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57. Frage
In which step are the audit findings, including nonconformities, documented and reviewed?
Antwort: B
Begründung:
TheAudit Reportingstep involves the formaldocumentation of audit findings, including:
* Nonconformities
* Observations
* Opportunities for improvement
* Conformity conclusions
According toISO 19011:2018 - Clause 6.6.1, and reflected inISO/IEC 42001:2023 - Clause 9.2.2, theaudit report must be reviewed and finalizedafter the audit activities are complete and include verified evidence of all findings.
ThePECB Lead Auditor Guide - Domain 6emphasizes that the audit report is thefinal outputof the audit process and includes all findings that were identified and reviewed during the audit lifecycle.
58. Frage
Audit evidence must be:
Antwort: B
Begründung:
Audit evidencemust beobjective and verifiable, meaning that it can beconfirmed through observation, documentation, or reproducible results. This is a foundational principle of auditing as per:
* ISO 19011:2018 - Clause 3.8defines audit evidence as "records, statements of fact or other information which arerelevant to the audit criteria and verifiable."
* This principle is also emphasized in ISO/IEC 42001 during internal audits (Clause 9.2), ensuring that conclusions are based onfactual, traceable, and confirmabledata.
Verifiability ensures the credibility and reliability of audit findings, especially critical in evaluating AIMS due to the complexity and potential subjectivity of AI behaviors.
59. Frage
Question:
Which of the following are the core functions of the NIST AI Risk Management Framework that help with addressing AI risks in practice?
Antwort: A
Begründung:
The NIST AI Risk Management Framework (2023) identifies Govern, Map, Measure, and Manage as its four major functions to ensure trustworthy and responsible AI systems. Although NIST RMF is a U.S. document, ISO/IEC 42001 allows referencing it in informative contexts related to risk management.
Reference: NIST AI RMF (January 2023 Edition), Core Functions; ISO/IEC 42001:2023 Clause 6.1 (Risk Management Framework Compatibility).
60. Frage
Which among the following is NOT a level of AI?
Antwort: C
Begründung:
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.
61. Frage
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?
Antwort: C
Begründung:
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").
62. Frage
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