ISACA Advanced in AI Audit - AAIA Exam Practice Test

Question 1

Which of the following is the BEST way to ensure an AI model's outputs are effectively controlled for bias?

A. Model training is restricted to data containing real-world human decisions.

B. Accuracy ranges for various demographic groups are similar.

C. The organization's AI policies include a clear definition of fairness.

D. Technical details of model development processes are transparent.

Correct Answer: B

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Question 2

An IS auditor notes that the combined number of records in the training, validation, and testing sets exceeds the total number of records in the original data set. What is the GREATEST risk?

A. Data leakage occurred from overlapping records.

B. The validation dataset is larger than the training set.

C. The datasets were created in the incorrect order.

D. A sufficient number of records were not used in training.

Correct Answer: A

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Question 3

Which of the following presents the MOST significant barrier to generative AI model explainability?

A. Rapid evolution of algorithm capabilities

B. Lack of alignment between stakeholder groups

C. Insufficient staff experience with generative AI tools

D. Bias within data sets used for model training

Correct Answer: A

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Question 4

Which of the following is the MOST important consideration when auditing an organization's process for decommissioning an AI model?

A. Ensuring the development team receives a performance bonus

B. Ensuring the model is replaced with a more expensive alternative

C. Ensuring all related data, access, and dependencies are properly retired, and that historical records are retained per policy for accountability

D. Ensuring the model's code repository is deleted immediately

Correct Answer: C

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Question 5

A company deploys a third-party AI vendor's model without visibility into its training data or architecture. What is the PRIMARY audit concern?

A. Vendor lock-in

B. Higher licensing costs

C. Slower inference speed

D. Lack of transparency creating an inability to assess bias, drift, or explainability

Correct Answer: D

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Question 6

The BEST way to prevent sensitive information disclosure by large language model (LLM) chatbots is through:

A. Manual monitoring

B. Access controls

C. Data sanitization

D. Data masking

Correct Answer: D

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Question 7

During a pre-implementation risk assessment, an AI model is determined to present a significant risk of bias and potential harm in excess of the organization's risk tolerance. Which of the following is the MOST appropriate response?

A. Obtain board approval for an exception.

B. Postpone deployment until the risk can be safely managed.

C. Revisit the risk tolerance to ensure it is appropriate.

D. Enhance the data that the model is trained on.

Correct Answer: B

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Question 8

A bank's fraud detection model achieves high accuracy on its initial dataset but performs poorly in production. The data science team needs to tune hyperparameters and select the best model architecture. Which dataset is BEST to use for this selection process?

A. Training dataset

B. Holdout dataset

C. Validation dataset

D. Testing dataset

Correct Answer: C

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Question 9

Which of the following BEST describes the auditor's role when reviewing an organization's AI governance maturity?

A. Managing the organization's data science team

B. Approving all new AI projects before development begins

C. Building the AI models being audited

D. Independently assessing whether governance structures, policies, and controls are designed and operating effectively across the AI lifecycle

Correct Answer: D

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Question 10

In order to streamline operations, a bank has deployed an AI application to automatically detect and prevent further fraud on accounts. However, customers have voiced concerns that their usual transactions are being rejected. Which of the following is the MOST likely cause of the false positives?

A. Consent is not properly managed.

B. Compute scale training was not performed.

C. Data versioning controls were not developed.

D. The hyperparameters are not optimized.

Correct Answer: D

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ISACA Advanced in AI Audit - AAIA Exam Practice Test

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