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2025 ISO-IEC-42001-Lead-Auditor: Newest ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Test Certification Cost
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PECB ISO-IEC-42001-Lead-Auditor Exam Syllabus Topics:
Topic
Details
Topic 1
- 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 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
- 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.
PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q84-Q89):
NEW QUESTION # 84
Question:
What is a significant drawback of using judgment-based sampling in audits?
- A. It does not allow for a statistical estimate of uncertainty in the audit findings
- B. It relies mostly on previously identified significant risks
- C. It requires extensive statistical training for the audit team
Answer: A
Explanation:
The major limitation ofjudgment-based samplingis that itdoes not support statistical estimation of audit uncertainty.
* ISO 19011:2018 Clause 6.5.5clarifies:"Judgment-based sampling may introduce bias and cannot provide statistical confidence in the findings."
* Although this method is useful for targeting high-risk areas, it lacks quantifiable precision.
Reference:ISO 19011:2018 Clause 6.5.5; ISO/IEC 42001 Lead Auditor Guide - Section 6 ("AuditSampling and Limitations").
NEW QUESTION # 85
Question:
A multinational technology corporation has initiated an audit process to assess compliance with ISO/IEC
42001. The audit team drafted an audit schedule after the initiation of the audit.
Which aspect of the audit schedule prepared by the audit team is NOT correct?
- A. The audit schedule is based on a feasible time
- B. The audit schedule is drafted after the initiation of the audit
- C. The audit schedule prioritizes tasks based on their significance and relevance
Answer: B
Explanation:
An audit schedule must be preparedbeforethe initiation of the audit.
* ISO/IEC 17021-1:2015 Clause 9.2.3.1andISO 19011:2018 Clause 6.4.3require that the audit program and detailed schedule must be createdpriorto starting on-site activities.
* TheISO/IEC 42001 Lead Auditor Guidenotes:"The audit schedule must be planned andshared with the auditee during pre-audit activities." Reference:ISO/IEC 17021-1:2015 Clause 9.2.3.1; ISO 19011:2018 Clause 6.4.3.
NEW QUESTION # 86
Which statement best reflects the principle of professional skepticism?
- A. Auditors ensure their reports clearly reflect the system's effectiveness, ethical concerns, and operational issues
- B. Auditors should always trust the auditee's representation unless contradictory evidence is obvious
- C. Auditors use their expertise to assess AIMS, ensuring it meets organizational needs and maintains stakeholder trust
- D. Auditors critically evaluate AI systems, actively seeking evidence that may contradict claims of ethical compliance and accuracy
Answer: D
Explanation:
Professional skepticism is an audit principle emphasizing the need for auditors to maintain a questioning mindset and critically assess evidence. It involves actively searching for inconsistencies or contradictions in the evidence provided.
ISO 19011:2018 emphasizes that auditors must "remain alert to indications of nonconformity and fraud" and
"consider contradictory information." This is especially relevant in AI audits where ethical compliance and data quality must be scrutinized.
Reference:
ISO 19011:2018, Clause 4(e) - Professional Skepticism
ISO/IEC 42001:2023, Clause 9.2.2 - Evaluating objective evidence
PECB ISO/IEC 42001 Lead Auditor Guide - Section: Auditor Attributes and Competence
===========
NEW QUESTION # 87
Scenario 7 (continued):
Scenario 7: ICure, headquartered in Bratislava, is a medical institution known for its use of the latest technologies in medical practices. Ithas introduced groundbreaking Al-driven diagnostics and treatment planning tools that have fundamentally transformed patient care.
ICure has integrated a robust artificial intelligence management system AIMS to manage its Al systems effectively. This holisticmanagement framework ensures that ICure's Al applications are not only developed but also deployed and maintained to adhere to the highest industry standards, thereby enhancing efficiency and reliability.
ICure has initiated a comprehensive auditing process to validate its AIMS's effectiveness in alignment with ISO/IEC 42001. The stage 1audit involved an on-site evaluation by the audit team. The team evaluated the site-specific conditions, interacted with ICure's personnel, observed the deployed technologies, and reviewed the operations that support the AIMS. Following these observations, the findings weredocumented and communicated to ICure. setting the stage for subsequent actions.
Unforeseen delays and resource allocation issues introduced a significant gap between the completion of stage
1 and the onset of stage2 audits. This interval, while unplanned, provided an opportunity for reflection and preparation for upcoming challenges.
After four months, the audit team initiated the stage 2 audit. They evaluated AIMS's compliance with ISO
/IEC 42001 requirements, payingspecial attention to the complexity of processes and their documentation. It was during this phase that a critical observation was made:
ICure had not fully considered the complexity of its processes and their interactions whendetermining the extent of documentedinformation. Essential processes related to Al model training, validation, and deployment were not documented accurately, hinderingeffective control and management of these critical activities. This issue was recorded as a minor nonconformity, signaling a need forenhanced control and management of these vital activities.
Simultaneously, the auditor evaluated the appropriateness and effectiveness of the "AIMS Insight Strategy," a procedure developed by ICure to determine the AIMS internal and external challenges. This examination identified specific areas for improvement, particularly in the way stakeholder input was integrated into the system. It highlighted how this could significantly enhance the contribution of relevant parties in strengthening the system's resilience and effectiveness.
The audit team determined the audit findings by taking into consideration the requirements of ICure, the previous audit records and conclusions, the accuracy, sufficiency, and appropriateness of evidence, the extent to which planned audit activities are realized and planned results achieved, the sample size, and the categorization of the audit findings. The audit team decided to first record all the requirements met; then they proceeded to record the nonconformities.
Based on the scenario above, answer the following question:
Question:
Based on Scenario 7, for which of the following ISO/IEC 42001 clauses was the minor nonconformity issued?
- A. Clause 7.4 Communication
- B. Clause 7.3 Awareness
- C. Clause 7.5 Documented information
Answer: C
Explanation:
The issue was thatessential AIMS processes (model training, validation, and deployment) were not properly documented- this falls under:
* ISO/IEC 42001:2023 Clause 7.5, which requires that "the organization shall ensure documented information is available, adequate, and properly controlled."
* The nonconformity was not about communication or awareness, but thelack of documentation, which is a direct violation of Clause 7.5.
Reference:ISO/IEC 42001:2023 Clause 7.5; Lead Auditor Manual Section 5 ("Document Control Requirements").
NEW QUESTION # 88
Which of the following does NOT represent the purpose of managing and maintaining audit program 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:
Maintaining audit program records serves multiple purposes, such as demonstrating program implementation (ISO 19011:2018 Clause 5.4) and addressing confidentiality (Clause 7.5). However, the competence and performance evaluation of auditors is managed separately under auditor competence procedures (Clause 7.2), not as a direct objective of recordkeeping.
Reference:
ISO 19011:2018 Clause 5.4 - Establishing the audit program
ISO/IEC 17021-1:2015 Clause 7.2 - Competence management
ISO/IEC 42001:2023 Clause 7.2 - Competence
===========
NEW QUESTION # 89
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