Head office:
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Corporate office:
18, Indira Road, Farmgate, Dhaka-1215
Branch Office:
109, Orchid Plaza-2, Green Road, Dhaka-1215
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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q22-Q27):
NEW QUESTION # 22
Which requirement of Clause 7 (Support) of ISO/IEC 42001 did OptiFlow NOT implement? Refer to Scenario 2.
Scenario 2: OptiFlow is a logistics company located in New Delhi, India. The company has enhanced its operational efficiency and customer service by integrating AI across various domains, including route optimization, inventory management, and customer support. Recognizing the importance of AI in its operations, OptiFlow decided to implement an Artificial Intelligence Management System (AIMS) based on ISO/IEC 42001 to oversee and optimize the use of AI technologies.
To address Clauses 4.1 and 4.2 of the standard, OptiFlow identified and analyzed internal and external issues and needs and expectations of interested parties. During this phase, it identified specific risks and opportunities related to AI deployment, considering the system's domain, application context, intended use, and internal and external environments. Central to this initiative was the establishment and maintenance of AI risk criteria, a foundational step that facilitated comprehensive AI risk assessments, effective risk treatment strategies, and precise evaluations of risk impacts. This implementation aimed to meet AIMS's objectives, minimize adverse effects, and promote continuous improvement. OptiFlow also planned and integrated strategies to address risks and opportunities into AIMS's processes and assessed their effectiveness.
OptiFlow set measurable AI objectives aligned with its AI policy across all organizational levels, ensuring they met applicable requirements and matched the company's vision. The company placed strong emphasis on the monitoring and communication of these objectives, ensuring they were updated annually or as needed to reflect changes in technology, market demands, or internal processes. It also documented the objectives, making them accessible across the company.
To guarantee a structured and consistent AI risk assessment process, OptiFlow emphasized alignment with its AI policy and objectives. The process included ensuring consistency and comparability, identifying, analyzing, and evaluating AI risks.
OptiFlow prioritizes its AIMS by allocating the necessary resources for its comprehensive development and continuous enhancement. The company carefully defines the competencies needed for personnel affecting AI performance, ensuring a high level of expertise and innovation.
OptiFlow also manages effective internal and external communications about its AIMS, aligning with ISO
/IEC 42001 requirements by maintaining and controlling all required documented information. This documentation is meticulously identified, described, and updated to ensure its relevance and accessibility.
Through these strategic efforts, OptiFlow upholds a commitment to excellence and leadership in AI management practices.
To comply with Clause 9 of ISO/IEC 42001, the company determined what needs to be monitored and measured in the AIMS. It planned, established, implemented, and maintained an audit program, reviewed the AIMS at planned intervals, documented review results, and initiated a continuous feedback mechanism from all interested parties to identify areas of improvement and innovation within the AIMS
Answer: A
Explanation:
Clause 7 of ISO/IEC 42001 (Support) outlines key requirements related to:
* Resources
* Competence
* Awareness
* Communication
* Documented information
According to the scenario:
* OptiFlow defines competencies required for personnel and allocates necessary resources (covers A).
* It manages internal/external communication, and documentation practices (covers C).
* However, there is no mention of planning and controlling changes - a key requirement under Clause 7.5.6 and also reflected in Clause 8 (Operational planning and control), which often ties into Clause 7 for support readiness.
Thus, Option B - "Ensure that changes are carried out in a planned manner" - was not evidenced in the scenario and is the correct answer.
Reference:
* ISO/IEC 42001:2023, Clause 7.2 (Competence), 7.3 (Awareness), and 7.4 (Communication)
* Clause 7.5.6 - Control of changes
* PECB AI Lead Auditor Training Guide, Section 7 - Support functions in AIMS
===========
NEW QUESTION # 23
Scenario 2: OptiFlow is a logistics company located in New Delhi, India. The company has enhanced its operational efficiency and customer service by integrating AI across various domains, including route optimization, inventory management, and customer support. Recognizing the importance of AI in its operations, OptiFlow decided to implement an Artificial Intelligence Management System (AIMS) based on ISO/IEC 42001 to oversee and optimize the use of AI technologies.
To address Clauses 4.1 and 4.2 of the standard, OptiFlow identified and analyzed internal and external issues and needs and expectations of interested parties. During this phase, it identified specific risks and opportunities related to AI deployment, considering the system's domain, application context, intended use, and internal and external environments. Central to this initiative was the establishment and maintenance of AI risk criteria, a foundational step that facilitated comprehensive AI risk assessments, effective risk treatment strategies, and precise evaluations of risk impacts. This implementation aimed to meet AIMS's objectives, minimize adverse effects, and promote continuous improvement. OptiFlow also planned and integrated strategies to address risks and opportunities into AIMS's processes and assessed their effectiveness.
OptiFlow set measurable AI objectives aligned with its AI policy across all organizational levels, ensuring they met applicable requirements and matched the company's vision. The company placed strong emphasis on the monitoring and communication of these objectives, ensuring they were updated annually or as needed to reflect changes in technology, market demands, or internal processes. It also documented the objectives, making them accessible across the company.
To guarantee a structured and consistent AI risk assessment process, OptiFlow emphasized alignment with its AI policy and objectives. The process included ensuring consistency and comparability, identifying, analyzing, and evaluating AI risks.
OptiFlow prioritizes its AIMS by allocating the necessary resources for its comprehensive development and continuous enhancement. The company carefully defines the competencies needed for personnel affecting AI performance, ensuring a high level of expertise and innovation.
OptiFlow also manages effective internal and external communications about its AIMS, aligning with ISO
/IEC 42001 requirements by maintaining and controlling all required documented information. This documentation is meticulously identified, described, and updated to ensure its relevance and accessibility.
Through these strategic efforts, OptiFlow upholds a commitment to excellence and leadership in AI management practices.
To comply with Clause 9 of ISO/IEC 42001, the company determined what needs to be monitored and measured in the AIMS. It planned, established, implemented, and maintained an audit program, reviewed the AIMS at planned intervals, documented review results, and initiated a continuous feedback mechanism from all interested parties to identify areas of improvement and innovation within the AIMS Which of OptiFlow's implemented requirements is NOT included in Clause 9 (Performance Evaluation) of ISO/IEC 42001? Refer to Scenario 2.
Answer: B
Explanation:
Clause 9 of ISO/IEC 42001 addresses Performance Evaluation and includes:
* 9.1: Monitoring, measurement, analysis, and evaluation
* 9.2: Internal audit
* 9.3: Management review
From the scenario:
* OptiFlow implemented an audit program # aligns with Clause 9.2
* It reviewed the AIMS at planned intervals # aligns with Clause 9.3
* The "continuous feedback mechanism from interested parties" supports continual improvement but is more aligned with Clause 10 (Improvement), not Clause 9.
Therefore, while valuable for continuous innovation and improvement, this feedback mechanism falls outside the formal scope of Clause 9.
Reference:
* ISO/IEC 42001:2023, Clause 9 - Performance evaluation
* ISO/IEC 42001:2023, Clause 10.1 - Continual improvement
* PECB ISO/IEC 42001 Lead Auditor Study Guide, Chapter 9
NEW QUESTION # 24
Scenario 4:
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 oftransparency 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 type of evidence did the audit team obtain to assess BioNovaPharm's compliance with legal and regulatory incident reporting requirements?
Answer: B
Explanation:
The audit team obtainedConfirmative evidence.
* ISO/IEC 42001:2023 Clause 9.2.2 specifies that during audits, objective evidence such ascertifications, legal opinions, or official documentationthat confirms compliance must be collected.
* Confirmative evidence specifically refers to validated information fromindependent sources(in this case, external legal advice).
* TheLead Auditor Training Manualalso definesConfirmative Evidenceas:"Evidence that provides verification of conformance through reliable independent sources." Reference:ISO/IEC 42001:2023 Clause 9.2.2; Lead Auditor Study Guide Chapter 7 ("Evidence Gathering Techniques").
NEW QUESTION # 25
An AI-driven recommendation system for online shopping has been accused of promoting products from certain vendors over others without clear reasoning. The company wants to address these concerns effectively. Which core element is most relevant to resolving this issue?
Answer: A
Explanation:
The concern here revolves aroundpotential algorithmic biasandpreferential treatment, which falls under the core ethical principle ofFairness and Non-Discrimination.
According to ISO/IEC 42001:2023, organizations mustidentify and mitigate discriminatory impactsof AI systems, especially where algorithmic decisions influenceuser experiences, access to services, or market fairness(Clause 6.1.2 and Clause 8.2.3).
This core element ensures that AI decisions are:
* Equitable and unbiased
* Do not systematically favor or disadvantage individuals or groups
* Transparent in rationale and decision logic
The PECB Guide emphasizes that Fairness is particularly important inrecommendation, ranking, or classification systems, where outcomes affect stakeholders' access or exposure.
Reference: ISO/IEC 42001:2023 - Clause 6.1.2 (Risk Identification), Clause 8.2.3 (Controlsfor operational impact) PECB Lead Auditor Guide - Domain 1: "AI Governance and Ethics," Subsection: Fairness and Non- Discrimination
NEW QUESTION # 26
Scenario 9 (continued):
Scenario 9: Securisai, located in Tallinn.Estonia, specializes in the development of automated cybersecurity solutions that utilize AIsystems. The company recently implemented an artificial intelligence management system AIMS in accordance with ISO/IEC 42001. Indoing so, the company aimed to manage its Al-driven systems' capabilities to detect and mitigate cyber threats more efficiently andethically. As part of its commitment to upholding the highest standards of Al use and management, Securisai underwent a certificationaudit to demonstrate compliance with ISO/IEC 42001.
The audit process comprised two main stages: the initial or stage 1 audit focused on reviewing Securisai's documentation, policies, andprocedures related to its AIMS. This review laid the groundwork for the stage 2 audit, which involved a comprehensive, on-site evaluation of the actual implementation and effectiveness of the AIMS within Securisai's operations. The goal was to observe the AIMS in operation,ensuring that it not only existed on paper but was effectively integrated into the company's daily activities and cybersecurity strategies.
After the audit, Roger, Securisai's internal auditor, addressed the action plans devised to rectify nonconformities identified during thecertification audit. He developed a long term strategy, highlighting key AIMS processes for triennial audits. Roger's internal audits play a key role in advancing Securisai's goals by employing a systematic and disciplined method to assess and boost the efficiency of risk management, governance processes, and strategic decision-making. Roger reported his findings directly to Securisai's top management.
Following the successful rectification of nonconformities, Securisai was officially certified against ISO/IEC
42001.
Recently, the company decided to transfer its ISO/IEC 42001 certification registration from onecertification body to another despitebeing initially bound by a long-term agreement with the current certification body.
This decision was motivated by the desire to partnerwith a certification body that offers deeper insights and expertise in the rapidly evolving field of artificial intelligence in cybersecurity.
To ensure a smooth transition and uphold its certification status, Securisai is diligently compiling the required documentation forsubmission to the new certification body. This includes a formal request, the most recent audit report underscoring its adherence toISO/IEC 42001, the latest corrective action plan that highlights its continuous efforts toward improvement, and a copy of its current validcertification registration.
A year following Securisai's initial certification audit, a subsequent audit was carried out by the certification body on its AIMS. The purpose of this audit was to assess compliance with ISO/IEC 42001 and verify the ongoing improvement of the AIMS. The audit team concluded that Securisai's AIMS consistently meets the requirements set by ISO/IEC 42001.
Question:
What type of audit is described in the last paragraph of Scenario 9?
Answer: A
Explanation:
The follow-up auditone year after initial certificationto assess ongoing conformity is classified as a Surveillance Audit.
* ISO/IEC 17021-1:2015 Clause 9.6.2.1states:"Surveillance audits are conducted at least once a year to ensure that the certified management system continues to meet requirements."
* ISO/IEC 42001:2023 Clause 9.2.2also references surveillance as part of maintaining AI management system certification.
Reference:ISO/IEC 17021-1:2015 Clause 9.6.2.1; ISO/IEC 42001:2023 Clause 9.2.2.
NEW QUESTION # 27
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Head office:
Farmview Supermarket, (Level -5), Farmgate, Dhaka-1215
Corporate office:
18, Indira Road, Farmgate, Dhaka-1215
Branch Office:
109, Orchid Plaza-2, Green Road, Dhaka-1215