nerdexam
PECB

ISO-IEC-42001-LEAD-AUDITOR · Question #174

Did the audit team leader appropriately schedule the follow-up after the initial audit? Refer to scenario 9. Scenario 9: ImoAl, headquartered in California. USA, provides Al solutions for various…

The correct answer is A. Yes, the audit follow-up was scheduled six weeks after the initial audit. There is no fixed number of weeks mandated between an initial audit and a follow-up audit. However, ISO/IEC 17021-1:2015 Clause 9.4.8 allows the certification body and auditee to mutually agree on a timeline that enables sufficient implementation of corrective actions and their…

Audit Follow-up

Question

Did the audit team leader appropriately schedule the follow-up after the initial audit? Refer to scenario 9. 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

  • AYes, the audit follow-up was scheduled six weeks after the initial audit
  • BNo, the audit follow-up should have been scheduled immediately after the initial audit
  • CNo, the audit follow-up should have been scheduled 15 weeks after the initial audit

How the community answered

(27 responses)
  • A
    70% (19)
  • B
    11% (3)
  • C
    19% (5)

Explanation

There is no fixed number of weeks mandated between an initial audit and a follow-up audit. However, ISO/IEC 17021-1:2015 Clause 9.4.8 allows the certification body and auditee to mutually agree on a timeline that enables sufficient implementation of corrective actions and their verification. In this scenario, a six-week timeframe is reasonable and appropriate for addressing and reviewing a major nonconformity, especially when validated by both parties.

Topics

#follow-up audit#scheduling#audit timeline#nonconformity follow-up

Community Discussion

No community discussion yet for this question.

Full ISO-IEC-42001-LEAD-AUDITOR Practice