PECB ISO-IEC-42001-Lead-Auditor認定試験問題集には40練習テスト問題があります
最新ISO-IEC-42001-Lead-Auditor試験問題集には高得点で一発合格
質問 # 17
Which core element of AIMS is defined as: "Organizations are responsible for the development, deployment, and use of AI systems, and their potential impacts"?
- A. Responsibility
- B. Commitment
- C. Accountability
- D. None of the above
正解：C
解説：
The correct core element isAccountability.
According toISO/IEC 42001:2023 - Clause 5.3, andPECB Lead Auditor Guide - Domain 1,accountability is defined as the obligation of organizations totake responsibility for the outcomes and impactsof AI systems across the lifecycle - including design, development, deployment, and operation.
This includes establishing:
* Clear roles and responsibilities
* Oversight mechanisms
* Escalation procedures for unintended consequences
It directly addresses the ethical and governance need to ensure AI systems are not used irresponsibly or without clear attribution.
質問 # 18
During the audit planning phase, what is the primary activity an auditor should focus on?
- A. Reviewing the final report
- B. Issuing corrective actions
- C. Preparing checklists and audit plans
- D. Conducting interviews with staff
正解：C
解説：
During theaudit planning phase, the auditor's key responsibility is toprepare audit plans, checklists, and resource allocationsto ensure an effective and efficient audit.
According toISO 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.
ThePECB Lead Auditor Guide - Domain 4further emphasizes preparing tailoredaudit checklistsbased on ISO/IEC 42001 clauses and relevant organizational processes.
質問 # 19
A company develops an AI-based health monitoring system that provides insights and recommendations to users. However, users have reported that they do not understand how the system arrives at its recommendations. Which core element should the company enhance to improve user trust and understanding?
- A. Human-Centered Design
- B. Safety and Reliability
- C. Transparency and Explainability
- D. Fairness and Non-Discrimination
正解：C
解説：
The issue in this case revolves aroundusers not understanding the reasoning or logicbehind the AI- generated recommendations. The relevant core element isTransparency and Explainability.
According toISO/IEC 42001:2023 - Clause 6.1.2 and Clause 8.2.3, transparency refers to theclarity of processes, decisions, and data use, while explainability focuses on makingAI system outputs understandableto human users.
ThePECB Lead Auditor Guideidentifies this as a key factor in buildingtrust, usability, and ethical AI adoption, especially insensitive domainslike healthcare.
質問 # 20
What is the main goal of the 'Transparency and Explainability' core element in AI?
- A. To make AI operations understandable to users and stakeholders
- B. To improve the speed of AI systems
- C. To ensure AI systems are user-friendly
- D. To reduce the cost of AI development
正解：A
解説：
The principle ofTransparency and Explainabilityis designed to ensure thatusers and stakeholders can understand how AI systems function, how decisions are made, and what data is used.
ISO/IEC 42001:2023 emphasizes that transparency enablestraceability, clarity of design choices,and auditability, while explainability provides insights intohow outputs are generated, especially for high-risk or critical applications.
In practical terms, this principle supports:
* Buildingtrustin AI systems
* Ensuringregulatory compliance
* Facilitatinginformed decision-making
質問 # 21
During an audit, the auditor uncovers sensitive data regarding the AI system's algorithms and their decision-making processes. Which principle must the auditor adhere to when handling this information?
- A. Evidence-Based Approach
- B. Integrity
- C. Fair Presentation
- D. Confidentiality
正解：D
解説：
The correct principle isConfidentiality.
ISO 19011:2018 - Clause 4(e)states that auditors mustrespect the confidentiality of informationacquired during the audit and use it only for audit purposes. This includessensitive or proprietary data, such as AI algorithms, models, and proprietary decision logic.
ThePECB Lead Auditor Guide - Domain 3reinforces that anyinternal or sensitive company information discovered must besafeguarded and never disclosedwithout authorization.
質問 # 22
Which among the following core concepts of Artificial Intelligence uses artificial neural networks inspired by the human brain to process complex data like images, text, and speech?
- A. Machine Learning
- B. Deep Learning
- C. Computer Vision
- D. Natural Language Processing
正解：B
解説：
Deep Learning (DL)is a subfield of Machine Learning that employsartificial neural networks,particularly multi-layered architectures, inspired by the structure and function of the human brain. DL excels at processinghigh-dimensional datasuch as:
* Images(e.g., object detection)
* Text(e.g., sentiment analysis)
* Speech(e.g., voice recognition)
While NLP and Computer Vision areapplication domains, and Machine Learning is thebroader category, Deep Learningis thecorrect specific techniqueknown for handling such complex tasks.
As per thePECB Lead Auditor Study Guide - Domain 1, Deep Learning is used whenlarge volumes of unstructured or complex dataare involved, and is referenced as the foundation of modern AI systems like voice assistants, recommendation engines, and image recognition tools.
質問 # 23
A retail company wants to implement a system that can predict customer buying behavior based on their browsing history and past purchases. Which AI concept would be most suitable for developing this predictive system?
- A. Machine Learning (ML)
- B. Computer Vision
- C. Natural Language Processing (NLP)
- D. Deep Learning (DL)
正解：A
解説：
Machine Learning (ML)is the most suitable AI concept in this scenario. ML focuses on developing algorithms that canlearn from structured or unstructured dataand make predictions based on historical patterns.
In this case, analyzing customerbrowsing history and purchase recordsfalls directly undersupervised learning, a subcategory of ML, which is typically used forpredictive modelingin retail (such as next-best- offer, product recommendation, or demand forecasting).
According to the PECB Lead Auditor Study Guide (Domain 1),ML is specifically referenced as the core techniquefor prediction systems, user behavior modeling, and data-driven decision-making systems.
Though Deep Learning (DL) is a subset of ML, it is often used for more complex pattern recognition tasks such as image or speech recognition, which is not explicitly required here.
質問 # 24
Audit evidence must be:
- A. Verifiable
- B. Refutable
- C. Structured
- D. Physical
正解：A
解説：
Audit evidencemust beobjective and verifiable, meaning that it can beconfirmed through observation, documentation, or reproducible results. This is a foundational principle of auditing as per:
* ISO 19011:2018 - Clause 3.8defines audit evidence as "records, statements of fact or other information which arerelevant to the audit criteria and verifiable."
* This principle is also emphasized in ISO/IEC 42001 during internal audits (Clause 9.2), ensuring that conclusions are based onfactual, traceable, and confirmabledata.
Verifiability ensures the credibility and reliability of audit findings, especially critical in evaluating AIMS due to the complexity and potential subjectivity of AI behaviors.
質問 # 25
What is the right series of AI system lifecycle?
- A. System Requirements & specification finalization, System design & development, System Verification
& validation, System Deployment, System Operation & monitoring - B. System design & development, System Operation & monitoring, System Requirements & specification finalization, System Verification & validation, System Deployment
- C. System Requirements & specification finalization, System design & development, System Deployment, System Verification & validation, System Operation & monitoring
- D. System Verification & validation, System design & development, System Deployment, System Requirements & specification finalization, System Operation & monitoring
正解：A
解説：
The correct lifecycle sequence for an AI system as outlined inISO/IEC 42001:2023and supporting lifecycle methodologies (such as those influenced by ISO/IEC/IEEE 15288 and ISO/IEC TR 24028) is:
* System Requirements & Specification Finalization
* System Design & Development
* System Verification & Validation
* System Deployment
* System Operation & Monitoring
This lifecycle ensures that all AI systems are planned, built, tested, and monitored effectively to address functional, ethical, and risk management objectives.
The standard encourages applying astructured lifecycle approachto ensure that AI systems meet organizational goals and stakeholder expectations throughout their operational period.
質問 # 26
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. Privacy and Security
- B. Safety and Reliability
- C. Accountability
- D. Fairness and Non-Discrimination
正解：C
解説：
Accountabilityis the core principle that ensures individuals or organizations involved in thedesign, development, and deploymentof AI systems areresponsible for their outcomes, decisions, and impacts.
According toISO/IEC 42001:2023 - Clause 5.3andClause 6.1.2, accountability requires organizations to define roles and responsibilities, ensure that systems are monitored for risks, and establishescalation or remediation procedureswhen negative impacts occur.
ThePECB Lead Auditor Guide - Domain 1highlights accountability as a key requirement for maintaining trust, legal compliance, and ensuring AI systems operate under clear lines ofgovernance and oversight.
質問 # 27
An AI-driven recommendation system for online shopping has been accused of promoting products from certain vendors over others without clear reasoning. The company wants to address these concerns effectively. Which core element is most relevant to resolving this issue?
- A. Fairness and Non-Discrimination
- B. Human-Centered Design
- C. Privacy and Security
- D. Accountability
正解：A
解説：
The concern here revolves aroundpotential algorithmic biasandpreferential treatment, which falls under the core ethical principle ofFairness and Non-Discrimination.
According to ISO/IEC 42001:2023, organizations mustidentify and mitigate discriminatory impactsof AI systems, especially where algorithmic decisions influenceuser experiences, accessto services, or market fairness(Clause 6.1.2 and Clause 8.2.3).
This core element ensures that AI decisions are:
* Equitable and unbiased
* Do not systematically favor or disadvantage individuals or groups
* Transparent in rationale and decision logic
The PECB Guide emphasizes that Fairness is particularly important inrecommendation, ranking, or classification systems, where outcomes affect stakeholders' access or exposure.
質問 # 28
According to the core element of 'Privacy and Security,' what is essential when developing AI systems?
- A. Reducing the development time
- B. Enhancing the graphical user interface
- C. Ensuring the protection of personal data and system security
- D. Increasing the efficiency of AI algorithms
正解：C
解説：
ThePrivacy and Securityprinciple focuses on safeguardingpersonal dataand ensuring therobustness of AI systems against security threats.
As outlined inISO/IEC 42001:2023 - Clause 6.1.2 and 8.2.3, organizations must addressdata protection, cybersecurity, and access controlsthroughout the AI system lifecycle.
This is particularly relevant in contexts where AI systems handlesensitive or identifiable data, such as health, finance, or biometrics.
質問 # 29
Which step involves reviewing documents and records relevant to the audit scope?
- A. Document review
- B. Closing meeting
- C. Audit follow-up
- D. Audit reporting
正解：A
解説：
TheDocument Reviewstep is a key part of audit preparation where auditors evaluate relevantdocuments, records, policies, and proceduresto understand the structure and implementation of the AI Management System.
As perISO 19011:2018 - Clause 6.4.3, document review helps auditorsfamiliarize themselves with the management system, identify potential areas of concern, and refine the audit plan.
In AI audits (such as AIMS under ISO/IEC 42001), this may include reviewingAI governance policies, data governance procedures, impact assessments, or model documentation.
質問 # 30
A few months after an audit, the auditor returns to the company to verify that corrective actions have been effectively implemented and that the issues identified have been resolved. Which step of the management system audit process does this activity correspond to?
- A. Audit follow-up
- B. Closing meeting
- C. Conducting the audit
- D. Document review
正解：A
解説：
The activity described is part of theAudit Follow-Upphase. According toISO 19011:2018 - Clause 6.6.2, follow-up activities are conducted to verify:
* Whethercorrective actions have been implemented, and
* Whether those actions wereeffective in addressing the nonconformitiesidentified during the audit.
ThePECB Lead Auditor Guide - Domain 6confirms that follow-up audits or activities may occurweeks or monthsafter the main audit, especially whenmajor or systemic nonconformitieswere identified.
This phase ensures thecontinuous improvementof the AI Management System and is crucial for maintaining long-term conformity.
質問 # 31
A healthcare provider wants to develop a system that can analyze medical images, such as X-rays and MRIs, to assist doctors in diagnosing diseases. Which AI concept is most relevant for this application?
- A. Computer Vision
- B. Machine Learning (ML)
- C. Natural Language Processing (NLP)
- D. Deep Learning (DL)
正解：A
解説：
The AI concept most relevant for analyzingvisual data like X-rays and MRIsisComputer Vision. This field focuses on enabling machines tounderstand and interpret image and video data.
As outlined in thePECB Lead Auditor Guide - Domain 1, Computer Vision is specifically applied in medical imaging, object detection, facial recognition, and other tasks requiring interpretation of visual content.
WhileDeep Learningmay be used as an underlying technique (e.g., convolutional neural networks), Computer Visionis the broader and correct domain applicable to the question.
質問 # 32
What is the purpose of conducting an opening meeting in the audit process?
- A. To perform a root cause analysis
- B. To discuss the audit findings
- C. To establish the audit criteria
- D. To confirm the audit plan and address any issues
正解：D
解説：
Theopening meetingis a critical step in the audit process where the audit team:
* Confirms the audit plan
* Clarifies thescope, objectives, and schedule
* Addresses any last-minute concerns or changes
* Establishes lines of communication and cooperation
As perISO 19011:2018 - Clause 6.4.3, the opening meeting ensures mutual understanding between the auditor(s) and the auditee, helping set expectations and reduce confusion during the audit.
質問 # 33
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