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ISO 42001 Certification: Preparing Your Organisation for Stage 1 and Stage 2 Audits

Handling Nonconformities Raised During Stage 2

Quiz: Handling Nonconformities Raised During Stage 2

Corrective Action Plans, Root Cause and Verification Evidence

Quiz: Corrective Action Plans, Root Cause and Verification Evidence

Certificate Issue, Scope Wording and Use of the Certification Mark

Quiz: Certificate Issue, Scope Wording and Use of the Certification Mark

Surveillance Audits and Keeping Evidence Current Between Them

Quiz: Surveillance Audits and Keeping Evidence Current Between Them

Recertification and Handling Major Changes to AI Systems

Quiz: Recertification and Handling Major Changes to AI Systems

Combining ISO 42001 With ISO 27001 and ISO 9001 Audits

Quiz: Combining ISO 42001 With ISO 27001 and ISO 9001 Audits

Final exam: ISO 42001 Certification: Preparing Your Organisation for Stage 1 and Stage 2 Audits

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Quiz: Surveillance Audits and Keeping Evidence Current Between Them

ISO 42001 Certification: Preparing Your Organisation for Stage 1 and Stage 2 Audits
Surveillance Audits and Keeping Evidence Current Between Them
Quiz: Surveillance Audits and Keeping Evidence Current Between Them

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Question 1 of 5

1. Question

What is the primary purpose of surveillance audits?

To verify that your organisation still qualifies for ISO 42001 certification
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To investigate suspected non-compliance
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To verify that your management system has not deteriorated and that you are maintaining compliance
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To collect evidence for regulators investigating your organisation
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Question 2 of 5

2. Question

How frequently are surveillance audits typically conducted?

Once per year, at a time set 12 months in advance
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Randomly, without advance notice
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Annually or semi-annually, depending on the certification body's policy
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Only if a non-conformity was found during Stage 2
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Question 3 of 5

3. Question

When preparing for a surveillance audit, what information should you provide about changes to your management system?

Nothing; the auditor will identify changes without your input
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Information about new AI systems, procedure changes, organisational changes, staff changes and risk profile changes
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Only information about major incidents that occurred
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A summary of all work completed since the last audit
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Question 4 of 5

4. Question

What should you do to ensure that evidence is maintained between surveillance audits?

Assemble all evidence only when the auditor schedules a visit
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Assign ownership of each control area to a specific person and schedule regular reviews of key documents
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Store evidence in a location that only the compliance officer can access
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Create new evidence retroactively whenever an audit is scheduled
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Question 5 of 5

5. Question

What can happen if a surveillance audit identifies a major non-conformity?

You will have unlimited time to address it
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Your certificate may be suspended until you submit and verify corrective actions
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You will automatically be required to undergo recertification
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Nothing; minor and major findings are treated identically during surveillance
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