ISO-IEC-42001-LEAD-AUDITOR · Question #169
According to Scenario 8, Sharona played a vital role in the certification decision. Is this acceptable? Scenario 8: VeridicAI. based in San Francisco. USA, specializes in market research using Al…
The correct answer is C. No, only the certification body has the authority to make the certification decision. According to ISO/IEC 17021-1:2015 Clause 5.2.9 and Clause 9.5.3, while auditors (including Sharona) may contribute information and analysis to support the certification body, the certification decision must be made by a person or committee not involved in the audit process…
Question
According to Scenario 8, Sharona played a vital role in the certification decision. Is this acceptable? 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
- AYes, because Sharona is a full-time employee of the certification body
- BYes, all auditors who participate in the audit can take part in the certification decision
- CNo, only the certification body has the authority to make the certification decision
How the community answered
(46 responses)- A11% (5)
- B7% (3)
- C83% (38)
Explanation
According to ISO/IEC 17021-1:2015 Clause 5.2.9 and Clause 9.5.3, while auditors (including Sharona) may contribute information and analysis to support the certification body, the certification decision must be made by a person or committee not involved in the audit process. This ensures impartiality and avoids conflict of interest. Sharona, having led and conducted the audit, should not have played a decisive role in certification issuance.
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