Audit Evidence Collection Techniques AAIA Practice Questions (Page 1)

Questions 1–5

1. 1foundation · easy

   Which of the following is an example of automated evidence gathering in an AI audit?

   • AReviewing printed system documentation.
   • BConducting an interview with the data scientist responsible for the model.
   • CObserving the AI system's operation in a live environment.
   • DRunning a script to extract all model decision logs from a database.
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2. 2foundation · easy

   What is a primary advantage of using automated tools and scripts for evidence collection in AI audits?

   • AThey eliminate the need for any manual review of evidence.
   • BThey automatically interpret the audit findings.
   • CThey guarantee the evidence is free from any errors.
   • DThey can collect large volumes of evidence consistently and efficiently.
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4. 3foundation · easy

   What is the primary goal of data extraction and transformation in AI audit evidence collection?

   • ATo convert raw data into a format suitable for analysis while preserving its accuracy and completeness.
   • BTo reduce the volume of data by removing all records that are not directly related to the audit.
   • CTo create a backup of the AI system's database.
   • DTo encrypt all data to ensure its confidentiality.
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5. 4expert · hard

   An auditor is collecting evidence from an AI system for a legal proceeding. The evidence includes logs, database extracts, and model outputs. The auditor needs to ensure that the evidence is admissible in court. Which of the following is the most important consideration?

   • AMaintain a documented chain of custody that records who accessed the evidence and when.
   • BEnsure that the evidence is stored on a secure server with limited access.
   • CCollect evidence from multiple sources to corroborate the findings.
   • DUse the most recent version of the AI system's software to collect evidence.
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6. 5expert · hard

   An auditor is extracting data from an AI system's database for analysis. The database contains sensitive customer information. The auditor needs to transform the data into a format suitable for analysis while ensuring that the data remains accurate and complete. Which of the following is the most appropriate approach?

   • AAggregate the data to a summary level to avoid handling sensitive details.
   • BExtract the data into a flat file and manually remove sensitive fields.
   • CUse a transformation script that preserves all fields and applies data masking to sensitive fields before analysis.
   • DRequest a copy of the database from the system administrator without any transformation.
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