ISO-IEC-42001-LEAD-AUDITOR RELIABLE TEST OBJECTIVES | TEST ISO-IEC-42001-LEAD-AUDITOR VOUCHER

ISO-IEC-42001-Lead-Auditor Reliable Test Objectives | Test ISO-IEC-42001-Lead-Auditor Voucher

ISO-IEC-42001-Lead-Auditor Reliable Test Objectives | Test ISO-IEC-42001-Lead-Auditor Voucher

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

TopicDetails
Topic 1
  • 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 2
  • 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 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
  • 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 (Q41-Q46):

NEW QUESTION # 41
Scenario 8 (continued):
Scenario 8:
Scenario 8: InnovateSoft, headquartered in Berlin, Germany, is a software development company known for its innovative solutions andcommitment to excellence. It specializes in custom software solutions, development, design, testing, maintenance, and consulting,covering both mobile apps and web development.
Recently, the company underwent an audit to evaluate the effectiveness and compliance of its artificial intelligence management system AIMS against ISO/IEC 42001.
The audit team engaged with the auditee to discuss their findings and observations during the audit's final phases. After evaluating theevidence, the audit team presented their audit findings to InnovateSoft, highlighting the identified nonconformities.
Upon receiving the audit findings, InnovateSoft accepted the conclusions but expressed concerns about some findings inaccuratelyreflecting the efficiency of their software development processes. In response, the company provided new evidence and additionalinformation to alter the audit conclusions for a couple of minor nonconformities identified. After thorough consideration, the audit teamleader clarified that the new evidence did not significantly alter the core conclusions drawn for the nonconformities. Therefore, thecertification body issued a certification recommendation conditional upon the filing of corrective action plans without a prior visit.
InnovateSoft accepted the decision of the certification body. The top management of the company also sought suggestions from theaudit team on resolving the identified nonconformities. The audit team leader offered solutions to address the issues, fostering acollaborative effort between the auditors and InnovateSoft.During the closing meeting, the audit team covered key topics to enhance transparency. They clarified to InnovateSoft that the auditevidence was based on a sample, acknowledging the inherent uncertainty. The method and time frame of reporting and grading findingswere discussed to provide a structured overview of nonconformities. The certification body's process for handling nonconformities,including potential consequences, guided InnovateSoft on corrective actions. The time frame for presenting a plan for correction was communicated, emphasizing urgency. Insights into the certification body's post-audit activities were provided, ensuring ongoing support.
Lastly, the audit team briefed InnovateSoft on complaint and appeal handling.
InnovateSoft submitted the action plans for each nonconformity separately, describing only the detected issues and the correctiveactions planned to address the detected nonconformities. However, the submission slightly exceeded the specified period of 45 days setby the certification body, arriving three days later.
InnovateSoft explained this by attributing the delay to unexpected challengesencountered during the compilation of the action plans.
InnovateSoft submitted corrective action plans for nonconformities three days past the certification body's deadline of 45 days.
Question:
Based on Scenario 8, is InnovateSoft eligible for certification?

  • A. Yes, the submission of the action plans can be delayed for up to 10 days
  • B. Yes, it is up to the auditee to decide when to submit the action plans
  • C. No, the action plans were not submitted within the specified period

Answer: A

Explanation:
While ISO/IEC 17021-1 does not prescribe a strict number of days, certification bodiestypically allow minor grace periods, e.g., 5-10 days, based on internal policy.
* ISO/IEC 17021-1:2015 Clause 9.4.9requires that nonconformities must be addressedwithin a timeframe agreed by the certification body.
* If the delay is minor (e.g., 3 days), and the CB accepts it with justification, the certification process can still proceed.
* TheLead Auditor Manualnotes:"Minor extensions may be granted for corrective actions when justified and documented." Reference:ISO/IEC 17021-1:2015 Clause 9.4.9; ISO/IEC 42001 Lead Auditor Guide - Section 8 ("Certification Decision Timelines").


NEW QUESTION # 42
Question:
What type of audit is conducted when a customer audits suppliers to make purchasing decisions?

  • A. First-party audit
  • B. Third-party audit
  • C. Second-party audit

Answer: C

Explanation:
ASecond-party auditis conducted by customers on their suppliers to verify whether the supplier's processes or products meet the purchasing requirements.
* ISO 19011:2018 Clause 3.11defines second-party audits as:"Audits conducted by a customer on their suppliers or by organizations on others with whom they have a contractual interest."
* This is referenced by ISO/IEC 42001:2023 when explaining supply chain risk management in AI systems (Clause 8.1).
Reference:ISO 19011:2018 Clause 3.11; ISO/IEC 42001:2023 Clause 8.1.


NEW QUESTION # 43
A few months after an audit, the auditor returns to the company to verify that corrective actions have been effectively implemented and that the issues identified have been resolved. Which step of the management system audit process does this activity correspond to?

  • A. Document review
  • B. Audit follow-up
  • C. Conducting the audit
  • D. Closing meeting

Answer: B

Explanation:
The activity described is part of theAudit Follow-Upphase. According toISO 19011:2018 - Clause 6.6.2, follow-up activities are conducted to verify:
* Whethercorrective actions have been implemented, and
* Whether those actions wereeffective in addressing the nonconformitiesidentified during the audit.
ThePECB Lead Auditor Guide - Domain 6confirms that follow-up audits or activities may occurweeks or monthsafter the main audit, especially whenmajor or systemic nonconformitieswere identified.
This phase ensures thecontinuous improvementof the AI Management System and is crucial for maintaining long-term conformity.
Reference: ISO 19011:2018 - Clause 6.6.2 (Conducting audit follow-up)
ISO/IEC 42001:2023 - Clause 10.2 (Nonconformity and corrective action)
PECB Lead Auditor Guide - Domain 6: "Audit Follow-Up Activities"


NEW QUESTION # 44
Question:
DenSolutions, a financial institution, is seeking to certify its AIMS. The certification body appointed Sarah as the audit team leader, who previously provided consultancy services regarding the AIMS. Can Sarah audit the AIMS of DenSolutions?

  • A. Yes, if a minimum of two years have passed following the end of the consultancy
  • B. Yes, if the auditor does not directly audit any component of the AIMS they consulted on and only oversees the audit process
  • C. Yes, with approval from the auditee
  • D. No - auditors who contribute to the design, implementation, and maintenance of the AIMS cannot participate in AIMS audits

Answer: D

Explanation:
Sarahcannot auditbecause auditors who have contributed to the design, implementation, or maintenance of a management systemmust not audit that same systemto avoid conflict of interest.
* ISO/IEC 17021-1:2015 Clause 5.2.5clearly states:"Personnel who have provided management system consultancy, including those acting in a managerial capacity, shall not be used to conduct audits."
* TheLead Auditor Guideexplains:"Maintaining impartiality requires that individuals with consultancy roles be excluded from auditing the systems they helped create." Reference:ISO/IEC 17021-1:2015 Clause 5.2.5; ISO/IEC 42001 Lead Auditor Training Material, Conflict of Interest Management.


NEW QUESTION # 45
Scenario 9 (continued):
Scenario 9: Securisai, located in Tallinn.Estonia, specializes in the development of automated cybersecurity solutions that utilize AIsystems. The company recently implemented an artificial intelligence management system AIMS in accordance with ISO/IEC 42001. Indoing so, the company aimed to manage its Al-driven systems' capabilities to detect and mitigate cyber threats more efficiently andethically. As part of its commitment to upholding the highest standards of Al use and management, Securisai underwent a certificationaudit to demonstrate compliance with ISO/IEC 42001.
The audit process comprised two main stages: the initial or stage 1 audit focused on reviewing Securisai's documentation, policies, andprocedures related to its AIMS. This review laid the groundwork for the stage 2 audit, which involved a comprehensive, on-site evaluation of the actual implementation and effectiveness of the AIMS within Securisai's operations. The goal was to observe the AIMS in operation,ensuring that it not only existed on paper but was effectively integrated into the company's daily activities and cybersecurity strategies.
After the audit, Roger, Securisai's internal auditor, addressed the action plans devised to rectify nonconformities identified during thecertification audit. He developed a long term strategy, highlighting key AIMS processes for triennial audits. Roger's internal audits play a key role in advancing Securisai's goals by employing a systematic and disciplined method to assess and boost the efficiency of risk management, governance processes, and strategic decision-making. Roger reported his findings directly to Securisai's top management.
Following the successful rectification of nonconformities, Securisai was officially certified against ISO/IEC
42001.
Recently, the company decided to transfer its ISO/IEC 42001 certification registration from onecertification body to another despitebeing initially bound by a long-term agreement with the current certification body.
This decision was motivated by the desire to partnerwith a certification body that offers deeper insights and expertise in the rapidly evolving field of artificial intelligence in cybersecurity.
To ensure a smooth transition and copyright its certification status, Securisai is diligently compiling the required documentation forsubmission to the new certification body. This includes a formal request, the most recent audit report underscoring its adherence toISO/IEC 42001, the latest corrective action plan that highlights its continuous efforts toward improvement, and a copy of its current validcertification registration.
A year following Securisai's initial certification audit, a subsequent audit was carried out by the certification body on its AIMS. The purpose of this audit was to assess compliance with ISO/IEC 42001 and verify the ongoing improvement of the AIMS. The audit team concluded that Securisai's AIMS consistently meets the requirements set by ISO/IEC 42001.
Question:
What type of audit is described in the last paragraph of Scenario 9?

  • A. Recertification audit
  • B. Surveillance audit
  • C. Internal audit

Answer: B

Explanation:
The follow-up auditone year after initial certificationto assess ongoing conformity is classified as a Surveillance Audit.
* ISO/IEC 17021-1:2015 Clause 9.6.2.1states:"Surveillance audits are conducted at least once a year to ensure that the certified management system continues to meet requirements."
* ISO/IEC 42001:2023 Clause 9.2.2also references surveillance as part of maintaining AI management system certification.
Reference:ISO/IEC 17021-1:2015 Clause 9.6.2.1; ISO/IEC 42001:2023 Clause 9.2.2.


NEW QUESTION # 46
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