Best Practices for Health and Safety Audit Preparation

Health and safety audits are a legal obligation when maintaining a safe workplace and ensuring compliance with regulations. Proper preparation can make the difference between a successful audit and one that reveals costly gaps in your safety program.  

Understanding the Importance of Health and Safety Audits 

What are health and safety audits? 

Health and safety audits are carried out to ensure that your business is in accordance with the Health and Safety at Work etc Act 1974, which dictates the health and safety requirements in the UK. It sets out the general duties which employers have towards employees and members of the public, employees have to themselves and to each other and self-employed persons have towards themselves and others. The audits don’t have to be complex, but they need to be done meticulously, showing deliverables and clear outcomes.  

Before diving into preparation techniques, let’s understand why health and safety audits are important: 

• They help identify potential hazards and areas for improvement 

• Ensure compliance with legal requirements 

• Demonstrate commitment to employee safety 

• Can reduce accidents and associated costs 

• Improve overall workplace efficiency and morale 

How to prepare for a health and safety audit 

Organising Documentation 

 Which documents should you prepare?   

• Health and safety policies and procedures 

• Risk assessment records 

• Training logs and certificates 

• Incident reports and investigation outcomes 

• Equipment maintenance records 

• Previous audit reports and action plans 

Conducting Pre-Audit Assessments 

Before the official audit, it’s recommended to conduct an internal assessment so that you carry out a self-assessment: 

• Use previous audit reports as a guide 

• Perform a walkthrough of your facility, noting any visible issues 

• Review your safety management system for gaps 

• Check that all required safety equipment is in place and functional

Engaging Employees in the Audit Process 

Employee involvement is crucial for a successful audit so that everyone works together and understands the importance of an audit:   

• Communicate the importance and purpose of the audit to all staff 

• Encourage employees to report any safety concerns 

• Conduct safety meetings to review procedures and expectations 

• Assign roles and responsibilities for the audit day 

Developing Comprehensive Audit Checklists 

You should create detailed checklists covering all aspects of your health and safety program. This should include aspects such as: 

• Physical hazards and controls 

• Chemical management 

• Emergency procedures 

• Training programs 

• Personal protective equipment (PPE) 

• Workplace ergonomics 

• Mental health and well-being initiatives   

Scheduling the Audit 

• Choose a date that doesn’t conflict with major business activities 

• Ensure key personnel will be available 

• Allow enough time for thorough preparation 

• Communicate the audit schedule to all relevant parties   

Assigning Responsibilities to the Audit Team 

Clear role assignment is essential so that each team member knows what their responsibility is:   

• Designate an audit coordinator to oversee the process 

• Assign specific areas or topics to team members based on expertise 

• Ensure each team member understands their responsibilities 

• Provide necessary training or briefing for audit team members 

Planning for Physical Inspections 

Physical inspections are a key part of most health and safety audits: 

• Ensure all areas are clean and well-organised 

• Check that all safety signage is clearly visible and up-to-date 

• Verify that all safety equipment is in place and properly maintained 

• Prepare employees in each area for potential questions from auditors 

Reviewing and Updating Emergency Procedures   

Emergency preparedness is often a focus of health and safety audits: 

• Review and update all emergency procedures 

• Ensure emergency contact information is current 

• Check that emergency equipment (fire extinguishers, first aid kits, etc.) is readily available and in good condition 

• Consider conducting a mock emergency drill as part of your preparation   

Training and Briefing Employees 

Well-prepared employees can significantly contribute to a successful audit:   

• Conduct refresher training on key health and safety procedures on an annual basis 

• Brief employees on what to expect during the audit 

• Encourage honesty and transparency when interacting with auditors 

• Remind employees of the positive outcomes of a successful audit 

Preparing for Common Audit Questions 

Anticipate and prepare for frequently asked questions:   

• How are health and safety policies communicated to employees? 

• What is the process for reporting and investigating incidents? 

• How often are risk assessments conducted and reviewed? 

• What health and safety training do employees receive? 

Thorough preparation is key to a successful health and safety audit. Remember, the goal of an audit is not just to pass, but to identify areas for improvement and strengthen your overall health and safety program. With proper preparation, you can turn your audit into an opportunity for growth and enhanced workplace safety. Find out more about our health and safety audits and inspections at CQMS.