ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam actual exam torrent & ISO-IEC-42001-Lead-Auditor dumps will facilitate exam success
ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam actual exam torrent & ISO-IEC-42001-Lead-Auditor dumps will facilitate exam success
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PECB ISO-IEC-42001-Lead-Auditor Exam Syllabus Topics:
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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q109-Q114):
NEW QUESTION # 109
Scenario 2 (continued):
Empsy HR Solutions is a human resources consulting company that provides innovative HR solutions to diverse industries.Recognizing the significant impact of artificial intelligence Al in HR processes, including its ability to automate repetitive tasks, analyzevast amounts of data for insights, improve recruitment and talent management strategies, and personalize employee experiences, thecompany has initiated the implementation of an artificial intelligence management system AIMS based on ISO/IEC 42001.
Initially, the top management established an Al policy that was aligned with the company's objectives. The Al policy provided a frameworkfor defining Al objectives, a commitment to meeting relevant requirements, and a dedication to continually improve the AIMS. However, it did not refer to other organizational policies, although some were relevant to the AIMS. Afterward, the top management documented thepolicy, communicated it internally, and made it accessible to interested parties.
The top management designated specific individuals to ensure that the AIMS meets the standard's requirements. Additionally, theyensured that these individuals were responsible for overseeing theAIMS, reporting its performance to the top management, andfacilitating continual improvement. Moreover, in its awareness sessions, the company focused exclusively on ensuring that all personnel were informed about the Al policy, emphasizing their role in ensuring the effectiveness of the AIMS and the benefits of enhanced Alperformance.
The company also planned, implemented, and monitored processes to meet AIMS requirements. Additionally, it set clear criteria andimplemented controls based on them, ensuring effective operation, alignment with organizational objectives, and continual improvement.Empsy HR Solutions decided to implement strict measures to control changes to documented information within the AIMS. To ensure theintegrity and accuracy of documentation, the company adopted version control practices. Each document update was tracked using aversioning system, with clear records of what was modified, who made the changes, and when the updates occurred. Access to makechanges was restricted to authorized personnel, and any proposed modifications required approval from the designated managementteam before being implemented.
Moreover, considering past experiences where the company encountered unforeseen risks, Empsy HR Solutions established acomprehensive Al risk assessment process. This process involved identifying, analyzing, and evaluating Al risks to determine if it isnecessary to implement additional controls than those specified in Annex A. The company also referred to Annex B for guidance onimplementing controls and, ultimately, produced a Statement of Applicability SoA. The SoA contained the necessary controls, including allthe controls of Annex A and justifications for their inclusion or exclusion.
Lastly. Empsy HR Solutions decided to establish an internal audit program to ensure the AIMS conforms to both the company'srequirements and ISO/IEC 42001. It defined the audit objectives, criteria, and scope for each audit, selected auditors, and ensuredobjectivity and impartiality during the audit process. The results of the first audit were documented and reported only to the top management of the company.
Question:
Based on Scenario 2, was the awareness session conducted in accordance with the requirements of Clause 7.3 Awareness of ISO/IEC 42001?
- A. No, the awareness session should also explain the justification for the inclusion and the exclusion of Annex A controls
- B. Yes, because awareness sessions focus only on AI policy
- C. Yes, the awareness session informed employees about the AI policy and highlighted their role in ensuring the effectiveness of the AIMS
- D. No, the awareness session should also communicate the implications of not conforming to the AIMS requirements
Answer: D
Explanation:
ISO/IEC 42001 Clause 7.3 requires that awareness training should not only inform employees about the AI policy and roles but alsocommunicate the implications of nonconformancewith AIMS requirements. Since Empsy HR Solutions missed this, it is non-compliant.
Reference:ISO/IEC 42001:2023 Clause 7.3 (Awareness).
NEW QUESTION # 110
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 received minor nonconformities. After the closing meeting, the audit team leader suggested solutions for resolving the nonconformities, at the request of the auditee.
Question:
Was the audit team leader's decision to suggest solutions for the identified nonconformities acceptable?
- A. No, the audit team leader may only suggest specific solutions if explicitly authorized by thecertification body
- B. Yes, the audit team leader can suggest specific solutions for solving the identified nonconformities if requested by the auditee representatives
- C. No, the audit team leader cannot suggest solutions for resolving the identified nonconformities to the auditee
Answer: B
Explanation:
Auditorsmay suggest solutionswhenrequested by the auditee, provided the suggestions are not prescriptive or directive.
* ISO/IEC 17021-1:2015 Clause 5.2.5prohibits consultancy but allowsclarification or explanation of requirements.
* TheISO 19011:2018 Clause 6.6.7explains that:"Auditors may provide suggestions for improvement when asked, provided they do not compromise impartiality or introduce bias."
* TheLead Auditor Guidestates:"Suggestions are permitted when initiated by the auditee and documented clearly as non-mandatory." Reference:ISO/IEC 17021-1:2015 Clause 5.2.5; ISO 19011:2018 Clause 6.6.7.
NEW QUESTION # 111
Auditors use the ______ as a benchmark to determine conformity.
- A. Audit feasibility
- B. Audit plan
- C. Audit objectives
- D. Audit criteria
Answer: D
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 # 112
Question:
During the annual ISO/IEC 42001 audit at a financial company, the auditor selected and analyzed a sample of
5 out of 25 follow-up nonconformity reports to assess whether the company adheres to its follow-up process.
What type of evidence did the auditor gather?
- A. Quantitative
- B. Qualitative
- C. Observational
- D. Semi-quantitative
Answer: A
Explanation:
The auditor gatheredQuantitative evidence.
* Quantitative evidenceis defined as evidence that is measurable and based on numbers or statistical sampling.
* ISO 19011:2018 Clause 6.5.5states:"Quantitative audit evidence is numerical or measurable and collected through sampling, measurements, or observations."
* Sampling nonconformity reports to check process adherence clearly falls underquantitative evidence.
Reference:ISO 19011:2018 Clause 6.5.5; ISO/IEC 42001:2023 Clause 9.2.2.
NEW QUESTION # 113
Scenario 3 (continued):
ArBank is a financial institution located in Brussels, Belgium, which offers a diverse range of banking and investment servicesto its clients. To ensure the continual improvement of its operations, ArBank has implemented a quality management system QMS based on ISO 9001 and an artificial intelligence management system AIMS based on the requirements of ISO/IEC
42001.
Audrey, an experienced auditor, led an internal audit focused on the AIMS within ArBank. She assessed the chatbots integrated into thebank's website and mobile app, analyzing communications using big data technology to identify potential noncompliance, fraud, orunethical conduct. Instead of relying solely on the information provided by the chatbots, Audrey sought out evidence that would eitherconfirm or challenge the validity of the data, ensuring her conclusions were based on reliable and accurate information. Her review ofselected chatbot interactions confirmed they met their intended purpose.
For the specific context of ArBank's operations, Audrey utilized an Al system to assess the efficiency of the bank's digital infrastructure,focusing on tasks critical to the Finance Department. This Al system was able to analyze the functionality of chatbots integrated intoArBank's website and mobile app to determine if it adheres to ISO/IEC 42001 requirements and internal policies governing customerservice in the banking sector.
In addition, Audrey conducted a deeper assessment of the bank's AIMS. Her evaluation included observing different stages of the AIMSlife cycle, from development to deployment, to ensure that roles and responsibilities were clearly defined and aligned with ArBank'soperational goals. She also evaluated the tools used to monitor and measure the performance of the AIMS.
Audrey continued the audit process by auditing ArBank's outsourced operations. Upon checking the contractual agreements between thetwo parties, Audrey decided that there was no need to gather audit evidence regarding the contractual agreement. She reviewed thecompany's processes for monitoring the quality of outsourced operations, determined whether appropriate governance processes are inplace with regard to the engagement of outsourced persons or organizations, and reviewed and evaluated the company's plans in case ofexpected or unexpected termination of theoutsourcing agreement.
Based on the scenario above, answer the following question:
Question:
What big data technology did Audrey utilize? Refer to Scenario 3.
- A. Data management
- B. Text analytics
- C. Visual analytics
- D. Predictive analytics
Answer: B
Explanation:
Audrey usedText Analytics, which involves processing and analyzing textual interactions (like chatbot conversations) to derive meaningful information.
* ISO/IEC 20546:2019 (Big Data Overview and Vocabulary) Clause 3.6defines text analytics as the application of AI techniques to understand and extract information from unstructured text.
* In ISO/IEC 42001:2023, the standard stresses in Clause 8.2 (Data Management) the need for organizations to ensure that textual data is analyzed correctly to validate AI system effectiveness.
Reference:ISO/IEC 20546:2019 Clause 3.6; ISO/IEC 42001:2023 Clause 8.2 (Data Management).
NEW QUESTION # 114
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