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[General] ISO-IEC-42001-Lead-Auditor New Practice Questions, ISO-IEC-42001-Lead-Auditor La

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【General】 ISO-IEC-42001-Lead-Auditor New Practice Questions, ISO-IEC-42001-Lead-Auditor La

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PECB ISO-IEC-42001-Lead-Auditor Exam Syllabus Topics:
TopicDetails
Topic 1
  • 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 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
  • 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.

ISO-IEC-42001-Lead-Auditor Latest Exam Labs - Unlimited ISO-IEC-42001-Lead-Auditor Exam PracticeThe PECB ISO-IEC-42001-Lead-Auditor certification is one of the hottest career advancement credentials in the modern PECB world. The ISO-IEC-42001-Lead-Auditor certification can help you to demonstrate your expertise and knowledge level. With only one badge of ISO-IEC-42001-Lead-Auditor certification, successful candidates can advance their careers and increase their earning potential. The PECB ISO-IEC-42001-Lead-Auditor Certification Exam also enables you to stay updated and competitive in the market which will help you to gain more career opportunities.
PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q80-Q85):NEW QUESTION # 80
Scenario 1:
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:
Which of the following AI principles has Future Horizon Academy applied?
  • A. Reliability and safety
  • B. Transparency
  • C. Accountability
  • D. Human control
Answer: A
Explanation:
Future Horizon Academy isolated its training data, ensured use of trusted sources, added metadata, and transformed data formats, directly supporting theReliability and Safetyprinciple. ISO/IEC 42001:2023 emphasizes in Clause 5.2 that an organization must ensure the reliability and safety of AI systems, especially regarding data integrity and handling risks arising from poor data quality.
Reference:ISO/IEC 42001:2023 Clause 5.2 (AI Principles Application).

NEW QUESTION # 81
Question:
During the annual ISO/IEC 42001 audit at a financial company, the auditor selected and analyzed a sample of
5 out of 25 follow-up nonconformity reports to assess whether the company adheres to its follow-up process.
What type of evidence did the auditor gather?
  • A. Observational
  • B. Semi-quantitative
  • C. Qualitative
  • D. Quantitative
Answer: D
Explanation:
The auditor gatheredQuantitative evidence.
* Quantitative evidenceis defined as evidence that is measurable and based on numbers or statistical sampling.
* ISO 19011:2018 Clause 6.5.5states:"Quantitative audit evidence is numerical or measurable and collected through sampling, measurements, or observations."
* Sampling nonconformity reports to check process adherence clearly falls underquantitative evidence.
Reference:ISO 19011:2018 Clause 6.5.5; ISO/IEC 42001:2023 Clause 9.2.2.

NEW QUESTION # 82
Which of the following pieces of evidence collected during the certification audit can be considered the most reliable? Refer to Scenario 4.
Scenario 4: Finalogic leads the application of artificial intelligence in the financial services sector, which is used to improve risk assessment, fraud detection, and customer service. The company has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to ensure operational quality, ethical Al use, regulatory compliance, and transparency, allowing for consistent oversight and structured governance.
This month, Finalogic is undergoing an audit to obtain certification against ISO/IEC 42001, a critical step in demonstrating its commitment to responsible Al. To evaluate Finalogic's conformity to the audit criteria, the audit team adopted a comprehensive, evidence-based approach. The gathered evidence ranged from analyses of unquantifiable information to analyses of samples related to determining the audit criteria-including internal reports generated by Finalogic's own Al system-which assert successful integration and compliance with the standard.
Additionally, presentations by the company's Al team during the audit highlighted the system's success in customer service enhancements and fraud detection, emphasizing improved efficiency, decision making accuracy, and user trust. An evaluation report prepared by an independent third party firm specializing in Al systems also provided an objective review of Finalogic's AIMS. It assessed the system's effectiveness, bias, and compliance through a thorough examination.
During the audit, the audit team applied the same level of effort and utilized the same techniques across all audit areas, regardless of their risk level. This strategy ensured a consistent and thorough evaluation of the AIMS, uncovering any latent weaknesses or inefficiencies that might otherwise go unnoticed.
Despite Finalogic's advanced AIMS and adherence to ISO/IEC 42001 for ethical Al practices, there remains a risk of Al algorithms inadvertently perpetuating bias or making inaccurate predictions due to unforeseen flaws in training data or algorithmic models. This could lead to unfair loan rejections or approvals, potentially causing financial losses or damaging the company's reputation for fairness and accuracy in its financial services. By acknowledging these risks. Finalogic remains committed to refining its Al governance, implementing bias mitigation strategies, and enhancing transparency to uphold its reputation as a leader in Al driven financial services.
  • A. The customer testimonials shared by the AI development team
  • B. The internal report generated by Finalogic's AI system
  • C. The evaluation report prepared by the independent third-party firm
  • D. The presentation by Finalogic's AI team during the audit
Answer: C
Explanation:
Audit evidence varies in terms of reliability. According to ISO 19011:2018, the most reliable audit evidence is:
* Obtained from independent sources outside the audited organization
* Directly observed or obtained by the auditor
* Supported by documentation and cross-verification
In the scenario, the evaluation report was prepared by "an independent third-party firm specializing in AI systems," which makes it more objective and reliable than internal reports or presentations by the audited organization.
Reference:
ISO 19011:2018, Clause 6.5.4 - Reliability of audit evidence
ISO/IEC 42001:2023, Clause 9.2.2 - Requirements for objective evidence
PECB ISO/IEC 42001 Lead Auditor Study Guide - Chapter: Types and Sources of Audit Evidence Certainly! Below are the answers to Questions 31 through 35, formatted in your requested structure with verified references to ISO/IEC 42001:2023, ISO 19011:2018, ISO/IEC 27001:2022, and the PECB Lead Auditor Study Guide.
-

NEW QUESTION # 83
An auditor is reviewing an AI system used for hiring processes at a tech company and discovers that the system disproportionately rejects candidates from certain ethnic backgrounds. The auditor previously consulted for this company on diversity strategies. Which management system auditing principle (as per ISO 19011) is at risk of being compromised in this scenario?
  • A. Confidentiality
  • B. Independence
  • C. Due Professional Care
  • D. Fair Presentation
Answer: B
Explanation:
The principle at risk here isIndependence. According toISO 19011:2018 - Clause 4(c), auditors must be independent of the activity being auditedandfree from bias or conflicts of interest.
Having previously consulted for the company ondiversity strategies, the auditor has aprior engagement that may affect impartiality, particularly since the audit involves evaluating bias and fairness in hiring practices - the same area previously advised on.
ThePECB Lead Auditor Guide - Domain 3reinforces that independence is crucial forobjective evidence gathering and unbiased conclusions, especially in audits involvingethical or reputational concerns.
Reference: ISO 19011:2018 - Clause 4 (Principles of auditing), specifically Principle: "Independence" PECB Lead Auditor Guide - Domain 3: "Ethical Principles and Auditor Conduct"

NEW QUESTION # 84
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 also ensure that there is a process in place for reviewing and approving documented information for suitability and adequacy
  • B. Yes, documented information must be validated based on two criteria, i.e., content and format
  • C. Yes, if the information is archived in a secure system
  • D. No, Samuel should only check if documented information has been stored in the appropriate media
Answer: A
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 # 85
......
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