📖 Introduction
Health and safety auditing is one of the most effective tools for assessing how well an organisation’s
health and safety management system is performing. An audit is not just a routine inspection—it is a
systematic, independent, and documented process for evaluating compliance, identifying gaps, and driving
continuous improvement in workplace safety.
This lecture explores the role of audits within the Plan-Do-Check-Act (PDCA) cycle, the difference between
internal and external audits, the step-by-step audit process, and the benefits that auditing provides for
both employers and employees. We will also highlight how audits strengthen compliance with health and safety law
and enhance organisational reputation.
🎯 Learning Outcomes
- Understand the purpose and objectives of health and safety auditing.
- Differentiate between audits, inspections, and reviews.
- Identify the characteristics of effective auditing.
- Explain the audit process in detail.
- Recognise the benefits of audits for legal compliance, cost reduction, and safety culture.
⚖️ What is a Health and Safety Audit?
A health and safety audit is a structured process that examines whether the organisation’s safety systems,
policies, and procedures are working as intended. Unlike inspections, which focus on identifying immediate hazards,
audits evaluate the effectiveness of management systems in preventing accidents and ensuring compliance with
legislation such as Occupational Safety and Health Regulations.
👉 In simple terms: Inspections find problems on the surface, audits dig deeper into the system.
🛠️ Types of Audits
Internal Audits
Conducted by trained staff within the organisation, internal audits provide valuable insight into day-to-day
safety management practices. They are usually less formal but more frequent, helping to identify
non-conformities early and encourage a culture of continuous improvement.
External Audits
These are carried out by independent third parties such as government inspectors, certification bodies,
or professional consultants. External audits are often more formal, objective, and may be required for
legal compliance, insurance purposes, or ISO certification (e.g., ISO 45001 for occupational health and safety).
🔍 The Audit Process
To be effective, an audit must be systematic and evidence-based. A typical audit follows these steps:
- Planning the Audit: Define scope, objectives, and criteria. Assign competent auditors
and schedule the audit in advance. - Collecting Information: Review policies, procedures, risk assessments, training records,
and accident statistics. - Conducting Interviews: Speak with employees, supervisors, and managers to verify whether
documented policies are being followed in practice. - Workplace Observations: Observe tasks, equipment use, and behaviours to check compliance
with safe systems of work. - Recording Findings: Document strengths, weaknesses, and non-conformities
against legal requirements or company standards. - Reporting: Present a clear and structured report with recommendations for corrective actions.
- Follow-up: Monitor implementation of corrective actions and verify improvements in the system.
📊 Characteristics of Effective Audits
- Independence: Auditors must be impartial and free from conflicts of interest.
- Competence: Auditors should have technical knowledge of safety standards and legislation.
- Systematic Approach: The audit must be structured, documented, and based on evidence.
- Objectivity: Findings should be factual, not based on personal opinion.
- Constructive Reporting: Reports should include practical solutions, not just criticism.
⚠️ Benefits of Health and Safety Auditing
Audits deliver wide-ranging benefits for both organisations and workers:
- Legal Compliance: Ensures the company meets health and safety legislation, avoiding fines or prosecution.
- Risk Reduction: Identifies weaknesses in the management system before they lead to accidents.
- Cost Savings: Prevents costly incidents, reduces insurance premiums, and avoids downtime.
- Improved Safety Culture: Demonstrates management commitment to safety, encouraging worker participation.
- Enhanced Reputation: Certification from external audits builds trust with clients, investors, and regulators.
🏢 Example Case
A manufacturing company underwent an external audit to meet ISO 45001 certification.
The audit identified several gaps, including incomplete risk assessments and insufficient training records.
By implementing corrective actions—such as refresher training, updated risk assessments, and better documentation—the company
reduced accident rates by 40% within a year and successfully obtained certification, strengthening both compliance
and client confidence.
📝 Mini Quiz (Self-Check)
- What is the main difference between inspections and audits?
- List at least three characteristics of an effective audit.
- Why do external audits add value beyond internal audits?
🔑 Summary
- A health and safety audit is a systematic review of safety management systems.
- It differs from inspections because it evaluates systems, not just hazards.
- Audits may be internal or external, each with unique benefits.
- The audit process involves planning, information collection, interviews, observations, reporting, and follow-up.
- Effective audits strengthen compliance, risk management, and safety culture.
🚀 What’s Next in IG1
Lecture 10: Reviewing Health and Safety Performance
In the next lecture, we will focus on performance review methods, key performance indicators, and management review techniques
that drive continuous improvement in occupational health and safety.