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ISO-IEC-42001-LEAD-AUDITOR · Question #166

What certification recommendation did the auditee receive? Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al technologies to analyze customer behavior…

The correct answer is A. Recommendation for certification conditional upon the filing of corrective action plans without a. According to ISO/IEC 42001:2023 and auditing best practices as per ISO 19011:2018 guidelines, a conditional certification may be issued when an organization conforms to most of the requirements but has minor nonconformities that do not pose a major risk to the system's…

Audit Conclusions and Certification

Question

What certification recommendation did the auditee receive? Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al technologies to analyze customer behavior. Founded in 2023, the company employs natural language processing, machine learning, and predictive analytics to provide real time insights to a range of businesses. VeridicAI has implemented an artificial intelligence management system AIMS based on ISO/IEC 42001 to manage its Al technologies effectively. The AIMS scope includes select departments within the company, for which it has received a four-year certification against ISO/IEC 42001. Committed to transparency. VeridicAI publicly shares details of this certification. As the certification nears its end, VeridicAI is preparing for an audit to renew its certification. The audit process was led by Sharona, the audit team leader, who is a full-time employee of the certification body. Sharona and the audit team undertook all planned audit activities. Afterward, they organized the closing meeting with VeridicAl's management. During the meeting, Sharona and the team made a recap on audit objectives and scope, presented the audit findings and conclusions, presented identified nonconformities, and organized a session for questions and answers for the auditee. VeridicAI received a conditional recommendation for certification, underscoring its compliance with the industry's standards. Sharona confirmed that the company met the essential requirements but noted some identified minor nonconformities. In response, VeridicAI compiled and submitted a comprehensive action plan that addresses all identified nonconformities within a designated timeframe. Because of the comprehensive action plan, Sharona did not see the need for an additional on-site visit to verify the effectiveness of the action plan. Sharona played an integral role in the certification decision process. Her thorough understanding of VeridicAI's operations, gained from the audit, guided the certification body towards a well- informed certification decision.

Options

  • ARecommendation for certification conditional upon the filing of corrective action plans without a
  • BRecommendation for certification
  • CRecommendation for certification conditional upon the filing of corrective action plans with a prior

How the community answered

(16 responses)
  • A
    75% (12)
  • B
    13% (2)
  • C
    13% (2)

Explanation

According to ISO/IEC 42001:2023 and auditing best practices as per ISO 19011:2018 guidelines, a conditional certification may be issued when an organization conforms to most of the requirements but has minor nonconformities that do not pose a major risk to the system's effectiveness. In this case, VeridicAI received a conditional recommendation based on minor nonconformities. They submitted a comprehensive action plan, and the audit leader decided no additional on-site visit was necessary. ISO/IEC 42001:2023 refers to such decisions under Clause 9.5 (Improvement), which supports corrective actions based on minor issues without necessarily requiring physical validation if the evidence submitted is sufficient.

Topics

#certification recommendation#corrective action plans#audit outcome#AIMS certification

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