FREE PDF ISO-IEC-42001-LEAD-AUDITOR - HIGH HIT-RATE ISO/IEC 42001:2023ARTIFICIAL INTELLIGENCE MANAGEMENT SYSTEM LEAD AUDITOR EXAM VALID EXAM BRAINDUMPS

Free PDF ISO-IEC-42001-Lead-Auditor - High Hit-Rate ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Valid Exam Braindumps

Free PDF ISO-IEC-42001-Lead-Auditor - High Hit-Rate ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Valid Exam Braindumps

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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q69-Q74):

NEW QUESTION # 69
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.
Question:
Was the audit team leader's attitude appropriate regarding the new evidence provided by the company?

  • A. No, auditors should consult with the certification body before making any decisions regarding new evidence presented after the stage
  • B. No, auditors should not take into consideration new evidence or additional information after reaching audit conclusions
  • C. Yes, auditors should consider the new evidence provided and modify their audit conclusion, if necessary

Answer: C

Explanation:
Auditorsmust remain open to considering additional evidence- even if submitted late - as long as it is relevant and within the audit timeframe.
* ISO/IEC 17021-1:2015 Clause 9.4.7states:"The audit team shall reconsider audit conclusions in light of any new, relevant information received before the audit report is finalized."
* TheLead Auditor Guidereinforces:"Evidence-based decision-making must include post-audit review of any additional submissions before certification decisions are made." Reference:ISO/IEC 17021-1:2015 Clause 9.4.7; ISO/IEC 42001 Lead Auditor Manual - Section 7 ("Handling New Evidence Post-Audit").


NEW QUESTION # 70
Which control in Annex A of ISO 42001:2023 focuses on the need for stakeholder engagement in AI system development?

  • A. Continuous Improvement
  • B. Stakeholder Consultation
  • C. Risk Assessment
  • D. Data Management

Answer: B

Explanation:
Annex A - Control A.5.2.2: Stakeholder Consultationexplicitly requires organizations toconsult with relevant stakeholders(such as users, impacted communities, regulators, etc.) during the development and operation of AI systems.
This control emphasizes the importance of engaging stakeholders toidentify expectations, values, ethical concerns, and social impact risksassociated with the AI system.
Stakeholder engagement supports transparency, ethical alignment, and social acceptability of AI solutions.
Reference: ISO/IEC 42001:2023 - Annex A, Control A.5.2.2 (Stakeholder Consultation) PECB Lead Auditor Guide - Domain 2: "Governance and Control Requirements for Ethical AI"


NEW QUESTION # 71
Scenario 1 (continued):
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution's own requirements and that the system is being maintained effectively.
Question:
Based on Scenario 1, which of the following processes regarding data did Future Horizon Academy NOT conduct?

  • A. Data augmentation
  • B. Data acquisition
  • C. Data annotation
  • D. Data verification

Answer: A

Explanation:
The scenario clearly mentions acquiring, transforming, and verifying data but doesnot mention data augmentation(the process of creating additional data samples). According to ISO/IEC 42001 Clause 8.3 (Data Management), data augmentation must be deliberately planned and documented, and it is not referenced here.Reference:ISO/IEC 42001:2023 Clause 8.3 (Operational Planning and Control).


NEW QUESTION # 72
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 when determining 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, the audit team conducted a Stage 2 audit after a considerable time from Stage 1. Is this recommended?

  • A. Yes, a bigger gap between Stage 1 and Stage 2 audits allows the audit team time for reflection and preparation in addressing the findings
  • B. No, the Stage 2 audit should be conducted immediately after the Stage 1 audit to quickly address any identified issues
  • C. No, the gap between Stage 1 and Stage 2 audits should be minimal (usually two weeks) to ensurethat the AIMS remains consistent and relevant during the audit process

Answer: C

Explanation:
Aminimal gapbetween Stage 1 and Stage 2 is strongly recommended.
* ISO/IEC 17021-1:2015 Clause 9.3.1.2states:"The interval between Stage 1 and Stage 2 should be short to avoid changes to system implementation or operating conditions."
* TheISO/IEC 42001 Lead Auditor Training Guiderecommendsa maximum gap of 90 days, preferably 2-3 weeks, to ensure continuity.
Reference:ISO/IEC 17021-1:2015 Clause 9.3.1.2; ISO/IEC 42001 Lead Auditor Guide Section 6 ("Audit Timing and Continuity").


NEW QUESTION # 73
Question:
Can the work assignments of audit team members be changed during the audit?

  • A. No, changes cannot be made once the audit starts
  • B. Yes, but only if the changes are approved by the auditee
  • C. Yes, changes can be made to ensure the achievement of audit objectives

Answer: C

Explanation:
Yes,audit team assignments can be adjustedduring the audit to ensure the audit remains effective and objective.
* ISO/IEC 17021-1:2015 Clause 9.2.4.1states:"The audit team leader shall reassign tasks as necessary during the audit to ensure audit objectives are achieved."
* TheISO 19011:2018 Clause 6.4.9similarly permits dynamic reassignment of roles based on real-time findings or logistical needs.The auditee's permission is not required unless changes impact the audit scope or confidentiality agreements.
Reference:ISO/IEC 17021-1:2015 Clause 9.2.4.1; ISO 19011:2018 Clause 6.4.9.


NEW QUESTION # 74
......

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