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PECB - The Best Interactive ISO-IEC-42001-Lead-Auditor EBook
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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 | - 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 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 | - 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 (Q64-Q69):NEW QUESTION # 64
Question:
An auditor has been assigned to perform a certification audit for an organization. However, the auditor discovers that their close relative holds a key management position within the organization being audited.
What kind of threat to impartiality does this situation represent?
- A. Self-interest
- B. Intimidation
- C. Advocacy
- D. Familiarity
Answer: D
Explanation:
This situation represents aFamiliarity Threat.
* ISO/IEC 17021-1:2015 Clause 5.2.7identifiesfamiliarityas a risk when an auditor develops a relationship with a client that could impair objectivity.
* TheISO/IEC 42001 Lead Auditor Guidestates:"Familiarity threat occurs when an auditor becomes too sympathetic to the auditee's interests, due to close relationships or repeated interactions."A relative in management would heavily impair the auditor's independence.
Reference:ISO/IEC 17021-1:2015 Clause 5.2.7; ISO/IEC 42001 Lead Auditor Study Manual Section 4 ("Threats to Auditor Impartiality").
NEW QUESTION # 65
Did Samuel consider all the necessary factors while reviewing documented information during the stage 1 audit? Refer to Scenario 6.
Scenario 6: AfrinovAl, based in Nairobi, Kenya, develops Al tools to improve agriculture in Africa. The company uses Al to address challenges faced by African farmers, offering tools for analyzing satellite images to monitor crop health, predicting pest and disease outbreaks, and automating irrigation to use water more efficiently.
AfrinovAl has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001, reflecting its commitment to ethical and effective management practices in its Al solutions.
AfrinovAl is undergoing a certification audit to obtain certification against ISO/IEC 42001. Samuel, an expert in Al technologies and management systems, is heading the audit team. Before initiating the audit process, Samuel reviewed and approved the audit plan, which served as a basis for the agreement between the certification body and the auditee.
During the stage 1 audit, the audit team focused on a detailed evaluation of AfrinovAI's documented information, critically assessing both their format and content.
Samuel held a meeting with his team to prepare for the stage 2 audit. During this meeting, responsibilities were allocated among team members, assigning specific processes, functions, sites, areas, or activities based on each auditor's expertise and the audit requirements. He also assigned auditing roles to technical experts to leverage their specialized knowledge in specific areas.
In the stage 2 audit, Samuel and his team held an opening meeting during which Samuel explained how the audit activities will be undertaken. AfrinovAI's also participated in the meeting. Afterward, the audit team conducted on-site activities to closely inspect the physical locations of the audited processes. The interviewed individuals from the auditee's personnel regarding the AIMS and observed some of the operations of the auditee. They also used sampling and technical verification to assess the implementation of Al-related controls, verify compliance with established procedures, and identify any gaps in adherence to the AIMS requirements. They skipped the review of documented information related to the AIMS since some documents had already been reviewed during the stage 1 audit. This comprehensive approach ensured a thorough evaluation of AfrinovAI's AIMS against the ISO/IEC 42001.
- A. No, Samuel should only check if documented information has been stored in the appropriate media
- B. No, Samuel should also ensure that there is a process in place for reviewing and approving documented information for suitability and adequacy
- C. Yes, if the information is archived in a secure system
- D. Yes, documented information must be validated based on two criteria, i.e., content and format
Answer: B
Explanation:
According to ISO/IEC 42001:2023 (Clause 7.5), an organization must establish processes for creating, reviewing, updating, and approving documented information to ensure its adequacy and suitability.
While format and content are important, the auditor must also assess whether there are established procedures for control of documentation - including version control, approval mechanisms, and traceability.
Samuel's review during Stage 1 would be incomplete if it did not assess this broader requirement.
Reference:
ISO/IEC 42001:2023, Clause 7.5 - Documented Information
ISO 19011:2018, Clause 6.3.4 - Review of documentation
PECB ISO/IEC 42001 Lead Auditor Study Guide - Documented Information Evaluation
NEW QUESTION # 66
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?
- A. Yes, because the top management representative determined that the answers from the interviews could be corroborated by interviewing different employees
- B. No, because verbal evidence is less reliable than the other types of evidence and requires additional supporting evidence
- C. Yes, because audits are based purely on interview evidence
- D. No, because it is not recommended to conduct interviews with different employees to verify segregation of roles and responsibilities within the organization
Answer: B
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 # 67
Why is it important to have a clear and agreed audit scope?
- A. To reduce the time required for the audit
- B. To prevent any legal liabilities
- C. To maintain confidentiality of audit findings
- D. To ensure all aspects of the management system are audited
Answer: D
Explanation:
Aclear and agreed audit scopeensures that the audit willadequately cover all relevant areas of the AI Management Systemand that the audit team understands:
* Boundaries of the audit(departments, processes, AI systems)
* Objectives and criteria
* Whatmust be included or excluded
As perISO 19011:2018 - Clause 5.2, determining the audit scope is critical to ensuring theaudit is effective, relevant, and complete. Similarly, inISO/IEC 42001:2023 - Clause 9.2.1, the scope must be defined to evaluate the full effectiveness of the AIMS.
The PECB Lead Auditor Guide reinforces that without a clear scope, the audit risks missingcritical operational, ethical, or compliance-related areas.
NEW QUESTION # 68
According to Scenario 8, Sharona played a vital role in the certification decision. Is this acceptable?
Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al technologies to analyze customer behavior. Founded in 2023, the company employs natural language processing, machine learning, and predictive analytics to provide real time insights to a range of businesses. VeridicAI has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to manage its Al technologies effectively. The AIMS scope includes select departments within the company, for which it has received a four-year certification against ISO/IEC 42001. Committed to transparency. VeridicAI publicly shares details of this certification.
As the certification nears its end, VeridicAI is preparing for an audit to renew its certification.
The audit process was led by Sharona, the audit team leader, who is a full-time employee of the certification body. Sharona and the audit team undertook all planned audit activities. Afterward, they organized the closing meeting with VeridicAl's management. During the meeting, Sharona and the team made a recap on audit objectives and scope, presented the audit findings and conclusions, presented identified nonconformities, and organized a session for questions and answers for the auditee.
VeridicAI received a conditional recommendation for certification, underscoring its compliance with the industry's standards. Sharona confirmed that the company met the essential requirements but noted some identified minor nonconformities. In response, VeridicAI compiled and submitted a comprehensive action plan that addresses all identified nonconformities within a designated timeframe. Because of the comprehensive action plan, Sharona did not see the need for an additional on- site visit to verify the effectiveness of the action plan.
Sharona played an integral role in the certification decision process. Her thorough understanding of VeridicAI's operations, gained from the audit, guided the certification body towards a well-informed certification decision.
- A. Yes, all auditors who participate in the audit can take part in the certification decision
- B. No, only the certification body has the authority to make the certification decision
- C. Yes, because Sharona is a full-time employee of the certification body
Answer: B
Explanation:
According to ISO/IEC 17021-1:2015 Clause 5.2.9 and Clause 9.5.3, while auditors (including Sharona) may contribute information and analysis to support the certification body, the certification decision must be made by a person or committee not involved in the audit process. This ensures impartiality and avoids conflict of interest. Sharona, having led and conducted the audit, should not have played a decisive role in certification issuance.
Reference:
ISO/IEC 17021-1:2015 Clause 5.2.9 - Impartiality
ISO/IEC 17021-1:2015 Clause 9.5.3 - Certification decision-making process ISO/IEC 42001:2023 Clause 9.1 - Roles and responsibilities of the certification body Certainly! Below are Questions 68 to 70 formatted exactly as requested, using the ISO/IEC 42001:2023 Artificial Intelligence Management System Lead Auditor documentation structure. Each question includes the correct answer and a comprehensive explanation with references.
-
NEW QUESTION # 69
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