Compliance Auditing CRAGE Practice Questions (Page 2)

Questions 6–10

1. 6application · medium

   An audit of an AI-based medical diagnosis support system is being conducted. The auditor needs to verify that the system's outputs are reviewed by a qualified medical professional before being used in treatment decisions. Which audit procedure would provide the strongest evidence?

   • AAsk the hospital administrator to confirm that the system is used as intended.
   • BReview the user manual to see if it instructs medical professionals to review outputs.
   • CInterview the developers to confirm that a review feature was built into the system.
   • DReview the system's audit logs to confirm that each output is associated with a medical professional's review timestamp.
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2. 7foundation · easy

   Which of the following best describes the scope of a compliance audit for an AI system?

   • AOnly the final AI model's output and its impact on end users
   • BThe entire lifecycle of the AI system, including design, development, deployment, monitoring, and decommissioning
   • COnly the documentation and policies related to the AI system
   • DOnly the AI model's algorithmic code and training data
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4. 8application · medium

   During an audit of an AI credit-scoring system, the auditor needs to verify that the model does not discriminate based on protected attributes. The organization provides a policy document stating that fairness testing is performed quarterly. Which evidence collection approach would provide the most reliable and sufficient evidence?

   • AAccept the policy document as sufficient evidence because it represents the organization's commitment to fairness.
   • BRun an independent fairness test on the current model using a sample of historical data.
   • CRequest the quarterly fairness test reports, the underlying test datasets, and the model version logs for the past year.
   • DInterview the data science team to confirm that fairness testing is performed, and document the interview notes.
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5. 9application · medium

   A multinational corporation is planning a compliance audit for its AI systems used in hiring across multiple countries. The audit team must decide on the audit's purpose and scope. Which statement best defines the purpose of this compliance audit?

   • ATo identify all AI systems in the organization and create a complete inventory.
   • BTo benchmark the AI systems against competitors' practices.
   • CTo improve the accuracy of the AI hiring models.
   • DTo provide assurance that the AI hiring systems comply with applicable laws and internal policies.
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6. 10application · medium

   An audit of an AI-powered customer service chatbot has identified a non-conformity: the chatbot does not clearly inform users that they are interacting with an AI. The audit team must report this finding to the organization's management. Which reporting approach is most effective?

   • AState only that the chatbot is non-compliant and that management should fix it immediately.
   • BDescribe the finding, explain the regulatory requirement it violates, and recommend a specific corrective action with a proposed timeline.
   • CWait until the next scheduled audit to report the finding, so that the report is more comprehensive.
   • DReport the finding only to the technical team that developed the chatbot, without involving management.
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