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Isaca AAIA Practice Test 15

Question 140

An independent AI auditor reviews this case: An insurer applies identical testing and signoff to internal search autocomplete and benefit eligibility decisions. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Deliver role-specific AI awareness, secure-use guidance and tested escalation exercises matched to real work.
  2. Classify AI uses by impact and autonomy, then apply evidence and approval gates proportionate to the actual exposure.
  3. Review classification methodology, autonomy and data sensitivity, impact scoring, approval records and reclassification triggers.
  4. Use a single minimal checklist for all AI systems regardless of severity or customer effect.
  5. Inspect approved exception register, justifications, expiry, control alternatives and follow-up evidence.

Explanation

Correct Answers

B:

The reason it is necessary is: Risk-based governance calibrates scrutiny to potential consequences and does not equate every AI feature. This response fits the risk associated with Risk-tiering and proportional approval gates: Classify AI uses by impact and autonomy, then apply evidence and approval gates proportionate to the actual exposure.

C:

The reason it is necessary is: Risk-based governance calibrates scrutiny to potential consequences and does not equate every AI feature. For this situation: An insurer applies identical testing and signoff to internal search autocomplete and benefit eligibility decisions.

Incorrect Answers

A:

This option concerns AI workforce literacy and policy awareness, which is a related but different AI governance concern. For this situation: An insurer applies identical testing and signoff to internal search autocomplete and benefit eligibility decisions.

D:

It misses the key control principle: Risk-based governance calibrates scrutiny to potential consequences and does not equate every AI feature.

E:

This option concerns AI policy exception governance, which is a related but different AI governance concern. The decisive principle here is: Risk-based governance calibrates scrutiny to potential consequences and does not equate every AI feature.

Question 141

A governance and assurance review uncovers the following: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Use a single minimal checklist for all AI systems regardless of severity or customer effect.
  2. Assign decision rights and responsibilities for design, operation, risk acceptance, independent challenge and remediation.
  3. Classify AI uses by impact and autonomy, then apply evidence and approval gates proportionate to the actual exposure.
  4. Assess vendor control evidence, data handling, change notification, subcontractors, portability and remedies before acceptance.

Explanation

Correct Answer

C:

The reason it is necessary is: Risk-based governance calibrates scrutiny to potential consequences and does not equate every AI feature. In this case: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

Incorrect Answers

A:

This attractive shortcut does not resolve the Risk-tiering and proportional approval gates weakness: Use a single minimal checklist for all AI systems regardless of severity or customer effect. In this case: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

B:

This option concerns Accountable ownership and three-lines roles, which is a related but different AI governance concern. In this case: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

D:

This option concerns Third-party foundation model procurement assurance, which is a related but different AI governance concern. In this case: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

Question 142

A risk-based audit engagement examines this operating condition: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Policy awareness is effective only when personnel understand and apply controls in actual AI workflows.
  2. Model suitability depends on performance, explainability and consequences of errors; a marginal metric gain does not remove oversight obligations.
  3. Use a single minimal checklist for all AI systems regardless of severity or customer effect.
  4. Risk-based governance calibrates scrutiny to potential consequences and does not equate every AI feature.

Explanation

Correct Answer

D:

Independent audit evidence includes: Review classification methodology, autonomy and data sensitivity, impact scoring, approval records and reclassification triggers. In this case: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

Incorrect Answers

A:

This option concerns AI workforce literacy and policy awareness, which is a related but different AI governance concern. In this case: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

B:

This option concerns Explainable credit-model selection for adverse decisions, which is a related but different AI governance concern. It does not establish control effectiveness for Risk-tiering and proportional approval gates.

C:

This attractive shortcut does not resolve the Risk-tiering and proportional approval gates weakness: Use a single minimal checklist for all AI systems regardless of severity or customer effect. For this situation: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

Question 143

An audit committee asks for a defensible assessment of this situation: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Compare approved risk appetite, model-level KRIs, customer impact metrics, exceptions and board action minutes.
  2. Review classification methodology, autonomy and data sensitivity, impact scoring, approval records and reclassification triggers.
  3. Use a single minimal checklist for all AI systems regardless of severity or customer effect.
  4. Inspect SOC reports where relevant, model cards, contracts, retention terms, subprocessor lists, SLAs and exit tests.

Explanation

Correct Answer

B:

This evidence directly tests the asserted control for Risk-tiering and proportional approval gates: Review classification methodology, autonomy and data sensitivity, impact scoring, approval records and reclassification triggers.

Incorrect Answers

A:

This option concerns Board reporting of AI risk appetite and outcomes, which is a related but different AI governance concern. It does not establish control effectiveness for Risk-tiering and proportional approval gates.

C:

For this situation: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

D:

This option concerns Third-party foundation model procurement assurance, which is a related but different AI governance concern. For this situation: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

Question 144

During an AI controls assessment, the team learns that a telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. The supplier's controls and obligations meet use-case requirements with tested contingency and monitoring.
  2. Material AI uses are inventoried, risk-tiered and linked to approved business/data owners before production use.
  3. Use a single minimal checklist for all AI systems regardless of severity or customer effect.
  4. High-impact systems receive enhanced validation while low-risk uses still meet baseline safeguards.

Explanation

Correct Answer

D:

This is an observable validation result for Risk-tiering and proportional approval gates, not just management assurance: High-impact systems receive enhanced validation while low-risk uses still meet baseline safeguards.

Incorrect Answers

A:

This option concerns Third-party foundation model procurement assurance, which is a related but different AI governance concern. The audit must corroborate: Review classification methodology, autonomy and data sensitivity, impact scoring, approval records and reclassification triggers.

B:

This option concerns Enterprise AI inventory and shadow-AI discovery, which is a related but different AI governance concern. In this case: A telecom uses one generic risk questionnaire for AI agents with payment permissions and for simple report sorting.

C:

The auditor should instead examine: Review classification methodology, autonomy and data sensitivity, impact scoring, approval records and reclassification triggers.

Question 145

An independent AI auditor reviews this case: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Assign decision rights and responsibilities for design, operation, risk acceptance, independent challenge and remediation.
  2. Assess vendor control evidence, data handling, change notification, subcontractors, portability and remedies before acceptance.
  3. Deliver role-specific AI awareness, secure-use guidance and tested escalation exercises matched to real work.
  4. Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls.

Explanation

Correct Answer

B:

The reason it is necessary is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions. Independent audit evidence includes: Inspect SOC reports where relevant, model cards, contracts, retention terms, subprocessor lists, SLAs and exit tests.

Incorrect Answers

A:

This option concerns Accountable ownership and three-lines roles, which is a related but different AI governance concern. It does not establish control effectiveness for Third-party foundation model procurement assurance.

C:

This option concerns AI workforce literacy and policy awareness, which is a related but different AI governance concern. It does not establish control effectiveness for Third-party foundation model procurement assurance.

D:

This attractive shortcut does not resolve the Third-party foundation model procurement assurance weakness: Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls.

Question 146

A governance and assurance review uncovers the following: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Policy awareness is effective only when personnel understand and apply controls in actual AI workflows.
  2. Governance exceptions are controlled risk decisions rather than silent removal of mandated requirements.
  3. Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls.
  4. Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions.

Explanation

Correct Answer

D:

Independent audit evidence includes: Inspect SOC reports where relevant, model cards, contracts, retention terms, subprocessor lists, SLAs and exit tests. This is the applicable AI audit principle for Third-party foundation model procurement assurance: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions.

Incorrect Answers

A:

This option concerns AI workforce literacy and policy awareness, which is a related but different AI governance concern. For this situation: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors.

B:

This option concerns AI policy exception governance, which is a related but different AI governance concern. It does not establish control effectiveness for Third-party foundation model procurement assurance.

C:

This attractive shortcut does not resolve the Third-party foundation model procurement assurance weakness: Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls. For this situation: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors.

Question 147

A risk-based audit engagement examines this operating condition: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls.
  2. Review RACI, committee charters, risk decisions, escalation records, owner acceptance and audit independence.
  3. Compare feature necessity, identifiability, model utility, transformation design and data retention.
  4. Inspect SOC reports where relevant, model cards, contracts, retention terms, subprocessor lists, SLAs and exit tests.

Explanation

Correct Answer

D:

The reason it is necessary is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions. This evidence directly tests the asserted control for Third-party foundation model procurement assurance: Inspect SOC reports where relevant, model cards, contracts, retention terms, subprocessor lists, SLAs and exit tests.

Incorrect Answers

A:

This attractive shortcut does not resolve the Third-party foundation model procurement assurance weakness: Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls. The auditor should instead examine: Inspect SOC reports where relevant, model cards, contracts, retention terms, subprocessor lists, SLAs and exit tests.

B:

This option concerns Accountable ownership and three-lines roles, which is a related but different AI governance concern. For this situation: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors.

C:

This option concerns Privacy by design for model features, which is a related but different AI governance concern. It does not establish control effectiveness for Third-party foundation model procurement assurance.

Question 148

An audit committee asks for a defensible assessment of this situation: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Validated reduced-data features meet model purpose without exposing unnecessary identities or content.
  2. High-impact systems receive enhanced validation while low-risk uses still meet baseline safeguards.
  3. Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls.
  4. The supplier's controls and obligations meet use-case requirements with tested contingency and monitoring.

Explanation

Correct Answer

D:

The reason it is necessary is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions. This is an observable validation result for Third-party foundation model procurement assurance, not just management assurance: The supplier's controls and obligations meet use-case requirements with tested contingency and monitoring.

Incorrect Answers

A:

This option concerns Privacy by design for model features, which is a related but different AI governance concern. For this situation: A procurement team buys a hosted model API without contractual audit rights or clarity on prompt retention and subcontractors.

B:

This option concerns Risk-tiering and proportional approval gates, which is a related but different AI governance concern. It does not establish control effectiveness for Third-party foundation model procurement assurance.

C:

This attractive shortcut does not resolve the Third-party foundation model procurement assurance weakness: Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls. Effective closure requires: The supplier's controls and obligations meet use-case requirements with tested contingency and monitoring.

Question 149

During an AI controls assessment, the team learns that a hospital embeds a vendor foundation model but has no access to update notices or independent security assessments. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Assess vendor control evidence, data handling, change notification, subcontractors, portability and remedies before acceptance.
  2. Require time-bound exception approvals, explicit risk ownership, compensating measures and periodic review.
  3. Test whether less identifying features or on-premises transformations satisfy the business purpose.
  4. Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls.

Explanation

Correct Answer

A:

The reason it is necessary is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions. In this case: A hospital embeds a vendor foundation model but has no access to update notices or independent security assessments.

Incorrect Answers

B:

This option concerns AI policy exception governance, which is a related but different AI governance concern. The decisive principle here is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions.

C:

This option concerns Privacy by design for model features, which is a related but different AI governance concern. The decisive principle here is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions.

D:

This attractive shortcut does not resolve the Third-party foundation model procurement assurance weakness: Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls. In this case: A hospital embeds a vendor foundation model but has no access to update notices or independent security assessments.

Question 150

An independent AI auditor reviews this case: A hospital embeds a vendor foundation model but has no access to update notices or independent security assessments. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Review classification methodology, autonomy and data sensitivity, impact scoring, approval records and reclassification triggers.
  2. Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls.
  3. Require time-bound exception approvals, explicit risk ownership, compensating measures and periodic review.
  4. Inspect SOC reports where relevant, model cards, contracts, retention terms, subprocessor lists, SLAs and exit tests.
  5. Assess vendor control evidence, data handling, change notification, subcontractors, portability and remedies before acceptance.

Explanation

Correct Answers

D:

The reason it is necessary is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions. The corrective action is: Assess vendor control evidence, data handling, change notification, subcontractors, portability and remedies before acceptance.

E:

The reason it is necessary is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions. For this situation: A hospital embeds a vendor foundation model but has no access to update notices or independent security assessments.

Incorrect Answers

A:

This option concerns Risk-tiering and proportional approval gates, which is a related but different AI governance concern. The decisive principle here is: Third-party AI outsourcing transfers processing, not the organization's accountability for data and decisions.

B:

This attractive shortcut does not resolve the Third-party foundation model procurement assurance weakness: Accept a vendor's generic responsible-AI brochure as complete proof of operational, privacy and audit controls. For this situation: A hospital embeds a vendor foundation model but has no access to update notices or independent security assessments.

C:

This option concerns AI policy exception governance, which is a related but different AI governance concern. For this situation: A hospital embeds a vendor foundation model but has no access to update notices or independent security assessments.

ISACA Advanced in AI Audit (AAIA) Practice Tests