This checklist checks accidents and incidents are reported and recorded, what encourages reporting, and what is done to prevent them.
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
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Further guidance on accident reporting and internal auditing:
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Accident and Incident Reporting Audit Checklist Template
A process audit checklist for auditing safety accident and incident reporting: how accidents and incidents are reported and recorded, what is done to encourage reporting, and the preventive measures taken. 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 accidents and incidents are reported
- What is done to encourage everyone to report accidents and incidents
- How accidents and incidents are recorded and dealt with
- What preventive measures are taken to stop or reduce accidents and incidents
Carrying Out the Audit
Sample a few recent accident and incident records and follow each one to the action taken. Asking people how they would report an accident, and whether they feel able to, shows whether the steps taken to encourage reporting are working.
Planning the Audit
Have the accident records, the accident statistics and details of anything done to encourage reporting, such as briefings or toolbox talks, to hand. If the organisation works shifts, talk to people on more than one of them, as reporting habits can differ.
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. The A-C_P27 checklist also covers near misses and reporting to the enforcing authority:
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
Under-reporting, records without actions, or preventive measures not followed through are raised as findings, and trends are taken to management review.
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