Audit Planning and Design AAIA Practice Questions (Page 1)

Questions 1–5

1. 1foundation · easy

   Why is it important to identify stakeholders when understanding an AI system under audit?

   • ATo assign blame for any system failures
   • BTo determine who is responsible for the system's maintenance and who may be affected by its outputs
   • CTo ensure all stakeholders receive a copy of the audit report
   • DTo comply with data protection regulations
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2. 2expert · hard

   An auditor is assigned to audit a computer vision system used for quality control in a manufacturing plant. The system was developed by a third-party vendor and uses a proprietary model. The vendor has provided limited documentation about the model's architecture and training data. The auditor needs to design audit procedures to evaluate the system's accuracy and reliability. What should the auditor do?

   • ARefuse to audit the system until the vendor provides complete documentation.
   • BConduct a white-box testing approach by analyzing the model's code and training data.
   • CRely on the vendor's assurances that the system has been tested and is reliable.
   • DPerform black-box testing by providing the system with test inputs and comparing outputs to expected results, while also requesting additional documentation from the vendor.
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4. 3expert · hard

   An audit team is planning to audit an AI system that uses a deep learning model to detect fraudulent transactions. The team needs to test the model's performance, but the model is a complex neural network with millions of parameters. The team has limited computational resources and time. What testing approach should they use?

   • ARely on the model's training accuracy as evidence of its performance.
   • BAttempt to test the model on the entire dataset to ensure complete coverage.
   • CPerform a manual review of the model's code to identify potential issues.
   • DUse a subset of the model's test data to evaluate performance, focusing on high-risk transaction types.
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5. 4foundation · easy

   Why is continuous monitoring and adaptation important during an AI audit?

   • ATo reduce the need for audit documentation
   • BTo ensure that the audit plan is never changed
   • CTo adjust the audit approach in response to emerging risks or changes in the AI system
   • DTo guarantee that the audit will be completed on time
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6. 5foundation · easy

   What is the purpose of establishing an audit timeline with milestones?

   • ATo make the audit process more complex
   • BTo manage the audit process efficiently and ensure timely delivery of results
   • CTo replace the need for audit documentation
   • DTo guarantee that no issues are found
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