ISO-IEC-42001-LEAD-AUDITOR practice question 12 of 25

[Conducting an ISO/IEC 42001 Audit] Scenario 6: Scenario 6: HappilyAI is a pioneering enterprise dedicated to developing and deploying artificial…

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[Conducting an ISO/IEC 42001 Audit] Scenario 6: Scenario 6: HappilyAI is a pioneering enterprise dedicated to developing and deploying artificial intelligence Al solutions tailored toenhance customer service experiences across various industries. The company offers innovative products like virtual assistants,predictive analytics tools, and personalized customer interaction platforms. As part of its commitment to operational excellence andinnovation, HappilyAI has implemented a robust Al management system AIMS to oversee its Al operations effectively. Currently.HappilyAI is undergoing a comprehensive audit process of its AIMS to evaluate its compliance with ISO/IEC 42001. Under the leadership of Jess, the audit team began the audit process with meticulous planning and coordination, setting the groundworkfor the extensive on-site activities of the stage 1 audit. This initial phase was marked by a comprehensive documentation review. Theaudit scope encompassed a critical review of HappilyAI's core departments, including Research and Development (R&D), CustomerService, and Data Security, aiming to assess the conformity of HappilyAI's AIMS to the requirements of ISO/IEC 42001. Afterward, Jess and the team conducted a formal opening meeting with HappilyAI to introduce the audit team and outline the auditactivities. The meeting set a collaborative tone for the subsequent phases, where the team engaged in information collection, executedaudit tests, identified findings, and prepared draft nonconformity reports while maintaining a strict quality review process. In gathering evidence, the audit team employed a sampling method, which involved dividing the population into homogeneous groups toensure a comprehensive and representative data collection by drawing samples from each segment. Furthermore, the team employedobservation to deepen their understanding of the Al management processes. They verified the availability of essential documentation,including Al-related policies, and evaluated the communication channels established for reporting incidents. Additionally, they scrutinized specific monitoring tools designed to track the performance of data acquisition processes, ensuring thesetools effectively identify and respond to errors or anomalies. However, a notable challenge emerged as the team encountered a lack ofaccess to documented information that describes how tasks about AIMS are executed. In addition to this, the team identified a potentialnonconformity within the Sales Department. They decided not to record this as a nonconformity in the audit report but onlycommunicated it to the HappilyAI's representatives. During the stage 2 audit, the certification body, in collaboration with HappilyAI, assigned the roles of technical experts within the auditteam. Recognized for their specialized knowledge and expertise in artificial intelligence and its applications, these technical experts aretasked with the thorough assessment of the AIMS framework to ensure its alignment with industry standards and best practices,focusing on areas such as data ethics, algorithmic transparency, and Al system security. Which level of documented information could the audit team NOT access?
Answer options
A: Level 1
B: Level 2
C: Level 3 Correct answer
Correct Answer:
C. Level 3
Explanation

Management system documentation is often viewed in a hierarchy. Level 1 consists of the high-level manual and policies. Level 2 contains the procedures that describe processes (the who, what, when). Level 3 includes the most detailed documents, such as work instructions, forms, and records, which specify exactly how individual tasks are performed. The scenario states the team lacked access to "documented information that describes how tasks about AIMS are executed." This description directly corresponds to the function of Level 3 documentation.

Why Incorrect

A. The team verified "Al-related policies," which are characteristic of Level 1 documentation, indicating they had access to this level.
B. Level 2 documents are procedures. The description "how tasks are executed" is more granular and specific, pointing directly to Level 3 work instructions.

References

1. Badulescu, R., & Hatiegan, C. (2009). The documentation of the quality management system. Paper presented at the 5th International Conference on European Integration-New Challenges, Oradea, Romania. This academic paper describes the typical three-level pyramid structure of QMS documentation, defining the third level as "work instructions, forms, etc." that detail how tasks are done. (Available through University of Oradea repository).

2. Karapetrovic, S., & Willborn, W. (2000). "Audit system: concepts and practices". Total Quality Management, 11(1), 13-28. https://doi.org/10.1080/0954412007025. This article discusses audit evidence, which includes reviewing documentation at all levels, implicitly referencing the hierarchy from policies down to work instructions.

3. University of Wisconsin-Stout, Quality Management Program Courseware, QMET-701. Course materials often describe the documentation pyramid where Level 3 (or Tier 3) contains the detailed "how-to" documents like work instructions and standard operating procedures (SOPs).

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