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GAICC ISO-IEC-42001-Foundation Exam Syllabus Topics:

SectionWeightObjectives
Core Components of the Artificial Intelligence Management System (AIMS)40%- Key clauses and requirements of ISO/IEC 42001
  • 1. Operation, performance evaluation and improvement
    • 2. Leadership, planning and support
      Fundamentals of AI Governance and the ISO/IEC 42001 Framework40%- Basic concepts of AI and AI Management Systems (AIMS)
      • 1. Terminology from ISO/IEC 22989 and ISO/IEC 42001
        • 2. Purpose, scope and structure of ISO/IEC 42001:2023
          • 3. AI system lifecycle concepts
            - Relationship between AIMS and organizational context
            Responsible AI, Ethics, and Stakeholder Awareness20%- Ethical principles and AI responsibility
            • 1. Stakeholder engagement and transparency
              • 2. Roles and responsibilities of AI providers, producers and customers
                • 3. Fairness, explainability and oversight mechanisms

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                  GAICC ISO/IEC 42001 Foundation Sample Questions (Q19-Q24):

                  NEW QUESTION # 19
                  +-----------------------------------------------------------------------------------------------+
                  | Choose one answer. Only a single option is correct. |
                  | |
                  | ( ) A normative catalogue of mandatory AI controls that an organisation must implement in |
                  | full to achieve certification, regardless of its context or risk profile. |
                  | |
                  | ( ) An informative reference set of AI controls that organisations select from during risk |
                  | treatment, and document inclusion or exclusion via the Statement of Applicability. |
                  | |
                  | ( ) A glossary of AI ethics principles drawn from regional regulations such as the EU AI Act |
                  | intended to guide ethical conduct rather than operational AIMS controls. |
                  | |
                  | ( ) A list of recommended external auditors and consultants accredited by ISO and IEC to |
                  | support implementation of an AI management system in regulated sectors. |
                  +-----------------------------------------------------------------------------------------------+ A trainee auditor is preparing notes on the structure of ISO/IEC 42001 and wants to describe the role of Annex A. Her mentor reminds her to use the definition consistent with GAICC Foundation Module 3 and Clause 6.1.3. Which description of Annex A is the MOST accurate?

                  Answer: D

                  Explanation:
                  Comprehensive and Detailed Explanation From [GAICC ISO/IEC 42001/Course Guide/topics]:
                  Annex A of ISO/IEC 42001 provides an extensive reference control set organized across key governance and technical domains (controls A.2 through A.10). Under Clause 6.1.3 (AI risk treatment), the standard specifies that Annex A is not a universally mandatory checklist that every entity must implement in its entirety regardless of context. Instead, Annex A serves as a comprehensive reference source from which organizations select appropriate controls based on the explicit findings of their Clause 6.1.2 risk assessment and Clause
                  6.1.4 impact assessment. The organization must produce a formal Statement of Applicability (SoA) documenting which Annex A controls have been selected, the rationale for their inclusion, their current implementation status, and a rigorous, defensible justification for any excluded controls. Describing Annex A as mandatory for all organizations or confusing it with an ethics glossary or auditor directory misinterprets the risk-driven methodology foundational to ISO management systems.
                  Reference: ISO/IEC 42001:2023 Clause 6.1.3 (AI risk treatment); Annex A; GAICC Foundation Module 3 (Annex A Control Architecture and Statement of Applicability).


                  NEW QUESTION # 20
                  A retail bank ' s procurement team has begun receiving requests from enterprise clients asking the bank to demonstrate how it governs the AI models used in credit decisioning. The Chief Risk Officer wants a single, internationally recognised framework that addresses AI specifically-not just general quality or information- security controls-and that can be independently certified. Which standard BEST fits this need under the GAICC Foundation view of why ISO/IEC 42001 was published?

                  Answer: B

                  Explanation:
                  Comprehensive and Detailed Explanation From [GAICC ISO/IEC 42001/Course Guide/topics]:
                  ISO/IEC 42001 was developed jointly by ISO and IEC (through JTC 1/SC 42) to establish the world's first certifiable Artificial Intelligence Management System (AIMS) standard. While ISO 9001 addresses overarching quality processes and ISO/IEC 27001 governs information security, neither framework provides specialized, auditable criteria for unique AI risks, including model hallucinations, statistical bias, algorithmic drift, lack of explainability, data poisoning, and autonomous decision opacity. Furthermore, while the OECD AI Principles define high-level global policy benchmarks for trustworthy AI, they are non-binding policy guidance that lack formal conformity assessment specifications. ISO/IEC 42001 fills this gap by delivering an auditable, Harmonized Structure management system against which accredited conformity assessment bodies can perform independent third-party audits and issue formal organizational certification.
                  Reference: ISO/IEC 42001:2023 Scope; GAICC Foundation Module 1 (The Emergence & Global Role of ISO
                  /IEC 42001).


                  NEW QUESTION # 21
                  An AIMS project team is drafting the interested-parties register required under Clause 4.2. A team member suggests limiting the register to paying customers and regulators. The compliance lead pushes back, citing the breadth of interested parties expected under GAICC Foundation Module 4. Which option BEST captures the range of interested parties Clause 4.2 expects?

                  Answer: C

                  Explanation:
                  Comprehensive and Detailed Explanation From [GAICC ISO/IEC 42001/Course Guide/topics]:
                  ISO/IEC 42001 Clause 4.2 establishes a broad mandate for stakeholder identification that aligns with the pervasive, societal impact of artificial intelligence. Unlike traditional technical standards that focus narrowly on immediate clients and statutory authorities, an AIMS must account for a wide continuum of interested parties. This scope encompasses direct customers, regulatory bodies, internal staff, external suppliers, end- users, individuals whose personal data or intellectual property is ingested for model training, and wider communities or vulnerable groups that can be impacted by automated outputs and classifications. Failing to incorporate non-contractual parties-such as individuals evaluated by automated screening tools-creates blind spots in risk assessment, violating the intent of Clauses 4.2, 6.1.2, and 6.1.4.
                  Reference: ISO/IEC 42001:2023 Clause 4.2; GAICC Foundation Module 4 (Understanding Stakeholders and Expectations).


                  NEW QUESTION # 22
                  A regional hospital network is starting its ISO/IEC 42001 journey. The chief medical officer wants the AIMS scope to cover the radiology-triage AI in current use, on the basis that no other AI is deployed yet. The chief information officer has identified two more AI tools planned for rollout in the next six months: an admissions- forecasting model and a clinical-coding assistant. How should the AIMS scope be framed at the outset, consistent with Clause 4 of ISO/IEC 42001?

                  Answer: B

                  Explanation:
                  Comprehensive and Detailed Explanation From [GAICC ISO/IEC 42001/Course Guide/topics]:
                  Clause 4.3 (Determining the scope of the AI management system) requires an organization to establish the boundaries and applicability of the AIMS by considering the external and internal issues identified in Clause
                  4.1, the requirements of interested parties determined in Clause 4.2, and the full lifecycle of activities, products, and services within its purview. In an operational enterprise where near-term deployments are actively in development or scheduled for release within the business cycle, framing the scope around both active and near-term scheduled implementations ensures that risk assessments, design controls, and AI system impact assessments are applied before production deployment. A scope restricted artificially to a single active algorithm risks leaving subsequent pipeline deployments ungoverned by management system controls.
                  Conversely, vague and open-ended scoping statements that do not delineate system boundaries or organizational interfaces fail audit scrutiny. Formally documenting the planned footprint and providing clear, defensible boundaries satisfies the expectations of Clause 4.3 and allows the organization to build proactive compliance pathways across the development lifecycle.
                  Reference: ISO/IEC 42001:2023 Clause 4.3 (Determining the scope of the AI management system); GAICC Foundation Module 4 (Context of the Organisation & Scope Formulation).


                  NEW QUESTION # 23
                  A foundation case workshop closes with a scenario in which a charity is about to launch an AI tool that helps caseworkers prioritise vulnerable-client outreach. The AIMS lead is asked which set of considerations the launch checklist should reflect, drawing on the responsible-AI principles in ISO/IEC 42001 Annex B together with the relevant management-system clauses. Which response BEST integrates the standard ' s expectations for a deployment of this kind?

                  Answer: C

                  Explanation:
                  Comprehensive and Detailed Explanation From [GAICC ISO/IEC 42001/Course Guide/topics]:
                  Deploying an algorithm that affects vulnerable individuals requires an end-to-end integration of risk treatment, ethical safeguards, and management system governance. Clause 6.1.4 (AI system impact assessment) mandates that organizations establish, implement, and maintain processes for assessing the potential impacts of the AI system on individuals, groups, and society. In a high-consequence charitable triage scenario, impact assessment cannot be deferred until post-deployment or reduced solely to verifying statistical accuracy. The assessment must evaluate core responsible AI principles outlined in Annex B, including fairness across marginalized subgroups, human oversight to ensure caseworkers retain override discretion, transparency regarding prioritization criteria, data privacy, and unintended harms. Deploying entities must define objective acceptance thresholds, formally assign operational monitoring responsibilities under Clause
                  5.3, and obtain sign-off before operational launch.
                  Reference: ISO/IEC 42001:2023 Clause 6.1.4 (AI system impact assessment); Annex B (Guidance on responsible AI principles); GAICC Foundation Module 7 (AI Impact Assessment & Lifecycle Governance).


                  NEW QUESTION # 24
                  ......

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