ISO-IEC-42001-Lead-Auditor Exam Dumps - ISO/IEC 42001:2023 Artificial Intelligence Management System Lead Auditor Exam

The most appropriate AI concept for analyzing images and videos is Computer Vision. Computer Vision is a subfield of artificial intelligence that enables systems to interpret and process visual data, such as photos and video frames, which is exactly what is required in this scenario.

According to the PECB Lead Auditor Guide, Computer Vision is explicitly associated with tasks such as object recognition, content moderation, facial recognition, and image classification — all of which are relevant in detecting inappropriate content on platforms like social media.

While Deep Learning is often used within Computer Vision (e.g., convolutional neural networks), the correct high-level concept being asked here is Computer Vision, which encompasses the overall domain applicable to this scenario.

NLP is used for analyzing text and language, not visual content.

ML is a broader category under which Computer Vision models are trained, but is too general for this specific task.

In a combined audit, auditors are required to consider the implications of a finding across different but related management systems.

ISO/IEC 17021-1:2015 Clause 9.2.2.2 states: "Findings should be evaluated not only against the specific audit criteria but also their relevance to other applicable requirements in combined audits."

The Lead Auditor Training Manual clarifies: “In combined audits, findings must be reviewed for their potential cross-system impacts to ensure full system-wide conformity.”

During the audit planning phase, the auditor’s key responsibility is to prepare audit plans, checklists, and resource allocations to ensure an effective and efficient audit.

According to ISO 19011:2018 – Clause 6.4.1, planning includes preparing the audit plan, defining the audit schedule, and ensuring that required documents, tools, and team members are ready.

The PECB Lead Auditor Guide – Domain 4 further emphasizes preparing tailored audit checklists based on ISO/IEC 42001 clauses and relevant organizational processes.

It is acceptable for an auditee to request a change if the assigned auditor lacks necessary security clearances to perform the audit properly.

ISO/IEC 17021-1:2015 Clause 5.2.2 requires that auditors must have appropriate competence, including security requirements, for sensitive audits.

The Lead Auditor Training specifies: “Auditee organizations have the right to request a replacement of auditors if competence (including security clearance) is insufficient for audit scope requirements.”

The scenario states: “Applying an international standard that specifically provides guidance for the highest level of company leadership on governing the effective use of AI…” This aligns directly with ISO/IEC 38507.

ISO/IEC 38507:2022 — Governance implications of the use of artificial intelligence by organizations — provides guidance to the governing body (i.e., top management) of organizations on how to ensure the proper oversight, accountability, and ethical use of AI. It complements ISO/IEC 42001 by focusing specifically on leadership roles and responsibilities in AI governance.

Option B (ISO/IEC 22989) refers to AI terminology and concepts.

Option C (ISO/IEC 23503) is not an officially published ISO standard relating to AI governance at this time.

In this context, the global bank is the auditee, as it is the organization being audited. According to ISO 19011:2018 – Clause 3.12, an auditee is “the organization being audited.”

Since the bank is undergoing an internal or external audit of its AI Management System (AIMS), it assumes the role of the entity whose AIMS is being evaluated for effectiveness, compliance, and performance.

Accreditation body is responsible for accrediting certification bodies.

Certification body conducts audits for conformity assessments.

Advisory body provides consultation but does not participate directly in audits.

According to ISO 19011:2018, Clause 6.4.2, guides may be appointed by the auditee to assist the audit team in identifying individuals to be interviewed, providing access to sites, and ensuring communication. Not every auditor must have an individual guide, and the decision is typically made collaboratively between the audit team leader and the auditee based on the audit scope, complexity, and logistics.

The scenario describes that the decision was made in mutual agreement with the audit team leader, which complies with best practices.

Control A.3 in ISO/IEC 42001:2023 focuses on the internal organization of the AI management system. This includes establishing, assigning, and communicating roles and responsibilities related to the AI system’s governance and operations, aligning responsibilities with the AI policy and objectives, and establishing mechanisms for raising concerns and tracking responses.

In this case, reviewing roles, responsibilities, reporting mechanisms, and response times directly relates to verifying the implementation of A.3 Internal organization.