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高效的PECB ISO-IEC-42001-Lead-Auditor題庫下載&完美的Fast2test -資格考試的領先提供商
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PECB ISO-IEC-42001-Lead-Auditor 考試大綱:| 主題 | 簡介 | | 主題 1 | - Preparing an ISO
- IEC 42001 audit: This section of the exam measures the skills of a Lead Auditor and covers how to plan and prepare for an AI management system audit. It includes creating audit plans, selecting team members, and setting clear objectives to ensure a smooth audit process.
| | 主題 2 | - Fundamental principles and concepts of an AI management system: This section of the exam measures the skills of an AI Compliance Officer and covers the basic principles of artificial intelligence, including ethical use, trustworthiness, and transparency. It introduces the purpose and importance of having an AI management system in place for responsible AI governance.
| | 主題 3 | - Conducting an ISO
- IEC 42001 audit: This section of the exam measures the skills of a Lead Auditor and focuses on executing the audit according to ISO
- IEC 42001 guidelines. It includes collecting evidence, interviewing relevant staff, and evaluating compliance with the AI management system standards.
| | 主題 4 | - Fundamental audit concepts and principles: This section of the exam measures the skills of a Lead Auditor and outlines essential audit concepts such as evidence collection, impartiality, objectivity, and ethical conduct. It introduces the core principles that form the foundation of a reliable and consistent auditing process.
| | 主題 5 | - Closing an ISO
- IEC 42001 audit: This section of the exam measures the skills of an AI Compliance Officer and explains how to complete the audit process. It includes reporting findings, managing nonconformities, and conducting follow-ups to ensure continuous improvement and compliance.
| | 主題 6 | - AI management system requirements: This section of the exam measures the skills of a Lead Auditor and focuses on understanding the key requirements outlined in ISO
- IEC 42001. It explains how organizations should structure their AI-related activities and processes to meet compliance standards effectively.
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最新的 AI management system (AIMS) ISO-IEC-42001-Lead-Auditor 免費考試真題 (Q141-Q146):問題 #141
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:
Did the audit team consider all the necessary aspects when determining audit findings?
- A. No, the audit team overlooked the importance of the auditee's feedback in shaping the audit findings
- B. No, audit team did not consider the findings exceeding normal practices or opportunities for improvement
- C. Yes, the audit team considered all the necessary aspects for determining audit findings
答案:C
解題說明:
The scenario states that the audit team considered:
* audit objectives
* audit criteria
* planned results
* sample size
* conformity to requirements
* and previous records - all key elements ofaudit evidence analysis.
* ISO/IEC 17021-1:2015 Clause 9.4.5andISO 19011:2018 Clause 6.6confirm that audit findings must be based onobjective evidence, conformity criteria, and audit scope.This matches what the audit team did, confirming full compliance.
Reference:ISO/IEC 17021-1:2015 Clause 9.4.5; ISO 19011:2018 Clause 6.6.
問題 #142
Which of the following pieces of evidence collected during the certification audit can be considered the most reliable? Refer to Scenario 4.
Scenario 4: Finalogic leads the application of artificial intelligence in the financial services sector, which is used to improve risk assessment, fraud detection, and customer service. The company has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to ensure operational quality, ethical Al use, regulatory compliance, and transparency, allowing for consistent oversight and structured governance.
This month, Finalogic is undergoing an audit to obtain certification against ISO/IEC 42001, a critical step in demonstrating its commitment to responsible Al. To evaluate Finalogic's conformity to the audit criteria, the audit team adopted a comprehensive, evidence-based approach. The gathered evidence ranged from analyses of unquantifiable information to analyses of samples related to determining the audit criteria-including internal reports generated by Finalogic's own Al system-which assert successful integration and compliance with the standard.
Additionally, presentations by the company's Al team during the audit highlighted the system's success in customer service enhancements and fraud detection, emphasizing improved efficiency, decision making accuracy, and user trust. An evaluation report prepared by an independent third party firm specializing in Al systems also provided an objective review of Finalogic's AIMS. It assessed the system's effectiveness, bias, and compliance through a thorough examination.
During the audit, the audit team applied the same level of effort and utilized the same techniques across all audit areas, regardless of their risk level. This strategy ensured a consistent and thorough evaluation of the AIMS, uncovering any latent weaknesses or inefficiencies that might otherwise go unnoticed.
Despite Finalogic's advanced AIMS and adherence to ISO/IEC 42001 for ethical Al practices, there remains a risk of Al algorithms inadvertently perpetuating bias or making inaccurate predictions due to unforeseen flaws in training data or algorithmic models. This could lead to unfair loan rejections or approvals, potentially causing financial losses or damaging the company's reputation for fairness and accuracy in its financial services. By acknowledging these risks. Finalogic remains committed to refining its Al governance, implementing bias mitigation strategies, and enhancing transparency to uphold its reputation as a leader in Al driven financial services.
- A. The customer testimonials shared by the AI development team
- B. The evaluation report prepared by the independent third-party firm
- C. The internal report generated by Finalogic's AI system
- D. The presentation by Finalogic's AI team during the audit
答案:B
解題說明:
Audit evidence varies in terms of reliability. According to ISO 19011:2018, the most reliable audit evidence is:
* Obtained from independent sources outside the audited organization
* Directly observed or obtained by the auditor
* Supported by documentation and cross-verification
In the scenario, the evaluation report was prepared by "an independent third-party firm specializing in AI systems," which makes it more objective and reliable than internal reports or presentations by the audited organization.
Reference:
ISO 19011:2018, Clause 6.5.4 - Reliability of audit evidence
ISO/IEC 42001:2023, Clause 9.2.2 - Requirements for objective evidence
PECB ISO/IEC 42001 Lead Auditor Study Guide - Chapter: Types and Sources of Audit Evidence Certainly! Below are the answers to Questions 31 through 35, formatted in your requested structure with verified references to ISO/IEC 42001:2023, ISO 19011:2018, ISO/IEC 27001:2022, and the PECB Lead Auditor Study Guide.
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問題 #143
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. Yes, the company implemented all the requirements of Clause 6.1.1 of ISO/IEC 42001
- B. No, the company did not determine the risks and opportunities that need to be addressed to reduce undesired effects
- C. No, the company did not establish and maintain AI risk criteria that support distinguishing acceptable from non-acceptable risks
答案:A
解題說明:
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
問題 #144
A financial institution needs to develop a system that can understand and process large volumes of unstructured text data from financial reports to extract key information and insights. Which AI concept would be best suited for this task?
- A. Deep Learning (DL)
- B. Natural Language Processing (NLP)
- C. Machine Learning (ML)
- D. Computer Vision
答案:B
解題說明:
The correct AI concept for processingtext dataisNatural Language Processing (NLP).
NLP is a field of AI concerned with theinteraction between computers and human (natural) languages. It is used to analyze, extract, and interpretunstructured text, making it highly suitable for financial document analysis.
ISO/IEC 42001:2023 - Clause 8.2.3encourages the selection of appropriate techniques for operational purposes, andNLP is the most relevantfor text-heavy tasks.
問題 #145
Scenario 5 (continued):
Scenario 5: Aizoia, located in Washington, DC, has revolutionized data analytics, software development, and consulting by using advanced Al algorithms. Central to its success is an Al platform adept at deciphering complex datasets for enhanced insights. To ensure that its Al systems operate effectively and responsibly, Aizoia has established an artificial intelligence management system AIMS based on ISO/IEC 42001 and is now undergoing a certification audit to verify the AIMS's effectiveness and compliance with ISO/IEC 42001.
Robert, one of the certification body's full-time employees with extensive experience in auditing, was appointed as the audit team leader despite not receiving an official offer for the role. Understanding the critical importance of assembling an audit team with diverse skills and knowledge, the certification body selected competent individuals to form the audit team. The certification body appointed a team of seven members to conduct the audit after considering the specific conditions of the audit mission and the required competencies.
Initially, the certification body, in cooperation with Aizoia, defined the extent and boundaries of the audit, specifying the sites (whether physical or virtual), organizational units, and the activities for review. Once the scope, processes, methods, and team composition had been defined, the certification body provided the audit team leader with extensive information, including the audit objectives and documented details on the scope, processes, methods, and team compositions.
Additionally, the certification body shared contact details of the auditee, including locations, time frames, and the duration of the audit activities to be conducted. The team leader also received information needed for evaluating and addressing identified risks and opportunities for the achievement of the audit objectives.
Before starting the audit, Robert wrote an engagement letter, introducing himself to Aizoia and outlining plans for scheduling initial contact. The initial contact aimed to confirm the communication channels, establish the audit team's authority to conduct the audit, and summarize the audit's key aspects, such as objectives, scope, criteria, methods, and team composition. During this first meeting, Robert emphasized the need for access to essential information that would help to conduct the audit.
Moreover, audit logistics, such as scheduling, access, health and safety arrangements, observer attendance, and the need for guides or interpreters, were thoroughly planned. The meeting also addressed areas of interest or concern, preemptively resolving potential issues and finalizing any matters related to the audit team composition.
As the audit progressed, Robert recognized the complexity of Aizoia's operations, leading him to conclude that a review of its Al-related data governance practices was essential for compliance with ISO/IEC 42001.
He discussed this need with Aizoia's management, proposing an expanded audit scope. After careful consideration, they agreed to conduct a thorough review of the Al data governance practices, but there was no mutual decision to officially change the audit scope. Consequently. Robert decided to proceed with the audit based on the original scope, adhering to the initial audit plan, and documented the conversation and decision accordingly.
Based on the scenario above, answer the following question:
Question:
Based on Scenario 5, did the certification body provide all the necessary information to conduct the audit to the audit team leader?
- A. No, information on the resources necessary to conduct the audit was not provided
- B. Yes, all the necessary information was provided to the audit team leader
- C. No, the audit team leader did not receive details on the audit team's training requirements
答案:B
解題說明:
The certification body provided all the necessary information, including scope, objectives, methods, contact information, and risks.
* ISO/IEC 17021-1:2015 Clause 9.2.3.1 and ISO/IEC 42001:2023 Clause 9.2 state that the certification body must equip the audit team leader with sufficient information for audit planning and execution.
* The Lead Auditor Study Material confirms: "Audit planning must be supported by complete and verified information provided by the certification body." Reference: ISO/IEC 17021-1:2015 Clause 9.2.3.1; ISO/IEC 42001:2023 Clause 9.2.
問題 #146
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