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| Section | Weight | Objectives |
|---|
| Topic 1: AI Governance and Risk | 33% | - AI Risk Management - Ethics, Regulations, and Standards for AI - AI Governance and Program Management - AI Models, Considerations, and Requirements - Privacy and Data Governance Programs
|
| Topic 2: AI Operations | 46% | - Performance Monitoring and Evaluation - Operational Controls and Readiness - AI System Lifecycle and Deployment - Incident Management and Resilience - Third-Party and Supply Chain Risk
|
| Topic 3: AI Auditing Tools and Techniques | 21% | - Data Quality and Analytics for AI Audit - Audit Testing and Sampling Methodologies - AI Audit Outputs and Reporting - Audit Planning and Design - Audit Evidence Collection Techniques
|
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ISACA Advanced in AI Audit Sample Questions (Q141-Q146):
NEW QUESTION # 141
Which technique is MOST useful for identifying whether a model's outputs disproportionately disadvantage a protected group?
- A. Cross-validation
- B. Feature importance ranking
- C. Disparate impact / fairness metric analysis across subgroups
- D. Confusion matrix analysis
Answer: C
Explanation:
Fairness metrics (e.g., demographic parity, equalized odds) are specifically designed to compare outcome rates across subgroups, revealing disparate impact that a generic accuracy metric would mask.
NEW QUESTION # 142
Which of the following is MOST important to review in order to gain assurance that an AI model is performing without biases?
- A. AI model temperature
- B. AI model adaptability
- C. AI training data
- D. AI development environment
Answer: C
Explanation:
Bias in AI models is most commonly introduced through the training data. The AAIATM Study Guide highlights that to ensure fairness, auditors and developers must evaluate the diversity, representativeness, and quality of the data used to train the model.
"The greatest source of bias in AI comes from the training data. Reviewing and auditing this data is critical to ensuring that outputs do not disproportionately affect specific groups or skew results."
NEW QUESTION # 143
An IS auditor for a veterinary clinic was informed that the dog breed categorical variable is necessary for the predictive model. Which of the following introduces the MOST risk?
- A. One-hot encoding was utilized.
- B. Clustering was not utilized.
- C. Ordinal label encoding was utilized.
- D. Data scaling was not utilized.
Answer: C
Explanation:
Ordinal encoding assigns numeric values in an order (e.g., Poodle = 1, Labrador = 2, Husky = 3). This falsely implies hierarchy or ranking among breeds, introducing bias into the model.
AAIA emphasizes that incorrect encoding of categorical variables can cause:
* Artificially weighted importance
* Misleading correlations
* Incorrect predictions based on false orderFor non-ordered categories,one-hot encoding(D) is the correct, low-risk approach.Lack of scaling (A) is not directly relevant for categorical fields. Clustering (B) is unrelated.Thus, ordinal encoding introduces the highest risk.
References:
AAIA Domain 2: Data Encoding, Feature Engineering, and Bias Avoidance.
NEW QUESTION # 144
What is the MOST appropriate control to address the risk of an AI chatbot providing harmful medical advice to users?
- A. Faster response times
- B. Content guardrails, scope restrictions, and mandatory disclaimers directing users to licensed professionals for medical decisions
- C. A larger training dataset
- D. Increasing server capacity
Answer: B
Explanation:
Guardrails that restrict the chatbot's scope, combined with disclaimers and escalation paths to qualified professionals, mitigate the risk of harm from unqualified AI-generated medical guidance.
NEW QUESTION # 145
An organization ' s AI model used in the recruitment screening process was found to favor one gender of candidates over others. It was noted that the AI model was trained on recruitment records where the majority of new hires were male. Which bias would this BEST demonstrate?
- A. Confirmation
- B. Geographic
- C. Historical
- D. Label
Answer: C
Explanation:
" Historical Bias " occurs when the training data reflects existing social prejudices or past inequalities. If an organization's historical hiring practices favored males, an AI model trained on those records will " learn " that being male is a characteristic of a successful candidate. This automates and perpetuates past discrimination into future decisions. The AAIA™ manual emphasizes that auditors must evaluate training data for historical bias to ensure fairness. Unlike confirmation bias (which involves seeking data that supports existing beliefs) or label bias (which involves incorrect classification), historical bias is a systemic issue inherent in the data collection from a flawed real-world environment.
NEW QUESTION # 146
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