Audit 123 Level 3 - Guidance

This guidance supports the corresponding workbooks: Risk management - workbook, Emergency procedures - workbook, Safety procedures - workbook and Off the job safety - workbook.

Risk management

It is a business imperative that organisations, including government bodies, manage their risk in a structured and effective way. These checklists enable you to conduct incisive audits to determine your organisation's level of risk management. They follow and reflect many of the principles originally captured within the Turnbull report and the Combined Code that arose from the report. The checklists take these principles and relate them to health and safety risks.

Divided into five sections, reflecting the primary components required for the effective management of risk.

• Section One - Risk awareness
• Section Two - Internal controls for managing risk
• Section Three - Reviewing the effectiveness of internal controls
• Section Four - Statement of internal controls
• Section Five - Internal audit

Each section has a number of audit requirements within it, for example Section Two - 'Internal controls for managing risk' has 39 separate, detailed requirements. Each requirement has helpful evaluation guidance to consider when auditing.

Emergency procedures

Getting health and safety right means preventing things going wrong wherever you can and preparing for if it does go wrong. This valuable checklist enables you to conduct audits to determine your organisation's level of preparedness for emergencies. 

Divided into four sections, reflecting the primary components required for the effective management of risk. 

• Section One - Identifying the need for emergency procedures
• Section Two - Controlling emergencies
• Section Three - Disaster recovery
• Section Four - Review

Each section has a number of audit requirements within it, for example Section One - 'Identifying the need for emergency procedures' has 16 separate, detailed requirements. Each requirement has helpful evaluation guidance to consider when auditing.

Safety procedures

Effective management of health and safety can be divided into technical controls, procedural controls and human factor controls. Safety procedures are an important part of any organisation's activities and are particularly important in high risk activities. This well structured checklist enables you to conduct audits to determine the effectiveness of your organisation's safety procedures.

Divided into three sections, reflecting the primary components required for the effective management of risk.

• Section One - Administration
• Section Two - Safe systems of work
• Section Three - Permit to work

Each section has a number of audit requirements within it, for example Section One - 'Administration' has 22 separate, detailed requirements. Each requirement has helpful evaluation guidance to consider when auditing.

Off-the-job Health and Safety

Many businesses have improved their success with occupational health and safety by realising the importance of off-the-job health and safety. This checklist enables you to conduct audits that reflect the wide range of issues comprising off-the-job health and safety.

Divided into two sections, reflecting the primary components required for the effective management of risk.

• Section One - Management systems
• Section Two - Risk controls

Each section has a number of audit requirements within it, for example Section Two - 'Risk Controls' has 43 separate, detailed requirements. Each requirement has helpful evaluation guidance to consider when auditing.

If you have an interest in auditing the primary health and safety management system you will find the Management Systems - HSG65 checklist appropriate and useful. The series of checklists, Audit 123 - Health and safety in the workplace, that focus on general health and safety matters that affect all organisations would provide structure and guidance to your audits.

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