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Isaca AAIA Practice Test 108

Question 1070

An independent AI auditor reviews this case: An AI auditor copies patient prompts into an unrestricted collaboration folder during evidence collection. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Collect timestamped evidence with integrity protection, authorized access and traceable provenance.
  2. Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.
  3. Inspect contractual audit rights, alternative records, sampled outputs, independent tests and unresolved exclusions.
  4. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.
  5. Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.

Explanation

Correct Answers

B:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. This response fits the risk associated with Chain of custody for sensitive AI audit extracts: Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.

E:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. This evidence directly tests the asserted control for Chain of custody for sensitive AI audit extracts: Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.

Incorrect Answers

A:

This option concerns Immutable AI decision audit trail and provenance, which is a related but different AI governance concern. It does not establish control effectiveness for Chain of custody for sensitive AI audit extracts.

C:

This option concerns Evidence sufficiency when source model is inaccessible, which is a related but different AI governance concern. It does not establish control effectiveness for Chain of custody for sensitive AI audit extracts.

D:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. The auditor should instead examine: Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.

Question 1071

A governance and assurance review uncovers the following: An AI auditor copies patient prompts into an unrestricted collaboration folder during evidence collection. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect audit log access, integrity hash or signing, clock synchronization, record linkage and retention.
  2. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.
  3. Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.
  4. Inspect contractual audit rights, alternative records, sampled outputs, independent tests and unresolved exclusions.

Explanation

Correct Answer

C:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. The acceptable verified outcome is: Independent reviewers can validate copies against sources and access remains restricted to justified personnel.

Incorrect Answers

A:

This option concerns Immutable AI decision audit trail and provenance, which is a related but different AI governance concern. The decisive principle here is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

B:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. For this situation: An AI auditor copies patient prompts into an unrestricted collaboration folder during evidence collection.

D:

This option concerns Evidence sufficiency when source model is inaccessible, which is a related but different AI governance concern. The decisive principle here is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

Question 1072

A risk-based audit engagement examines this operating condition: An AI auditor copies patient prompts into an unrestricted collaboration folder during evidence collection. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Independent reviewers can validate copies against sources and access remains restricted to justified personnel.
  2. Final conclusions distinguish tested controls from unsupported claims and explain resulting scope restrictions.
  3. The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.
  4. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.

Explanation

Correct Answer

A:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. The corrective action is: Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.

Incorrect Answers

B:

This option concerns Evidence sufficiency when source model is inaccessible, which is a related but different AI governance concern. For this situation: An AI auditor copies patient prompts into an unrestricted collaboration folder during evidence collection.

C:

This option concerns Risk-based AI audit universe and scope, which is a related but different AI governance concern. It does not establish control effectiveness for Chain of custody for sensitive AI audit extracts.

D:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. Effective closure requires: Independent reviewers can validate copies against sources and access remains restricted to justified personnel.

Question 1073

An audit committee asks for a defensible assessment of this situation: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Define objective risk-based audit criteria from approved organizational policies, relevant standards and applicable law.
  2. Triangulate available independent evidence and document unresolved access limitations instead of overstating assurance.
  3. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.
  4. Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.

Explanation

Correct Answer

D:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. In this case: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

Incorrect Answers

A:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. The decisive principle here is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

B:

This option concerns Evidence sufficiency when source model is inaccessible, which is a related but different AI governance concern. In this case: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

C:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. In this case: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

Question 1074

During an AI controls assessment, the team learns that an external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Reliable audit analytics depend on traceable transformations, not merely attractive final charts.
  2. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.
  3. Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.
  4. Audit evidence strength depends on trustworthy origin, completeness and resistance to undetected change.

Explanation

Correct Answer

C:

Independent audit evidence includes: Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction. This is the applicable AI audit principle for Chain of custody for sensitive AI audit extracts: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

Incorrect Answers

A:

This option concerns Reproducible audit data transformations, which is a related but different AI governance concern. It does not establish control effectiveness for Chain of custody for sensitive AI audit extracts.

B:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. For this situation: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

D:

This option concerns Immutable AI decision audit trail and provenance, which is a related but different AI governance concern. In this case: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

Question 1075

An independent AI auditor reviews this case: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.
  2. Inspect audit log access, integrity hash or signing, clock synchronization, record linkage and retention.
  3. Inspect audit program, control objectives, regulatory applicability, measurements and management agreement on criteria.
  4. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.

Explanation

Correct Answer

A:

This evidence directly tests the asserted control for Chain of custody for sensitive AI audit extracts: Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.

Incorrect Answers

B:

This option concerns Immutable AI decision audit trail and provenance, which is a related but different AI governance concern. For this situation: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

C:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. For this situation: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

D:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.

Question 1076

A governance and assurance review uncovers the following: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Independent reviewers can validate copies against sources and access remains restricted to justified personnel.
  2. A second reviewer reproduces key findings from the recorded inputs and processing logic.
  3. A sampled decision and intervention sequence can be reconstructed from tamper-evident records.
  4. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.

Explanation

Correct Answer

A:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. This is an observable validation result for Chain of custody for sensitive AI audit extracts, not just management assurance: Independent reviewers can validate copies against sources and access remains restricted to justified personnel.

Incorrect Answers

B:

This option concerns Reproducible audit data transformations, which is a related but different AI governance concern. For this situation: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

C:

This option concerns Immutable AI decision audit trail and provenance, which is a related but different AI governance concern. The audit must corroborate: Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.

D:

For this situation: An external reviewer transfers a model checkpoint without recording a source hash, custodian or acquisition time.

Question 1077

A risk-based audit engagement examines this operating condition: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  2. Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.
  3. Capture model and prompt versions, retrieval sources, seeds where relevant and external state for reproducible testing.
  4. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.

Explanation

Correct Answer

B:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. In this case: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

Incorrect Answers

A:

This option concerns Risk-based AI audit universe and scope, which is a related but different AI governance concern. The decisive principle here is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

C:

This option concerns Model version and retrieval evidence preservation, which is a related but different AI governance concern. The decisive principle here is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

D:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. In this case: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

Question 1078

An audit committee asks for a defensible assessment of this situation: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.
  2. Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.
  3. Sufficiency and appropriateness require a fit between evidence and the audit assertion being made.
  4. Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

Explanation

Correct Answer

B:

Independent audit evidence includes: Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction. The acceptable verified outcome is: Independent reviewers can validate copies against sources and access remains restricted to justified personnel.

Incorrect Answers

A:

This attractive shortcut does not resolve the Chain of custody for sensitive AI audit extracts weakness: Email unredacted extracts broadly and rely on filename similarity to establish forensic identity. For this situation: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

C:

This option concerns Evidence sufficiency when source model is inaccessible, which is a related but different AI governance concern. In this case: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

D:

This option concerns Risk-based AI audit universe and scope, which is a related but different AI governance concern. For this situation: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

Question 1079

During an AI controls assessment, the team learns that a regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.
  2. Inspect query code, data hashes, metric definitions, source versions, filters and rerun evidence.
  3. Inspect row counts, independent totals, missing keys, excluded statuses and transformation logs.
  4. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.

Explanation

Correct Answer

A:

The acceptable verified outcome is: Independent reviewers can validate copies against sources and access remains restricted to justified personnel.

Incorrect Answers

B:

This option concerns Reproducible audit data transformations, which is a related but different AI governance concern. The decisive principle here is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

C:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. It does not establish control effectiveness for Chain of custody for sensitive AI audit extracts.

D:

For this situation: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

Question 1080

An independent AI auditor reviews this case: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Email unredacted extracts broadly and rely on filename similarity to establish forensic identity.
  2. Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.
  3. Inspect audit log access, integrity hash or signing, clock synchronization, record linkage and retention.
  4. Inspect acquisition records, file hashes, access log, transfer receipts and approved retention/destruction.
  5. Define objective risk-based audit criteria from approved organizational policies, relevant standards and applicable law.

Explanation

Correct Answers

B:

The reason it is necessary is: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance. For this situation: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

D:

The corrective action is: Preserve evidence chain of custody, minimize personal data and verify controlled analytical copies.

Incorrect Answers

A:

It misses the key control principle: Evidence handling must protect confidentiality and integrity while maintaining the ability to demonstrate provenance.

C:

This option concerns Immutable AI decision audit trail and provenance, which is a related but different AI governance concern. In this case: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

E:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. In this case: A regulated dataset is edited in the original storage location while auditors analyze it and no clean reference is preserved.

ISACA Advanced in AI Audit (AAIA) Practice Tests