PECB Updated ISO-IEC-42001-Lead-Auditor Exam Questions and Answers by ria

What is the main goal of the 'Transparency and Explainability' core element in AI?

Based on Scenario 6, which aspect of assigning roles and responsibilities to the audit team is incorrect?

Scenario 6: AfrinovAl, based in Nairobi, Kenya, develops Al tools to improve agriculture in Africa. The company uses Al to address challenges faced by African farmers,

offering tools for analyzing satellite images to monitor crop health, predicting pest and disease outbreaks, and automating irrigation to use water more efficiently.

AfrinovAl has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001, reflecting its commitment to ethical and effective

management practices in its Al solutions.

AfrinovAl is undergoing a certification audit to obtain certification against ISO/IEC 42001. Samuel, an expert in Al technologies and management systems, is heading

the audit team. Before initiating the audit process, Samuel reviewed and approved the audit plan, which served as a basis for the agreement between the certification

body and the auditee.

During the stage 1 audit, the audit team focused on a detailed evaluation of AfrinovAI's documented information, critically assessing both their format and content.

Samuel held a meeting with his team to prepare for the stage 2 audit. During this meeting, responsibilities were allocated among team members, assigning specific

processes, functions, sites, areas, or activities based on each auditor's expertise and the audit requirements. He also assigned auditing roles to technical experts to

leverage their specialized knowledge in specific areas.

In the stage 2 audit, Samuel and his team held an opening meeting during which Samuel explained how the audit activities will be undertaken. AfrinovAI's also

participated in the meeting. Afterward, the audit team conducted on-site activities to closely inspect the physical locations of the audited processes. The interviewed

individuals from the auditee's personnel regarding the AIMS and observed some of the operations of the auditee. They also used sampling and technical verification to

assess the implementation of Al-related controls, verify compliance with established procedures, and identify any gaps in adherence to the AIMS requirements. They

skipped the review of documented information related to the AIMS since some documents had already been reviewed during the stage 1 audit. This comprehensive

approach ensured a thorough evaluation of AfrinovAI's AIMS against the ISO/IEC 42001.

What precautions must the certification body take when conducting short-notice audits?

Did OptiFlow comply with ISO/IEC 42001 requirements when establishing its AI objectives? 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