Quiz: Stage 1: Documentation Review and Readiness Findings

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Question 1 of 5

1. Question

What is the primary focus of Stage 1 in an ISO 42001 audit?

Testing whether controls operate effectively in practice by observing daily work
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Reviewing your documented policies, procedures and statement of applicability
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Interviewing staff members to assess their understanding of AI governance
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Examining source code and model training data for compliance
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Question 2 of 5

2. Question

What is the difference between a non-conformity and an observation in Stage 1 findings?

Non-conformities are always critical and observations are always minor
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A non-conformity is a failure to meet a standard requirement and must be closed before Stage 2; an observation is a suggestion for improvement
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Observations require closure before Stage 2 begins; non-conformities are addressed later
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There is no meaningful difference; the terms are used interchangeably
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Question 3 of 5

3. Question

Why is the statement of applicability frequently cited as a non-conformity in Stage 1?

Auditors always reject the first version of any statement of applicability
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Organisations often fail to complete the statement or to provide justified exclusions for clauses that do not apply
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The statement of applicability is not actually required by ISO 42001:2023
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Organisations typically update the statement after Stage 2 feedback
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Question 4 of 5

4. Question

What evidence should you retain to address training and awareness non-conformities?

A list of employees who should receive training
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A training schedule, attendance records showing who attended, and evidence that the training content addresses ISO 42001:2023 requirements
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Certificates issued to staff members at the end of training
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Written feedback from trainers on the quality of the material
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Question 5 of 5

5. Question

How long do you typically have to close Stage 1 non-conformities before Stage 2 begins?

7 days from notification of findings
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30 to 90 days, depending on the certification body's policy
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Immediately; Stage 2 cannot be postponed
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One year; you can address them during the surveillance audit instead
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Quiz: Stage 1: Documentation Review and Readiness Findings

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