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PECB ISO-IEC-42001-Lead-Auditor Latest Test Labs, ISO-IEC-42001-Lead-Auditor Valid Test Answers

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Free PDF 2025 PECB ISO-IEC-42001-Lead-Auditor: Efficient ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Latest Test Labs

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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

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

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 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.

PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q114-Q119):

NEW QUESTION # 114
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. Confidentiality
B. Risk-based approach
C. Impartiality
D. Due professional care

Answer: D

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 # 115
Scenario 5 (continued):
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, thecertification 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:
According to Scenario 5, was Robert's decision to proceed with the audit without changing its scope appropriate?

A. No, Robert should have opted to conduct a follow-up audit
B. No, Robert must have withdrawn from the audit and informed the interested parties
C. Yes, because no agreement was reached to change the scope, and he documented the decision accordingly

Answer: C

Explanation:
Robert acted correctly by proceedingwithout changing the scope, because no official agreement was made to modify it, and he documented the conversation properly.
* ISO/IEC 17021-1:2015 Clause 9.2.3.1specifies that"Audit scope can only be changed if formally agreed by both the auditee and the certification body."
* TheLead Auditor Guidesays:"If the auditee and auditor cannot agree to modify the audit scope, the original scope must remain valid, and deviations should be documented." Reference:ISO/IEC 17021-1:2015 Clause 9.2.3.1; ISO/IEC 42001:2023 Clause 9.2.

NEW QUESTION # 116
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, 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:
Based on Scenario 3, which of the following AI technologies did Audrey employ to assess the efficiency of the bank's digital infrastructure?

A. An expert system
B. Semantic algorithms
C. Artificial neural networks
D. An autonomous system

Answer: C

Explanation:
Audrey usedArtificial Neural Networks (ANNs).
Artificial neural networks are AI technologies capable of pattern recognition, data classification, and anomaly detection in large datasets, which is essential when assessing chatbot performance.
* ISO/IEC 22989:2022 Clause 6.6states:"ANNs are AI systems inspired by biological neural networks, useful for analyzing structured and unstructured data."
* ISO/IEC 42001 indirectly refers to using appropriate AI systems for monitoring and assessing AI performance in Clause 8.1 (Operational Controls).
Reference:ISO/IEC 22989:2022 Clause 6.6; ISO/IEC 42001:2023 Clause 8.1 (Operational Controls).

NEW QUESTION # 117
How does ISO 19011 recommend auditors select audit criteria?

A. By choosing criteria that are easiest to measure
B. Based on the organization's industry reputation
C. According to the requirements of the management system standards and objectives
D. By using random selection methods

Answer: C

Explanation:
Audit criteria should be selectedaccording to the requirements of the management system standard (e.g., ISO/IEC 42001:2023)and theorganization's objectives.
PerISO 19011:2018 - Clause 5.4.2, audit criteria must be defined based onstandards, statutory requirements, internal policies, procedures, and contractual obligationsrelevant to the audit.
Random selection or convenience-based criteria are not acceptable in professional audit practice.
Reference: ISO 19011:2018 - Clause 5.4.2 (Establishing audit objectives, scope and criteria) ISO/IEC 42001:2023 - Clause 9.2.1 (Internal Audit planning) PECB Lead Auditor Guide - Domain 3: "Defining Audit Criteria and Reference Documents"

NEW QUESTION # 118
Question:
Based on ISO/IEC 42001, which of the following is NOT one of the factors that an organization must consider when determining the risks and opportunities related to an AI system?

A. The potential impacts of AI decisions
B. The intended use of the AI system
C. The specific algorithms used to develop the AI system
D. The domain and application context of the AI system

Answer: C

Explanation:
ISO/IEC 42001 Clause 6.1.2 specifies that organizations must consider theintended use, domain, application context, and impactsof AI systems when assessing risks and opportunities. Itdoes not require consideration of the specific algorithmsused, because multiple algorithms can be applied to similar risk contexts.
Reference:ISO/IEC 42001:2023 Clause 6.1.2 (Determination of Risks and Opportunities).

NEW QUESTION # 119
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