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質問 1：
Scenario 1:
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution's own requirements and that the system is being maintained effectively.
Question:
Which of the following AI principles has Future Horizon Academy applied?
A. Accountability
B. Human control
C. Transparency
D. Reliability and safety
正解：D
解説: (Pass4Test メンバーにのみ表示されます)
質問 2：
How frequently should surveillance audits be conducted?
A. Every three years
B. At least once a calendar year, except in recertification years
C. Every two years
正解：B
解説: (Pass4Test メンバーにのみ表示されます)
質問 3：
Which aspect of the previous certification of VeridicAI is NOT correct? Refer to scenario 8.
Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al technologies to analyze customer behavior. Founded in 2023, the company employs natural language processing, machine learning, and predictive analytics to provide real time insights to a range of businesses. VeridicAI has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to manage its Al technologies effectively. The AIMS scope includes select departments within the company, for which it has received a four-year certification against ISO/IEC 42001. Committed to transparency. VeridicAI publicly shares details of this certification.
As the certification nears its end, VeridicAI is preparing for an audit to renew its certification.
The audit process was led by Sharona, the audit team leader, who is a full-time employee of the certification body. Sharona and the audit team undertook all planned audit activities. Afterward, they organized the closing meeting with VeridicAl's management. During the meeting, Sharona and the team made a recap on audit objectives and scope, presented the audit findings and conclusions, presented identified nonconformities, and organized a session for questions and answers for the auditee.
VeridicAI received a conditional recommendation for certification, underscoring its compliance with the industry's standards. Sharona confirmed that the company met the essential requirements but noted some identified minor nonconformities. In response, VeridicAI compiled and submitted a comprehensive action plan that addresses all identified nonconformities within a designated timeframe. Because of the comprehensive action plan, Sharona did not see the need for an additional on- site visit to verify the effectiveness of the action plan.
Sharona played an integral role in the certification decision process. Her thorough understanding of VeridicAI's operations, gained from the audit, guided the certification body towards a well-informed certification decision.
A. The AIMS certification was valid for a four-year period
B. The certification details were made public, allowing access to all interested parties
C. The certification was issued for specific departments within the company
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 4：
Scenario 4 (continued):
BioNovaPharm, a German biopharmaceutical company, has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to optimize various aspects of drug discovery, including analyzing extensive biological data, identifying potential drug candidates, and streamlining clinical trial processes. After having the AIMS in place for over a year, the company contracted a certification body and is now undergoing an AIMS audit to obtain certification against ISO/IEC 42001.
Adopting a risk-based approach, the audit team focused on risk throughout their activities. The level of detail outlined in the audit plan corresponded to the scope and complexity of the audit. The team employed a ranking system for detailed audit procedures, prioritizing those with the highest risk.
Once the stage 1 audit began, the audit team started reviewing the auditee's documented information. To assess whether BioNovaPharm complies with the legal and regulatory requirements related to incident communication, the audit team examined evidence provided by the company's external legal office. The evidence confirmed that BioNovaPharm applies the requirements of the EU Al Act, which mandates that providers of high-risk Al systems report serious incidents to relevant authorities.
Following the completion of the stage 1 audit, John, an audit team member, documented the stage 1 audit outputs, including the observations of the audit team that could result in nonconformities during the on-site audit. However, the audit team leader, Emma, who was overseeing the audit activities, observed that John failed to document significant observations related to the lack of transparency in the Al decision-making processes of BioNovaPharm. Considering that Emma observed John's lack of competence in undertaking some audit activities, a disciplinary note was recorded for John.
Question:
Which of the following AI applications for auditing did the audit team employ?
A. Automated data validation
B. Augmented analysis
C. Automated planning
D. Augmented audit interviews
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 5：
Scenario 1 (continued):
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution's own requirements and that the system is being maintained effectively.
Question:
Based on Scenario 1, what category of AI systems did Future Horizon Academy utilize?
A. Cognitive computing
B. Semantic computing
C. Soft computing
D. Machine perception
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 6：
An audit team member is tasked with evaluating a sophisticated AI system used for autonomous driving. They lack the necessary expertise but proceed without consulting a specialist. Which principle is being neglected in this scenario?
A. Due Professional Care
B. Confidentiality
C. Independence
D. Integrity
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 7：
Question:
DenSolutions, a financial institution, is seeking to certify its AIMS. The certification body appointed Sarah as the audit team leader, who previously provided consultancy services regarding the AIMS. Can Sarah audit the AIMS of DenSolutions?
A. Yes, with approval from the auditee
B. No - auditors who contribute to the design, implementation, and maintenance of the AIMS cannot participate in AIMS audits
C. Yes, if the auditor does not directly audit any component of the AIMS they consulted on and only oversees the audit process
D. Yes, if a minimum of two years have passed following the end of the consultancy
正解：B
解説: (Pass4Test メンバーにのみ表示されます)
Scenario 1:
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution's own requirements and that the system is being maintained effectively.
Question:
Which of the following AI principles has Future Horizon Academy applied?
A. Accountability
B. Human control
C. Transparency
D. Reliability and safety
正解：D
解説: (Pass4Test メンバーにのみ表示されます)
質問 2：
How frequently should surveillance audits be conducted?
A. Every three years
B. At least once a calendar year, except in recertification years
C. Every two years
正解：B
解説: (Pass4Test メンバーにのみ表示されます)
質問 3：
Which aspect of the previous certification of VeridicAI is NOT correct? Refer to scenario 8.
Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al technologies to analyze customer behavior. Founded in 2023, the company employs natural language processing, machine learning, and predictive analytics to provide real time insights to a range of businesses. VeridicAI has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to manage its Al technologies effectively. The AIMS scope includes select departments within the company, for which it has received a four-year certification against ISO/IEC 42001. Committed to transparency. VeridicAI publicly shares details of this certification.
As the certification nears its end, VeridicAI is preparing for an audit to renew its certification.
The audit process was led by Sharona, the audit team leader, who is a full-time employee of the certification body. Sharona and the audit team undertook all planned audit activities. Afterward, they organized the closing meeting with VeridicAl's management. During the meeting, Sharona and the team made a recap on audit objectives and scope, presented the audit findings and conclusions, presented identified nonconformities, and organized a session for questions and answers for the auditee.
VeridicAI received a conditional recommendation for certification, underscoring its compliance with the industry's standards. Sharona confirmed that the company met the essential requirements but noted some identified minor nonconformities. In response, VeridicAI compiled and submitted a comprehensive action plan that addresses all identified nonconformities within a designated timeframe. Because of the comprehensive action plan, Sharona did not see the need for an additional on- site visit to verify the effectiveness of the action plan.
Sharona played an integral role in the certification decision process. Her thorough understanding of VeridicAI's operations, gained from the audit, guided the certification body towards a well-informed certification decision.
A. The AIMS certification was valid for a four-year period
B. The certification details were made public, allowing access to all interested parties
C. The certification was issued for specific departments within the company
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 4：
Scenario 4 (continued):
BioNovaPharm, a German biopharmaceutical company, has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to optimize various aspects of drug discovery, including analyzing extensive biological data, identifying potential drug candidates, and streamlining clinical trial processes. After having the AIMS in place for over a year, the company contracted a certification body and is now undergoing an AIMS audit to obtain certification against ISO/IEC 42001.
Adopting a risk-based approach, the audit team focused on risk throughout their activities. The level of detail outlined in the audit plan corresponded to the scope and complexity of the audit. The team employed a ranking system for detailed audit procedures, prioritizing those with the highest risk.
Once the stage 1 audit began, the audit team started reviewing the auditee's documented information. To assess whether BioNovaPharm complies with the legal and regulatory requirements related to incident communication, the audit team examined evidence provided by the company's external legal office. The evidence confirmed that BioNovaPharm applies the requirements of the EU Al Act, which mandates that providers of high-risk Al systems report serious incidents to relevant authorities.
Following the completion of the stage 1 audit, John, an audit team member, documented the stage 1 audit outputs, including the observations of the audit team that could result in nonconformities during the on-site audit. However, the audit team leader, Emma, who was overseeing the audit activities, observed that John failed to document significant observations related to the lack of transparency in the Al decision-making processes of BioNovaPharm. Considering that Emma observed John's lack of competence in undertaking some audit activities, a disciplinary note was recorded for John.
Question:
Which of the following AI applications for auditing did the audit team employ?
A. Automated data validation
B. Augmented analysis
C. Automated planning
D. Augmented audit interviews
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 5：
Scenario 1 (continued):
To ensure the integrity of the AI system, Future Horizon Academy has implemented measures to ensure that training data remain isolated from data that could lead to harmful or undesirable outcomes. The institution adds significant data elements as metadata, transforms the data into a format usable by the AI system, and uses data from one or more trusted sources.
Committed to standardization and continual improvement, Future Horizon Academy decided to implement an artificial intelligence management system (AIMS) based on ISO/IEC 42001 that would help the institution increase operational efficiency, resulting in improved processes.
After having the AIMS in place for a year, the institution decided to apply for a certification audit to get certified against ISO/IEC 42001. Prior to the certification audit, the institution conducted an internal audit and management review to ensure that the AIMS aligns with the institution's own requirements and that the system is being maintained effectively.
Question:
Based on Scenario 1, what category of AI systems did Future Horizon Academy utilize?
A. Cognitive computing
B. Semantic computing
C. Soft computing
D. Machine perception
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 6：
An audit team member is tasked with evaluating a sophisticated AI system used for autonomous driving. They lack the necessary expertise but proceed without consulting a specialist. Which principle is being neglected in this scenario?
A. Due Professional Care
B. Confidentiality
C. Independence
D. Integrity
正解：A
解説: (Pass4Test メンバーにのみ表示されます)
質問 7：
Question:
DenSolutions, a financial institution, is seeking to certify its AIMS. The certification body appointed Sarah as the audit team leader, who previously provided consultancy services regarding the AIMS. Can Sarah audit the AIMS of DenSolutions?
A. Yes, with approval from the auditee
B. No - auditors who contribute to the design, implementation, and maintenance of the AIMS cannot participate in AIMS audits
C. Yes, if the auditor does not directly audit any component of the AIMS they consulted on and only oversees the audit process
D. Yes, if a minimum of two years have passed following the end of the consultancy
正解：B
解説: (Pass4Test メンバーにのみ表示されます)
小*梢 -
試験を受ける前に、この問題集で勉強しました。ISO-IEC-42001-Lead-Auditor本番の試験でも同じ問題がいくつか出題されました。