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PECB ISO/IEC 42001:2023Artificial Intelligence Management System Lead Auditor Exam Sample Questions (Q91-Q96):

NEW QUESTION # 91
Scenario: NeuraGen, founded by a team of AI experts and data scientists, has gained attention for its advanced use of artificial intelligence. It specializes in developing personalized learning platforms powered by AI algorithms. MindMeld, its innovative product, is an educational platform that uses machine learning and stands out by learning from both labeled and unlabeled data during its training process. This approach allows MindMeld to use a wide range of educational content and personalize learning experiences with exceptional accuracy. Furthermore, MindMeld employs an advanced AI system capable of handling a wide variety of tasks, consistently delivering a satisfactory level of performance. This approach improves the effectiveness of educational materials and adapts to different learners' needs.
NeuraGen skillfully handles data management and AI system development, particularly for MindMeld.
Initially, NeuraGen sources data from a diverse array of origins, examining patterns, relationships, trends, and anomalies. This data is then refined and formatted for compatibility with MindMeld, ensuring that any irrelevant or extraneous information is systematically eliminated. Following this, values are adjusted to a unified scale to facilitate mathematical comparability. A crucial step in this process is the rigorous removal of all personally identifiable information (PII) to protect individual privacy. Finally, the data is subjected to quality checks to assess its completeness, identify any potential bias, and evaluate other factors that could impact the platform's efficacy and reliability.
NeuraGen has implemented an advanced artificial intelligence management system (AIMS) based on ISO
/IEC 42001 to support its efforts in AI-driven education. This system provides a framework for managing the life cycle of AI projects, ensuring that development and deployment are guided by ethical standards and best practices.
NeuraGen's top management is key to running the AIMS effectively. Applying an international standard that specifically provides guidance for the highest level of company leadership on governing the effective use of AI, they embed ethical principles such as fairness, transparency, and accountability directly into their strategic operations and decision-making processes.
While the company excels in ensuring fairness, transparency, reliability, safety, and privacy in its AI applications, actively preventing bias, fostering a clear understanding of AI decisions, guaranteeing system dependability, and protecting user data, it struggles to clearly define who is responsible for the development, deployment, and outcomes of its AI systems. Consequently, it becomes difficult to determine responsibility when issues arise, which undermines trust and accountability, both critical for the integrity and success of AI initiatives.
What kind of AI system does MindMeld utilize?

A. Narrow AI
B. Strong AI
C. General AI

Answer: A

Explanation:
MindMeld is described as an advanced AI system capable of performing a wide range of tasks within the domain of personalized education, delivering high performance consistently. However, it is still specialized and focused on a specific field - educational content delivery and personalization. This matches the definition of Narrow AI.
Narrow AI (also known as Weak AI) is designed and trained for a particular task or a narrow range of tasks. It may appear highly intelligent in its niche but lacks generalization beyond its scope.
General AI or Strong AI (options B and C) refer to systems with human-like reasoning and the ability to understand, learn, and apply knowledge across a wide range of domains, not just a specific task or industry.
There is currently no commercially deployed General or Strong AI. Therefore, based on the description in the scenario, MindMeld falls under Narrow AI.
Reference:
* ISO/IEC 42001:2023, Clause 4.2 - Understanding the nature and scope of the AI system, including intended purpose, tasks, and context.
* ISO/IEC 22989:2022 (Artificial Intelligence - Concepts and terminology), which defines:
* Narrow AI as AI systems that are designed to perform specific tasks (Clause 3.15)
* General AI (AGI) as theoretical systems with the capacity for general cognitive functions like a human (Clause 3.16)
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NEW QUESTION # 92
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 the 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 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.
Based on the scenario above, answer the following question:
Did OptiFlow implement all the requirements of Clause 6.1.1 Actions to address risks and opportunities?

A. No, the company did not establish and maintain AI risk criteria that support distinguishing acceptable from non-acceptable risks
B. Yes, the company implemented all the requirements of Clause 6.1.1 of ISO/IEC 42001
C. No, the company did not determine the risks and opportunities that need to be addressed to reduce undesired effects

Answer: B

Explanation:
Clause 6.1.1 of ISO/IEC 42001:2023 outlines the requirement for organizations to:
Determine risks and opportunities relevant to the AI management system.
Establish AI risk criteria to distinguish acceptable from non-acceptable risks.
Plan actions to address these risks and opportunities.
Integrate actions into the management system processes.
Evaluate the effectiveness of those actions.
In the scenario:
OptiFlow explicitly identified and analyzed risks and opportunities related to the context of its AI system.
It established and maintained AI risk criteria as a foundational step for assessments and treatment.
The organization integrated actions into the AIMS and assessed their effectiveness.
OptiFlow also aligned these actions with the organization's AI objectives and policy.
Therefore, OptiFlow has demonstrated compliance with all elements of Clause 6.1.1.
Reference:
ISO/IEC 42001:2023, Clause 6.1.1 - Actions to address risks and opportunities PECB ISO/IEC 42001 Lead Auditor Training Guide, Section 6.1 - Interpretation of AI risk management requirements

NEW QUESTION # 93
What is one of the key objectives of conducting an audit according to ISO 19011?

A. Training employees on audit techniques
B. Evaluating the effectiveness of the management system
C. Issuing certificates of compliance
D. Imposing penalties on non-compliant organizations

Answer: B

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).
Reference: ISO 19011:2018 - Clause 5.1 (Objectives and benefits of audits) ISO/IEC 42001:2023 - Clause 9.2.1 (Internal Audit Objectives) PECB Lead Auditor Guide - Domain 3: "Purpose and Scope of Management System Audits"

NEW QUESTION # 94
Which among the following is NOT a level of AI?

A. Artificial General Intelligence
B. Artificial Machine Intelligence
C. Artificial Super Intelligence
D. Artificial Narrow Intelligence

Answer: B

Explanation:
The levels of AI commonly referenced in bothISO/IEC 42001guidance materials and AI governance literature include:
* Artificial Narrow Intelligence (ANI)- Specialized in a single task
* Artificial General Intelligence (AGI)- Human-level general problem-solving capability
* Artificial Super Intelligence (ASI)- Hypothetical AI surpassing human intelligence Artificial Machine Intelligenceisnot a formally recognized leveland doesnot appear in ISO/IEC 42001, nor in PECB's standard AI terminology.
The PECB Lead Auditor Guide defines the recognized levels under AI system classification and clarifies that terms like "Artificial Machine Intelligence" arenon-standard or colloquialand not part of professional auditing or ISO frameworks.

NEW QUESTION # 95
Which of the following does NOT constitute an appropriate technology requirement for virtual audits between the auditee and audit team?

A. Performing pre-audit technical assessments
B. Relying solely on email communication for the entire audit process
C. Ensuring contingency plans are available and communicated
D. Conducting a trial run of the audit process using the selected technology

Answer: B

Explanation:
Relying solely on email communication for conducting an entire virtual audit is not an appropriate or sufficient technology requirement. Virtual audits must be interactive, allowing for real-time engagement, document sharing, screen sharing, live interviews, and visual observations when needed.
ISO 19011:2018 (Clause A.17) provides guidance for remote audit techniques, including the need for reliable tools, contingency plans, trial runs, and technical compatibility checks.
Reference:
ISO 19011:2018, Annex A.17 - Use of remote audit methods
PECB ISO/IEC 42001 Lead Auditor Guide - Section: Technology and Infrastructure Requirements for Remote Audits ISO/IEC 42001:2023 - Clause 9.2.3 - Audit implementation considerations Here are the detailed answers to Questions 64-67, based on Scenario 8 and aligned with ISO/IEC 42001:
2023, ISO/IEC 17021-1:2015, and audit best practices outlined in ISO 19011:2018 and PECB guidance.
Certainly! Below are Questions No. 64 to 67 reformatted exactly per your requested structure based on ISO
/IEC 42001:2023 - Artificial Intelligence Management System Lead Auditor guidelines, with verified correct answers and comprehensive explanations with reference to the standard.

NEW QUESTION # 96
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