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Isaca AAIA Practice Test 90

Question 890

An independent AI auditor reviews this case: A vendor logs reveal patient details exposed through an AI assistant to unrelated authenticated users. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.
  2. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  3. Validate synthetic data for utility, subgroup representation, memorization and plausible disclosure before release.
  4. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.
  5. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.

Explanation

Correct Answers

A:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. This evidence directly tests the asserted control for AI privacy incident preservation and escalation: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

D:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. This response fits the risk associated with AI privacy incident preservation and escalation: Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

Incorrect Answers

B:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. For this situation: A vendor logs reveal patient details exposed through an AI assistant to unrelated authenticated users.

C:

This option concerns Synthetic training data utility and privacy controls, which is a related but different AI governance concern. It does not establish control effectiveness for AI privacy incident preservation and escalation.

E:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. For this situation: A vendor logs reveal patient details exposed through an AI assistant to unrelated authenticated users.

Question 891

A governance and assurance review uncovers the following: A vendor logs reveal patient details exposed through an AI assistant to unrelated authenticated users. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect generation method, similarity and disclosure tests, subgroup distributions and downstream use-case validation.
  2. Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability.
  3. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  4. Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

Explanation

Correct Answer

D:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. For this situation: A vendor logs reveal patient details exposed through an AI assistant to unrelated authenticated users.

Incorrect Answers

A:

This option concerns Synthetic training data utility and privacy controls, which is a related but different AI governance concern. For this situation: A vendor logs reveal patient details exposed through an AI assistant to unrelated authenticated users.

B:

This option concerns AI agent unauthorized action incident, which is a related but different AI governance concern. It does not establish control effectiveness for AI privacy incident preservation and escalation.

C:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. The auditor should instead examine: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

Question 892

A risk-based audit engagement examines this operating condition: A vendor logs reveal patient details exposed through an AI assistant to unrelated authenticated users. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Validated clean versions restore approved behavior and compromised data cannot silently retrain new releases.
  2. Affected decisions are reviewed, relevant stakeholders notified and preventive controls verified.
  3. Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.
  4. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.

Explanation

Correct Answer

C:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. This is an observable validation result for AI privacy incident preservation and escalation, not just management assurance: Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.

Incorrect Answers

A:

This option concerns Model poisoning incident response and rollback, which is a related but different AI governance concern. It does not establish control effectiveness for AI privacy incident preservation and escalation.

B:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. The decisive principle here is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

D:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. Effective closure requires: Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.

Question 893

An audit committee asks for a defensible assessment of this situation: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  2. Quarantine suspicious inputs and models, preserve provenance, revert to validated artifacts and investigate contamination.
  3. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.
  4. Validate synthetic data for utility, subgroup representation, memorization and plausible disclosure before release.

Explanation

Correct Answer

C:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. Independent audit evidence includes: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

Incorrect Answers

A:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. In this case: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression.

B:

This option concerns Model poisoning incident response and rollback, which is a related but different AI governance concern. The decisive principle here is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

D:

This option concerns Synthetic training data utility and privacy controls, which is a related but different AI governance concern. The decisive principle here is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

Question 894

During an AI controls assessment, the team learns that a customer chatbot returns another client's transaction summary after a retrieval-ACL regression. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. AI outputs cannot be audited reliably when their source records, transformations and model lineage cannot be reconstructed.
  2. An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.
  3. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  4. AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

Explanation

Correct Answer

D:

Independent audit evidence includes: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions. This is the applicable AI audit principle for AI privacy incident preservation and escalation: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

Incorrect Answers

A:

This option concerns AI training dataset lineage and reproducibility, which is a related but different AI governance concern. It does not establish control effectiveness for AI privacy incident preservation and escalation.

B:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. The audit must corroborate: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

C:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. For this situation: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression.

Question 895

An independent AI auditor reviews this case: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.
  2. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.
  3. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  4. Inspect dataset snapshots, feature pipeline commits, record counts, model registry links and training execution manifests.

Explanation

Correct Answer

A:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. The corrective action is: Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

Incorrect Answers

B:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. For this situation: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression.

C:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

D:

This option concerns AI training dataset lineage and reproducibility, which is a related but different AI governance concern. For this situation: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression.

Question 896

A governance and assurance review uncovers the following: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Harmful advice is contained, affected users receive appropriate remediation and outputs pass regression tests.
  2. Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.
  3. An independent rerun can identify the exact source data and material transformation decisions for a sampled model version.
  4. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.

Explanation

Correct Answer

B:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. In this case: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression.

Incorrect Answers

A:

This option concerns Response to harmful AI-generated advice, which is a related but different AI governance concern. The decisive principle here is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

C:

This option concerns AI training dataset lineage and reproducibility, which is a related but different AI governance concern. The decisive principle here is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

D:

For this situation: A customer chatbot returns another client's transaction summary after a retrieval-ACL regression.

Question 897

A risk-based audit engagement examines this operating condition: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.
  2. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  3. Coordinate technical recovery with affected stakeholder review, corrective communication and validated post-incident controls.
  4. Validate synthetic data for utility, subgroup representation, memorization and plausible disclosure before release.

Explanation

Correct Answer

A:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. The acceptable verified outcome is: Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.

Incorrect Answers

B:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. In this case: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

C:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. In this case: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

D:

This option concerns Synthetic training data utility and privacy controls, which is a related but different AI governance concern. The audit must corroborate: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

Question 898

An audit committee asks for a defensible assessment of this situation: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  2. AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.
  3. Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.
  4. Agentic incidents involve real external actions; merely correcting generated text may not undo the harm.

Explanation

Correct Answer

B:

Independent audit evidence includes: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions. The corrective action is: Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

Incorrect Answers

A:

This attractive shortcut does not resolve the AI privacy incident preservation and escalation weakness: Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope. For this situation: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

C:

This option concerns AI availability and unbounded consumption incident, which is a related but different AI governance concern. It does not establish control effectiveness for AI privacy incident preservation and escalation.

D:

This option concerns AI agent unauthorized action incident, which is a related but different AI governance concern. The decisive principle here is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

Question 899

During an AI controls assessment, the team learns that a prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect affected prompts and versions, retrieval health, distribution channels, case severity and containment record.
  2. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.
  3. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  4. Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

Explanation

Correct Answer

D:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. In this case: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

Incorrect Answers

A:

This option concerns Response to harmful AI-generated advice, which is a related but different AI governance concern. The audit must corroborate: Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.

B:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. For this situation: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

C:

For this situation: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

Question 900

An independent AI auditor reviews this case: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace. 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. Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.
  2. Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.
  3. Delete all logs immediately to hide exposed data and mark the incident resolved without determining scope.
  4. Contain runaway usage with quotas, timeout and backpressure, investigate access and validate recovery.
  5. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.
  6. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

Explanation

Correct Answers

A:

The reason it is necessary is: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence. For this situation: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

B:

This is an observable validation result for AI privacy incident preservation and escalation, not just management assurance: Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.

F:

This response fits the risk associated with AI privacy incident preservation and escalation: Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

Incorrect Answers

C:

It misses the key control principle: AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

D:

This option concerns AI availability and unbounded consumption incident, which is a related but different AI governance concern. For this situation: A prompt logging pipeline accidentally sends employee personal identifiers to a public analytics workspace.

E:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. A proportionate response is: Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

ISACA Advanced in AI Audit (AAIA) Practice Tests