Audit Planning and Design AAIA Practice Questions (Page 5)

Questions 21–25

1. 21foundation · easy

   What is an example of adapting an audit approach during the audit?

   • ASticking to the original plan regardless of findings
   • BDeleting workpapers that do not support the final report
   • CAdding additional testing procedures after discovering a new data source
   • DIgnoring new information that contradicts the initial audit plan
   Reveal Solution Discussion Select an answer first
2. 22foundation · easy

   Which of the following is a key element to understand when gathering information about an AI system under audit?

   • AThe color scheme of the user interface
   • BThe marketing strategy used to promote the AI system
   • CThe system's architecture, data sources, algorithms, and stakeholders
   • DThe personal preferences of the development team
   Reveal Solution Discussion Select an answer first
4. 23application · medium

   During an audit of an AI system, the audit team collects various types of evidence, including model outputs, data samples, and interview notes. What should the team do to ensure the evidence is reliable and traceable?

   • AOnly document evidence that supports the audit findings, to avoid confusion.
   • BStore all evidence in a single shared folder without additional labeling to keep it simple.
   • CDocument all evidence in workpapers with clear references to the source, date, and method of collection.
   • DRely on the data science team's verbal explanations as sufficient evidence for the audit.
   Reveal Solution Discussion Select an answer first
5. 24application · medium

   A small audit team is assigned to audit an AI system that uses reinforcement learning to optimize supply chain logistics. The team currently consists of a general IT auditor and a data analyst. What additional expertise should the audit manager consider adding to the team?

   • AA data scientist with experience in machine learning and reinforcement learning.
   • BA legal expert specializing in data protection regulations.
   • CA communications specialist to manage stakeholder engagement.
   • DA project manager to handle the audit timeline and milestones.
   Reveal Solution Discussion Select an answer first
6. 25foundation · easy

   What should be included in audit workpapers?

   • APersonal notes about the audit team members
   • BMarketing materials about the AI system
   • COnly the final audit report
   • DEvidence gathered, procedures performed, and conclusions reached
   Reveal Solution Discussion Select an answer first