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Isaca AAIA Practice Test 118

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.

Question 1171

A governance and assurance review uncovers the following: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist. 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. Inspect report structure, opinion basis, material exclusions, severity rationale and board communications.
  3. Close findings once a project management ticket is created regardless of actual model behavior.
  4. Review workpaper references, criteria applicability, causal support, impact and corrective proposal.

Explanation

Correct Answer

A:

For this situation: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist.

Incorrect Answers

B:

This option concerns Board-ready communication of AI audit limitations, which is a related but different AI governance concern. For this situation: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist.

C:

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. Effective closure requires: Closure occurs after evidence demonstrates the control operated effectively or risk was formally accepted.

D:

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

Question 1172

A risk-based audit engagement examines this operating condition: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist. 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. Independent auditors retain final conclusions and conflicts are mitigated with transparent quality review.
  3. Closure occurs after evidence demonstrates the control operated effectively or risk was formally accepted.
  4. Readers can identify significant control weaknesses and understand what was and was not tested.

Explanation

Correct Answer

C:

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

Incorrect Answers

A:

It misses the key control principle: Management promises are remediation plans, not verified control outcomes.

B:

This option concerns Auditor independence with AI-enabled workpapers, which is a related but different AI governance concern. For this situation: A hospital closes a high-risk model issue after scheduling retraining but no validation results exist.

D:

This option concerns Board-ready communication of AI audit limitations, which is a related but different AI governance concern. The audit must corroborate: Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

Question 1173

An audit committee asks for a defensible assessment of this situation: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers.
  2. Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.
  3. Report criterion, observed condition, evidence, plausible cause, consequence and actionable recommendation.
  4. Close findings once a project management ticket is created regardless of actual model behavior.

Explanation

Correct Answer

B:

The reason it is necessary is: Management promises are remediation plans, not verified control outcomes. In this case: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

Incorrect Answers

A:

This option concerns Board-ready communication of AI audit limitations, which is a related but different AI governance concern. In this case: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

C:

This option concerns Clear AI audit finding criteria cause effect, 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. In this case: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

Question 1174

During an AI controls assessment, the team learns that a vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. AI in the audit process introduces its own reliability and confidentiality risks that must be controlled.
  2. Management promises are remediation plans, not verified control outcomes.
  3. Close findings once a project management ticket is created regardless of actual model behavior.
  4. Findings must be based on traceable and testable criteria rather than a reviewer's undefined preference.

Explanation

Correct Answer

B:

Independent audit evidence includes: Inspect action plans, revised configurations, observed tests, approval records and exception escalation. 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 Validation of AI-enabled audit analytics tools, which is a related but different AI governance concern. The decisive principle here is: Management promises are remediation plans, not verified control outcomes.

C:

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 vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

D:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. In this case: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

Question 1175

An independent AI auditor reviews this case: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Close findings once a project management ticket is created regardless of actual model behavior.
  2. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.
  3. Inspect action plans, revised configurations, observed tests, approval records and exception escalation.
  4. Inspect audit program, control objectives, regulatory applicability, measurements and management agreement on criteria.

Explanation

Correct Answer

C:

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:

For this situation: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

B:

This option concerns Risk-based AI audit universe and scope, which is a related but different AI governance concern. In this case: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

D:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. For this situation: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

Question 1176

A governance and assurance review uncovers the following: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Closure occurs after evidence demonstrates the control operated effectively or risk was formally accepted.
  2. Close findings once a project management ticket is created regardless of actual model behavior.
  3. Validated tool results improve audit efficiency without unreviewed false conclusions or hidden omissions.
  4. Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.

Explanation

Correct Answer

A:

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

B:

The auditor should instead examine: Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

C:

This option concerns Validation of AI-enabled audit analytics tools, which is a related but different AI governance concern. For this situation: A vendor promises to restrict retrieval permissions later and the audit team records the incident as fixed today.

D:

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

Question 1177

A risk-based audit engagement examines this operating condition: An executive AI audit summary presents an aggregate green score despite unresolved high-impact data privacy issues. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring.
  2. Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers.
  3. Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.
  4. Define objective risk-based audit criteria from approved organizational policies, relevant standards and applicable law.

Explanation

Correct Answer

B:

The reason it is necessary is: Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages. This is the proportionate control response to Board-ready communication of AI audit limitations: Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers.

Incorrect Answers

A:

This attractive shortcut does not resolve the Board-ready communication of AI audit limitations weakness: Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring.

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 Board-ready communication of AI audit limitations.

D:

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 Board-ready communication of AI audit limitations.

Question 1178

An audit committee asks for a defensible assessment of this situation: An executive AI audit summary presents an aggregate green score despite unresolved high-impact data privacy issues. 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. Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring.
  3. Continuous auditing provides value only when data, thresholds and response governance remain effective over time.
  4. Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages.

Explanation

Correct Answer

D:

The corrective action is: Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers. The acceptable verified outcome is: Readers can identify significant control weaknesses and understand what was and was not tested.

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 Board-ready communication of AI audit limitations.

B:

This attractive shortcut does not resolve the Board-ready communication of AI audit limitations weakness: Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring. For this situation: An executive AI audit summary presents an aggregate green score despite unresolved high-impact data privacy issues.

C:

This option concerns Continuous audit metrics and follow-up governance, which is a related but different AI governance concern. The decisive principle here is: Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages.

Question 1179

During an AI controls assessment, the team learns that an executive AI audit summary presents an aggregate green score despite unresolved high-impact data privacy issues. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.
  2. Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring.
  3. Inspect report structure, opinion basis, material exclusions, severity rationale and board communications.
  4. Inspect row counts, independent totals, missing keys, excluded statuses and transformation logs.

Explanation

Correct Answer

C:

The reason it is necessary is: Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages. The corrective action is: Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers.

Incorrect Answers

A:

This option concerns Continuous audit metrics and follow-up governance, which is a related but different AI governance concern. For this situation: An executive AI audit summary presents an aggregate green score despite unresolved high-impact data privacy issues.

B:

This attractive shortcut does not resolve the Board-ready communication of AI audit limitations weakness: Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring. The auditor should instead examine: Inspect report structure, opinion basis, material exclusions, severity rationale and board communications.

D:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. It does not establish control effectiveness for Board-ready communication of AI audit limitations.

Question 1180

An independent AI auditor reviews this case: An executive AI audit summary presents an aggregate green score despite unresolved high-impact data privacy issues. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring.
  2. Review workpaper references, criteria applicability, causal support, impact and corrective proposal.
  3. Inspect report structure, opinion basis, material exclusions, severity rationale and board communications.
  4. Reconcile source populations, failed records, joins and transformations before interpreting AI audit analytics.
  5. Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers.

Explanation

Correct Answers

C:

The reason it is necessary is: Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages. The acceptable verified outcome is: Readers can identify significant control weaknesses and understand what was and was not tested.

E:

The reason it is necessary is: Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages. This response fits the risk associated with Board-ready communication of AI audit limitations: Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers.

Incorrect Answers

A:

This attractive shortcut does not resolve the Board-ready communication of AI audit limitations weakness: Collapse all AI findings into one overall score and omit scope limitations to make the report look reassuring. Communicate risk-ranked findings, scope boundaries, evidence quality and residual uncertainties to decision makers.

B:

This option concerns Clear AI audit finding criteria cause effect, which is a related but different AI governance concern. It does not establish control effectiveness for Board-ready communication of AI audit limitations.

D:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. The decisive principle here is: Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages.

ISACA Advanced in AI Audit (AAIA) Practice Tests