Free ISO 19011-LA Practice Questions

Question 1

A release summary shows three orders approved after dispatch. The manager says the displayed approval time is the time of a nightly data import, not the time authorization occurred. The applicable procedure requires approval before dispatch. Which evidence would best distinguish an actual late approval from a reporting error?

Accepted Answer

The source-system approval histories reconciled with dispatch records for those same three orders.

Answer

The workflow specification and the supplier's description of the summary fields.

Answer

The dispatch supervisor's signed statement that the three orders were approved before the goods left the site.

Answer

A sample of current release-summary entries reconciled with the monthly approval dashboard for the same period.

Question 2

Next quarter's audit programme has one discretionary auditor-day after all required coverage is scheduled. IT access management has changed its account-disablement software and recorded two repeat failures to remove access when employment ended. Warehousing is unchanged with recently verified controls. Customer service requests an early audit before a customer visit. Records archiving has the oldest audit report but no changes or adverse results. Where is the extra day most strongly justified?

Accepted Answer

IT access management, to test the changed controls and investigate the repeated disablement failures.

Answer

Customer service, to meet management's request for reassurance before the approaching customer visit.

Answer

Records archiving, to equalize the time elapsed since each process last received audit attention.

Answer

Warehousing, to strengthen confidence in controls that have already been verified as operating effectively.

Question 3

A manufacturer engages an independent audit firm to assess, on the manufacturer's behalf, its own quality and environmental management systems together. One team from that firm conducts the work; no customer audit or certification assessment is involved. How is this arrangement classified?

Accepted Answer

First-party and combined

Answer

First-party and joint

Answer

Third-party and combined

Answer

Second-party and combined

Question 4

Before a remote audit of personnel authorization records, the auditee prohibits screen recording and file exports. It offers a secure live view of any record the auditor selects, including identities, authorization dates and supporting history. The auditor may retain record identifiers and factual notes. Copies are not required by the audit arrangements. How should the lead auditor accommodate the restriction?

Accepted Answer

Use the secure live review, documenting the selected records and relevant authorization evidence.

Answer

Postpone the review until the auditee permits complete personnel files to be exported and retained as evidence.

Answer

Use departmental completion totals instead of identifiable personnel authorization records.

Answer

Accept the custodian's attestation and review the authorization procedure.

Question 5

Procedure WM-4 requires a contents label on every waste container in use. On 18 September, an auditor observes containers W17 and W22 receiving waste without contents labels. Both are labeled during the visit. Select the finding that is supported by this evidence.

Accepted Answer

WM-4's labeling requirement was not met: W17 and W22 were in use without contents labels on 18 September.

Answer

Waste segregation was ineffective because the unlabeled containers could have held incompatible materials.

Answer

Waste labeling is an improvement opportunity because the containers were labeled before the audit ended.

Answer

Staff competence in waste handling was inadequate, as demonstrated by the two missing labels and the need for immediate correction.

Question 6

An auditor discloses that she wrote the emergency-response procedure and still approves its revisions. Another auditor is competent to assess that process and has had no involvement in it. Which work allocation best preserves independence?

Accepted Answer

Assign the process to the other auditor and give the author an unrelated audit area.

Answer

Keep the author as evaluator and ask the other auditor to review only the final report.

Answer

Let the author assess implementation while the other auditor evaluates the procedure's documented design.

Answer

Retain the author's assignment after documenting the disclosure and obtaining the process owner's agreement.

Question 7

A supplier-approval procedure changes on 1 July. For first use through 30 June, purchasing-manager approval is sufficient. First use from 1 July requires both purchasing and quality approval. The revision does not require retrospective approval of suppliers already used. An August audit covers first-use transactions from May through July. The working papers should compare each transaction with:

Accepted Answer

The approval requirements in force when that supplier was first used.

Answer

The July approval rule, since it is the current controlled procedure.

Answer

The June approval rule, since it applied when the audit period began.

Answer

The July rule for active suppliers and the June rule for inactive suppliers.

Question 8

To investigate release failures, an auditor deliberately selects 40 high-risk orders rather than drawing a random sample. Six lack the required approval; five have an incorrect product identifier; three have both defects. The auditor wants to report the proportion of reviewed orders with at least one defect. Which statement is supported?

Accepted Answer

20% of the reviewed orders had at least one defect.

Answer

27.5% of the reviewed orders had at least one defect.

Answer

7.5% of the reviewed orders had at least one defect.

Answer

20% of all orders in the audit period had at least one defect.

Question 9

The audit team needs specialist knowledge to assess an unfamiliar heat-treatment process. A metallurgist has that expertise but has not been evaluated or authorized to act as an auditor. What responsibility is appropriate for the metallurgist?

Accepted Answer

Interpret technical evidence for an assigned auditor, who evaluates it against the criteria.

Answer

Independently determine process conformity and submit findings to the team leader.

Answer

Approve revised process settings for the auditor to verify during follow-up.

Answer

Attend as an observer while the auditor relies on the process's existing qualification certificates.

Question 10

During an interview in a warehouse, the evacuation alarm sounds. Site induction requires everyone to leave by the marked route and report to the assembly point; no test has been announced. The supervisor says the alarm is probably another sensor fault and offers to finish the interview. The auditor's immediate priority is to:

Accepted Answer

Leave by the designated route and report to the assembly point.

Answer

Ask the control room to verify the alarm before deciding whether to leave.

Answer

Move the interview to reception while the supervisor investigates the cause of the alarm.

Answer

Contact the audit client for authorization to suspend the visit before joining the evacuation.

Free ISO 19011-LA Practice Questions

Domain 1: Audit Fundamentals 20% of exam

Question 1

Question 2

Question 3

Domain 2: Audit Preparation 30% of exam

Question 4

Question 5

Question 6

Domain 3: Audit Execution 30% of exam

Question 7

Question 8

Question 9

Domain 4: Audit Reporting 10% of exam

Question 10

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