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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	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	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 5	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 6	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.

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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q61-Q66):

NEW QUESTION # 61
Auditors use the ______ as a benchmark to determine conformity.

A. Audit criteria
B. Audit feasibility
C. Audit objectives
D. Audit plan

Answer: A

Explanation:
Audit criteriaare defined as theset of policies, procedures, or requirementsused as areference pointagainst whichaudit evidence is compared.
As perISO 19011:2018 - Clause 3.5, audit criteria are the"set of policies, procedures, or requirements used as a reference". For ISO/IEC 42001 audits, the audit criteria include therequirements of ISO/IEC
42001:2023, relevant laws, internal policies, and controls.
ThePECB Lead Auditor Guide - Domain 3further confirms that conformity assessment depends on comparing actual practices and records againstpredefined criteriato identify nonconformities or compliance.

NEW QUESTION # 62
Question:
Which of the following does NOT represent the purpose of managing and maintaining auditprogram records?

A. To focus on the competence and performance evaluation of the audit team members
B. To address information security and confidentiality needs for audit records
C. To demonstrate the implementation of the audit program

Answer: A

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 # 63
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 cover all of the auditee's departments regardless of whether they are included in the AIMS scope
B. No, the audit scope must include all of the auditee's departments part of the AIMS scope
C. Yes, if it is a Stage 1 audit only
D. Yes, the audit scope does not necessarily include all of the auditee's departments covered by the AIMS scope

Answer: B

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 # 64
Scenario 2: OptiFlow is a logistics company located in New Delhi, India. The company has enhanced its operational efficiency and customer service by integrating AI across various domains, including route optimization, inventory management, and customer support. Recognizing the importance of AI in its operations, OptiFlow decided to implement an Artificial Intelligence Management System (AIMS) based on ISO/IEC 42001 to oversee and optimize the use of AI technologies.
To address Clauses 4.1 and 4.2 of the standard, OptiFlow identified and analyzed internal and external issues and needs and expectations of interested parties. During this phase, it identified specific risks and opportunities related to AI deployment, considering the system's domain, application context, intended use, and internal and external environments. Central to this initiative was the establishment and maintenance of AI risk criteria, a foundational step that facilitated comprehensive AI risk assessments, effective risk treatment strategies, and precise evaluations of risk impacts. This implementation aimed to meet AIMS's objectives, minimize adverse effects, and promote continuous improvement. OptiFlow also planned and integrated strategies to address risks and opportunities into AIMS's processes and assessed their effectiveness.
OptiFlow set measurable AI objectives aligned with its AI policy across all organizational levels, ensuring they met applicable requirements and matched the company's vision. The company placed strong emphasis on the monitoring and communication of these objectives, ensuring they were updated annually or as needed to reflect changes in technology, market demands, or internal processes. It also documented the objectives, making them accessible across the company.
To guarantee a structured and consistent AI risk assessment process, OptiFlow emphasized alignment with its AI policy and objectives. The process included ensuring consistency and comparability, identifying, analyzing, and evaluating AI risks.
OptiFlow prioritizes its AIMS by allocating the necessary resources for its comprehensive development and continuous enhancement. The company carefully defines the competencies needed for personnel affecting AI performance, ensuring a high level of expertise and innovation.
OptiFlow also manages effective internal and external communications about its AIMS, aligning with ISO
/IEC 42001 requirements by maintaining and controlling all required documented information. This documentation is meticulously identified, described, and updated to ensure its relevance and accessibility.
Through these strategic efforts, OptiFlow upholds a commitment to excellence and leadership in AI management practices.
To comply with Clause 9 of ISO/IEC 42001, the company determined what needs to be monitored and measured in the AIMS. It planned, established, implemented, and maintained an audit program, reviewed the AIMS at planned intervals, documented review results, and initiated a continuous feedback mechanism from all interested parties to identify areas of improvement and innovation within the AIMS Which of OptiFlow's implemented requirements is NOT included in Clause 9 (Performance Evaluation) of ISO/IEC 42001? Refer to Scenario 2.

A. Initiation of a continuous feedback mechanism from interested parties
B. Implementation of an audit program
C. Review of the AIMS in planned intervals

Answer: A

Explanation:
Clause 9 of ISO/IEC 42001 addresses Performance Evaluation and includes:
* 9.1: Monitoring, measurement, analysis, and evaluation
* 9.2: Internal audit
* 9.3: Management review
From the scenario:
* OptiFlow implemented an audit program # aligns with Clause 9.2
* It reviewed the AIMS at planned intervals # aligns with Clause 9.3
* The "continuous feedback mechanism from interested parties" supports continual improvement but is more aligned with Clause 10 (Improvement), not Clause 9.
Therefore, while valuable for continuous innovation and improvement, this feedback mechanism falls outside the formal scope of Clause 9.
Reference:
* ISO/IEC 42001:2023, Clause 9 - Performance evaluation
* ISO/IEC 42001:2023, Clause 10.1 - Continual improvement
* PECB ISO/IEC 42001 Lead Auditor Study Guide, Chapter 9

NEW QUESTION # 65
Scenario 3: Heala specializes in developing AI-driven solutions for the healthcare sector. With a keen focus on leveraging AI to revolutionize patient care, diagnostics, and treatment planning, the company 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.
It contracted a local certification body, who established the audit team and assigned the audit team leader.
Augustine, the designated audit team leader, has a wide range of skills relevant to various auditing domains.
His proficiency encompasses audit principles, processes, and methods, as well as standards for management systems and additional references. Furthermore, he is knowledgeable about Heala's context and relevant statutory and regulatory requirements.
Augustine first gathered management review records, interested party feedback logs, and revision histories for Heala's AIMS. This crucial step laid the groundwork for a deeper investigation, which included conducting comprehensive interviews with key personnel to understand how feedback from interested parties directly influenced updates to the AIMS and its strategic direction. Augustine's thorough evaluation process aimed to verify Heala's commitment to integrating the needs and expectations of interested parties, a critical requirement of ISO/IEC 42001.
Augustine also integrated a sophisticated AI tool to analyze large datasets for patterns and anomalies, and thus have a more informed and data-driven audit process. This AI solution, known for its ability to sift through vast amounts of data with unparalleled speed and accuracy, enabled Augustine to identify irregularities and trends that would have been nearly impossible to detect through manual methods. The tool was also helpful in preparing hypotheses based on data.
During the audit, Augustine failed to fully consider Heala's critical processes, expectations, the complexity of audit tasks, and necessary resources beforehand. This oversight compromised the audit's integrity and reliability, reflecting a significant deviation from the diligence and informed judgment expected of auditors.
Based on the scenario above, answer the following question:
Did Augustine possess the knowledge and skills required to be appointed as an audit team leader?

A. Yes, Augustine had the required knowledge and skills to exercise the role of an auditor
B. No, Augustine lacked understanding of Heala's organizational structure, objectives, and management practices necessary for an auditor
C. No, Augustine did not possess knowledge on Heala's operations and products

Answer: A

Explanation:
According to ISO/IEC 17021-1:2015 (used for auditor competence requirements in management system certification), audit team leaders must demonstrate competence in:
Understanding of audit principles, processes, and methods
Knowledge of relevant standards (such as ISO/IEC 42001)
Familiarity with organizational context, statutory/regulatory frameworks, and management systems Ability to collect and evaluate objective evidence Communication and leadership skills Based on the scenario:
Augustine had deep knowledge of ISO/IEC 42001, audit principles, regulatory requirements, and Heala's context.
He reviewed strategic documents, conducted interviews, and applied AI tools effectively to enhance evidence- based auditing.
His oversight in audit planning (failing to evaluate complexity, resources, and expectations) reflects a lapse in planning diligence, not a lack of knowledge or qualification.
Therefore, Augustine met the knowledge and skill requirements of an auditor and audit team leader. His failure in audit planning relates to execution, not competency, so Option C is correct.
Reference:
ISO/IEC 17021-1:2015, Clause 7.2.5 - Competence of audit team leader
ISO/IEC 42001:2023, Clause 9.2 - Internal audit
PECB ISO/IEC 42001 Lead Auditor Guide, Chapter 5 - Auditor competencies and ethical conduct ChatGPT said:

NEW QUESTION # 66
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ISO-IEC-42001-Lead-Auditor Real Exam Answers, ISO-IEC-42001-Lead-Auditor Latest Dump

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

ISO-IEC-42001-Lead-Auditor Latest Dump, Top ISO-IEC-42001-Lead-Auditor Exam Dumps

PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q61-Q66):

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