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From New ISO-IEC-42001-Lead-Auditor Test Tips to ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam, Eastest Way to Pass

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

Topic
Details

Topic 1

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 2

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 3

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 4

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 5

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 (Q158-Q163):

NEW QUESTION # 158
Question:
A certification body is conducting surveillance audits for a company managing multiple sites, including a temporary construction site with a limited duration.
The audit team is considering whether the presence of this temporary site should influence the frequency of surveillance audits.
Can this factor necessitate an adjustment in the audit schedule?

A. Yes, but only if the construction site operates under different seasonal conditions
B. No, temporary construction sites do not influence audit frequency
C. Yes, because it represents a management system certification of limited duration

Answer: C

Explanation:
Temporary sitesmustbe considered in surveillance audit planning, as they aretime-limitedandpresent specific operational risks.
* ISO/IEC 17021-1:2015 Clause 9.6.2.2states:"Audit frequency and scheduling must consider factors such as temporary sites, risk exposure, and operational changes."
* TheIAF MD1 Guidelinesfurther support the adjustment of surveillance activities based on the presence of temporary sites or operations.
Reference:ISO/IEC 17021-1:2015 Clause 9.6.2.2; IAF MD1 Mandatory Document.

NEW QUESTION # 159
Question:
DenSolutions, a financial institution, is seeking to certify its AIMS. The certification body appointed Sarah as the audit team leader, who previously provided consultancy services regarding the AIMS. Can Sarah audit the AIMS of DenSolutions?

A. Yes, with approval from the auditee
B. Yes, if a minimum of two years have passed following the end of the consultancy
C. Yes, if the auditor does not directly audit any component of the AIMS they consulted on and only oversees the audit process
D. No - auditors who contribute to the design, implementation, and maintenance of the AIMS cannot participate in AIMS audits

Answer: D

Explanation:
Sarahcannot auditbecause auditors who have contributed to the design, implementation, or maintenance of a management systemmust not audit that same systemto avoid conflict of interest.
* ISO/IEC 17021-1:2015 Clause 5.2.5clearly states:"Personnel who have provided management system consultancy, including those acting in a managerial capacity, shall not be used to conduct audits."
* TheLead Auditor Guideexplains:"Maintaining impartiality requires that individuals with consultancy roles be excluded from auditing the systems they helped create." Reference:ISO/IEC 17021-1:2015 Clause 5.2.5; ISO/IEC 42001 Lead Auditor Training Material, Conflict of Interest Management.

NEW QUESTION # 160
Scenario 3:
ArBank is a financial institution located in Brussels, Belgium, which offers a diverse range of banking and investment servicesto its clients. To ensure the continual improvement of its operations, ArBank has implemented a quality management system QMS based on ISO 9001 and an artificial intelligence management system AIMS based on the requirements of ISO/IEC
42001.
Audrey, an experienced auditor, led an internal audit focused on the AIMS within ArBank. She assessed the chatbots integrated into thebank's website and mobile app, analyzing communications using big data technology to identify potential noncompliance, fraud, orunethical conduct. Instead of relying solely on the information provided by the chatbots, Audrey sought out evidence that would eitherconfirm or challenge the validity of the data, ensuring her conclusions were based on reliable and accurate information. Her review ofselected chatbot interactions confirmed they met their intended purpose.
For the specific context of ArBank's operations, Audrey utilized an Al system to assess the efficiency of the bank's digital infrastructure,focusing on tasks critical to the Finance Department. This Al system was able to analyze the functionality of chatbots integrated intoArBank's website and mobile app to determine if it adheres to ISO/IEC 42001 requirements and internal policies governing customerservice in the banking sector.
In addition, Audrey conducted a deeper assessment of the bank's AIMS. Her evaluation included observing different stages of the AIMSlife cycle, from development to deployment, to ensure that roles and responsibilities were clearly defined and aligned with ArBank'soperational goals. She also evaluated the tools used to monitor and measure the performance of the AIMS.
Audrey continued the audit process by auditing ArBank's outsourced operations. Upon checking the contractual agreements between thetwo parties, Audrey decided that there was no need to gather audit evidence regarding the contractual agreement. She reviewed thecompany's processes for monitoring the quality of outsourced operations, determined whether appropriate governance processes are inplace with regard to the engagement of outsourced persons or organizations, and reviewed and evaluated the company's plans in case ofexpected or unexpected termination of the outsourcing agreement.
Based on the scenario above, answer the following question:
Question:
Which audit principle did Audrey demonstrate while assessing the chatbots?

A. Impartiality
B. Risk-based approach
C. Due professional care
D. Confidentiality

Answer: C

Explanation:
Audrey demonstratedDue Professional Care, which requires auditors to apply diligence and judgment when gathering and evaluating evidence, ensuring findings are based on reliable sources.
* ISO/IEC 17021-1:2015 Clause 4.4.8explains that auditors must exercise due professional care.
* In the ISO/IEC 42001 Lead Auditor material under "Audit Principles," it states:"Auditors must act with responsibility, basing audit conclusions only on appropriate evidence, and validating the accuracy of evidence."Audrey sought to independently verify chatbot evidence instead of relying solely on provided data, perfectly demonstrating this principle.
Reference:ISO/IEC 17021-1:2015 Clause 4.4.8; ISO/IEC 42001:2023 Lead Auditor Training Module 4 ("Fundamental Principles of Auditing").

NEW QUESTION # 161
Scenario 3 (continued):
ArBank is a financial institution located in Brussels, Belgium, which offers a diverse range of banking and investment servicesto its clients. To ensure the continual improvement of its operations, ArBank has implemented a quality management system QMS based on ISO 9001 and an artificial intelligence management system AIMS based on the requirements of ISO/IEC
42001.
Audrey, an experienced auditor, led an internal audit focused on the AIMS within ArBank. She assessed the chatbots integrated into thebank's website and mobile app, analyzing communications using big data technology to identify potential noncompliance, fraud, orunethical conduct. Instead of relying solely on the information provided by the chatbots, Audrey sought out evidence that would eitherconfirm or challenge the validity of the data, ensuring her conclusions were based on reliable and accurate information. Her review ofselected chatbot interactions confirmed they met their intended purpose.
For the specific context of ArBank's operations, Audrey utilized an Al system to assess the efficiency of the bank's digital infrastructure,focusing on tasks critical to the Finance Department. This Al system was able to analyze the functionality of chatbots integrated intoArBank's website and mobile app to determine if it adheres to ISO/IEC 42001 requirements and internal policies governing customerservice in the banking sector.
In addition, Audrey conducted a deeper assessment of the bank's AIMS. Her evaluation included observing different stages of the AIMSlife cycle, from development to deployment, to ensure that roles and responsibilities were clearly defined and aligned with ArBank'soperational goals. She also evaluated the tools used to monitor and measure the performance of the AIMS.
Audrey continued the audit process by auditing ArBank's outsourced operations. Upon checking the contractual agreements between thetwo parties, Audrey decided that there was no need to gather audit evidence regarding the contractual agreement. She reviewed thecompany's processes for monitoring the quality of outsourced operations, determined whether appropriate governance processes are inplace with regard to the engagement of outsourced persons or organizations, andreviewed and evaluated the company's plans in case ofexpected or unexpected termination of the outsourcing agreement.
Based on the scenario above, answer the following question:
Question:
Based on Scenario 3, did Audrey perform a technical assessment during the audit?

A. No, she only reviewed contractual agreements with outsourced service providers
B. Yes, she performed a general assessment of ArBank's customer service performance
C. Yes, she conducted observations of the AIMS life cycle and evaluated the tools used to monitor its performance
D. No, only the certification body should perform technical assessments

Answer: C

Explanation:
Audreyconducted a technical assessmentbecause she observed the AIMS lifecycle (development, deployment) and evaluated monitoring tools, as required:
* ISO/IEC 42001 Clause 9.2.2 ("Conducting Audits") mandates that auditors must assess the full lifecycle and technical effectiveness of AI systems.
* TheLead Auditor Manualnotes:"Technical assessments during AIMS audits must include evaluating controls for AI system monitoring, performance, and lifecycle stages." Reference:ISO/IEC 42001:2023 Clause 9.2.2; Lead Auditor Study Guide, Section 5 ("Technical Review during Audits").

NEW QUESTION # 162
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. Yes, if it is a Stage 1 audit only
C. Yes, the audit scope does not necessarily include all of the auditee's departments covered by the AIMS scope
D. No, the audit scope must cover all of the auditee's departments regardless of whether they are included in the AIMS scope

Answer: A

Explanation:
According to ISO/IEC 17021-1:2015 and ISO/IEC 42001:2023, the audit scope for a certification audit must fully align with the scope of the management system (in this case, the AIMS). If certain departments are included in the AIMS scope, they must be part of the certification audit scope.
In Scenario 5, it is stated: "The certification body determined the audit scope... and did not cover all of the departments covered by the AIMS scope." This is not acceptable, as omitting departments within the declared AIMS scope can result in an incomplete and non-representative audit, violating ISO 17021-1 guidance.
Reference:
ISO/IEC 17021-1:2015, Clause 9.1.2 - Audit scope must be consistent with certification scope ISO/IEC 42001:2023, Clause 4.3 - Determining the scope of the AIMS PECB ISO/IEC 42001 Lead Auditor Study Guide - Chapter: Audit Scope and Planning
-

NEW QUESTION # 163
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