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Isaca AAIA Practice Test 120

Question 1190

An independent AI auditor reviews this case: A financial institution schedules one annual AI audit but does not track repeated model override anomalies between audits. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.
  2. Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.
  3. Inspect row counts, independent totals, missing keys, excluded statuses and transformation logs.
  4. Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.
  5. Automate daily chart production and treat the existence of a dashboard as continuous assurance.

Explanation

Correct Answers

A:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. For this situation: A financial institution schedules one annual AI audit but does not track repeated model override anomalies between audits.

D:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. This evidence directly tests the asserted control for Continuous audit metrics and follow-up governance: Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.

Incorrect Answers

B:

This option concerns Management response and remediation validation, which is a related but different AI governance concern. For this situation: A financial institution schedules one annual AI audit but does not track repeated model override anomalies between audits.

C:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. For this situation: A financial institution schedules one annual AI audit but does not track repeated model override anomalies between audits.

E:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. For this situation: A financial institution schedules one annual AI audit but does not track repeated model override anomalies between audits.

Question 1191

A governance and assurance review uncovers the following: A financial institution schedules one annual AI audit but does not track repeated model override anomalies between audits. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Review workpaper references, criteria applicability, causal support, impact and corrective proposal.
  2. Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.
  3. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.
  4. Automate daily chart production and treat the existence of a dashboard as continuous assurance.

Explanation

Correct Answer

B:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. The corrective action is: Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.

Incorrect Answers

A:

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 Continuous audit metrics and follow-up governance.

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 Continuous audit metrics and follow-up governance.

D:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. The auditor should instead examine: Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.

Question 1192

A risk-based audit engagement examines this operating condition: A financial institution schedules one annual AI audit but does not track repeated model override anomalies between audits. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. End-to-end reconciliations explain missing and duplicated records before sampling and metrics.
  2. Automate daily chart production and treat the existence of a dashboard as continuous assurance.
  3. Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.
  4. A second reviewer reproduces key findings from the recorded inputs and processing logic.

Explanation

Correct Answer

C:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. This is an observable validation result for Continuous audit metrics and follow-up governance, not just management assurance: Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.

Incorrect Answers

A:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. The decisive principle here is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time.

B:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. Effective closure requires: Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.

D:

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

Question 1193

An audit committee asks for a defensible assessment of this situation: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Require action owners, committed dates, independent post-change tests and residual-risk decisions to close findings.
  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. Automate daily chart production and treat the existence of a dashboard as continuous assurance.

Explanation

Correct Answer

C:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. In this case: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

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: Continuous auditing provides value only when data, thresholds and response governance remain effective over time.

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 Continuous audit metrics and follow-up governance.

D:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. In this case: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

Question 1194

During an AI controls assessment, the team learns that a report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.
  2. Incomplete populations and silent joins can bias control effectiveness conclusions.
  3. Continuous auditing provides value only when data, thresholds and response governance remain effective over time.
  4. Automate daily chart production and treat the existence of a dashboard as continuous assurance.

Explanation

Correct Answer

C:

Independent audit evidence includes: Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings. In this case: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

Incorrect Answers

A:

This option concerns Clear AI audit finding criteria cause effect, which is a related but different AI governance concern. The decisive principle here is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time.

B:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. In this case: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

D:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. For this situation: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

Question 1195

An independent AI auditor reviews this case: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure. 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. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.
  3. Automate daily chart production and treat the existence of a dashboard as continuous assurance.
  4. Inspect action plans, revised configurations, observed tests, approval records and exception escalation.

Explanation

Correct Answer

A:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. The acceptable verified outcome is: Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.

Incorrect Answers

B:

This option concerns Risk-based AI audit universe and scope, which is a related but different AI governance concern. The decisive principle here is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time.

C:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.

D:

This option concerns Management response and remediation validation, which is a related but different AI governance concern. For this situation: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

Question 1196

A governance and assurance review uncovers the following: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Readers can identify significant control weaknesses and understand what was and was not tested.
  2. Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.
  3. Each material finding is independently traceable to evidence, severity and an owned improvement.
  4. Automate daily chart production and treat the existence of a dashboard as continuous assurance.

Explanation

Correct Answer

B:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. Independent audit evidence includes: Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.

Incorrect Answers

A:

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 Continuous audit metrics and follow-up governance.

C:

This option concerns Clear AI audit finding criteria cause effect, which is a related but different AI governance concern. For this situation: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

D:

For this situation: A report describes failed retrieval privacy controls while no mechanism tracks their recurrence after closure.

Question 1197

A risk-based audit engagement examines this operating condition: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Reconcile source populations, failed records, joins and transformations before interpreting AI audit analytics.
  2. Automate daily chart production and treat the existence of a dashboard as continuous assurance.
  3. Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.
  4. Report criterion, observed condition, evidence, plausible cause, consequence and actionable recommendation.

Explanation

Correct Answer

C:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. In this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

Incorrect Answers

A:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. In this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

B:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. In this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

D:

This option concerns Clear AI audit finding criteria cause effect, which is a related but different AI governance concern. In this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

Question 1198

An audit committee asks for a defensible assessment of this situation: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Continuous auditing provides value only when data, thresholds and response governance remain effective over time.
  2. Executive assurance must distinguish observed evidence from untested areas and avoid hiding severe issues in averages.
  3. Automate daily chart production and treat the existence of a dashboard as continuous assurance.
  4. Audit reports should make supported issues intelligible to accountable stakeholders without overstating certainty.

Explanation

Correct Answer

A:

Independent audit evidence includes: Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings. In this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

Incorrect Answers

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: Continuous auditing provides value only when data, thresholds and response governance remain effective over time.

C:

This attractive shortcut does not resolve the Continuous audit metrics and follow-up governance weakness: Automate daily chart production and treat the existence of a dashboard as continuous assurance. For this situation: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

D:

This option concerns Clear AI audit finding criteria cause effect, which is a related but different AI governance concern. For this situation: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

Question 1199

During an AI controls assessment, the team learns that an AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect row counts, independent totals, missing keys, excluded statuses and transformation logs.
  2. Automate daily chart production and treat the existence of a dashboard as continuous assurance.
  3. Inspect action plans, revised configurations, observed tests, approval records and exception escalation.
  4. Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.

Explanation

Correct Answer

D:

In this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

Incorrect Answers

A:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. For this situation: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

B:

For this situation: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

C:

This option concerns Management response and remediation validation, which is a related but different AI governance concern. In this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

Question 1200

An independent AI auditor reviews this case: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends. Which THREE elements together provide a defensible AI audit conclusion: the corrective control, the evidence to test it, and a verified outcome? Select THREE answers.

  1. Define objective risk-based audit criteria from approved organizational policies, relevant standards and applicable law.
  2. Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.
  3. Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.
  4. Automate daily chart production and treat the existence of a dashboard as continuous assurance.
  5. Inspect row counts, independent totals, missing keys, excluded statuses and transformation logs.
  6. Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.

Explanation

Correct Answers

B:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. For this situation: An AI audit dashboard produces weekly alerts but no owner reviews false positives or escalates serious trends.

C:

The reason it is necessary is: Continuous auditing provides value only when data, thresholds and response governance remain effective over time. This response fits the risk associated with Continuous audit metrics and follow-up governance: Define sustainable follow-up indicators, control owners, alert reviews and periodic re-evaluation based on changing exposure.

F:

This is an observable validation result for Continuous audit metrics and follow-up governance, not just management assurance: Recurring material issues trigger documented follow-up and audit plans adapt to new models and risks.

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: Continuous auditing provides value only when data, thresholds and response governance remain effective over time.

D:

It misses the key control principle: Continuous auditing provides value only when data, thresholds and response governance remain effective over time.

E:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. The audit must corroborate: Inspect KPI sources, exception queues, aging, owner actions, periodic audit recalibration and reopened findings.

ISACA Advanced in AI Audit (AAIA) Practice Tests