This checklist checks unsafe practices, near misses and accidents are reported and investigated, and reported to the enforcing authority where required.

Effective Audit Checklists

Prepared using the F-Q2A Audit Checklist form template.

The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:

• Checklist number and title
• Information-classification
• Version
• Page number / total pages

alphaZ documents - beautifully designed, tried and tested audit checklists. No junk, jargon or unnecessary questions. Simple and usable audit checklists developed over 25 years through practical use in the real world.

Further Reading

Further guidance on accident reporting and internal auditing:

• Accident, Incident and Near Miss Reporting
• ISO 45001 Clause 10.2 - Incident, Nonconformity and Corrective Action
• Internal Auditing knowledge base

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How to Download

This file is included in the alphaZ subscription. This checklist is also included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them, so the toolkit route gives you this file plus everything else you need in one download.

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Accident, Incident and Near Miss Reporting Audit Checklist Template

A process audit checklist for auditing accident, incident and near miss reporting: how unsafe practices, near misses and accidents are reported, which must be reported to the enforcing authority, and how they are investigated. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.

Questions Covered

• How unsafe practices, near misses and accidents are reported
• Which accidents, incidents and cases of occupational ill health must be reported to the enforcing authority, and whether they are reported within the required timescales
• How accidents and incidents are investigated, and the action taken to prevent them happening again

Carrying Out the Audit

Sample a few recent reports, including at least one near miss, and follow each one through the investigation to the actions taken. For any accident that had to be reported to the enforcing authority, which in the UK is under RIDDOR, check the date it was reported against the date it happened. A low number of near miss reports is worth asking about, as it can mean they are not being reported rather than not happening.

Planning the Audit

Have the accident book or accident records, near miss reports and investigation records to hand, along with the accident statistics if they are kept.

Who Should Carry Out the Audit?

Anyone trained in internal auditing who is independent of the area being audited. The questions are written in plain language, so the checklist also works well for training new internal auditors.

Included in the ISO Toolkits

This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.

Related Documents

Documents that work alongside this checklist:

• F-HS13 Accident Report Form
• F-HS6 Near Miss Reporting Form
• F-HS26 Unsafe Practice Report
• ER18 Accident Statistics
• PP-7-04 Accident and Incident Reporting Policy Procedure

Part of the Process Audit Checklists

This is one of the alphaZ process audit checklists, each covering a single area of the management system, so audits can be spread across the year using the ER11 Audit Schedule. The completed checklist becomes the record of the audit, and the results can be written up using the F-Q31 Audit Report.

Adapting the Checklist

The questions can be edited, added to or removed to suit the way the organisation works, and the scope and criteria at the top changed to match the area being audited. Because every alphaZ audit checklist uses the same F-Q2A layout, audit records look the same whichever area was audited, which makes them easier to review and compare.

Using the Findings

Late or missing reports, and investigations without actions, are raised as findings, and trends from the accident statistics are taken to management review.