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AAIA Questions Prepare with Learning Information
ISACA AAIA Exam Syllabus Topics:
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NEW QUESTION # 30
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. Enhance the data that the model is trained on.
- B. Obtain board approval for an exception.
- C. Postpone deployment until the risk can be safely managed.
- D. Revisit the risk tolerance to ensure it is appropriate.
Answer: C
NEW QUESTION # 31
The PRIMARY objective of auditing AI systems is to:
- A. Minimize algorithm latency and information storage impacts.
- B. Maximize system efficiency and throughput.
- C. Optimize user experience and interface satisfaction.
- D. Identify biases and decision transparency.
Answer: D
NEW QUESTION # 32
Which of the following is the PRIMARY reason IS auditors must be aware that generative AI may return different investment recommendations from the same set of data?
- A. Computational logic is based on probabilities.
- B. Servers are reconfigured periodically.
- C. Neural node access varies each time the process is executed.
- D. Limitations can arise in the quantification of risk profiles.
Answer: A
NEW QUESTION # 33
An IS auditor uses an internally developed generative AI tool to prepare a status update for audit stakeholders. Which of the following is the auditor's MOST appropriate course of action?
- A. Share and review the results with management.
- B. Regenerate the results to ensure similar outputs are provided.
- C. Compare results with a publicly available generative AI tool to ensure outputs are similar.
- D. Assess whether the information provided is complete and accurate.
Answer: D
NEW QUESTION # 34
An IS auditor is evaluating an organization's incident management program to ensure it is sufficiently prepared to manage AI-related incidents. Which of the following is MOST important for the auditor to validate?
- A. The program mandates retraining AI systems after incidents are investigated.
- B. The program includes processes to respond to AI model drift and data integrity attacks.
- C. The program uses past AI-related incidents and resolutions to categorize current incidents.
- D. The program prioritizes incidents based on alignment with industry leading practices.
Answer: B
NEW QUESTION # 35
A digital bank utilizes an AI system to generate credit scores. Which of the following would BEST mitigate the risk of sudden and unexplained changes in a borrower's credit score?
- A. Allowing the AI to operate fully autonomously to prevent processing delays
- B. Obtaining and validating the credit scores from third-party agencies to cross-check AI-generated results
- C. Using only data from the last six months to one year to avoid outdated information affecting the credit score
- D. Ensuring the system is periodically reviewed and calibrated by human experts to maintain stability in predictions
Answer: D
NEW QUESTION # 36
Which of the following correctly summarizes the conclusions of the model card excerpt provided?
Model Card - Electrical Grid Predictive Maintenance Model
Model Information:
Description: AI model designed to predict maintenance needs for electrical grid components, reduce unplanned downtime, and improve grid reliability.
Inputs: Real-time sensor data, historical maintenance records, and operational logs.
Outputs: Maintenance needs predictions for 60 & 90 days.Evaluation:
Approach: Cross-validation and validation of accuracy, precision, and recall.
Results: Accuracy 72%; Precision 60%; Recall 95%; F1 76%
- A. The AI model correctly predicts maintenance needs 95% of the time.
- B. F1 indicates that the model identifies true maintenance needs 76% of the time.
- C. Grid failure is predicted to occur after 90 days.
- D. The electrical grid uptime is expected to be 72% of the time.
Answer: B
NEW QUESTION # 37
An organization uses an AI image generation platform to create promotional materials. An IS auditor identifies that the platform includes copyrighted images in its training dat a. Which of the following is the auditor's BEST recommendation to address this issue?
- A. Use a platform that certifies the provenance and licensing of its training data.
- B. Label all AI-generated images to disclaim the possibility of third-party content.
- C. Implement a manual review process to ensure no copyrighted images are used in generated outputs.
- D. Suspend the use of the platform until the training data is sanitized.
Answer: A
NEW QUESTION # 38
Which of the following is MOST important for an IS auditor to review during an AI system audit in order to determine compliance with intellectual property and data rights?
- A. Data usage agreements
- B. Model runtime efficiency logs
- C. Data performance metrics
- D. Use of open-source intellectual property
Answer: A
NEW QUESTION # 39
An IS auditor reviewing documentation for an AI model notes that the modeler utilized a K-means clustering algorithm, which clusters data into categories for correlations and analysis. Which of the following is the MOST important risk for the auditor to consider?
- A. K-means clustering is not a common data clustering method due to its complexity and difficulty categorizing data correctly.
- B. K-means clustering algorithms are significantly sensitive to outliers and dependent on the similarity of units of measure.
- C. K-means clustering determines the number of clusters for the modeler without supervision.
- D. K-means clustering requires the modeler to supervise the learning analysis, which can introduce bias.
Answer: B
NEW QUESTION # 40
In the context of an AI implementation, which of the following actions is MOST critical for an organization's change management program?
- A. Ensuring the organization has a dedicated AI governance committee
- B. Verifying that all employees have completed mandatory AI ethics training
- C. Conducting a comprehensive risk assessment specific to AI-related changes
- D. Reviewing documentation for AI system changes, updates, and patches
Answer: C
NEW QUESTION # 41
Which of the following is MOST important for an IS auditor to consider when identifying AI risk in a know your customer (KYC) application within a banking organization?
- A. Incident response plan
- B. Intellectual property leakage and invalidation
- C. Business disruption and financial impact
- D. Benchmarking against peer organizations
Answer: C
NEW QUESTION # 42
Which of the following is an IS auditor MOST likely to use in order to ensure an AI model has the ability to make correct predictions?
- A. Latency testing
- B. Group analysis
- C. Confusion matrix
- D. Adversarial testing
Answer: C
NEW QUESTION # 43
An IS auditor is interviewing management about implemented controls around machine learning (ML) models deployed in the production environment. Which of the following schedules for reviewing the performance of a deployed model would be of GREATEST concern to the auditor?
- A. After functionality changes
- B. After changes to hardware and software platforms
- C. One time prior to migrating to production
- D. On an annual recurring basis
Answer: C
NEW QUESTION # 44
From a data appropriateness and bias perspective, which of the following should be of GREATEST concern when reviewing an AI model used in a credit scoring system?
- A. The model incorporates the applicant's loan history to assess spending habits.
- B. The model uses postal codes as a primary factor in determining creditworthiness.
- C. The model utilizes historical credit data to predict future credit behavior.
- D. The model considers the applicant's income level as a key factor in the credit decision.
Answer: B
NEW QUESTION # 45
Which of the following is the PRIMARY purpose of an AI acceptable use policy?
- A. Outlining AI usage monitoring procedures
- B. Explaining the distinction between different types of AI
- C. Establishing guidance on the ethical use of AI
- D. Educating employees on where to find and how to use AI tools
Answer: C
NEW QUESTION # 46
When auditing the transparency of an AI system, which of the following would be the MOST effective way to understand the model's decision-making process?
- A. Reviewing the explainability of AI outputs
- B. Assessing the computational cost of the model
- C. Evaluating the diversity of the training data set
- D. Analyzing the complexity of the algorithms used
Answer: A
NEW QUESTION # 47
Which of the following AI system characteristics would BEST help an IS auditor evaluate the system's algorithm?
- A. The AI system uses archived transaction data to provide decisions.
- B. The AI system algorithm uses training data to inform decision output.
- C. The AI system provides multiple options for model training.
- D. The AI system provides transparent justification of decisions.
Answer: D
NEW QUESTION # 48
Which of the following metrics are the BEST indication of a mature and effective approach to an organization's data governance program for its AI systems?
- A. Percentage of AI models with documented data lineage
- B. Number of AI projects completed within the last fiscal year
- C. Frequency of data quality audits on the organization's data sets
- D. Total budget allocated to AI initiatives across all departments
Answer: A
NEW QUESTION # 49
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