Question 1

You are appointed by your company as an internal auditor. Describe 4 situations when it requires adding further hazards audits to an audit program. (10 Marks)

1. Following a serious accidents / incidents

2. Following a change in the work practices

3. Introduction of new processes, equipments or activities

4. Change to legislation

Question 2

You are appointed by your company as an internal auditor. Describe 4 factors that should be considered when you are preparing for a safety management system internal audit program.(10 Marks)

1. Results of previous audit or risk assessment

2. Required to address all processes

3. Are all aspect of the safety management system properly implemented and maintained

4. Does this audit program provide sufficient coverage to test whether the safety management system is effective

Question 3

You have been instructed to carry out an audit of your sub contractors who have arrived at the work site to perform work. List 5 relatives activities that an internal auditor should review.(10 Marks)

1. Have the subcontractor been familiarized, trained on the organization safety and health arrangement including emergency preparedness procedures.

2. Have the activities being carried out by the subcontractor been subject of risk assessment evaluation.

3. Have the subcontractors been assessed by the organization as competent to carry out the contracted works in accordance with health and safety control procedures. (Eg. Achieved bizsafe level 3)

4. Are there any performance measurement and monitoring activities in place.

5. Are the subcontractors made aware of any occupational safety and health communications while they are at the work site.

Question 4

You have been instructed by your manager to assess an accident at your workplace.

a) State at least 2 steps of accident investigation that you would expect your company to undertake(4 Marks)

1. Record information and factual objective evidence at the accident scene

2. Evaluate and analyse the information recorded

3. Establish factual conclusion based on the objective evidence and report recommendations.

4. Assess the effectiveness of any corrective, preventive, occupational safety and health improvement actions taken and evidence of timely implementation.

b) List 8 issues that an auditor should consider when assessing an accident investigation process.(16 Marks)

1. A designated person and established procedure are in place to ensure this takes place.

2. Investigation carried out as soon as possible after the incident to ensure action to mitigate any consequences arising can be put in place.

3. Corrective actions to eliminate recurrence of the root cause of the incident is implemented in a timely manner.

4. Appropriate preventive action is taken to eliminate the cause of potential non conformities commensurate with the occupational safety and health.

5. Appropriate assessment has taken place to ensure the effectiveness of implementation of any corrective action, preventive actions, occupational safety and safety continual improvement action.

6. Details of interviews are recorded

7. Photographic evidence is taken and retained on record.

8. Evaluation of previous incidents in the area

9. Applications of lessons have been learned from previous incidents

10. Effective communication to all employees with the results of the investigation and occupational safety and health actions implemented

11. Appropriate incident, accident, loss of work record forms are completed and verified.

Question 5

a) Describe the 4 components that assist your organization to carry out a successful management system audit effectively.(8 Marks)

Keep things simple. PDCA is a successive cycle which starts off small to test potential effects on processes, but then gradually leads to larger and more targeted change.

PLAN - Determine goals for a process and needed changes to achieve them.

DO - Implement the changes.

CHECK - Evaluate the results in terms of performance

ACT - Standardize and stabilize the change or begin the cycle again, depending on the results.

b) Identify at least 4 sources of legislative information that you would expect your organization to consult in relation to the content of an emergency response procedures.(8 Marks)

1. Legal publications

2. Code of practices

3. Professional bodies

4. Trade bodies

5. Trade publications

6. Seminar and training courses

7. Management review (for communication within the organization)

c) List 2 audit requirements that should be established in your audit program

(4 Marks)

Audit requirements should be established in consultation with the client. When establishing audit requirements, the following should be taken into considerations:

1. Alignment with the organization needs such as the need to meet legal, contractual and certification requirements.

2. Meeting objectives and scope

3. Appropriate to organizational nature, size, and complexity. Consideration of :

Organization business activities

The specific industry where the organization is operating in, and its workforce size.

Question 6

a) As the audit team leader, you are planning an OHSAS 18001 internal audit in your company. Indentify at least 5 factors for consideration in selecting the audit team.(10 Marks)

- Free from any conflict of interest

- Auditing experience (are they experience and competent to work within the scope of the audit or do they need supervision)

- Technical competence and management system experience

- Relevant personal skills and attributes to enable them to conduct an audit successfully

- They should be available for work at the required times and preferably be fluent in the language of the auditee.

- Ensure a balanced team (e.g. those with knowledge of systems, legislative requirements etc)

b) ABC company certified to OHSAS 18001 had an acid spill incident during which a mechanic was injured resulting in hospitalization and absence from work. You are engaged by the company to conduct a surveillance audit, identify 4 key issues for evaluation during the audit and 3 audit trails for each key issue to be followed. (30 Marks)

1) Competence of mechanic in the workplace environment

a) Competence to work on site as a mechanic in accordance with Occupational Safety and Health procedures

b) Training, communication and awareness in the Occupational Safety and Health requirements

c) Site Occupational Safety and Health induction training including emergency procedures

2) Procedure, controls for handling/storage of acid

a) Hazard identification and risk assessment records

b) Operational controls

c) Maintenance of equipment records

d) Training of employees

3) Occupational Safety and Health Planning

a) Risk assessment records of the work required by the mechanic

b) How the mechanic's work was planned (permits to work, method statements etc.)

c) Were there any incident and emergency arrangements in place to cover this type of incident? Were they applied in this case?

4) Incident Investigation

a) Evidence that the incident was recorded and that the relevant authorities were informed?

b) Was an incident report raised and were there any corrective, preventive actions and recommendations to eliminate recurrence?

c) Were the actions, recommendations implemented?

Question 7

How do internal and external auditor differs and how should they relate?

(8 Marks)

Ans: Although they are independent of the activities they audit, internal auditors are integral to the organization and provide ongoing monitoring and assessment of all activities.

On the contrary, external auditors are independent of the organization, and provide an annual opinion on the financial statements. The work of the internal and external auditors should be coordinated for optimal effectiveness and efficiency.