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ISO-IEC-42001-Lead-Auditor Latest Test Braindumps, ISO-IEC-42001-Lead-Auditor Latest Test Discount
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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q66-Q71):
NEW QUESTION # 66
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, the certification 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:
Based on Scenario 5, did the certification body take the necessary steps to assure the overall competence of the audit team?
- A. No, the certification body should have based team selection solely on the audit objectives
- B. Yes, the certification body identified the required competencies and selected team members accordingly
- C. No, the certification body should have delegated the responsibility for team selection to the audit team leader
Answer: B
Explanation:
Thecertification bodymust ensure that audit team members possess the competencies necessary for the scope and complexity of the audit.
* ISO/IEC 17021-1:2015 Clause 7.2.1states:"The certification body shall have a process for determining the competence required for personnel involved in the management and performance of audits."
* ISO/IEC 42001:2023 Clause 9.2 stresses that audit personnel must haveappropriate knowledge of AI systems and the management system standards.
* TheLead Auditor Training Manualalso explains:"The audit team must collectively possess all the necessary knowledge and skills determined through formal analysis by the certification body." Reference:ISO/IEC 17021-1:2015 Clause 7.2.1; ISO/IEC 42001:2023 Clause 9.2.
NEW QUESTION # 67
Audit evidence must be:
- A. Verifiable
- B. Physical
- C. Refutable
- D. Structured
Answer: A
Explanation:
Audit evidencemust beobjective and verifiable, meaning that it can beconfirmed through observation, documentation, or reproducible results. This is a foundational principle of auditing as per:
* ISO 19011:2018 - Clause 3.8defines audit evidence as "records, statements of fact or other information which arerelevant to the audit criteria and verifiable."
* This principle is also emphasized in ISO/IEC 42001 during internal audits (Clause 9.2), ensuring that conclusions are based onfactual, traceable, and confirmabledata.
Verifiability ensures the credibility and reliability of audit findings, especially critical in evaluating AIMS due to the complexity and potential subjectivity of AI behaviors.
Reference: ISO 19011:2018 - Clause 3.8; Principle of evidence-based approach ISO/IEC 42001:2023 - Clause 9.2.2 (Internal audit process) PECB Lead Auditor Guide - Domain 3: "Audit Evidence and Findings"
NEW QUESTION # 68
What among the below list of steps comes before the other ones in the management system audit process?
- A. Performing document review
- B. Preparing the audit report
- C. Conducting the opening meeting
- D. Initiating the audit
Answer: D
Explanation:
The first step in the audit process isInitiating the audit.
As perISO 19011:2018 - Clause 6.3, initiating the audit involves activities such asappointing the audit team
, defining theaudit scope and objectives, andcommunicating with the auditeeto set expectations.
After initiation, the auditor proceeds withdocument review, followed by theopening meeting, and then moves into audit execution and reporting.
NEW QUESTION # 69
Scenario 9:
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 one certification 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 uphold 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.
During an AIMS audit at a cybersecurity company, the team found a major nonconformity - ineffective access controls for sensitive data.
Question:
Given this situation, what is the appropriate next step?
- A. Conduct another full audit of the auditee's entire AIMS
- B. Conduct an audit follow-up before the company is recommended for certification
- C. Promptly revoke the auditee's certification without further examination
Answer: B
Explanation:
Major nonconformities require follow-upbefore recommending certification.
* ISO/IEC 17021-1:2015 Clause 9.4.9.4requires that for major nonconformities:"Certification shall only be granted after verification of the effective implementation of corrective actions, typically through an on-site follow-up audit."
* Immediate revocation or full re-audit is not necessary unless systemic failure is evident.
Reference:ISO/IEC 17021-1:2015 Clause 9.4.9.4; ISO/IEC 42001:2023 Clause 10.2.
NEW QUESTION # 70
Auditors use the ______ as a benchmark to determine conformity.
- A. Audit criteria
- B. Audit plan
- C. Audit feasibility
- D. Audit objectives
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 # 71
......
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