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ISO-IEC-42001-LEAD-AUDITOR · Question #152

Based on Scenario 6, which aspect of assigning roles and responsibilities to the audit team is incorrect? Scenario 6: AfrinovAl, based in Nairobi, Kenya, develops Al tools to improve agriculture in…

The correct answer is C. Not including guides during the assignment of roles and responsibilities. According to ISO 19011:2018, Clause 6.2.2 and ISO/IEC 17021-1:2015, the audit team leader should ensure that all roles and responsibilities are defined, including the need for guides or observers, especially in complex audits or when technical support is necessary. Guides are…

Audit Team Management

Question

Based on Scenario 6, which aspect of assigning roles and responsibilities to the audit team is incorrect? Scenario 6: AfrinovAl, based in Nairobi, Kenya, develops Al tools to improve agriculture in Africa. The company uses Al to address challenges faced by African farmers, offering tools for analyzing satellite images to monitor crop health, predicting pest and disease outbreaks, and automating irrigation to use water more efficiently. AfrinovAl has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001, reflecting its commitment to ethical and effective management practices in its Al solutions. AfrinovAl is undergoing a certification audit to obtain certification against ISO/IEC 42001. Samuel, an expert in Al technologies and management systems, is heading the audit team. Before initiating the audit process, Samuel reviewed and approved the audit plan, which served as a basis for the agreement between the certification body and the auditee. During the stage 1 audit, the audit team focused on a detailed evaluation of AfrinovAI's documented information, critically assessing both their format and content. Samuel held a meeting with his team to prepare for the stage 2 audit. During this meeting, responsibilities were allocated among team members, assigning specific processes, functions, sites, areas, or activities based on each auditor's expertise and the audit requirements. He also assigned auditing roles to technical experts to leverage their specialized knowledge in specific areas. In the stage 2 audit, Samuel and his team held an opening meeting during which Samuel explained how the audit activities will be undertaken. AfrinovAI's also participated in the meeting. Afterward, the audit team conducted on-site activities to closely inspect the physical locations of the audited processes. The interviewed individuals from the auditee's personnel regarding the AIMS and observed some of the operations of the auditee. They also used sampling and technical verification to assess the implementation of Al-related controls, verify compliance with established procedures, and identify any gaps in adherence to the AIMS requirements. They skipped the review of documented information related to the AIMS since some documents had already been reviewed during the stage 1 audit. This comprehensive approach ensured a thorough evaluation of AfrinovAI's AIMS against the ISO/IEC 42001.

Options

  • AAssigning team members based on their expertise
  • BAssigning auditing roles to technical experts
  • CNot including guides during the assignment of roles and responsibilities
  • DAssigning functions based on audit scope

How the community answered

(44 responses)
  • A
    11% (5)
  • B
    2% (1)
  • C
    80% (35)
  • D
    7% (3)

Explanation

According to ISO 19011:2018, Clause 6.2.2 and ISO/IEC 17021-1:2015, the audit team leader should ensure that all roles and responsibilities are defined, including the need for guides or observers, especially in complex audits or when technical support is necessary. Guides are individuals appointed by the auditee to assist the audit team -- for example, to facilitate access, communication, or clarification. Not considering the inclusion of guides in the role assignment process may result in inefficiencies during the audit, especially in cross- functional or technical environments.

Topics

#audit team roles#guide assignment#responsibilities#audit team composition

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