AI Audit Resolution Assistant
Section 1: Use Case Identifiers
Use Case ID: HHS-HRSA-00001
Agency: HHS
Op Div/Staff Div: HRSA
Use Case Topic Area: Mission-Enabling (internal agency support)
Is the AI use case found in the below list of general commercial AI products and services?
None of the above.
Describe the AI system’s outputs.
HRSA will utilize generative AI to streamline the Single Audit resolution process and the creation of Management Decision Letters to formally close out and resolve Single audit findings. The AI Audit Resolution Assistant (AIARA) includes a vector database comprised of Single audit documents assigned to HRSA, creates a retrieval augmented generation which integrates with a large language model to intelligently summarize audit findings and recommendations, and provides chatbot capability and reduce the cognitive load on HRSA auditors for any audit-specific questions.
Stage of Development: Implementation and Assessment
Is the AI use case rights-impacting, safety-impacting, both, or neither?
Neither
Section 2: Use Case Summary
Date Initiated: 01/2024
Date when Acquisition and/or Development began: 03/2024
Date Implemented: N/A
Date Retired: N/A
Was the AI system involved in this use case developed (or is it to be developed) under contract(s) or in-house?
Developed with both contracting and in-house resources.
Provide the Procurement Instrument Identifier(s) (PIID) of the contract(s) used.
75R60222F80097
Is this AI use case supporting a High-Impact Service Provider (HISP) public-facing service?
N/A
Does this AI use case disseminate information to the public?
N/A
How is the agency ensuring compliance with Information Quality Act guidelines, if applicable?
N/A
Does this AI use case involve personally identifiable information (PII) that is maintained by the agency?
No
Has the Senior Agency Official for Privacy (SAOP) assessed the privacy risks associated with this AI use case?
ongoing
Section 3: Data and Code
Do you have access to an enterprise data catalog or agency-wide data repository that enables you to identify whether or not the necessary datasets exist and are ready to develop your use case?
No
Describe any agency-owned data used to train, fine-tune, and/or evaluate performance of the model(s) used in this use case.
HRSA did not use agency data to train or fine-tune the large language model. HRSA did use publicly-available data from the Federal Audit Clearinghouse to evaluate the accuracy and precision of LLM outputs.
Is there available documentation for the model training and evaluation data that demonstrates the degree to which it is appropriate to be used in analysis or for making predictions?
Documentation is widely available
Which, if any, demographic variables does the AI use case explicitly use as model features?
N/A
Does this project include custom-developed code?
Yes
Does the agency have access to the code associated with the AI use case?
If the code is open-source, provide the link for the publicly available source code.
N/A
Section 4: AI Enablement and Infrastructure
Does this AI use case have an associated Authority to Operate (ATO) for an AI system?
Yes
System Name: Not Reported
How long have you waited for the necessary developer tools to implement the AI use case?
Less than 6 months
For this AI use case, is the required IT infrastructure provisioned via a centralized intake form or process inside the agency?
Yes
Do you have a process in place to request access to computing resources for model training and development of the AI involved in this use case?
Yes
Has communication regarding the provisioning of your requested resources been timely?
Yes
How are existing data science tools, libraries, data products, and internally-developed AI infrastructure being re-used for the current AI use case?
Use of existing data platforms
Has information regarding the AI use case, including performance metrics and intended use of the model, been made available for review and feedback within the agency?
Documentation has been developed