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ISO-IEC-42001-LEAD-AUDITOR · Question #90

Scenario 8 (continued): Scenario 8: Scenario 8: InnovateSoft, headquartered in Berlin, Germany, is a software development company known for its innovative solutions and commitment to excellence. It…

The correct answer is A. Yes, the audit team leader can suggest specific solutions for solving the identified nonconformities. Auditors may suggest solutions when requested by the auditee, provided the suggestions are not prescriptive or directive. ISO/IEC 17021-1:2015 Clause 5.2.5 prohibits consultancy but allows clarification or explanation of requirements. The ISO 19011:2018 Clause 6.6.7 explains…

Audit Reporting and Closing

Question

Scenario 8 (continued):

Scenario 8:

Scenario 8: InnovateSoft, headquartered in Berlin, Germany, is a software development company known for its innovative solutions and commitment to excellence. It specializes in custom software solutions, development, design, testing, maintenance, and consulting, covering both mobile apps and web development. Recently, the company underwent an audit to evaluate the effectiveness and compliance of its artificial intelligence management system AIMS against ISO/IEC 42001. The audit team engaged with the auditee to discuss their findings and observations during the audit's final phases. After evaluating the evidence, the audit team presented their audit findings to InnovateSoft, highlighting the identified nonconformities. Upon receiving the audit findings, InnovateSoft accepted the conclusions but expressed concerns about some findings inaccurately reflecting the efficiency of their software development processes. In response, the company provided new evidence and additional information to alter the audit conclusions for a couple of minor nonconformities identified. After thorough consideration, the audit team leader clarified that the new evidence did not significantly alter the core conclusions drawn for the nonconformities. Therefore, the certification body issued a certification recommendation conditional upon the filing of corrective action plans without a prior visit. InnovateSoft accepted the decision of the certification body. The top management of the company also sought suggestions from the audit team on resolving the identified nonconformities. The audit team leader offered solutions to address the issues, fostering a collaborative effort between the auditors and InnovateSoft. During the closing meeting, the audit team covered key topics to enhance transparency. They clarified to InnovateSoft that the audit evidence was based on a sample, acknowledging the inherent uncertainty. The method and time frame of reporting and grading findings were discussed to provide a structured overview of nonconformities. The certification body's process for handling nonconformities, including potential consequences, guided InnovateSoft on corrective actions. The time frame for presenting a plan for correction was communicated, emphasizing urgency. Insights into the certification body's post-audit activities were provided, ensuring ongoing support. Lastly, the audit team briefed InnovateSoft on complaint and appeal handling. InnovateSoft submitted the action plans for each nonconformity separately, describing only the detected issues and the corrective actions planned to address the detected nonconformities. However, the submission slightly exceeded the specified period of 45 days set by the certification body, arriving three days later. InnovateSoft explained this by attributing the delay to unexpected challenges encountered during the compilation of the action plans. InnovateSoft received minor nonconformities. After the closing meeting, the audit team leader suggested solutions for resolving the nonconformities, at the request of the auditee. Was the audit team leader's decision to suggest solutions for the identified nonconformities acceptable?

Options

  • AYes, the audit team leader can suggest specific solutions for solving the identified nonconformities
  • BNo, the audit team leader may only suggest specific solutions if explicitly authorized by the
  • CNo, the audit team leader cannot suggest solutions for resolving the identified nonconformities to

How the community answered

(43 responses)
  • A
    77% (33)
  • B
    14% (6)
  • C
    9% (4)

Explanation

Auditors may suggest solutions when requested by the auditee, provided the suggestions are not prescriptive or directive. ISO/IEC 17021-1:2015 Clause 5.2.5 prohibits consultancy but allows clarification or explanation of requirements. The ISO 19011:2018 Clause 6.6.7 explains that: "Auditors may provide suggestions for improvement when asked, provided they do not compromise impartiality or introduce bias." The Lead Auditor Guide states: "Suggestions are permitted when initiated by the auditee and documented clearly as non-mandatory."

Topics

#audit team leader#corrective actions#nonconformity resolution#auditor role

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