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Isaca AAIA Practice Test 96

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.

Question 951

A governance and assurance review uncovers the following: An annual AI audit plan reviews only internally built models and excludes third-party embedded systems used for loan decisions. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.
  2. Audit only applications with AI in their product title and assume vendor features are out of scope.
  3. Inspect row counts, independent totals, missing keys, excluded statuses and transformation logs.
  4. Review engagement conflicts, tool ownership, reviewer signoff, challenge evidence and decision trail.

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. The corrective action is: Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.

Incorrect Answers

B:

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. The auditor should instead examine: Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.

C:

This option concerns Audit data completeness and reconciliation, 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 option concerns Auditor independence with AI-enabled workpapers, which is a related but different AI governance concern. It does not establish control effectiveness for Risk-based AI audit universe and scope.

Question 952

A risk-based audit engagement examines this operating condition: An annual AI audit plan reviews only internally built models and excludes third-party embedded systems used for loan decisions. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. Audit only applications with AI in their product title and assume vendor features are out of scope.
  2. An accountable auditor validates the final scope and retains evidence for AI-generated suggestions.
  3. The audit reaches a defensible scoped conclusion or clearly reports evidence restrictions and residual risk.
  4. The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.

Explanation

Correct Answer

D:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. This is an observable validation result for Risk-based AI audit universe and scope, not just management assurance: The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.

Incorrect Answers

A:

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. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.

B:

This option concerns Using AI during audit engagement planning, which is a related but different AI governance concern. The decisive principle here is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

C:

This option concerns Third-party AI assurance boundary and audit rights, 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.

Question 953

An audit committee asks for a defensible assessment of this situation: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Audit only applications with AI in their product title and assume vendor features are out of scope.
  2. Reconcile source populations, failed records, joins and transformations before interpreting AI audit analytics.
  3. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  4. Use approved AI tools for planning with data safeguards, transparent criteria, independent review and reproducible output.

Explanation

Correct Answer

C:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. The acceptable verified outcome is: The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.

Incorrect Answers

A:

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. In this case: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority.

B:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. The decisive principle here is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

D:

This option concerns Using AI during audit engagement planning, which is a related but different AI governance concern. In this case: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority.

Question 954

During an AI controls assessment, the team learns that an auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Findings must be based on traceable and testable criteria rather than a reviewer's undefined preference.
  2. Audit only applications with AI in their product title and assume vendor features are out of scope.
  3. AI controls can be effective in one period but fail after model, data or environmental changes.
  4. Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

Explanation

Correct Answer

D:

Independent audit evidence includes: Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan. The corrective action is: Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.

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: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

B:

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 auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority.

C:

This option concerns Time-based audit testing for drifting AI systems, which is a related but different AI governance concern. It does not establish control effectiveness for Risk-based AI audit universe and scope.

Question 955

An independent AI auditor reviews this case: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Audit only applications with AI in their product title and assume vendor features are out of scope.
  2. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.
  3. Inspect query code, data hashes, metric definitions, source versions, filters and rerun evidence.
  4. Inspect audit program, control objectives, regulatory applicability, measurements and management agreement on criteria.

Explanation

Correct Answer

B:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. In this case: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority.

Incorrect Answers

A:

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. Effective closure requires: The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.

C:

This option concerns Reproducible audit data transformations, 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 option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. For this situation: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority.

Question 956

A governance and assurance review uncovers the following: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority. After management addresses the issue, which result MOST convincingly demonstrates effective remediation? Select ONE best answer.

  1. The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.
  2. Audit only applications with AI in their product title and assume vendor features are out of scope.
  3. Workpapers map each issue to an explicit criterion, condition, cause, consequence and evidence.
  4. An accountable auditor validates the final scope and retains evidence for AI-generated suggestions.

Explanation

Correct Answer

A:

This is an observable validation result for Risk-based AI audit universe and scope, not just management assurance: The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.

Incorrect Answers

B:

For this situation: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority.

C:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. The audit must corroborate: Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.

D:

This option concerns Using AI during audit engagement planning, which is a related but different AI governance concern. For this situation: An auditor scopes a consumer chatbot for uptime while omitting privacy, bias and delegated transaction authority.

Question 957

A risk-based audit engagement examines this operating condition: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review. What is the MOST appropriate risk-based audit recommendation that addresses the root control weakness? Select ONE best answer.

  1. Plan third-party evidence access, complementary user controls, limitation statements and risk-based alternative procedures.
  2. Use approved AI tools for planning with data safeguards, transparent criteria, independent review and reproducible output.
  3. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  4. Audit only applications with AI in their product title and assume vendor features are out of scope.

Explanation

Correct Answer

C:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. In this case: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

Incorrect Answers

A:

This option concerns Third-party AI assurance boundary and audit rights, which is a related but different AI governance concern. The decisive principle here is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

B:

This option concerns Using AI during audit engagement planning, which is a related but different AI governance concern. In this case: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

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. In this case: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

Question 958

An audit committee asks for a defensible assessment of this situation: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review. Which principle BEST explains why the observed practice is a material governance or control concern? Select ONE best answer.

  1. Findings must be based on traceable and testable criteria rather than a reviewer's undefined preference.
  2. Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.
  3. Reliable audit analytics depend on traceable transformations, not merely attractive final charts.
  4. Audit only applications with AI in their product title and assume vendor features are out of scope.

Explanation

Correct Answer

B:

Independent audit evidence includes: Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan. The acceptable verified outcome is: The plan covers material high-risk deployments and states documented scope boundaries and assurance limitations.

Incorrect Answers

A:

This option concerns AI audit criteria and control objectives, which is a related but different AI governance concern. In this case: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

C:

This option concerns Reproducible audit data transformations, which is a related but different AI governance concern. The decisive principle here is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

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. For this situation: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

Question 959

During an AI controls assessment, the team learns that an internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review. What evidence should the auditor examine FIRST to substantiate or challenge the control owner’s claim? Select ONE best answer.

  1. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.
  2. Inspect service organization reports, contract rights, complementary controls, model monitoring and exception records.
  3. Audit only applications with AI in their product title and assume vendor features are out of scope.
  4. Inspect row counts, independent totals, missing keys, excluded statuses and transformation logs.

Explanation

Correct Answer

A:

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

B:

This option concerns Third-party AI assurance boundary and audit rights, which is a related but different AI governance concern. For this situation: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

C:

For this situation: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

D:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. In this case: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

Question 960

An independent AI auditor reviews this case: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review. Which TWO complementary elements should the auditor seek: an effective corrective control and the most probative independent evidence? Select TWO answers.

  1. Reconcile AI inventory, data flows, business ownership, complaints, material incidents and risk appetite to audit plan.
  2. Audit only applications with AI in their product title and assume vendor features are out of scope.
  3. Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.
  4. Inspect approved tool use, input sensitivity, model version, generated risk ranking and reviewer corrections.
  5. Reconcile source populations, failed records, joins and transformations before interpreting AI audit analytics.

Explanation

Correct Answers

A:

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 internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

C:

The reason it is necessary is: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries. This response fits the risk associated with Risk-based AI audit universe and scope: Define the AI audit universe and scope using use-case impact, third parties, control reliance and key risk scenarios.

Incorrect Answers

B:

It misses the key control principle: Audit scope must follow enterprise AI exposure, not only visible software projects or infrastructure boundaries.

D:

This option concerns Using AI during audit engagement planning, which is a related but different AI governance concern. For this situation: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

E:

This option concerns Audit data completeness and reconciliation, which is a related but different AI governance concern. For this situation: An internal audit team audits a low-risk autocomplete project but overlooks a live medical triage model without independent review.

ISACA Advanced in AI Audit (AAIA) Practice Tests