Health and Safety Audit: Definition, Purpose And Key Components

A health and safety audit is a systematic process of evaluating an organization’s policies, procedures, and practices to ensure a safe working environment for employees and visitors. It helps identify potential hazards, compliance gaps, and opportunities for improvement, thereby reducing the risk of accidents and injuries. For example, just like a driver routinely checks their car’s brakes, lights, and tires before a long trip to avoid breakdowns and accidents, a health and safety audit acts as a preventive check to safeguard people at work.

The purpose of a health and safety audit extends beyond mere compliance with legal standards; it aims to foster a culture of safety and continuous improvement. According to the International Labour Organization (ILO), more than 2.3 million people die annually from work-related accidents or diseases, highlighting the critical need for proactive safety measures (ILO, 2019). Key components of such audits typically include risk assessments, inspection of safety equipment, review of emergency procedures, and staff training evaluations, each designed to detect weaknesses and strengthen workplace safety systems.

What Is a Health and Safety Audit?

A health and safety audit is a comprehensive and systematic review of an organization’s health and safety management system. It involves examining policies, procedures, work practices, and the physical environment to assess whether they meet legal requirements and industry best practices. The goal is to identify hazards, evaluate risks, and ensure effective controls are in place to protect employees and others from injury or illness.

Health and safety audits also help organizations uncover gaps in training, communication, and compliance that could lead to workplace accidents or health issues. According to the National Safety Council, workplaces with formal safety audits see up to a 20% reduction in injury rates compared to those without regular audits (NSC, 2021). This demonstrates how audits play a crucial role in improving safety culture and reducing costs related to workplace incidents.

What Is The Purpose of a Health and Safety Audit?

The purpose of a health and safety audit is to identify potential risks and hazards, assess the effectiveness of existing safety measures, ensure compliance with regulations, identify areas for improvement, and reinforce a culture of safety within the organization. These objectives work together to create a safer workplace by proactively managing risks and continuously enhancing safety practices.

Identify potential risks and hazards

A health and safety audit proactively examines the workplace to spot possible dangers that could cause accidents or health issues. This might include identifying unsafe machinery, poor ergonomics, chemical exposures, or slip-and-fall risks. Early detection allows organizations to address these hazards before they result in injury or illness.

Assess the effectiveness of existing safety measures

Audits review whether current safety protocols, procedures, and equipment are working as intended. For example, are fire extinguishers accessible and functional? Are employees following proper lockout/tagout procedures? This assessment ensures that safety systems aren’t just in place on paper but are effective in real-life operations.

Ensure compliance with regulations

Organizations must follow health and safety laws such as OSHA (Occupational Safety and Health Administration) in the U.S. or HSE (Health and Safety Executive) in the U.K. Audits verify adherence to these legal requirements to avoid penalties and legal action. Compliance also protects workers’ rights to a safe workplace.

Identify areas for improvement

No safety system is perfect. Audits highlight weaknesses or gaps, such as outdated training, ineffective communication, or insufficient protective gear, that can be corrected. This continuous improvement cycle helps organizations stay ahead of risks and strengthen their safety culture.

Reinforce a culture of safety

When management conducts regular health and safety audits, it sends a clear message that employee well-being is a priority. This commitment encourages workers to stay vigilant, report hazards, and actively participate in maintaining a safe work environment. A strong safety culture reduces accidents and boosts morale.

By systematically addressing these key areas, health and safety audits help prevent accidents and illnesses, protect employees, and reduce organizational liabilities. Ultimately, they demonstrate a firm commitment to employee well-being and foster a workplace environment where safety is prioritized every day.

What Are the Key Components of a Health and Safety Audit?

The key components of a health and safety audit are review of safety policies and procedures, workplace inspections, hazard identification and risk assessment, evaluation of safety training programs, examination of safety records and documentation, interviews with employees, and development of an action plan. These elements work together to provide a thorough assessment of an organization’s health and safety performance.

Review of Safety Policies and Procedures

Examining documented safety guidelines ensures they are comprehensive, current, and aligned with regulations. According to the Health and Safety Executive (HSE), inadequate or outdated safety policies contribute to nearly 30% of workplace safety breaches (HSE, 2020). Regular review ensures that policies reflect changing laws, technologies, and workplace conditions.

Workplace Inspections

Physical inspections help spot hazards that may not be apparent in paperwork. The U.S. Bureau of Labor Statistics (BLS) reports that regular workplace inspections can reduce injury rates by up to 23% in high-risk industries (BLS, 2021). This makes on-site observation a vital step in hazard prevention.

Hazard Identification and Risk Assessment

Identifying hazards and assessing risks allows organizations to prioritize corrective measures. A study by the European Agency for Safety and Health at Work found that companies with structured risk assessments experienced 25% fewer serious accidents (EU-OSHA, 2019). This approach ensures that the most dangerous threats are addressed first.

Evaluation of Safety Training Programs

Assessing training ensures employees have the skills and knowledge to protect themselves. Research by the American Society of Safety Professionals shows that well-designed safety training programs can lower incident rates by 19% (ASSP, 2020). Evaluations help pinpoint where refresher courses or updated training may be needed.

Examination of Safety Records and Documentation

Reviewing past incident reports, inspection logs, and training records helps track trends and verify compliance. OSHA notes that businesses maintaining accurate safety records are 43% more likely to spot recurring hazards early (OSHA, 2020). Strong documentation practices also improve transparency during legal or regulatory reviews.

Interviews with Employees

Employee interviews uncover hidden safety issues and gauge safety culture. The National Safety Council found that organizations actively engaging employees in safety discussions see a 17% improvement in hazard reporting rates (NSC, 2021). This involvement creates a more proactive safety environment.

Development of an Action Plan

An action plan ensures audit findings lead to measurable improvements. The Canadian Centre for Occupational Health and Safety highlights that implementing a clear corrective action plan can reduce repeat safety violations by up to 40% (CCOHS, 2019). Assigning responsibilities and deadlines ensures accountability and timely resolution.

These key components ensure a health and safety audit is thorough, actionable, and focused on protecting employees and the organization. A well-executed audit leads to safer workplaces and fosters ongoing commitment to health and safety excellence.

What Are The Benefits of Conducting a Health and Safety Audit?

The benefits of conducting a health and safety audit are substantial and multifaceted, impacting not only workplace safety but also employee well-being, financial performance, company reputation, and legal compliance. Key advantages include preventing accidents and injuries, improving employee morale, realizing cost savings, enhancing organizational reputation, and ensuring adherence to legal standards.

Preventing Accidents and Injuries

Health and safety audits systematically identify potential hazards and risks within the workplace. By evaluating processes, equipment, and employee practices, audits help organizations implement corrective measures before incidents occur. According to the National Safety Council (2020), workplaces with regular safety audits experience up to a 25% reduction in injury rates, highlighting the crucial role of audits in accident prevention. Early risk detection not only protects employees but also maintains smooth operations by avoiding downtime caused by accidents.

Improved Employee Morale

A safe work environment directly contributes to employee satisfaction and mental well-being. When employees perceive that their safety is prioritized, they tend to feel more valued and secure, which enhances productivity and reduces absenteeism. Research by the Occupational Safety and Health Administration (OSHA, 2019) found that companies with strong safety cultures reported 20% higher employee engagement levels. Reduced workplace stress from safety concerns leads to better focus and overall job performance.

Cost Savings

By preventing accidents, companies save significant costs related to workers’ compensation claims, legal expenses, and lost productivity. The Liberty Mutual Workplace Safety Index (2021) estimated that the top five causes of workplace injuries alone cost U.S. businesses over $60 billion annually. Investing in regular health and safety audits mitigates these costs by minimizing incident rates and enabling efficient resource allocation toward prevention rather than recovery.

Enhanced Organizational Reputation

A demonstrated commitment to health and safety elevates a company’s public image, making it more attractive to prospective employees, clients, and investors. Firms known for robust safety practices often enjoy higher retention rates and a competitive edge in talent acquisition. The Deloitte Global Human Capital Trends Report (2020) emphasized that 70% of employees consider workplace safety a key factor when choosing or staying with an employer, underscoring how audits contribute to a positive organizational brand.

Ensuring Legal Compliance

Health and safety audits help organizations stay aligned with evolving local, national, and international safety regulations. Compliance reduces the risk of costly fines, legal actions, and business interruptions due to violations. A survey by the British Safety Council (2018) showed that companies conducting regular safety audits had a 40% lower incidence of regulatory breaches, proving audits are an effective tool for legal risk management.

Conducting health and safety audits is a proactive approach that safeguards employees, enhances morale, cuts costs, boosts reputation, and ensures compliance. Organizations that integrate regular audits into their management practices are better equipped to create safer, more efficient, and more reputable workplaces.

What Are the Types of Health and Safety Audits?

The types of health and safety audits are diverse, each serving a unique purpose to ensure a comprehensive approach to workplace safety. These include compliance audits, program audits, management system audits, and behavioral safety audits, all designed to address different facets of health and safety management.

Compliance Audits

Compliance audits focus on verifying whether an organization adheres to specific safety laws and regulations such as those set by OSHA or other relevant authorities. These audits systematically review documentation, workplace conditions, and practices to confirm conformity with mandatory safety standards. According to the U.S. Department of Labor (2021), compliance audits help reduce violations by up to 30%, thereby preventing penalties and fostering a safer work environment.

Program Audits

Program audits evaluate the effectiveness of an organization’s overall safety program. This type of audit examines whether safety policies, training, emergency preparedness, and incident reporting mechanisms are functioning as intended. A study published in the Journal of Safety Research (2022) found that companies conducting regular program audits improved safety performance metrics by 18%, highlighting the importance of continuous program evaluation in sustaining workplace safety.

Management System Audits

Management system audits take a broader approach by assessing the entire health and safety management framework against recognized international standards like ISO 45001. These audits verify that policies, objectives, risk assessments, and management reviews are integrated and aligned with best practices. ISO’s 2020 report indicated that organizations certified under ISO 45001 experienced a 20% reduction in workplace injuries, demonstrating the value of systematic health and safety management.

Behavioral Safety Audits

Behavioral safety audits focus specifically on employee behaviors and their impact on workplace safety. By observing and analyzing worker actions, these audits identify unsafe practices and promote positive safety behaviors through feedback and training. Research by the American Society of Safety Professionals (ASSP, 2019) showed that behavioral interventions following such audits can reduce accidents caused by human error by up to 40%, underscoring the critical role of behavior-focused safety initiatives.

Understanding and implementing various types of health and safety audits allows organizations to address compliance, program effectiveness, system management, and employee behavior comprehensively. This multi-faceted approach is key to building safer workplaces and fostering a culture of continuous improvement.

How Often Should a Health and Safety Audit Be Conducted?

A health and safety audits should be conducted at least annually to maintain a safe work environment. High-risk industries such as construction, manufacturing, and chemical processing may require more frequent audits, sometimes quarterly or semi-annually, to address rapidly changing conditions and higher accident potentials. A report by the International Labour Organization (ILO, 2020) recommends that frequent audits help reduce workplace accidents by up to 35%, emphasizing the importance of regular review.

What Determines the Frequency of Audits?

Seven factors influence how often a health and safety audit should be conducted: the nature of the workplace hazards, past safety performance, regulatory requirements, changes in processes or equipment, and the organization’s size and complexity. 

1. Nature and Level of Workplace Hazards: Workplaces with high-risk activities or hazardous materials (e.g., construction sites, chemical plants) require more frequent audits to promptly identify and mitigate risks. Lower-risk environments may not need audits as often.
2. Past Safety Performance and Incident History: Organizations with a history of accidents, near-misses, or regulatory violations should increase audit frequency to monitor corrective actions and prevent future incidents.
3. Regulatory and Legal Requirements: Local or industry-specific laws may set minimum audit intervals. For example, some sectors require annual audits, while others might mandate inspections quarterly or bi-annually.
4. Changes in Processes, Equipment, or Workforce: Introducing new machinery, modifying workflows, or changes in workforce size or experience can introduce new hazards, necessitating additional audits to reassess safety controls.
5. Organizational Size and Complexity: Larger organizations or those with multiple locations often require more frequent and varied audits to ensure consistent safety standards across all sites.
6. Results from Previous Audits: If prior audits revealed significant non-compliance or safety gaps, more frequent follow-up audits may be necessary to verify that corrective measures are implemented effectively.
7. Safety Culture and Management Commitment: Companies with proactive safety cultures might conduct audits more regularly as part of continuous improvement, whereas organizations with less mature safety systems might audit less frequently.

A tailored audit frequency based on these factors helps optimize resource use while ensuring safety risks are adequately managed. The National Safety Council (2021) notes that such a risk-based approach improves audit effectiveness by 25%.

Are There Legal Requirements for Audit Intervals?

Legal requirements for health and safety audit intervals vary by country and industry. In many jurisdictions, regulators mandate periodic safety inspections or audits, with intervals ranging from annually to every three years, depending on the sector. For instance, OSHA recommends annual audits for workplaces with moderate risks but may require more frequent inspections for high-hazard environments (OSHA, 2022). Compliance with these legal mandates is crucial to avoid penalties and ensure workplace safety.

The frequency of health and safety audits should be tailored to the organization’s risk profile, operational changes, and legal obligations. Regular and risk-based auditing is essential to maintaining a safe and compliant workplace.

Who Is Responsible for Conducting a Safety Audit?

Both internal and external auditors are responsible for conducting a safety audit, each playing a distinct but complementary role in ensuring workplace safety.

Internal Auditors

Internal auditors are employees or designated safety personnel within the organization who conduct regular audits to monitor ongoing compliance and identify potential hazards. Their intimate knowledge of company processes and culture allows them to provide timely and practical recommendations. According to a survey by the American Society of Safety Professionals (ASSP, 2020), organizations with dedicated internal audit teams experienced a 15% faster resolution of safety issues compared to those relying solely on external audits. Internal audits also help foster a culture of continuous safety improvement by engaging employees directly in safety practices.

External Auditors

External auditors are independent professionals or third-party firms hired to provide an unbiased evaluation of a company’s health and safety management systems. Their objective perspective can uncover gaps or blind spots that internal teams might overlook. The International Labour Organization (ILO, 2019) found that companies using external safety audits reported a 22% improvement in compliance with international safety standards. Additionally, external audits often carry more weight with regulators and stakeholders, enhancing credibility and demonstrating a company’s commitment to rigorous safety oversight.

Combining internal and external audits provides a comprehensive safety review, balancing detailed internal insights with impartial external evaluation to create safer workplaces and ensure regulatory compliance.

How Do You Prepare for a Health and Safety Audit?

To prepare for a health and safety audit, one must ensure a smooth and effective health and safety audit. This involves organizing relevant documents, training staff, and using tools like checklists to cover all audit requirements comprehensively.

What Documents and Records Should Be Ready?

You should have all relevant health and safety documents and records organized and readily available for the auditor. These typically include:

• Safety policies and procedures
• Training records and certifications
• Incident and accident reports
• Risk assessments and hazard analyses
• Equipment maintenance logs
• Emergency response plans
• Inspection and previous audit reports

According to a study by the Safety Science Journal (2021), organizations that maintained well-organized documentation saw audit completion times reduced by 30%, highlighting the importance of thorough record-keeping.

How Do You Train Staff Before an Audit?

Training staff before an audit ensures they understand the audit process and their roles in maintaining compliance. This includes:

• Informing employees about the audit purpose and schedule
• Reviewing safety procedures and best practices
• Conducting refresher training on emergency protocols and hazard reporting
• Encouraging open communication so employees can answer auditors confidently

The National Institute for Occupational Safety and Health (NIOSH, 2020) found that staff training before audits improved audit outcomes by 20%, as employees were better prepared to demonstrate compliance and participate actively.

Can You Use a Checklist to Prepare?

Yes, using a detailed checklist is an effective way to prepare for a health and safety audit. Checklists help ensure that no important area or document is overlooked and that all safety standards are systematically reviewed. A well-designed checklist covers regulatory requirements, company policies, and operational practices. A report from the British Safety Council (2022) emphasized that organizations using audit preparation checklists reduced audit-related findings by 25%, demonstrating the checklist’s value in promoting readiness.

Preparing for a health and safety audit requires organized documentation, trained staff, and the use of checklists. These steps help facilitate a successful audit and demonstrate an organization’s commitment to safety.

What Is Included in a Health and Safety Audit Checklist?

A health and safety audit checklist includes a comprehensive review of workplace safety. It ensures that all critical areas are assessed systematically, helping organizations identify gaps and maintain compliance with safety standards.

Key Checklist Items for Physical Workplace Inspections

During physical inspections, the checklist typically includes the following

• Workplace Environment: Checking for cleanliness, adequate lighting, ventilation, and temperature control.
• Equipment Safety: Ensuring machinery and tools are properly maintained, guarded, and used correctly.
• Emergency Preparedness: Verifying availability and accessibility of fire extinguishers, first aid kits, exit routes, and emergency signage.
• Hazard Controls: Assessing the presence and condition of safety barriers, warning signs, and personal protective equipment (PPE).
• Housekeeping: Observing storage practices, waste disposal, and slip/trip hazards.
  According to a study in the Journal of Occupational Health (2021), organizations that regularly used detailed physical inspection checklists reduced workplace hazards by up to 28%, demonstrating the checklist’s effectiveness in risk control.

What Questions Should You Ask During a Safety Audit?

Key questions to ask during a health and safety audit include:

• Are all employees trained and aware of safety procedures?
• Is there documentation of regular maintenance and inspections?
• How are incidents and near-misses reported and investigated?
• Are emergency drills conducted regularly?
• Is management actively involved in safety oversight?
• Are safety policies reviewed and updated as needed?
  These questions help auditors evaluate both the practical and administrative aspects of safety management. The American Industrial Hygiene Association (AIHA, 2020) highlights that targeted questioning improves the accuracy of audits by focusing on critical compliance and behavioral factors.

Free Downloadable Safety Audit Checklist (CTA or Lead Magnet)

To assist organizations in preparing for audits, safety experts and regulatory bodies offer free downloadable safety audit checklists. These comprehensive templates provide a step-by-step guide covering physical inspections, documentation reviews, and employee interviews. Using such checklists can streamline audit preparation and improve compliance outcomes. You can find trusted, downloadable checklists on websites like OSHA.gov, the British Safety Council, or the Canadian Centre for Occupational Health and Safety (CCOHS).

How Is a Health and Safety Audit Conducted?

A health and safety audit is conducted through a systematic process that ensures all aspects of workplace safety are reviewed thoroughly. This process typically involves four main stages: planning, execution, reporting, and follow-up.

Step-by-Step Process

1. Planning

The planning phase involves defining the audit scope, objectives, and criteria. Auditors gather background information about the organization, its safety policies, and previous audit results. They also schedule the audit and notify relevant departments. According to the International Safety Equipment Association (ISEA, 2021), thorough planning improves audit efficiency and effectiveness by up to 30%.

2. Execution

During execution, auditors conduct physical inspections, review documents, and interview employees to assess compliance and identify risks. They use checklists and observation techniques to ensure consistency and comprehensiveness. This phase involves verifying equipment safety, workplace conditions, employee behavior, and record accuracy.

3. Reporting

After collecting data, auditors compile their findings into a detailed report. The report highlights strengths, identifies non-compliance issues, and recommends corrective actions. Clear, actionable reporting helps management prioritize improvements. The Safety Science Journal (2022) notes that well-structured reports increase management response rates by 40%.

4. Follow-up

The follow-up stage ensures that corrective actions are implemented and effective. Auditors may conduct additional visits or reviews to verify improvements. Continuous monitoring through follow-up helps sustain safety standards and prevent recurring issues.

How Long Does an Audit Usually Take?

The duration of a health and safety audit depends on the size and complexity of the organization, the audit scope, and the number of sites involved. Small workplaces may require only a few hours, while larger or multi-location organizations might need several days or weeks. On average, a typical audit lasts between one to three days. A survey by the Institute of Occupational Safety and Health (IOSH, 2020) found that allocating sufficient time correlates with a 25% increase in audit thoroughness and accuracy.

Conducting a health and safety audit involves careful planning, detailed execution, clear reporting, and diligent follow-up. The time invested in each stage is critical to ensuring a comprehensive and effective safety evaluation.

What Happens After the Health and Safety Audit?

After a health and safety audit is completed, the focus shifts to addressing the audit findings and ensuring continuous improvement. This involves handling non-conformities, applying corrective and preventive actions, and implementing necessary changes to enhance workplace safety.

How to Handle Audit Findings and Non-Conformities

To handle audit findings and non-conformities, it is important to prioritize them based on their severity and potential impact.

• Document Findings Clearly: Each non-conformity should be recorded with detailed descriptions, evidence, and references to relevant standards or policies.
• Categorize by Severity: Prioritize findings based on their potential impact on health and safety, critical issues require immediate attention, while minor ones can be scheduled later.
• Communicate to Stakeholders: Share findings promptly with management, safety teams, and affected departments to ensure awareness and collaboration.
• Establish Accountability: Assign responsible individuals or teams to address each non-conformity, ensuring clear ownership of corrective steps.
• Set Deadlines: Define realistic but firm timelines for resolving each issue to maintain momentum and compliance.
• Monitor Progress: Track corrective actions and update stakeholders regularly until issues are fully resolved.

The European Agency for Safety and Health at Work (EU-OSHA, 2021) emphasizes that timely and transparent communication of audit results improves corrective action implementation by 35%.

What Are Corrective and Preventive Actions (CAPA)?

Corrective actions address identified problems or non-conformities by eliminating their causes to prevent recurrence.

• Aim to eliminate the root cause of identified safety issues or non-compliances.
• Examples include repairing faulty equipment, revising unsafe procedures, or retraining staff.
• Focus on stopping the recurrence of similar incidents.

Preventive actions, on the other hand, focus on identifying potential issues and implementing measures to avoid them before they occur.

• Proactively identify potential hazards before they cause problems.
• May involve risk assessments, process improvements, or implementing new safety technologies.
•   Designed to prevent new issues from arising in the first place.

CAPA forms a structured approach to continuous safety improvement. A report from the Quality Management Journal (2020) found that organizations with robust CAPA processes reduced workplace incidents by 30% compared to those without formal systems.

How to Implement Changes Based on Audit Results?

Implementing changes based on audit results starts with developing an action plan that specifies tasks, responsibilities, and deadlines for each corrective or preventive measure.

Develop a Detailed Action Plan

• List specific tasks to address each audit finding.
• Assign roles and responsibilities for task completion.
• Set clear deadlines for each action item.

Engage Employees and Management

• Ensure leadership supports and champions the changes.
• Involve employees in planning and feedback to increase buy-in and practicality.

Provide Training and Communication

• Conduct targeted training sessions to introduce new procedures or safety controls.
• Use meetings, emails, and signage to reinforce key messages.

Monitor and Measure Effectiveness:

• Track implementation progress and compliance through follow-up checks.
• Use key performance indicators (KPIs) to measure safety improvements.

Conduct Follow-up Audits:

• Verify that corrective and preventive actions have been effectively applied.
• Identify any remaining gaps or new risks to address.

Promote a Culture of Continuous Improvement:

• Encourage ongoing feedback and reporting of hazards.
• Regularly update policies and procedures based on lessons learned.

After a health and safety audit, addressing findings through CAPA and systematically implementing changes are vital steps to reduce risks and build a safer workplace. These actions transform audit insights into practical improvements.

How Does A Health And Safety Audit Differ From A Safety Inspection?

A health and safety audit differs from a safety inspection primarily in scope, purpose, and depth of evaluation. Understanding these differences helps organizations apply the right approach to maintaining a safe workplace.

Aspect	Health and Safety Audit	Safety Inspection
Scope	Comprehensive review of the entire safety management system	Focused check of specific workplace areas or tasks
Purpose	Evaluate effectiveness of policies, procedures, and compliance	Identify immediate hazards and unsafe conditions
Frequency	Periodic, often annually or semi-annually	Regular, often daily or weekly
Methods Used	Document review, interviews, observations	Visual examination and spot checks
Focus Areas	Safety culture, training, risk management, compliance	Physical conditions, equipment, employee behavior
Duration	Longer, can take days depending on organization size	Shorter, usually minutes to a few hours
Outcome	Detailed report with strategic recommendations	Immediate corrective actions for hazards found
Conducted By	Internal or external auditors	Supervisors, safety officers, or designated staff

Audits provide a broad and detailed evaluation of safety management systems over time, while inspections are frequent, targeted checks aimed at preventing accidents on the spot. Both are essential components of an effective safety program.

What’s the difference between an audit and a risk assessment?

An audit and a risk assessment are both critical tools in workplace safety but serve different purposes and focus on distinct aspects of health and safety management. Understanding their differences helps organizations apply them effectively for better risk control and compliance.

Aspect	Health and Safety Audit	Risk Assessment
Purpose	To evaluate the effectiveness and compliance of safety systems	To identify, analyze, and evaluate specific workplace hazards and risks
Focus	Entire safety management system, policies, and procedures	Specific hazards, tasks, or processes
Scope	Broad and comprehensive, covering multiple areas	Narrower, focused on particular activities or hazards
Methodology	Document reviews, interviews, observations, and inspections	Hazard identification, risk analysis, and control measures
Frequency	Periodic, usually annual or as required	Conducted before new tasks/processes or when changes occur
Outcome	Audit report with compliance status and recommendations	Risk control measures and mitigation strategies
Objective	Ensure compliance and improve safety management	Prevent accidents by managing specific risks
Conducted By	Internal or external auditors	Safety officers, supervisors, or risk management teams

While audits assess how well an organization manages overall safety, risk assessments focus on identifying and controlling specific hazards to prevent incidents. Both processes are complementary and essential for a robust health and safety program.

Can a company fail a health and safety audit?

Yes, a company can fail a health and safety audit if it does not meet the required standards and regulations set by relevant authorities or the audit criteria established for the organization. Failing an audit means significant non-compliances, hazards, or deficiencies were identified that pose risks to employee safety or legal compliance.

Common reasons for failing a health and safety audit include:

• Lack of proper safety policies or outdated procedures
• Poor documentation or missing records
• Unsafe working conditions or equipment
• Inadequate employee training or awareness
• Failure to address previous audit findings
• Non-compliance with legal and regulatory requirements

Failing an audit usually triggers a formal corrective action plan, where the company must address the issues within a specified timeframe to avoid penalties, fines, or even shutdowns. While a failure indicates serious gaps, it also provides an opportunity for the organization to improve its safety culture and practices.

What happens if non-compliance is found?

If non-compliance is found during a health and safety audit, there are six several important steps that can be followed to address and resolve the issues.

1. Documentation of Non-Compliance: The specific areas where the company fails to meet safety standards are clearly recorded in the audit report, detailing the nature and severity of the non-compliance.
2. Notification to Management: Management and relevant departments are formally informed about the findings so they understand the risks and legal implications involved.
3. Corrective Action Plan: The organization is required to develop and implement a corrective action plan (CAPA) to fix the identified problems. This plan outlines steps, responsibilities, and deadlines for resolving non-compliances.
4. Follow-up and Verification: Auditors or safety officers conduct follow-up inspections or audits to verify that corrective actions have been completed effectively and non-compliances have been addressed.
5. Possible Penalties or Legal Consequences: Depending on the severity and regulatory environment, failure to address non-compliance can result in fines, legal action, increased scrutiny from regulators, or operational shutdowns.
6. Continuous Improvement Opportunity: Non-compliance findings serve as a catalyst for improving safety systems, employee training, and overall workplace culture to prevent future issues.

Non-compliance triggers a structured response aimed at correcting deficiencies and ensuring the company moves toward full compliance to protect workers and meet legal obligations.

Who reviews the audit report?

The audit report is typically reviewed by several key parties within an organization to ensure that findings are understood and acted upon effectively.

• Senior Management: They review the report to understand overall safety performance, risks, and compliance gaps. Their role includes approving corrective action plans and allocating resources for improvements.
• Health and Safety Committee or Team: This group analyzes detailed findings to develop practical solutions and monitor implementation of corrective measures.
• Department Heads or Supervisors: They focus on audit results relevant to their areas, ensuring that their teams address specific issues identified during the audit.
• Internal Auditors or Safety Officers: These professionals review the report to verify accuracy, follow up on action plans, and plan future audits.
• External Stakeholders (if applicable): In some cases, external auditors, regulators, or clients may also review the audit report to ensure compliance with contractual or legal requirements.

Collectively, these reviewers ensure that audit findings lead to meaningful improvements in workplace safety.