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Title: Latest ISO-IEC-42001-Lead-Auditor Study Guide, ISO-IEC-42001-Lead-Auditor Exams [Print This Page]
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Title: Latest ISO-IEC-42001-Lead-Auditor Study Guide, ISO-IEC-42001-Lead-Auditor Exams
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PECB ISO-IEC-42001-Lead-Auditor Exam Syllabus Topics:
TopicDetails
Topic 1
  • 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 2
  • 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 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.

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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q182-Q187):NEW QUESTION # 182
A retail company wants to implement a system that can predict customer buying behavior based on their browsing history and past purchases. Which AI concept would be most suitable for developing this predictive system?
Answer: D
Explanation:
Machine Learning (ML)is the most suitable AI concept in this scenario. ML focuses on developing algorithms that canlearn from structured or unstructured dataand make predictions based on historical patterns.
In this case, analyzing customerbrowsing history and purchase recordsfalls directly undersupervised learning, a subcategory of ML, which is typically used forpredictive modelingin retail (such as next-best- offer, product recommendation, or demand forecasting).
According to the PECB Lead Auditor Study Guide (Domain 1),ML is specifically referenced as the core techniquefor prediction systems, user behavior modeling, and data-driven decision-making systems.
Though Deep Learning (DL) is a subset of ML, it is often used for more complex pattern recognition tasks such as image or speech recognition, which is not explicitly required here.

NEW QUESTION # 183
Question:
Which of the following does NOT represent the purpose of managing and maintaining auditprogram records?
Answer: C
Explanation:
Thepurpose of maintaining audit recordsis to demonstrate effective management of the audit program, ensure information security, and show evidence of conformity - not directly to evaluate auditor competence.
* ISO/IEC 19011:2018 Clause 5.5.6states:"Audit records provide evidence of the implementation of the audit program and must address confidentiality and security considerations."
* Auditor competence evaluation is managed separately undercompetence management processes(ISO
/IEC 17021-1:2015 Clause 7.2).
Reference:ISO/IEC 19011:2018 Clause 5.5.6; ISO/IEC 17021-1:2015 Clause 7.2.

NEW QUESTION # 184
Scenario 6:
Scenario 6: HappilyAI is a pioneering enterprise dedicated to developing and deploying artificial intelligence Al solutions tailored toenhance customer service experiences across various industries. The company offers innovative products like virtual assistants,predictive analytics tools, and personalized customer interaction platforms. As part of its commitment to operational excellence andinnovation, HappilyAI has implemented a robust Al management system AIMS to oversee its Al operations effectively. Currently.HappilyAI is undergoing a comprehensive audit process of its AIMS to evaluate its compliance with ISO/IEC 42001.
Under the leadership of Jess, the audit team began the audit process with meticulous planning and coordination, setting the groundworkfor the extensive on-site activities of the stage 1 audit. This initial phase was marked by a comprehensive documentation review. Theaudit scope encompassed a critical review of HappilyAI's core departments, including Research and Development (R&D), CustomerService, and Data Security, aiming to assess the conformity of HappilyAI's AIMS to the requirements of ISO/IEC 42001.
Afterward, Jess and the team conducted a formal opening meeting with HappilyAI to introduce the audit team and outline the auditactivities. The meeting set a collaborative tone for the subsequent phases, where the team engaged in information collection, executedaudit tests, identified findings, and prepared draft nonconformity reports while maintaining a strict quality review process.
In gathering evidence, the audit team employed a sampling method, which involved dividing the population into homogeneous groups toensure a comprehensive and representative data collection by drawing samples from each segment. Furthermore, the team employedobservation to deepen their understanding of the Al management processes. They verified the availability of essential documentation,including Al-related policies, and evaluated the communication channels established for reporting incidents.
Additionally, they scrutinized specific monitoring tools designed to track the performance of data acquisition processes, ensuring thesetools effectively identify and respond to errors or anomalies. However, a notable challenge emerged as the team encountered a lack ofaccess to documented information that describes how tasks about AIMS are executed. In addition to this, the team identified a potentialnonconformity within the Sales Department. They decided not to record this as a nonconformity in the audit report but onlycommunicated it to the HappilyAI's representatives.
During the stage 2 audit, the certification body, in collaboration with HappilyAI, assigned the roles of technical experts within the auditteam. Recognized for their specialized knowledge and expertise in artificial intelligence and its applications, these technical experts aretasked with the thorough assessment of the AIMS framework to ensure its alignment with industry standards and best practices,focusing on areas such as data ethics, algorithmic transparency, and Al system security.
Question:
Which level of documented information could the audit team NOT access?
Answer: A
Explanation:
Level 3 documentationtypically includes detailed procedures, work instructions, and records explaining exactlyhow tasks are performed.
* ISO/IEC 42001:2023 Clause 7.5.1requires organizations to maintain documented information necessary for the effective functioning of the AIMS.
* TheLead Auditor Study Guideexplains:"Level 3 documents are the operational and procedural records that detail the execution of management system activities."The team lacked access to task execution procedures - indicating missing Level 3 documentation.
Reference:ISO/IEC 42001:2023 Clause 7.5.1; ISO 19011:2018 Clause 6.3.

NEW QUESTION # 185
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:
Based on Scenario 4, is the decision of the top management representative not to provide theadditional evidence requested by the audit team justifiable?
Answer: A
Explanation:
Verbal evidence alone is consideredless reliable.
* ISO/IEC 42001 Clause 9.2.2 states that"auditors shall corroborate interviews with documented information or other tangible evidence whenever possible."
* TheISO 19011:2018 Guidelines for Auditing Management Systems(adopted for auditing principles) Clause 6.5.6 also clearly specifies:"Interview results should be verified with other forms of evidence because interviews alone are insufficient." Reference:ISO/IEC 42001:2023 Clause 9.2.2; ISO 19011:2018 Clause 6.5.6.

NEW QUESTION # 186
Question:
Who is responsible for reviewing the corrections, identified causes, and corrective actions of the auditee?
Answer: B
Explanation:
Thecertification bodyhas the ultimate responsibility forreviewing and verifyingcorrective actions after an audit.
* ISO/IEC 17021-1:2015 Clause 9.4.9states:"The certification body shall review the correction, cause analysis, and corrective actions proposed by the client."
* Although the audit team may assist, responsibility lies with the certification body for ensuring compliance before issuing or maintaining certification.
Reference:ISO/IEC 17021-1:2015 Clause 9.4.9; ISO/IEC 42001 Lead Auditor Guide Section 8 ("Post-Audit Responsibilities").

NEW QUESTION # 187
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