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Isaca AAIA Practice Test 117

Question 1160

An independent AI auditor reviews this case: An internal auditor reports biased outcomes without disclosing sampling limits or potential confounders. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Report criterion, observed condition, evidence, plausible cause, consequence and actionable recommendation.
  2. Reconcile source populations, failed records, joins and transformations before interpreting AI audit analytics.
  3. Review workpaper references, criteria applicability, causal support, impact and corrective proposal.
  4. Inspect audit program, control objectives, regulatory applicability, measurements and management agreement on criteria.
  5. Publish dramatic AI risk claims without qualifying uncertainty or linking them to documented controls.

Explanation

Correct Answers

A:

The reason it is necessary is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty. For this situation: An internal auditor reports biased outcomes without disclosing sampling limits or potential confounders.

C:

The reason it is necessary is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty. The acceptable verified outcome is: Each material finding is independently traceable to evidence, severity and an owned improvement.

Incorrect Answers

B:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. The decisive principle here is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.

D:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. The audit must corroborate: Review workpaper references, criteria applicability, causal support, impact and corrective proposal.

E:

For this situation: An internal auditor reports biased outcomes without disclosing sampling limits or potential confounders.

Question 1161

A governance and assurance review uncovers the following: A model privacy finding blames engineering without linking the root cause to actual design or governance controls. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Report criterion, observed condition, evidence, plausible cause, consequence and actionable recommendation.
  2. Publish dramatic AI risk claims without qualifying uncertainty or linking them to documented controls.
  3. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  4. Document reproducible extraction, definitions, feature joins, calculations and review of exceptions.

Explanation

Correct Answer

A:

The reason it is necessary is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty. In this case: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

Incorrect Answers

B:

This attractive shortcut does not resolve the Clear AI audit finding criteria cause effect weakness: Publish dramatic AI risk claims without qualifying uncertainty or linking them to documented controls. In this case: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

C:

This option concerns Risk-based AI audit universe and scope, which is a related but different AI governance concern. In this case: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

D:

This option concerns Reproducible audit data transformations, which is a related but different AI governance concern. The decisive principle here is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.

Question 1162

A risk-based audit engagement examines this operating condition: A model privacy finding blames engineering without linking the root cause to actual design or governance controls. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Incomplete populations and silent joins can bias control effectiveness conclusions.
  2. Continuous auditing provides value only when data, thresholds and response governance remain effective over time.
  3. Publish dramatic AI risk claims without qualifying uncertainty or linking them to documented controls.
  4. Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.

Explanation

Correct Answer

D:

Independent audit evidence includes: Review workpaper references, criteria applicability, causal support, impact and corrective proposal. In this case: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

Incorrect Answers

A:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. In this case: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

B:

This option concerns Continuous audit metrics and follow-up governance, which is a related but different AI governance concern. The decisive principle here is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.

C:

This attractive shortcut does not resolve the Clear AI audit finding criteria cause effect weakness: Publish dramatic AI risk claims without qualifying uncertainty or linking them to documented controls. For this situation: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

Question 1163

An audit committee asks for a defensible assessment of this situation: A model privacy finding blames engineering without linking the root cause to actual design or governance controls. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect action plans, revised configurations, observed tests, approval records and exception escalation.
  2. Review workpaper references, criteria applicability, causal support, impact and corrective proposal.
  3. Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.
  4. Publish dramatic AI risk claims without qualifying uncertainty or linking them to documented controls.

Explanation

Correct Answer

B:

The reason it is necessary is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty. Independent audit evidence includes: Review workpaper references, criteria applicability, causal support, impact and corrective proposal.

Incorrect Answers

A:

This option concerns Management response and remediation validation, which is a related but different AI governance concern. The decisive principle here is: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.

C:

This option concerns Continuous audit metrics and follow-up governance, which is a related but different AI governance concern. For this situation: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

D:

For this situation: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

Question 1164

During an AI controls assessment, the team learns that a model privacy finding blames engineering without linking the root cause to actual design or governance controls. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Each material finding is independently traceable to evidence, severity and an owned improvement.
  2. Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.
  3. Publish dramatic AI risk claims without qualifying uncertainty or linking them to documented controls.
  4. A second reviewer reproduces key findings from the recorded inputs and processing logic.

Explanation

Correct Answer

A:

This is an observable validation result for Clear AI audit finding criteria cause effect, not just management assurance: Each material finding is independently traceable to evidence, severity and an owned improvement.

Incorrect Answers

B:

This option concerns Continuous audit metrics and follow-up governance, which is a related but different AI governance concern. The audit must corroborate: Review workpaper references, criteria applicability, causal support, impact and corrective proposal.

C:

It misses the key control principle: Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.

D:

This option concerns Reproducible audit data transformations, which is a related but different AI governance concern. For this situation: A model privacy finding blames engineering without linking the root cause to actual design or governance controls.

Question 1165

An independent AI auditor reviews this case: An AI audit recommendation is marked completed when management adds a policy paragraph but production behavior remains unchanged. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Close findings once a project management ticket is created regardless of actual model behavior.
  2. Define objective risk-based audit criteria from approved organizational policies, relevant standards and applicable law.
  3. Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.
  4. Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.

Explanation

Correct Answer

D:

The reason it is necessary is: Management promises are remediation plans, not verified control outcomes. Independent audit evidence includes: Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

Incorrect Answers

A:

This attractive shortcut does not resolve the Management response and remediation validation weakness: Close findings once a project management ticket is created regardless of actual model behavior.

B:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. It does not establish control effectiveness for Management response and remediation validation.

C:

This option concerns Continuous audit metrics and follow-up governance, which is a related but different AI governance concern. It does not establish control effectiveness for Management response and remediation validation.

Question 1166

A governance and assurance review uncovers the following: An AI audit recommendation is marked completed when management adds a policy paragraph but production behavior remains unchanged. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Audit independence extends to automated methods and relationships that could bias scope or findings.
  2. AI in the audit process introduces its own reliability and confidentiality risks that must be controlled.
  3. Management promises are remediation plans, not verified control outcomes.
  4. Close findings once a project management ticket is created regardless of actual model behavior.

Explanation

Correct Answer

C:

Independent audit evidence includes: Inspect action plans, revised configurations, observed tests, approval records and exception escalation. This is the applicable AI audit principle for Management response and remediation validation: Management promises are remediation plans, not verified control outcomes.

Incorrect Answers

A:

This option concerns Auditor independence with AI-enabled workpapers, which is a related but different AI governance concern. It does not establish control effectiveness for Management response and remediation validation.

B:

This option concerns Validation of AI-enabled audit analytics tools, which is a related but different AI governance concern. It does not establish control effectiveness for Management response and remediation validation.

D:

This attractive shortcut does not resolve the Management response and remediation validation weakness: Close findings once a project management ticket is created regardless of actual model behavior. For this situation: An AI audit recommendation is marked completed when management adds a policy paragraph but production behavior remains unchanged.

Question 1167

A risk-based audit engagement examines this operating condition: An AI audit recommendation is marked completed when management adds a policy paragraph but production behavior remains unchanged. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect audit program, control objectives, regulatory applicability, measurements and management agreement on criteria.
  2. Close findings once a project management ticket is created regardless of actual model behavior.
  3. Inspect report structure, opinion basis, material exclusions, severity rationale and board communications.
  4. Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

Explanation

Correct Answer

D:

The reason it is necessary is: Management promises are remediation plans, not verified control outcomes. This evidence directly tests the asserted control for Management response and remediation validation: Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

Incorrect Answers

A:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. For this situation: An AI audit recommendation is marked completed when management adds a policy paragraph but production behavior remains unchanged.

B:

This attractive shortcut does not resolve the Management response and remediation validation weakness: Close findings once a project management ticket is created regardless of actual model behavior. The auditor should instead examine: Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

C:

This option concerns Board-ready communication of AI audit limitations, which is a related but different AI governance concern. It does not establish control effectiveness for Management response and remediation validation.

Question 1168

An audit committee asks for a defensible assessment of this situation: An AI audit recommendation is marked completed when management adds a policy paragraph but production behavior remains unchanged. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Close findings once a project management ticket is created regardless of actual model behavior.
  2. Readers can identify significant control weaknesses and understand what was and was not tested.
  3. The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.
  4. Closure occurs after evidence demonstrates the control operated effectively or risk was formally accepted.

Explanation

Correct Answer

D:

The reason it is necessary is: Management promises are remediation plans, not verified control outcomes. This is an observable validation result for Management response and remediation validation, not just management assurance: Closure occurs after evidence demonstrates the control operated effectively or risk was formally accepted.

Incorrect Answers

A:

This attractive shortcut does not resolve the Management response and remediation validation weakness: Close findings once a project management ticket is created regardless of actual model behavior. Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.

B:

This option concerns Board-ready communication of AI audit limitations, which is a related but different AI governance concern. For this situation: An AI audit recommendation is marked completed when management adds a policy paragraph but production behavior remains unchanged.

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 Management response and remediation validation.

Question 1169

During an AI controls assessment, the team learns that a hospital closes a high-risk model issue after scheduling retraining but no validation results exist. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Preserve professional objectivity, disclose conflicts and independently validate AI-assisted audit decisions.
  2. Close findings once a project management ticket is created regardless of actual model behavior.
  3. Define objective risk-based audit criteria from approved organizational policies, relevant standards and applicable law.
  4. Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.

Explanation

Correct Answer

D:

The reason it is necessary is: Management promises are remediation plans, not verified control outcomes. The acceptable verified outcome is: Closure occurs after evidence demonstrates the control operated effectively or risk was formally accepted.

Incorrect Answers

A:

This option concerns Auditor independence with AI-enabled workpapers, which is a related but different AI governance concern. The decisive principle here is: Management promises are remediation plans, not verified control outcomes.

B:

This attractive shortcut does not resolve the Management response and remediation validation weakness: Close findings once a project management ticket is created regardless of actual model behavior. In this case: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist.

C:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. The decisive principle here is: Management promises are remediation plans, not verified control outcomes.

Question 1170

An independent AI auditor reviews this case: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  2. Inspect report structure, opinion basis, material exclusions, severity rationale and board communications.
  3. Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.
  4. Close findings once a project management ticket is created regardless of actual model behavior.
  5. Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

Explanation

Correct Answers

C:

The reason it is necessary is: Management promises are remediation plans, not verified control outcomes. For this situation: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist.

E:

The reason it is necessary is: Management promises are remediation plans, not verified control outcomes. The corrective action is: Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.

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: Management promises are remediation plans, not verified control outcomes.

B:

This option concerns Board-ready communication of AI audit limitations, which is a related but different AI governance concern. The decisive principle here is: Management promises are remediation plans, not verified control outcomes.

D:

This attractive shortcut does not resolve the Management response and remediation validation weakness: Close findings once a project management ticket is created regardless of actual model behavior. For this situation: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist.

ISACA Advanced in AI Audit (AAIA) Practice Tests