CAP Professional Ethics & Standards 5

Question 1

A CAP analyst is asked to sign a report authored entirely by an unlicensed intern that the analyst has not reviewed. Signing without review would violate the principle of:

Accepted Answer

Taking professional responsibility only for work one has performed or adequately supervised and reviewed

Answer

Professionals may only take responsibility for work they performed, supervised, or thoroughly reviewed, since a signature attests to its quality.

Question 2

A model built by a CAP analyst starts producing degraded predictions due to data drift, but the client keeps using it for major decisions. The analyst who becomes aware of this should:

Accepted Answer

Notify the client of the degradation and recommend monitoring, retraining, or retirement of the model

Answer

Awareness that a deployed model is no longer fit for purpose creates a duty to warn the client so decisions are not based on unreliable outputs.

Question 3

While cleaning data, a CAP analyst discovers records suggesting the client company is committing financial fraud. The analyst's most appropriate initial action is to:

Accepted Answer

Raise the finding through appropriate internal or legal channels consistent with law and professional obligations

Answer

Evidence of illegality should be escalated through proper internal, legal, or regulatory channels rather than concealed, exploited, or broadcast recklessly.

Question 4

A CAP analyst reuses survey data collected for a stated academic purpose to build a commercial marketing model. The primary ethical problem is:

Accepted Answer

Using data beyond the purpose for which participants gave consent

Answer

Repurposing data beyond the scope of participants' original consent violates the ethical principle of purpose limitation.

Question 5

Two CAP analysts disagree on methodology: one favors a transparent regression the client can understand; the other favors a slightly more accurate black-box model. For a regulated credit decision, ethical guidance most strongly supports:

Accepted Answer

Weighing interpretability and the client's ability to explain decisions, which is critical in regulated, high-stakes contexts

Answer

In regulated high-stakes settings, the ability to explain and justify decisions can ethically outweigh marginal accuracy gains.

(CAP) Certified Analytics Professional Practice Test

(CAP) Certified Analytics Professional Practice Test

CAP Professional Ethics & Standards 5