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Isaca AAIA Practice Test 95

Question 940

An independent AI auditor reviews this case: A risky model update is rolled back but public customer guidance still cites invalid automated decisions made earlier. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Separate development, test and production roles with controlled promotion, scoped credentials and audit trails.
  2. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  3. Coordinate technical recovery with affected stakeholder review, corrective communication and validated post-incident controls.
  4. Inspect request counts, context sizes, token or compute cost, caller attribution and saturation events.
  5. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.

Explanation

Correct Answers

C:

The reason it is necessary is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed. For this situation: A risky model update is rolled back but public customer guidance still cites invalid automated decisions made earlier.

E:

The reason it is necessary is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed. The corrective action is: Coordinate technical recovery with affected stakeholder review, corrective communication and validated post-incident controls.

Incorrect Answers

A:

This option concerns AI data and model CI/CD separation, which is a related but different AI governance concern. For this situation: A risky model update is rolled back but public customer guidance still cites invalid automated decisions made earlier.

B:

This attractive shortcut does not resolve the AI model rollback and stakeholder communication weakness: Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved. Effective closure requires: Affected decisions are reviewed, relevant stakeholders notified and preventive controls verified.

D:

This option concerns AI availability and unbounded consumption incident, which is a related but different AI governance concern. For this situation: A risky model update is rolled back but public customer guidance still cites invalid automated decisions made earlier.

Question 941

A governance and assurance review uncovers the following: A compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  2. Separate development, test and production roles with controlled promotion, scoped credentials and audit trails.
  3. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.
  4. Coordinate technical recovery with affected stakeholder review, corrective communication and validated post-incident controls.

Explanation

Correct Answer

D:

The reason it is necessary is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed. Independent audit evidence includes: Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.

Incorrect Answers

A:

This attractive shortcut does not resolve the AI model rollback and stakeholder communication weakness: Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved. In this case: A compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression.

B:

This option concerns AI data and model CI/CD separation, which is a related but different AI governance concern. The decisive principle here is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

C:

This option concerns AI privacy incident preservation and escalation, which is a related but different AI governance concern. The decisive principle here is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

Question 942

A risk-based audit engagement examines this operating condition: A compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. AI delivery involves models, data and code, so conventional app deployment approval alone may not cover behavior changes.
  2. An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.
  3. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  4. AI privacy incidents require ordinary breach governance plus model, retrieval and prompt-specific evidence.

Explanation

Correct Answer

B:

Independent audit evidence includes: Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners. The corrective action is: Coordinate technical recovery with affected stakeholder review, corrective communication and validated post-incident controls.

Incorrect Answers

A:

This option concerns AI data and model CI/CD separation, which is a related but different AI governance concern. For this situation: A compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression.

C:

This attractive shortcut does not resolve the AI model rollback and stakeholder communication weakness: Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved. For this situation: A compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression.

D:

This option concerns AI privacy incident preservation and escalation, which is a related but different AI governance concern. For this situation: A compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression.

Question 943

An audit committee asks for a defensible assessment of this situation: A compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.
  2. Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability.
  3. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  4. Inspect canary assignment, segment KPIs, error thresholds, baseline model artifacts and rollback drill.

Explanation

Correct Answer

A:

The reason it is necessary is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed. The acceptable verified outcome is: Affected decisions are reviewed, relevant stakeholders notified and preventive controls verified.

Incorrect Answers

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 model rollback and stakeholder communication.

C:

This attractive shortcut does not resolve the AI model rollback and stakeholder communication weakness: Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved. Coordinate technical recovery with affected stakeholder review, corrective communication and validated post-incident controls.

D:

This option concerns Canary releases and model rollback thresholds, which is a related but different AI governance concern. The decisive principle here is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

Question 944

During an AI controls assessment, the team learns that a compromised retrieval assistant resumes service after a hotfix with no post-incident red-team regression. 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. Harmful advice is contained, affected users receive appropriate remediation and outputs pass regression tests.
  4. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.

Explanation

Correct Answer

B:

The reason it is necessary is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed. This is an observable validation result for AI model rollback and stakeholder communication, not just management assurance: Affected decisions are reviewed, relevant stakeholders notified and preventive controls verified.

Incorrect Answers

A:

This option concerns Model poisoning incident response and rollback, which is a related but different AI governance concern. The decisive principle here is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

C:

This option concerns Response to harmful AI-generated advice, which is a related but different AI governance concern. The decisive principle here is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

D:

It misses the key control principle: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

Question 945

An independent AI auditor reviews this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected. 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. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  4. Contain disclosure, preserve evidence safely, scope affected data and follow jurisdiction-specific notification assessment.

Explanation

Correct Answer

B:

The reason it is necessary is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed. In this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

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: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

C:

This attractive shortcut does not resolve the AI model rollback and stakeholder communication weakness: Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved. In this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

D:

This option concerns AI privacy incident preservation and escalation, which is a related but different AI governance concern. In this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

Question 946

A governance and assurance review uncovers the following: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  2. Availability and financial loss from AI resource abuse require controls beyond traditional request success checks.
  3. An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.
  4. AI delivery involves models, data and code, so conventional app deployment approval alone may not cover behavior changes.

Explanation

Correct Answer

C:

Independent audit evidence includes: Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners. In this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

Incorrect Answers

A:

This attractive shortcut does not resolve the AI model rollback and stakeholder communication weakness: Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved. For this situation: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

B:

This option concerns AI availability and unbounded consumption incident, which is a related but different AI governance concern. The decisive principle here is: An AI incident ends only after decision impacts, service restoration and recurrence risk are addressed.

D:

This option concerns AI data and model CI/CD separation, which is a related but different AI governance concern. In this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

Question 947

A risk-based audit engagement examines this operating condition: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  2. Inspect tool invocation audit, actor scopes, approval checks, external transaction state and rollback capability.
  3. Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.
  4. Inspect dataset snapshots, feature pipeline commits, record counts, model registry links and training execution manifests.

Explanation

Correct Answer

C:

In this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

Incorrect Answers

A:

For this situation: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

B:

This option concerns AI agent unauthorized action incident, which is a related but different AI governance concern. For this situation: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

D:

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 model rollback and stakeholder communication.

Question 948

An audit committee asks for a defensible assessment of this situation: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Affected decisions are reviewed, relevant stakeholders notified and preventive controls verified.
  2. Declare incident closure when the model endpoint is healthy even if earlier wrong actions remain unresolved.
  3. Legitimate workloads recover within approved service and spend limits, with abusive bursts denied.
  4. Validated clean versions restore approved behavior and compromised data cannot silently retrain new releases.

Explanation

Correct Answer

A:

This is an observable validation result for AI model rollback and stakeholder communication, not just management assurance: Affected decisions are reviewed, relevant stakeholders notified and preventive controls verified.

Incorrect Answers

B:

The auditor should instead examine: Inspect impact inventory, rollback record, retesting, business communications and lessons-learned owners.

C:

This option concerns AI availability and unbounded consumption incident, which is a related but different AI governance concern. For this situation: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

D:

This option concerns Model poisoning incident response and rollback, which is a related but different AI governance concern. In this case: A fraud engine is stopped after false payment blocks while business owners never receive a record of customers affected.

Question 949

During an AI controls assessment, the team learns that an annual AI audit plan reviews only internally built models and excludes third-party embedded systems used for loan decisions. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  2. Define objective risk-based audit criteria from approved organizational policies, relevant standards and applicable law.
  3. Use approved AI tools for planning with data safeguards, transparent criteria, independent review and reproducible output.
  4. Audit only applications with AI in their product title and assume vendor features are out of scope.

Explanation

Correct Answer

A:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. Independent audit evidence includes: Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.

Incorrect Answers

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 Risk-based AI audit universe and scope.

C:

This option concerns Using AI during audit engagement planning, which is a related but different AI governance concern. It does not establish control effectiveness for Risk-based AI audit universe and scope.

D:

This attractive shortcut does not resolve the Risk-based AI audit universe and scope weakness: Audit only applications with AI in their product title and assume vendor features are out of scope.

Question 950

An independent AI auditor reviews this case: An annual AI audit plan reviews only internally built models and excludes third-party embedded systems used for loan decisions. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Plan third-party evidence access, complementary user controls, limitation statements and risk-based alternative procedures.
  2. Inspect approved tool use, input sensitivity, model version, generated risk ranking and reviewer corrections.
  3. Audit only applications with AI in their product title and assume vendor features are out of scope.
  4. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  5. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.

Explanation

Correct Answers

D:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. For this situation: An annual AI audit plan reviews only internally built models and excludes third-party embedded systems used for loan decisions.

E:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. This evidence directly tests the asserted control for Risk-based AI audit universe and scope: Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.

Incorrect Answers

A:

This option concerns Third-party AI assurance boundary and audit rights, which is a related but different AI governance concern. It does not establish control effectiveness for Risk-based AI audit universe and scope.

B:

This option concerns Using AI during audit engagement planning, which is a related but different AI governance concern. For this situation: An annual AI audit plan reviews only internally built models and excludes third-party embedded systems used for loan decisions.

C:

This attractive shortcut does not resolve the Risk-based AI audit universe and scope weakness: Audit only applications with AI in their product title and assume vendor features are out of scope. For this situation: An annual AI audit plan reviews only internally built models and excludes third-party embedded systems used for loan decisions.

ISACA Advanced in AI Audit (AAIA) Practice Tests