Handoff Register

Every step pattern · decision

Verify or check a value against a source

A check with a named source and a named rule is a comparison a system runs. A check with neither is a person looking at a screen.

hand over
a rule a system already holds
decision
a rule applied to a record
none typical
usual systems
As it is usually written
Check the details are correct
What you lose if it is handed over
The person. Every manual check is a control, and this one has no written rule, so the control is whatever the checker happens to look for.
First move
Name the source and the rule for this check, log every result against it, and route only the failures to a person.

What it is evidence for

Clause references taken from the published standards; each code links to its framework.

Decisions with no written rule ISO 9001:2015 7.1.6 · ISO 9001:2015 7.5.1 · ISO 9001:2015 8.1 · ISO 9001:2015 8.5.1 · ISO/IEC 42001:2023 A.9.4 · ISO/IEC 42001:2023 A.6.2.2
ISO 9001:2015 7.1.6 Organizational knowledge

The organization identifies the knowledge its processes need to run and to make products and services conform, keeps that knowledge, and makes it available as far as needed. When needs and trends change, it looks at what it knows already and decides how it will obtain, or gain access to, the further knowledge and updates it needs. Organizational knowledge ma...

Evidence an auditor accepts: Identification of critical knowledge per process; Mechanisms to capture and share knowledge (lessons learned, procedures, mentoring); Evidence of planning for knowledge loss (succession, retirement) and acquisition
ISO 9001:2015 7.5.1 General

The QMS holds two kinds of documented information: what the standard itself requires, and whatever else the organization decides it needs for the system to be effective. How much is needed varies with the organization's size, the kind of activities, processes, products and services it has, how complex its processes are and how they interact, and how competen...

Evidence an auditor accepts: Master list of system documents and records; Mapping of documented information to requirements; Rationale for the extent of documentation
ISO 9001:2015 8.1 Operational planning and control

The organization plans, carries out and controls the processes required to meet the requirements for supplying its products and services and to put into effect the actions from clause 6. It does so by identifying the requirements for those products and services; setting criteria both for the processes and for accepting the products and services; identifying ...

Evidence an auditor accepts: Quality plans or process control plans with criteria and acceptance criteria; Records demonstrating processes carried out as planned; Change control records for operational changes
ISO 9001:2015 8.5.1 Control of production and service provision

Production and service provision are carried out under conditions the organization keeps controlled. Where they apply, these include: documented information that defines the characteristics of the products, services or activities and the results to be reached; monitoring and measuring resources that are suitable, available and used; monitoring and measuremen...

Evidence an auditor accepts: Work instructions and specifications at the point of use; In-process monitoring and measurement records; Validation records for special processes (welding, sterilisation, software deployment)
ISO/IEC 42001:2023 A.9.4 Intended use of the AI system

The organization shall ensure that the AI system is used according to the intended uses of the AI system and its accompanying documentation.

Evidence an auditor accepts: Intended use statements; Use case approval records; Monitoring of use
ISO/IEC 42001:2023 A.6.2.2 AI system requirements and specification

Requirements and specifications shall be defined for new or substantially modified AI systems, including responsible AI requirements.

Evidence an auditor accepts: Requirements specifications; Acceptance criteria; Functional and non-functional requirements
Hand-overs at the end of the process with nothing after them ISO/IEC 42001:2023 A.9.2 · ISO/IEC 42001:2023 A.9.3 · ISO/IEC 42001:2023 A.6.2.5 · ISO/IEC 42001:2023 A.6.2.6 · ISO/IEC 42001:2023 A.6.2.8 · ISO/IEC 42001:2023 A.5.4 · ISO 9001:2015 8.5.1
ISO/IEC 42001:2023 A.9.2 Processes for responsible use of AI systems

The organization shall define and document processes for the responsible use of AI systems, including processes for the use by employees of AI systems provided by third parties.

Evidence an auditor accepts: Responsible use procedure; Acceptable use policy for AI; Training records
ISO/IEC 42001:2023 A.9.3 Objectives for responsible use of AI system

The organization shall identify and document objectives to guide the responsible use of AI systems.

Evidence an auditor accepts: Responsible use objectives; Objectives covering human oversight, escalation, prohibited uses; Linkage to risk treatment
ISO/IEC 42001:2023 A.6.2.5 AI system deployment

The organization shall document a deployment plan and ensure requirements are met before deployment.

Evidence an auditor accepts: Deployment plans; Go-live checklists; Approval records
ISO/IEC 42001:2023 A.6.2.6 AI system operation and monitoring

AI systems shall be operated and monitored according to organizational and operational requirements throughout their lifetime. Operational guidance shall be available to operators.

Evidence an auditor accepts: Operations runbooks; Monitoring dashboards; Incident logs
ISO/IEC 42001:2023 A.6.2.8 AI system event logging

Event logs shall be generated and recorded during AI system operations to enable monitoring, accountability, and incident investigation.

Evidence an auditor accepts: Logging standards; Log samples; Log retention policy
ISO/IEC 42001:2023 A.5.4 Assessing AI system impact on individuals or groups

The organization shall assess and document the potential impacts of AI systems to individuals or groups of individuals throughout the system's life cycle.

Evidence an auditor accepts: Per-system impact assessments; Fairness analysis; Privacy impact (link to PIA where relevant)
ISO 9001:2015 8.5.1 Control of production and service provision

Production and service provision are carried out under conditions the organization keeps controlled. Where they apply, these include: documented information that defines the characteristics of the products, services or activities and the results to be reached; monitoring and measuring resources that are suitable, available and used; monitoring and measuremen...

Evidence an auditor accepts: Work instructions and specifications at the point of use; In-process monitoring and measurement records; Validation records for special processes (welding, sterilisation, software deployment)

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