Audit Evidence Collection Techniques AAIA Practice Questions (Page 3)

Questions 11–15

1. 11application · medium

   An auditor is reviewing an AI system that automates employee performance evaluations. The auditor has collected automated data on the system's scoring outputs. To understand the fairness of the system, the auditor wants to gather perspectives from employees who have been evaluated. Which manual evidence collection procedure is most appropriate?

   • AConduct interviews with a sample of employees to discuss their experiences with the system.
   • BAnalyze the system's audit logs to see how scores were calculated.
   • CObserve the HR team using the system to see how they input data.
   • DReview the system's source code to identify any biases in the scoring algorithm.
   Reveal Solution Discussion Select an answer first
2. 12foundation · easy

   Which sampling method is most appropriate when an auditor wants to ensure that every item in the population has an equal chance of being selected?

   • AHaphazard sampling
   • BRandom sampling
   • CBlock sampling
   • DJudgmental sampling
   Reveal Solution Discussion Select an answer first
4. 13expert · hard

   An auditor is reviewing an AI system that assists doctors in diagnosing diseases. The auditor has collected automated data on the system's diagnostic recommendations. To assess the system's reliability, the auditor wants to understand how doctors use the system and whether they override its recommendations. Which combination of manual evidence collection procedures is most appropriate?

   • AConduct interviews with doctors and observe their interactions with the system in a clinical setting.
   • BAnalyze the system's audit logs to see how often recommendations are overridden.
   • CSurvey patients about their satisfaction with the system's recommendations.
   • DReview the system's training data and model documentation.
   Reveal Solution Discussion Select an answer first
5. 14application · medium

   An auditor is collecting evidence from an AI system's database for a regulatory audit. The auditor uses a script to extract data and stores it on a shared network drive. Which of the following actions is most important to ensure the integrity and chain of custody of the evidence?

   • ACalculate and record cryptographic hashes of the extracted files before and after transfer.
   • BKeep the extracted files in the same folder as the script to simplify the process.
   • CRename the files to include the audit name and date.
   • DEmail the extracted files to the audit team for review.
   Reveal Solution Discussion Select an answer first
6. 15application · medium

   An auditor is reviewing an AI system that recommends personalized content to users. The auditor has already collected automated logs of the system's recommendations. To supplement this evidence, the auditor wants to understand how the system's developers handle edge cases. Which manual evidence collection procedure is most appropriate?

   • AConduct interviews with the developers to discuss their decision-making process and any known limitations.
   • BObserve the developers' daily stand-up meetings to see how they discuss edge cases.
   • CReview the system's user feedback forms to identify common complaints.
   • DAnalyze the system's source code to identify conditional statements that handle edge cases.
   Reveal Solution Discussion Select an answer first