This checklist checks how risk assessments are completed and by whom, and whether incidents have fed back into them.

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 risk assessment and internal auditing:

• Risk Assessment
• Risk Scoring with Likelihood and Consequence
• 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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If you'd like hands-on help completing your internal audits or training your internal auditors, our remote support services provide direct expert input from our team, by the day, by project, or on an ongoing basis.

Safety Risk Assessments Audit Checklist Template

A process audit checklist for auditing safety risk assessments: how they are completed and managed, how issues found are actioned, who carries them out, and how incidents are taken into account. 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 safety risk assessments are completed and managed
• How issues identified in a risk assessment are recorded and actioned
• Who carries out risk assessments, and what competence they need
• Whether there has been an incident in an area that had a risk assessment, and if so what investigation was done and what action was taken
• How incidents are taken into account in future risk assessments

Carrying Out the Audit

Pick an incident from the accident records and find the risk assessment for that activity, then check whether it was reviewed afterwards and what changed. Checking the competence of the people who wrote a few of the assessments covers the third question.

Planning the Audit

Have the risk assessment register, a sample of assessments, the accident and incident records and the training records of the people who carry out assessments to hand.

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-HS20 General Risk Assessment
• F-HS14 Task Risk Assessment Form
• F-HS12 Risk Assessment Register
• PP-7-03 Completing a Risk Assessment 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

Assessments not reviewed after an incident, or actions not completed, are raised as findings and followed up through corrective action.