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  1. Home
  2. PECB Certification
  3. ISO-IEC-42001-Lead-Auditor Exam
  4. PECB.ISO-IEC-42001-Lead-Auditor.v2025-09-17.q89 Dumps
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Question 86

Which core element focuses on ensuring that the creators and operators of AI systems are responsible for the outcomes and impacts of those systems?

Correct Answer: C
Accountabilityis the core principle that ensures individuals or organizations involved in thedesign, development, and deploymentof AI systems areresponsible for their outcomes, decisions, and impacts.
According toISO/IEC 42001:2023 - Clause 5.3andClause 6.1.2, accountability requires organizations to define roles and responsibilities, ensure that systems are monitored for risks, and establishescalation or remediation procedureswhen negative impacts occur.
ThePECB Lead Auditor Guide - Domain 1highlights accountability as a key requirement for maintaining trust, legal compliance, and ensuring AI systems operate under clear lines ofgovernance and oversight.
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Question 87

Question:
Which of the following is NOT a guide's responsibility?

Correct Answer: C
Aguideis typically a representative of the auditee assigned to assist the audit team, not to perform audit duties.
* ISO 19011:2018 Clause 5.4.7states:"The responsibilities of guides include establishing contacts, arranging visits, ensuring safety, and facilitating communication - but not evaluating or concluding audit findings."
* Drafting and communicating audit conclusionsis the responsibility of theaudit team leaderunderISO
/IEC 17021-1:2015 Clause 9.4.6.
Reference:ISO 19011:2018 Clause 5.4.7; ISO/IEC 17021-1:2015 Clause 9.4.6.
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Question 88

Auditors use the ______ as a benchmark to determine conformity.

Correct Answer: B
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.
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Question 89

According to Scenario 8, Sharona played a vital role in the certification decision. Is this acceptable?
Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al technologies to analyze customer behavior. Founded in 2023, the company employs natural language processing, machine learning, and predictive analytics to provide real time insights to a range of businesses. VeridicAI has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to manage its Al technologies effectively. The AIMS scope includes select departments within the company, for which it has received a four-year certification against ISO/IEC 42001. Committed to transparency. VeridicAI publicly shares details of this certification.
As the certification nears its end, VeridicAI is preparing for an audit to renew its certification.
The audit process was led by Sharona, the audit team leader, who is a full-time employee of the certification body. Sharona and the audit team undertook all planned audit activities. Afterward, they organized the closing meeting with VeridicAl's management. During the meeting, Sharona and the team made a recap on audit objectives and scope, presented the audit findings and conclusions, presented identified nonconformities, and organized a session for questions and answers for the auditee.
VeridicAI received a conditional recommendation for certification, underscoring its compliance with the industry's standards. Sharona confirmed that the company met the essential requirements but noted some identified minor nonconformities. In response, VeridicAI compiled and submitted a comprehensive action plan that addresses all identified nonconformities within a designated timeframe. Because of the comprehensive action plan, Sharona did not see the need for an additional on- site visit to verify the effectiveness of the action plan.
Sharona played an integral role in the certification decision process. Her thorough understanding of VeridicAI's operations, gained from the audit, guided the certification body towards a well-informed certification decision.

Correct Answer: C
According to ISO/IEC 17021-1:2015 Clause 5.2.9 and Clause 9.5.3, while auditors (including Sharona) may contribute information and analysis to support the certification body, the certification decision must be made by a person or committee not involved in the audit process. This ensures impartiality and avoids conflict of interest. Sharona, having led and conducted the audit, should not have played a decisive role in certification issuance.
Reference:
ISO/IEC 17021-1:2015 Clause 5.2.9 - Impartiality
ISO/IEC 17021-1:2015 Clause 9.5.3 - Certification decision-making process ISO/IEC 42001:2023 Clause 9.1 - Roles and responsibilities of the certification body Certainly! Below are Questions 68 to 70 formatted exactly as requested, using the ISO/IEC 42001:2023 Artificial Intelligence Management System Lead Auditor documentation structure. Each question includes the correct answer and a comprehensive explanation with references.
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