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ISO-IEC-42001-LEAD-AUDITOR · Question #173

Did ImoAI take the correct initial step after the major nonconformity was detected? Scenario 9: ImoAl, headquartered in California. USA, provides Al solutions for various industries such as finance…

The correct answer is C. Yes, as it promptly initiated corrective actions to address the major nonconformity. According to ISO/IEC 42001:2023 Clause 10.2 (Nonconformity and Corrective Action) and ISO 19011:2018 Clause 6.6.3, organizations are expected to act promptly to correct and prevent recurrence of detected nonconformities. ImoAI correctly initiated corrective actions immediately…

Nonconformity Management

Question

Did ImoAI take the correct initial step after the major nonconformity was detected? Scenario 9: ImoAl, headquartered in California. USA, provides Al solutions for various industries such as finance, healthcare, retail, and manufacturing. Its clients include major financial institutions seeking Al powered fraud detection systems, healthcare providers leveraging Al for diagnostics and patient care, retailers optimizing supply chain management with Al forecasting, and manufacturers enhancing production efficiency through Al- driven automation. ImoAl has recently undergone a certification audit to ensure that its artificial intelligence management system AIMS is in compliance with ISO/IEC 42001. During the audit, a major nonconformity related to data security protocols was identified, requiring urgent resolution. ImoAl swiftly initiated corrective actions to address the major nonconformity. The audit follow-up, in agreement with the auditee, was scheduled six weeks after the initial audit. As part of exploring alternatives to audit follow-up, the audit team leader chose to verify the effectiveness of the actions taken by the auditee by scheduling a specific visit to ImoAI's premises. The follow-up audit involved a thorough evaluation of the effectiveness of these actions. The audit team leader thoroughly examined the corrections, corrective actions, and root cause analysis conducted by ImoAl to assess whether they adequately addressed the nonconformity identified during the initial audit. In conjunction with the external audit follow-up, ImoAl engaged its internal auditing team to oversee the progress of corrective actions. The AIMS manager of ImoAl updated Ms. Rebecca Hayes, the internal auditor, on the status of corrections and corrective actions prompted by the nonconformity identified during the external audit. Subsequently, Ms. Hayes thoroughly reviewed these measures, analyzing the corrections, root causes, and effectiveness of the implemented actions. Upon satisfactory validation of the action plans, ImoAl was recommended for certification.

Options

  • ANo, because it should have immediately informed its clients about the detected nonconformity
  • BNo, as it should have waited for further instructions from the certification body before taking action
  • CYes, as it promptly initiated corrective actions to address the major nonconformity

How the community answered

(46 responses)
  • A
    11% (5)
  • B
    17% (8)
  • C
    72% (33)

Explanation

According to ISO/IEC 42001:2023 Clause 10.2 (Nonconformity and Corrective Action) and ISO 19011:2018 Clause 6.6.3, organizations are expected to act promptly to correct and prevent recurrence of detected nonconformities. ImoAI correctly initiated corrective actions immediately after a major nonconformity was found. This is the recommended and required first step to contain and resolve issues and demonstrate responsibility. * Notifying clients is not a mandatory first step unless the nonconformity directly affects them. * Waiting for instructions from the certification body could unnecessarily delay resolution.

Topics

#major nonconformity#corrective actions#initial response#nonconformity management

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