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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q120-Q125):
NEW QUESTION # 120
What is one of the key objectives of conducting an audit according to ISO 19011?
Answer: A
Explanation:
Theprimary objective of an audit, as defined inISO 19011:2018 - Clause 5.1, is toevaluate the extent to which the management system conforms to planned arrangements and is effectively implemented and maintained.
Audits arenot meant to issue certificates or impose penalties- they aretools for continual improvement, helping organizations assess theperformance and effectivenessof their systems.
This aligns with the purpose of internal audits described inISO/IEC 42001:2023 - Clause 9.2, which is to verify theeffectiveness of the AIMS (Artificial Intelligence Management System).
NEW QUESTION # 121
Scenario 6 (continued):
Scenario 6: HappilyAI is a pioneering enterprise dedicated to developing and deploying artificial intelligence Al solutions tailored toenhance customer service experiences across various industries. The company offers innovative products like virtual assistants,predictive analytics tools, and personalized customer interaction platforms. As part of its commitment to operational excellence andinnovation, HappilyAI has implemented a robust Al management system AIMS to oversee its Al operations effectively. Currently.HappilyAI is undergoing a comprehensive audit process of its AIMS to evaluate its compliance with ISO/IEC 42001.
Under the leadership of Jess, the audit team began the audit process with meticulous planning and coordination, setting the groundworkfor the extensive on-site activities of the stage 1 audit. This initial phase was marked by a comprehensive documentation review. Theaudit scope encompassed a critical review of HappilyAI's core departments, including Research and Development (R&D), CustomerService, and Data Security, aiming to assess the conformity of HappilyAI's AIMS to the requirements of ISO/IEC 42001.
Afterward, Jess and the team conducted a formal opening meeting with HappilyAI to introduce the audit team and outline the auditactivities. The meeting set a collaborative tone for the subsequentphases, where the team engaged in information collection, executedaudit tests, identified findings, and prepared draft nonconformity reports while maintaining a strict quality review process.
In gathering evidence, the audit team employed a sampling method, which involved dividing the population into homogeneous groups toensure a comprehensive and representative data collection by drawing samples from each segment. Furthermore, the team employedobservation to deepen their understanding of the Al management processes. They verified the availability of essential documentation,including Al-related policies, and evaluated the communication channels established for reporting incidents.
Additionally, they scrutinized specific monitoring tools designed to track the performance of data acquisition processes, ensuring thesetools effectively identify and respond to errors or anomalies. However, a notable challenge emerged as the team encountered a lack ofaccess to documented information that describes how tasks about AIMS are executed. In addition to this, the team identified a potentialnonconformity within the Sales Department. They decided not to record this as a nonconformity in the audit report but onlycommunicated it to the HappilyAI's representatives.
During the stage 2 audit, the certification body, in collaboration with HappilyAI, assigned the roles of technical experts within the auditteam. Recognized for their specialized knowledge and expertise in artificial intelligence and its applications, these technical experts aretasked with the thorough assessment of the AIMS framework to ensure its alignment with industry standards and best practices,focusing on areas such as data ethics, algorithmic transparency, and Al system security.
Question:
Which observation types did the audit team use to enhance their understanding of the AI management processes?
Answer: B
Explanation:
The audit team usedGeneral and Detailed observations:
* General observations refer to broad, overall assessments.
* Detailed observations involve in-depth, specific reviews of processes.
* ISO 19011:2018 Clause 6.5.7states:"Auditors may conduct general observations to understand the context, followed by detailed observations to examine specific controls and compliance." Reference:ISO 19011:2018 Clause 6.5.7; ISO/IEC 42001 Lead Auditor Study Manual, Section 6 ("Observation Techniques").
NEW QUESTION # 122
What does ISO 19011 provide?
Answer: C
Explanation:
ISO 19011:2018providesfundamental principles and guidanceonauditing management systems, including:
* Principles of auditing
* Managing audit programs
* Conducting internal or external audits
* Evaluating the competence of auditors
While ISO/IEC 42001 is specific to AI Management Systems, ISO 19011 serves as auniversal audit frameworkthat applies toall types of management systems, including AI.
ThePECB Lead Auditor Guide - Domain 3highlights ISO 19011 as theprimary guidance document for auditing practices, emphasizing its relevance to auditing AIMS as well.
NEW QUESTION # 123
Which step involves reviewing documents and records relevant to the audit scope?
Answer: A
Explanation:
TheDocument Reviewstep is a key part of audit preparation where auditors evaluate relevantdocuments, records, policies, and proceduresto understand the structure and implementation of the AI Management System.
As perISO 19011:2018 - Clause 6.4.3, document review helps auditorsfamiliarize themselves with the management system, identify potential areas of concern, and refine the audit plan.
In AI audits (such as AIMS under ISO/IEC 42001), this may include reviewingAI governance policies, data governance procedures, impact assessments, or model documentation.
Reference: ISO 19011:2018 - Clause 6.4.3 (Review of documented information) ISO/IEC 42001:2023 - Clause 9.2.1 (Internal audit preparation) PECB Lead Auditor Guide - Domain 4: "Document and Record Review in Audit Planning"
NEW QUESTION # 124
Scenario 4 (continued):
BioNovaPharm, a German biopharmaceutical company, has implemented an artificial intelligence management system AIMSbased on ISO/IEC 42001 to optimize various aspects of drug discovery, including analyzing extensive biological data, identifying potentialdrug candidates, and streamlining clinical trial processes. After having the AIMS in place for over a year, the company contracted acertification body and is now undergoing an AIMS audit to obtain certification against ISO/IEC 42001.
Adopting a risk-based approach, the audit team focused on risk throughout their activities. The level of detail outlined in the audit plancorresponded to the scope and complexity of the audit. The team employed a ranking system for detailed audit procedures, prioritizingthose with the highest risk.
Once the stage 1 audit began, the audit team started reviewing the auditee's documented information. To assess whether BioNovaPharmcomplies with the legal and regulatory requirements related to incident communication, the audit team examined evidence provided bythe company's external legal office. The evidence confirmed that BioNovaPharm applies the requirements of the EU Al Act, whichmandates that providers of high-risk Al systems report serious incidents to relevant authorities.
Following the completion of the stage 1 audit, John, an audit team member, documented the stage 1 audit outputs, including theobservations of the audit team that could result in nonconformities during the on-site audit. However, the audit team leader, Emma, whowas overseeing the audit activities, observed that John failed to document significant observations related to the lack of transparency inthe Al decision-making processes of BioNovaPharm. Considering that Emma observed John's lack of competence in undertaking some audit activities, a disciplinary note was recorded for John.
Question:
What level of negligence did Emma observe regarding John's audit documentation failures?
Answer: D
Explanation:
Ordinary negligencerefers to a failure to apply the level of care that a reasonable auditor would exercise, without intentional misconduct.
* ISO/IEC 17021-1:2015 Clause 7.2.5 requires auditors todocument audit findings properly and completely.
* TheLead Auditor Study Guidedefines ordinary negligence as:"An auditor's unintentional oversight or failure to perform duties to expected professional standards, without evidence of deliberate wrongdoing." Reference:ISO/IEC 17021-1:2015 Clause 7.2.5; Lead Auditor Manual Chapter 6 ("Audit Team Behavior and Ethics").
NEW QUESTION # 125
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