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Isaca AAIA Practice Test 93

Question 920

An independent AI auditor reviews this case: A support agent executes a privileged directory action requested by malicious retrieved instructions. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Contain runaway usage with quotas, timeout and backpressure, investigate access and validate recovery.
  2. Disable or restrict affected tools, preserve transaction records and verify downstream changes before re-enabling.
  3. Update the prompt wording only and ignore payments or infrastructure changes the agent already executed.
  4. Review access traces, affected documents, tenant identity, logs, containment steps and privacy leadership decisions.
  5. Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability.

Explanation

Correct Answers

B:

The reason it is necessary is: Agentic incidents involve real external actions; merely correcting generated text may not undo the harm. This response fits the risk associated with AI agent unauthorized action incident: Disable or restrict affected tools, preserve transaction records and verify downstream changes before re-enabling.

E:

The reason it is necessary is: Agentic incidents involve real external actions; merely correcting generated text may not undo the harm. The acceptable verified outcome is: Unauthorized changes are reversed or contained and renewed tool access passes adversarial gate tests.

Incorrect Answers

A:

This option concerns AI availability and unbounded consumption incident, which is a related but different AI governance concern. For this situation: A support agent executes a privileged directory action requested by malicious retrieved instructions.

C:

The auditor should instead examine: Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability.

D:

This option concerns AI privacy incident preservation and escalation, which is a related but different AI governance concern. The decisive principle here is: Agentic incidents involve real external actions; merely correcting generated text may not undo the harm.

Question 921

A governance and assurance review uncovers the following: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Update the prompt wording only and ignore payments or infrastructure changes the agent already executed.
  2. Version and trace training, validation and inference datasets with accountable lineage, hashes and reproducible pipeline metadata.
  3. Disable or restrict affected tools, preserve transaction records and verify downstream changes before re-enabling.
  4. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

Explanation

Correct Answer

C:

The reason it is necessary is: Agentic incidents involve real external actions; merely correcting generated text may not undo the harm. In this case: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

Incorrect Answers

A:

This attractive shortcut does not resolve the AI agent unauthorized action incident weakness: Update the prompt wording only and ignore payments or infrastructure changes the agent already executed. In this case: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

B:

This option concerns AI training dataset lineage and reproducibility, which is a related but different AI governance concern. In this case: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

D:

This option concerns AI privacy incident preservation and escalation, which is a related but different AI governance concern. In this case: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

Question 922

A risk-based audit engagement examines this operating condition: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert. 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. Autonomous action risk is driven by actual tool permissions and decision gates, not chatbot prompt wording alone.
  3. Agentic incidents involve real external actions; merely correcting generated text may not undo the harm.
  4. Update the prompt wording only and ignore payments or infrastructure changes the agent already executed.

Explanation

Correct Answer

C:

Independent audit evidence includes: Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability. The acceptable verified outcome is: Unauthorized changes are reversed or contained and renewed tool access passes adversarial gate tests.

Incorrect Answers

A:

This option concerns AI training dataset lineage and reproducibility, which is a related but different AI governance concern. For this situation: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

B:

This option concerns Autonomous agent action-limit supervision, which is a related but different AI governance concern. The decisive principle here is: Agentic incidents involve real external actions; merely correcting generated text may not undo the harm.

D:

This attractive shortcut does not resolve the AI agent unauthorized action incident weakness: Update the prompt wording only and ignore payments or infrastructure changes the agent already executed. For this situation: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

Question 923

An audit committee asks for a defensible assessment of this situation: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability.
  2. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.
  3. Update the prompt wording only and ignore payments or infrastructure changes the agent already executed.
  4. Review label guidelines, inter-rater reliability, adjudication logs, sampled errors and retraining effects.

Explanation

Correct Answer

A:

This evidence directly tests the asserted control for AI agent unauthorized action incident: Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability.

Incorrect Answers

B:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. In this case: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

C:

For this situation: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

D:

This option concerns Label quality and human annotator agreement, which is a related but different AI governance concern. It does not establish control effectiveness for AI agent unauthorized action incident.

Question 924

During an AI controls assessment, the team learns that an automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert. 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. Unauthorized changes are reversed or contained and renewed tool access passes adversarial gate tests.
  3. Update the prompt wording only and ignore payments or infrastructure changes the agent already executed.
  4. Scope and notifications are accurate, exposure is blocked and controls are retested before reopening.

Explanation

Correct Answer

B:

This is an observable validation result for AI agent unauthorized action incident, not just management assurance: Unauthorized changes are reversed or contained and renewed tool access passes adversarial gate tests.

Incorrect Answers

A:

This option concerns Response to harmful AI-generated advice, which is a related but different AI governance concern. In this case: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

C:

Disable or restrict affected tools, preserve transaction records and verify downstream changes before re-enabling.

D:

This option concerns AI privacy incident preservation and escalation, which is a related but different AI governance concern. For this situation: An automated cloud remediation bot changes firewall policies after a hallucinated monitoring alert.

Question 925

An independent AI auditor reviews this case: A publicly accessible LLM chatbot consumes its monthly budget within hours after automated long-context queries. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Disable or restrict affected tools, preserve transaction records and verify downstream changes before re-enabling.
  2. Coordinate technical recovery with affected stakeholder review, corrective communication and validated post-incident controls.
  3. Contain runaway usage with quotas, timeout and backpressure, investigate access and validate recovery.
  4. Increase the global model budget without addressing abusive requests or recursive agent loops.

Explanation

Correct Answer

C:

The reason it is necessary is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks. The acceptable verified outcome is: Legitimate workloads recover within approved service and spend limits, with abusive bursts denied.

Incorrect Answers

A:

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 availability and unbounded consumption incident.

B:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. It does not establish control effectiveness for AI availability and unbounded consumption incident.

D:

This attractive shortcut does not resolve the AI availability and unbounded consumption incident weakness: Increase the global model budget without addressing abusive requests or recursive agent loops.

Question 926

A governance and assurance review uncovers the following: A publicly accessible LLM chatbot consumes its monthly budget within hours after automated long-context queries. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Increase the global model budget without addressing abusive requests or recursive agent loops.
  2. Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.
  3. AI incidents can harm through decisions and communication even when infrastructure is available.
  4. Garbage or inconsistent ground-truth labels cap model validity even if the learning algorithm is sophisticated.

Explanation

Correct Answer

B:

The acceptable verified outcome is: Legitimate workloads recover within approved service and spend limits, with abusive bursts denied. Independent audit evidence includes: Inspect request counts, context sizes, token or compute cost, caller attribution and saturation events.

Incorrect Answers

A:

This attractive shortcut does not resolve the AI availability and unbounded consumption incident weakness: Increase the global model budget without addressing abusive requests or recursive agent loops. For this situation: A publicly accessible LLM chatbot consumes its monthly budget within hours after automated long-context queries.

C:

This option concerns Response to harmful AI-generated advice, which is a related but different AI governance concern. It does not establish control effectiveness for AI availability and unbounded consumption incident.

D:

This option concerns Label quality and human annotator agreement, which is a related but different AI governance concern. It does not establish control effectiveness for AI availability and unbounded consumption incident.

Question 927

A risk-based audit engagement examines this operating condition: A publicly accessible LLM chatbot consumes its monthly budget within hours after automated long-context queries. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect dataset snapshots, feature pipeline commits, record counts, model registry links and training execution manifests.
  2. Increase the global model budget without addressing abusive requests or recursive agent loops.
  3. Inspect request counts, context sizes, token or compute cost, caller attribution and saturation events.
  4. Inspect ingestion bursts, source identities, dataset hashes, registry links and clean restore evidence.

Explanation

Correct Answer

C:

The reason it is necessary is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks. This evidence directly tests the asserted control for AI availability and unbounded consumption incident: Inspect request counts, context sizes, token or compute cost, caller attribution and saturation events.

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 availability and unbounded consumption incident.

B:

This attractive shortcut does not resolve the AI availability and unbounded consumption incident weakness: Increase the global model budget without addressing abusive requests or recursive agent loops. The auditor should instead examine: Inspect request counts, context sizes, token or compute cost, caller attribution and saturation events.

D:

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 availability and unbounded consumption incident.

Question 928

An audit committee asks for a defensible assessment of this situation: A publicly accessible LLM chatbot consumes its monthly budget within hours after automated long-context queries. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Legitimate workloads recover within approved service and spend limits, with abusive bursts denied.
  2. Affected decisions are reviewed, relevant stakeholders notified and preventive controls verified.
  3. Increase the global model budget without addressing abusive requests or recursive agent loops.
  4. An independent rerun can identify the exact source data and material transformation decisions for a sampled model version.

Explanation

Correct Answer

A:

The reason it is necessary is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks. This is an observable validation result for AI availability and unbounded consumption incident, not just management assurance: Legitimate workloads recover within approved service and spend limits, with abusive bursts denied.

Incorrect Answers

B:

This option concerns AI model rollback and stakeholder communication, which is a related but different AI governance concern. The decisive principle here is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.

C:

This attractive shortcut does not resolve the AI availability and unbounded consumption incident weakness: Increase the global model budget without addressing abusive requests or recursive agent loops. Effective closure requires: Legitimate workloads recover within approved service and spend limits, with abusive bursts denied.

D:

This option concerns AI training dataset lineage and reproducibility, which is a related but different AI governance concern. The decisive principle here is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.

Question 929

During an AI controls assessment, the team learns that a model inference service crashes repeatedly because an agent loops through its own tool calls without budget limits. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Disable or restrict affected tools, preserve transaction records and verify downstream changes before re-enabling.
  2. Contain runaway usage with quotas, timeout and backpressure, investigate access and validate recovery.
  3. Activate an AI-specific incident plan to constrain outputs, preserve evidence, notify responsible owners and restore validated service.
  4. Increase the global model budget without addressing abusive requests or recursive agent loops.

Explanation

Correct Answer

B:

The reason it is necessary is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks. In this case: A model inference service crashes repeatedly because an agent loops through its own tool calls without budget limits.

Incorrect Answers

A:

This option concerns AI agent unauthorized action incident, which is a related but different AI governance concern. The decisive principle here is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.

C:

This option concerns Response to harmful AI-generated advice, which is a related but different AI governance concern. The decisive principle here is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.

D:

This attractive shortcut does not resolve the AI availability and unbounded consumption incident weakness: Increase the global model budget without addressing abusive requests or recursive agent loops. In this case: A model inference service crashes repeatedly because an agent loops through its own tool calls without budget limits.

Question 930

An independent AI auditor reviews this case: A model inference service crashes repeatedly because an agent loops through its own tool calls without budget limits. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Review label guidelines, inter-rater reliability, adjudication logs, sampled errors and retraining effects.
  2. Inspect request counts, context sizes, token or compute cost, caller attribution and saturation events.
  3. Increase the global model budget without addressing abusive requests or recursive agent loops.
  4. Contain runaway usage with quotas, timeout and backpressure, investigate access and validate recovery.
  5. Disable or restrict affected tools, preserve transaction records and verify downstream changes before re-enabling.

Explanation

Correct Answers

B:

The reason it is necessary is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks. The corrective action is: Contain runaway usage with quotas, timeout and backpressure, investigate access and validate recovery.

D:

The reason it is necessary is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks. For this situation: A model inference service crashes repeatedly because an agent loops through its own tool calls without budget limits.

Incorrect Answers

A:

This option concerns Label quality and human annotator agreement, which is a related but different AI governance concern. The decisive principle here is: Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.

C:

This attractive shortcut does not resolve the AI availability and unbounded consumption incident weakness: Increase the global model budget without addressing abusive requests or recursive agent loops. For this situation: A model inference service crashes repeatedly because an agent loops through its own tool calls without budget limits.

E:

This option concerns AI agent unauthorized action incident, which is a related but different AI governance concern. For this situation: A model inference service crashes repeatedly because an agent loops through its own tool calls without budget limits.

ISACA Advanced in AI Audit (AAIA) Practice Tests