IEC 42001:2023 Clause 9.2.

NEW QUESTION # 30
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