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.