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

In the functional view of an AI system, what role does the processing component play?

Question:

Which of the following describes a joint audit?

Question:

Can the work assignments of audit team members be changed during the audit?

Scenario 3: Heala specializes in developing AI-driven solutions for the healthcare sector. With a keen focus on leveraging AI to revolutionize patient care, diagnostics, and treatment planning, the company has implemented an Artificial Intelligence Management System (AIMS) based on ISO/IEC 42001. After a year of having the AIMS in place, the company decided to apply for a certification audit.

It contracted a local certification body, which established the audit team and assigned the audit team leader. Augustine, the designated audit team leader, has a wide range of skills relevant to various auditing domains. His proficiency encompasses audit principles, processes, and methods, as well as standards for management systems and additional references. Furthermore, he is knowledgeable about Heala’s context and relevant statutory and regulatory requirements.

Augustine first gathered management review records, interested party feedback logs, and revision histories for Heala's AIMS. This crucial step laid the groundwork for a deeper investigation, which included conducting comprehensive interviews with key personnel to understand how feedback from interested parties directly influenced updates to the AIMS and its strategic direction. Augustine's thorough evaluation process aimed to verify Heala's commitment to integrating the needs and expectations of interested parties, a critical requirement of ISO/IEC 42001.

Augustine also integrated a sophisticated AI tool to analyze large datasets for patterns and anomalies and thus have a more informed and data-driven audit process. This AI solution, known for its ability to sift through vast amounts of data with unparalleled speed and accuracy, enabled Augustine to identify irregularities and trends that would have been nearly impossible to detect through manual methods. The tool was also helpful in preparing hypotheses based on data.

During the audit, Augustine failed to fully consider Heala’s critical processes, expectations, the complexity of audit tasks, and necessary resources beforehand. This oversight compromised the audit’s integrity and reliability, reflecting a significant deviation from the diligence and informed judgment expected of auditors.

According to Scenario 3, Augustine conducted interviews with key personnel to understand how interested party feedback influenced updates to the AIMS. What type of audit evidence did Augustine collect?