ISO-IEC-42001-LEAD-AUDITOR · Question #140
The top management of Alterhealth initially rejected the selected audit team leader because they had audited the company in the past, and thus would not bring added value for the auditee. Is this…
The correct answer is B. No, an auditor can only be rejected by the auditee if a conflict of interest is present. According to ISO/IEC 17021-1:2015 Clause 9.1.7, the auditee has the right to object to specific audit team members, but such objection must be supported by a valid justification such as a perceived conflict of interest or lack of competence. Rejecting an auditor solely based on…
Question
The top management of Alterhealth initially rejected the selected audit team leader because they had audited the company in the past, and thus would not bring added value for the auditee. Is this acceptable? Scenario 5: Alterhealth is a mid-sized technology firm based in Toronto. Canada. It develops Al systems for healthcare providers, focusing on improving patient care, optimizing hospital workflows, and analyzing healthcare data for insights that can improve health outcomes. To ensure responsible and effective use of Al in its operations, Alterhealth has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001. After a year of having the AIMS in place, the company decided to apply for a certification audit to obtain certification against ISO/IEC 42001. The company contracted a certification body to conduct the audit, who assembled the audit team and appointed the audit team leader. The audit team leader had conducted a certification audit at Alterhealth in the past. The top management of Alterhealth decided to reject the appointment of this auditor because they believed that they would not receive added value from the audit. In response, the certification body appointed Jonathan, an independent auditor with no prior engagements with Alterhealth, as the new audit team leader. Jonathan's introduction marked the beginning of a collaborative process aimed at evaluating the conformity of the AIMS to ISO/IEC 42001 requirements. The certification body determined the audit scope, which included only specific departments essential to the integration and application of Al, such as the Al Research, Machine Learning Applications, and Al Ethics and Compliance Departments, and did not cover all of the departments covered by the AIMS scope. Meanwhile, Alterhealth determined the audit time, setting the necessary time frame for planning and conducting a thorough and effective review to ensure all aspects of the AIMS within the selected departments were meticulously reviewed. Afterward, Jonathan received a detailed offer from the certification body, outlining his role and including information related to the audit, such as the audit's duration, team members, their responsibilities, the limits to the audit engagement, and their salary compensation. With a clear mandate, Jonathan was tasked with a multitude of responsibilities: defining the audit objectives and criteria, planning the audit process, identifying and addressing audit risks, managing communication with Alterhealth, overseeing the audit team, and ensuring a smooth and conflict free execution. With Jonathan's leadership and a well-defined audit framework in place, the certification audit proceeded with a structured and objective evaluation of Alterhealth's AIMS.
Options
- AYes, this is a valid reason for rejecting an auditor
- BNo, an auditor can only be rejected by the auditee if a conflict of interest is present
- CNo, the auditee does not have the authority to reject an auditor assigned by the certification body
- DYes, if the auditor lacks knowledge of AI systems
How the community answered
(56 responses)- A4% (2)
- B77% (43)
- C7% (4)
- D13% (7)
Explanation
According to ISO/IEC 17021-1:2015 Clause 9.1.7, the auditee has the right to object to specific audit team members, but such objection must be supported by a valid justification such as a perceived conflict of interest or lack of competence. Rejecting an auditor solely based on the claim that they will not "bring added value" does not meet this criterion. Unless a legitimate concern is raised -- such as impartiality, bias, or conflict of interest -- the certification body is under no obligation to change the auditor.
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