PECB ISO-IEC-42001-Lead-Auditor 問題集

質問 1：
Question:
While preparing for an AIMS audit, a technology company faced an issue: the auditor lacked a required security clearance for accessing sensitive information related to government contracts.
The company requested a replacement auditor. Is this acceptable?
A. Yes, the auditor not holding the security clearance required by the auditee is a valid reason to request the replacement of the auditor
B. No, the auditee can request the replacement of the auditor only if the auditor has audited the company in the past
C. No, the auditee can request the replacement of the auditor only if the auditor is in a conflict of interest situation
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 2：
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:
Based on Scenario 4, is the decision of the top management representative not to provide the additional evidence requested by the audit team justifiable?
A. Yes, because the top management representative determined that the answers from the interviews could be corroborated by interviewing different employees
B. No, because verbal evidence is less reliable than the other types of evidence and requires additional supporting evidence
C. Yes, because audits are based purely on interview evidence
D. No, because it is not recommended to conduct interviews with different employees to verify segregation of roles and responsibilities within the organization
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 3：
Question:
Which of the following describes a joint audit?
A. When an internal audit and a third-party audit are conducted simultaneously
B. When audits are conducted back-to-back for efficiency
C. When two or more management systems are audited together at a single auditee
D. When two or more auditing organizations cooperate to audit a single auditee
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 4：
What does the 'Human-Centered Design' core element prioritize in AI development?
A. Maximizing profit
B. Increasing automation
C. Minimizing user interaction
D. Designing AI systems that prioritize human needs and values
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 5：
Which core element focuses on ensuring that the creators and operators of AI systems are responsible for the outcomes and impacts of those systems?
A. Safety and Reliability
B. Fairness and Non-Discrimination
C. Privacy and Security
D. Accountability
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 6：
What type of evidence is an external audit report?
A. Confirmative
B. Analytical
C. Technical
D. Physical
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 7：
Was the arrangement for assigning guides during the audit process appropriate?
A. No, because guides must be independent of the auditee
B. No, because every auditor must have a guide accompanying them
C. Yes, the arrangement was appropriate
D. No, because the auditee should not influence the guide selection process
正解：C
解説: (Topexam メンバーにのみ表示されます)