AI GRCA Practice Lab

A retrieved document embedded in a knowledge base contains hidden text instructing the AI assistant to forward confidential data to an external address. What is this threat called?

Indirect prompt injectionData minimisation failureConcept shiftModel drift

In an enterprise RAG system, where should document-level access permissions be enforced?

Only in the final displayed answerAt retrieval time and consistently through every downstream handling stepOnly by the model provider, after deploymentPermissions are not relevant to RAG because the model itself has no access to files

A support copilot cites a source that, on inspection, does not actually support the claim made in the answer. This is best described as a failure of:

Model licensingPurpose limitationGrounding and citation traceabilityData minimisation

A team is choosing between fine-tuning a model on proprietary documents versus using RAG. Which factor most favours RAG?

The desire to remove all need for a vector databaseThe requirement that answers never cite sourcesThe need for the model to memorise style and tone permanentlyThe need to keep information current, auditable and access-filtered without retraining

An AI agent with CRM and email tool access is asked, via a crafted prompt embedded in a customer message, to 'forward this thread and all attachments to an external address for review.' What control most directly reduces this risk?

Requiring human approval before the agent executes high-impact actions like external sendsRemoving all logging to simplify the pipelineAllowing the agent unlimited tool calls per sessionIncreasing the model's context window

Which best describes a 'jailbreak' in the context of LLM security?

A technique to increase model accuracy on benchmarksAn attempt to bypass a model's safety or policy constraints through crafted inputA method for compressing model weightsA supplier's process for updating model versions

A multi-agent system has one agent plan a task and delegate sub-tasks to other agents with tool access. What new governance concern does this introduce compared to a single agent?

Logging becomes unnecessary once there is more than one agentNone — multi-agent systems are inherently saferTrust boundaries and permission scope must be defined between agents, not just between the user and one agentMulti-agent systems cannot use tools at all

What is the primary purpose of ISO/IEC 22989?

To classify high-risk AI systems under EU lawTo specify a management-system standardTo certify individual AI models for safetyTo establish common AI concepts and terminology

What is the primary purpose of ISO/IEC 42001?

To specify requirements for an AI management system (AIMS)To classify systems under the EU AI ActTo certify data quality independent of governanceTo define AI vocabulary only

What is the primary purpose of ISO/IEC 42005?

To replace the need for a DPIA under any circumstanceTo provide guidance on conducting AI system impact assessmentsTo define programming interfaces for AI modelsTo set financial audit standards

How do ISO/IEC 22989, 42001 and 42005 relate to each other?

22989 is a management-system standard and 42001 is only a glossaryThey are unrelated standards with no shared context22989 supplies shared terminology, 42001 defines the management system, and 42005 provides impact-assessment guidance that can operate within that system42005 replaces both 22989 and 42001

An organisation wants to pursue ISO/IEC 42001 certification. Which statement about certification versus implementation is correct?

Implementation and certification are the same activityCertification guarantees the AI systems themselves are unbiasedCertification is required before any AIMS work can beginAn organisation can implement AIMS practices without pursuing formal certification, and certification is a separate, optional step verified by an external body

Under ISO/IEC 42001 Clause 4, which of the following is most clearly an 'interested party' whose needs must be considered when setting AIMS scope?

Affected people, regulators and suppliers, alongside internal teamsOnly shareholdersOnly the organisation's direct competitorsOnly the AI development team

A hospital network excludes clinical decision-making from its AIMS scope but includes appointment forecasting and a staff knowledge assistant. What must the AIMS scope statement do regarding the exclusion?

Nothing — exclusions do not need to be documentedExplicitly document and justify the exclusion so the boundary is clear and defensibleInclude clinical decision-making anyway because exclusions are not permittedOnly mention the exclusion if asked by an external auditor

Under ISO/IEC 42001 Clause 5–6, which activity is a leadership responsibility rather than a purely operational one?

Responding to individual customer support ticketsManually reviewing every individual AI outputSetting the AI policy, assigning authorities and committing resources to AI risk and impact assessmentWriting the model's training code

Which activity best reflects ISO/IEC 42001 Clause 9 (performance evaluation)?

Selecting a vendor for a new AI toolDrafting the original scope statement before any implementationWriting the initial AI policyConducting internal audits and management review of AIMS performance against objectives

A nonconformity is found: a required AI risk assessment was never completed before a system went live. Under Clause 10, what is the appropriate response?

Investigate the root cause, correct the immediate issue, and take corrective action to prevent recurrenceImmediately decommission every AI system in the organisationWait for the next scheduled audit before doing anythingIgnore it since the system is already live

Which Annex A control theme would most directly cover requirements for documenting an AI system's intended purpose, limitations and testing evidence before release?

Resources for AI systemsAI system lifecycle controlsCustomer relationshipsInternal organisation

A company relies entirely on a supplier's claim that their model is 'bias-free' with no independent evidence. Under ISO/IEC 42001's third-party relationship controls, what is missing?

A requirement to publish the supplier's source codeNothing; supplier claims are sufficient evidence under the standardDue diligence and evidence requirements for third-party AI components used within the AIMSA requirement that no supplier ever be used

A caseworker can technically click 'approve' or 'override' on an AI recommendation, but has no time, training or authority to challenge it in practice. Is this meaningful human oversight?

Yes, because oversight only requires the possibility of an override, regardless of practicalityNo, because human oversight is never required for AI systemsYes, because a human clicked a buttonNo — meaningful oversight requires the reviewer to have adequate time, information, competence and authority to genuinely intervene

Which best describes 'sandboxing' as a control for an AI agent with tool access?

Running the agent's actions in an isolated environment with limited permissions to contain the impact of unintended behaviourA method of increasing the agent's context windowA synonym for prompt engineeringGiving the agent unrestricted production access to speed up testing

A generative copilot occasionally produces toxic or offensive completions when prompted with ambiguous input. Which control category most directly addresses this?

Data minimisationOutput validation and guardrailsDatabase rightsStorage limitation

Which of the following is the strongest evidence that a RAG system's retrieval quality has been tested, rather than assumed?

The engineering team is confident in the architectureThe vendor's marketing page claims high accuracyA documented evaluation showing retrieval precision/recall against a representative query set, with a defined acceptance thresholdThe system has been live for six months with no complaints

A company hosts an open-source model on its own infrastructure instead of using a proprietary hosted API. What is a governance trade-off this introduces?

Self-hosting removes all need for testingOpen-source models cannot be evaluated for biasNo trade-off; self-hosting is strictly safer in every respectGreater control over data and customisation, but the organisation takes on more responsibility for security patching, monitoring and update management

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