PECB ISO-IEC-42001 Lead Auditor 시험

Question No : 1

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.
Prior to the certification audit, the institution conducted an internal audit and management review.
Is this acceptable?

• A.No, only an internal audit should be conducted before the initial audit
• B.Yes, an internal audit and management review can be conducted before the certification audit
• C.No, the internal audit should be conducted after the certification audit to ensure any recommendations from the audit team are addressed
• D.No, internal audits are only required for recertification audits

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Question No : 2

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.
Based on Scenario 1, which of the following processes regarding data did Future Horizon Academy NOT conduct?

• A.Data acquisition
• B.Data annotation
• C.Data augmentation
• D.Data verification

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Question No : 3

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.
Based on Scenario 1, what category of AI systems did Future Horizon Academy utilize?

• A.Soft computing
• B.Cognitive computing
• C.Semantic computing
• D.Machine perception

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Question No : 4

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.
Based on functionality, what type of AI system did Future Horizon Academy establish?

• A.Reactive machines
• B.Theory of mind
• C.Limited memory
• D.General AI

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Question No : 5

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.
Which of the following AI principles has Future Horizon Academy applied?

• A.Reliability and safety
• B.Accountability
• C.Human control
• D.Transparency

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Question No : 6

What does the 'Human-Centered Design' core element prioritize in AI development?

• A.Maximizing profit
• B.Designing AI systems that prioritize human needs and values
• C.Increasing automation
• D.Minimizing user interaction

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Question No : 7

What is the purpose of conducting an opening meeting in the audit process?

• A.To discuss the audit findings
• B.To establish the audit criteria
• C.To confirm the audit plan and address any issues
• D.To perform a root cause analysis

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Question No : 8

Which control in Annex A of ISO 42001:2023 focuses on the need for stakeholder engagement in AI system development?

• A.Continuous Improvement
• B.Stakeholder Consultation
• C.Risk Assessment
• D.Data Management

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Question No : 9

What is one of the key objectives of conducting an audit according to ISO 19011?

• A.Issuing certificates of compliance
• B.Imposing penalties on non-compliant organizations
• C.Training employees on audit techniques
• D.Evaluating the effectiveness of the management system

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Question No : 10

Which step involves reviewing documents and records relevant to the audit scope?

• A.Closing meeting
• B.Audit reporting
• C.Audit follow-up
• D.Document review

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Question No : 11

Which control in Annex A emphasizes the importance of security measures in AI system operations?

• A.Financial Auditing
• B.Access Control
• C.Performance Metrics
• D.Customer Feedback

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Question No : 12

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.Natural Language Processing (NLP)
• B.Computer Vision
• C.Machine Learning (ML)
• D.Deep Learning (DL)

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Question No : 13

A financial institution uses an AI system to approve loan applications. Recently, there have been complaints that the system disproportionately denies loans to applicants from certain minority groups.
Which core element should the institution prioritize to address these complaints?

• A.Fairness and Non-Discrimination
• B.Transparency and Explainability
• C.Accountability
• D.Privacy and Security

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Question No : 14

How does ISO 19011 recommend auditors select audit criteria?

• A.By choosing criteria that are easiest to measure
• B.Based on the organization's industry reputation
• C.According to the requirements of the management system standards and objectives
• D.By using random selection methods

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Question No : 15

During the audit planning phase, what is the primary activity an auditor should focus on?

• A.Conducting interviews with staff
• B.Preparing checklists and audit plans
• C.Issuing corrective actions
• D.Reviewing the final report

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