Audit Planning and Design AAIA Practice Questions (Page 8)

Questions 36–40

1. 36application · medium

   An audit team is assigned to audit an AI system that was developed by the same organization's data science team. One of the auditors previously worked on the development of the system. What should the audit manager do to maintain independence and objectivity?

   • AHave the auditor only review documentation and not participate in testing or interviews.
   • BLet the auditor remain on the team because their knowledge of the system is valuable for the audit.
   • CRemove the auditor from the audit team and assign a different auditor with no prior involvement in the system's development.
   • DAllow the auditor to stay on the team but require them to disclose their prior involvement to the audit sponsor.
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2. 37application · medium

   An audit team is conducting a long-term audit of an AI system that is regularly updated with new training data. The team has completed the initial audit procedures, but the system's behavior may change over time. What should the audit team do to ensure the audit remains relevant?

   • APlan for continuous monitoring and periodic reassessment of the audit approach in response to changes in the AI system.
   • BComplete the audit as originally planned and issue the final report without further updates.
   • CRely on the data science team to inform the audit team of any changes that might affect the audit.
   • DIncrease the scope of the audit to cover all possible future changes to the system.
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4. 38expert · hard

   An audit team is planning an audit of an AI system that predicts equipment failures in a power plant. The system uses sensor data and a machine learning model. The audit sponsor wants the audit to cover the entire system, including data collection, model training, and deployment. However, the audit team has limited access to the plant's operational data due to security concerns. What should the audit team do to define the audit scope?

   • ACancel the audit because the lack of data access makes it impossible to conduct a meaningful audit.
   • BExpand the audit scope to include other IT systems in the plant to compensate for the lack of data access.
   • CInsist on full access to the operational data, as it is essential for a comprehensive audit.
   • DDefine the audit scope to focus on the model's development and testing processes, using available documentation and interviews with the data science team.
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5. 39application · medium

   An organization is planning its first audit of an AI system that recommends personalized content to users. The audit sponsor wants the audit to evaluate the system's alignment with the organization's strategic goal of increasing user engagement. What should the audit plan include?

   • AA review of the system's compliance with data protection regulations only.
   • BA detailed technical review of the recommendation algorithm to ensure it is state-of-the-art.
   • CA comprehensive audit of all IT systems in the organization to identify any potential issues.
   • DAudit objectives and criteria that link the system's performance to user engagement metrics and organizational goals.
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6. 40foundation · easy

   What is the primary goal of stakeholder engagement in an AI audit?

   • ATo keep the audit results confidential from everyone
   • BTo facilitate cooperation and ensure audit findings are actionable
   • CTo ensure that the audit team is not challenged
   • DTo assign blame for any issues found during the audit
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