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NEW QUESTION # 104
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 reviewingSecurisai'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 one certification 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.
Roger followed up on action plans after the external audit at Securisai, but he was directly involved in strategic decision-making processes, potentially affecting his audit objectivity.
Question:
Based on Scenario 9, which principle of internal auditing did Roger violate?
Answer: B
Explanation:
Independenceis compromised when an auditor has direct involvement in the management or decision-making processes of the system being audited.
* ISO/IEC 19011:2018 Clause 4.5defines independence as:"The basis for the impartiality and objectivity of the audit conclusions."
* ISO/IEC 17021-1:2015 Clause 5.2.5reinforces that personnel auditing must be free from involvement in the area audited.
* By participating in strategic decision-making, Roger violated the independence principle.
Reference:ISO/IEC 19011:2018 Clause 4.5; ISO/IEC 17021-1:2015 Clause 5.2.5.
NEW QUESTION # 105
Did the audit team leader thoroughly review all essential components before deciding to close the nonconformity? Refer to scenario 9.
Scenario 9: ImoAl, headquartered in California. USA, provides Al solutions for various industries such as finance, healthcare, retail, and manufacturing. Its clients include major financial institutions seeking Al powered fraud detection systems, healthcare providers leveraging Al for diagnostics and patient care, retailers optimizing supply chain management with Al forecasting, and manufacturers enhancing production efficiency through Al-driven automation.
ImoAl has recently undergone a certification audit to ensure that its artificial intelligence management system AIMS is in compliance with ISO/IEC 42001. During the audit, a major nonconformity related to data security protocols was identified, requiring urgent resolution.
ImoAl swiftly initiated corrective actions to address the
major nonconformity. The audit follow-up, in agreement with the auditee, was scheduled six weeks after the initial audit. As part of exploring alternatives to audit follow-up, the audit team leader chose to verify the effectiveness of the actions taken by the auditee by scheduling a specific visit to ImoAI's premises.
The follow-up audit involved a thorough evaluation of the effectiveness of these actions. The audit team leader thoroughly examined the corrections, corrective actions, and root cause analysis conducted by ImoAl to assess whether they adequately addressed the nonconformity identified during the initial audit.
In conjunction with the external audit follow-up, ImoAl engaged its internal auditing team to oversee the progress of corrective actions. The AIMS manager of ImoAl updated Ms. Rebecca Hayes, the internal auditor, on the status of corrections and corrective actions prompted by the nonconformity identified during the external audit. Subsequently, Ms. Hayes thoroughly reviewed these measures, analyzing the corrections, root causes, and effectiveness of the implemented actions.
Upon satisfactory validation of the action plans, ImoAl was recommended for certification.
Answer: A
Explanation:
The scenario indicates that the audit team leader thoroughly evaluated ImoAI's corrective actions, root cause analysis, and effectiveness of those actions before closing the nonconformity. This aligns with ISO/IEC
17021-1:2015 Clause 9.4.8, which states that verification must include not only confirmation that the problem was fixed but also that the root cause has been addressed to prevent recurrence.
The use of internal audits (as carried out by Ms. Hayes) further supports the thoroughness of the review process.
Reference:
ISO/IEC 17021-1:2015 Clause 9.4.8 - Verification of effective corrective action ISO 19011:2018 Clause 6.6.4 - Audit follow-up and validation ISO/IEC 42001:2023 Clause 10.2 - Corrective actions and preventive mechanisms Certainly! Below are Questions 75 to 80 formatted in the required structure according to ISO/IEC 42001:2023 Artificial Intelligence Management System Lead Auditor standards, with correct answers and comprehensive explanations.
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NEW QUESTION # 106
Question:
Which statement most accurately characterizes semantic computing?
Answer: C
Explanation:
Semantic computingfocuses on bridging the gap between computer data processing and human understanding by embedding meaning (semantics) into data. ISO/IEC 42001 and related AI documents (such as ISO/IEC 22989) describe semantic computing as critical in enhancing AI system outputs' interpretability and relevance to human expectations.
Reference:ISO/IEC 22989:2022 Clause 6.7 (Semantic Computing Concepts).
NEW QUESTION # 107
An organization is undergoing a certification audit to evaluate its compliance with ISO/IEC 42001 and ISO
/IEC 27001 for its AIMS and ISMS, respectively. What type of audit is the organization undergoing in this case?
Answer: C
Explanation:
A combined audit refers to a single audit that covers two or more management systems (e.g., AIMS and ISMS) managed as a single system. In this case, the organization is undergoing a certification audit for both ISO/IEC 42001 and ISO/IEC 27001 simultaneously.
According to ISO 19011:2018 (Clause 3.11), a combined audit is "an audit conducted at one auditee on two or more management systems of different disciplines." Reference:
ISO 19011:2018, Clause 3.11 - Combined audit
ISO/IEC 42001:2023, Clause 9.2 - Internal and external audits
PECB ISO/IEC 42001 Lead Auditor Study Guide - Section: Combined and Integrated Audits
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NEW QUESTION # 108
A financial institution uses an AI system to approve loan applications. Recently, there have been complaints that the system disproportionately denies loans to applicants from certain minority groups.
Which core element should the institution prioritize to address these complaints?
Answer: B
Explanation:
The most relevant core principle here isFairness and Non-Discrimination. This principle aims to ensure that AI systems do notcreate or perpetuate bias, especially in high-stakes decision-making areas such as financial services.
According toISO/IEC 42001:2023 - Clause 6.1.2andAnnex A (A.8.2.4), organizations must evaluate and manage risks related tobias, discrimination, and ethical implicationsof AI decisions.
In thePECB Lead Auditor Guide, Fairness is cited as critical in sectors likefinance, hiring, healthcare, and where decisions may adversely impact protected groups.
NEW QUESTION # 109
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