ISO-IEC-42001-LEAD-AUDITOR · Question #91
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 C. Yes, the submission of the action plans can be delayed for up to 10 days. While ISO/IEC 17021-1 does not prescribe a strict number of days, certification bodies typically allow minor grace periods, e.g., 5?0 days, based on internal policy. ISO/IEC 17021-1:2015 Clause 9.4.9 requires that nonconformities must be addressed within a timeframe agreed by…
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 submitted corrective action plans for nonconformities three days past the certification body's deadline of 45 days. Based on Scenario 8, is InnovateSoft eligible for certification?
Options
- ANo, the action plans were not submitted within the specified period
- BYes, it is up to the auditee to decide when to submit the action plans
- CYes, the submission of the action plans can be delayed for up to 10 days
How the community answered
(49 responses)- A14% (7)
- B8% (4)
- C78% (38)
Explanation
While ISO/IEC 17021-1 does not prescribe a strict number of days, certification bodies typically allow minor grace periods, e.g., 5?0 days, based on internal policy. ISO/IEC 17021-1:2015 Clause 9.4.9 requires that nonconformities must be addressed within a timeframe agreed by the certification body. If the delay is minor (e.g., 3 days), and the CB accepts it with justification, the certification process can still proceed. The Lead Auditor Manual notes: "Minor extensions may be granted for corrective actions when justified and documented."
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