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Exam ISO-IEC-42001-Lead-Auditor Topic 1 Question 104 Discussion
Actual exam question for PECB's ISO-IEC-42001-Lead-Auditor exam
Question #: 104
Topic #: 1
Question #: 104
Topic #: 1
According to scenario 9, was the audit team leader's decision to conduct a visit to ImoAI's premises acceptable?
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.
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.
Suggested Answer: B Vote an answer
ISO/IEC 17021-1:2015 Clause 9.4.8 allows certification bodies to conduct an on-site follow-up audit when dealing with major nonconformities. The audit team leader has discretion to verify the effectiveness of corrective actions through documentation or via physical inspection, depending on the nature and severity of the nonconformity.
Since the issue involved data security - a critical operational area - an on-site verification is justified and often expected.
Reference:
ISO/IEC 17021-1:2015 Clause 9.4.8 - Follow-up on major nonconformities
ISO/IEC 42001:2023 Clause 6.3 - Evaluation of AI controls and verification of actions taken
\===========
Since the issue involved data security - a critical operational area - an on-site verification is justified and often expected.
Reference:
ISO/IEC 17021-1:2015 Clause 9.4.8 - Follow-up on major nonconformities
ISO/IEC 42001:2023 Clause 6.3 - Evaluation of AI controls and verification of actions taken
\===========
by Edith at Apr 21, 2026, 05:06 PM
Here are all the actual test exam dumps for IT exams. Most people prepare for the actual exams with our test dumps to pass their exams. So it's critical to choose and actual test pdf to succeed.
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