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| Topic | Details |
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| Topic 1 | - Auditing Tools and Techniques: This section of the exam measures the skills of AI auditors and centers on auditing AI systems using appropriate tools and methods. It includes audit planning and design, sampling methodologies specific to AI, collecting audit evidence, using data analytics for quality assurance, and producing AI audit outputs and reports, including follow-up and quality control measures.
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| Topic 2 | - AI Operations: It covers managing AI-specific data needs—including collection, quality, security, and classification—applying development lifecycle methodologies with privacy and security by design, change and incident management, testing AI solutions, identifying AI-related threats and vulnerabilities, and supervising AI deployments.
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| Topic 3 | - AI GOVERNANCE AND RISK: It encompasses understanding different AI models and their life cycles, guiding AI strategy, defining roles and policies, managing AI-related risks, overseeing data privacy and governance, and ensuring adherence to ethical practices, standards, and regulations.
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ISACA Advanced in AI Audit Sample Questions (Q113-Q118):
NEW QUESTION # 113
Which of the following is MOST important to consider when auditing an organization's AI procedures?
- A. AI data validation and filtration to prevent data poisoning
- B. Backup and recovery in the event of an AI data breach
- C. Employee training on recognized AI best practices
- D. Frequency of AI system updates to enhance security
Answer: A
Explanation:
The integrity of data fed into AI systems is a critical concern. The AAIATM Study Guide emphasizes that validation and filtration processes are essential to mitigate the risk of data poisoning--an attack that can manipulate model behavior by injecting malicious inputs.
"Data poisoning represents a major vulnerability in AI pipelines. Effective controls include robust validation, filtration, and monitoring of training data sources. These preventive practices are essential to ensure model reliability and security."
NEW QUESTION # 114
A generative AI system has a validation control in place to reject inappropriate questions by checking them against built-in ethical standards. Which of the following enables malicious actors to circumvent this control through prompt engineering?
- A. Presenting theoretical situations to justify the reason for asking the questions
- B. Submitting the same questions in a foreign language translated by another AI-based system
- C. Asking the same questions later when the algorithm has changed after further learning
- D. Randomly placing keywords unrelated to the main topic
Answer: A
NEW QUESTION # 115
A healthcare organization uses an AI model to analyze patient data and provide diagnostic recommendations. Which of the following MOST effectively detects data drift related to the model's predictions?
- A. Comparing incoming patient data distributions with the training data set
- B. Applying overrides to allow healthcare professionals to correct the AI model's recommendations
- C. Conducting periodic model retraining to ensure alignment with updated patient data
- D. Using adversarial testing to simulate scenarios that stress test the model's predictions
Answer: A
NEW QUESTION # 116
Which of the following is the GREATEST risk when an organization uses publicly available social media data to train its AI model without obtaining explicit user consent?
- A. Violation of data privacy regulations leading to legal penalties
- B. Introduction of inaccurate and incomplete data
- C. User distrust caused by lack of transparency in AI model training
- D. Data with questionable labeling
Answer: A
Explanation:
Using social media data without consent raises severe legal and ethical concerns. According to the AAIATM manual, the greatest risk is the "Violation of data privacy regulations" (such as GDPR or CCPA), which can result in significant legal penalties, mandatory deletion of models, and litigation. Even if the data is "public," privacy laws often restrict the use of personal information for automated decision-making or profiling without a clear legal basis (like consent).
NEW QUESTION # 117
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. One time prior to migrating to production
- B. On an annual recurring basis
- C. After changes to hardware and software platforms
- D. After functionality changes
Answer: A
Explanation:
Only reviewing an ML model's performance one time prior to migrating to production (option C) is of greatest concern. The AAIATM Study Guide emphasizes that "AI and ML models require continuous monitoring and periodic performance reviews in production to detect issues such as data drift, model degradation, or evolving risk factors." A single pre-production review fails to capture these changes and risks, potentially resulting in undetected failures or compliance issues.
Periodic (including annual) and event-driven reviews are necessary to ensure ongoing model reliability.
NEW QUESTION # 118
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