Template

Legal Compliance Audit Template

by Nigel Martin, from the Community

10+

This legal compliance audit template helps organizations review key health and safety and risk controls across the workplace. Sections cover policy and management review, accident reporting and RIDDOR, consultation with employees, electrical safety and PAT, emergency and fire safety, first aid, COSHH and LEV, asbestos and legionella, PPE, PUWER and LOLER, contractor and visitor management, vehicles at work, work at height, housekeeping and facilities, pressure systems, and training and supervision. Use it to identify gaps, capture observations, assign corrective actions, and maintain evidence of due diligence for regulatory compliance and audits.

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Eliminate mistakes made by paper-based processes

Create and share professional reports instantly

Confirm accountability and compliance with a digital log

About author

Community

This community page makes available free workplace checklists and templates created by other users within the SafetyCulture community. SafetyCulture has re-published this content and where possible, has credited the original author. SafetyCulture has not verified the accuracy, reliability or suitability of any community content. You agree that your use of any of this content is in accordance with SafetyCulture’s Terms and Conditions.

Template
Legal Compliance Audit Checklist
Use this comprehensive legal compliance audit checklist to review company policies, roles and responsibilities, and management reviews. Evaluate accident reporting and investigation, emergency planning, fire risk assessment, alarms and extinguishers, and escape routes. Verify electrical safety including EICR and PAT, plus PPE, COSHH, SDS, LEV, legionella controls, asbestos, and DSEAR where applicable. Cover first aid, DSE and manual handling, training and supervision, machinery safety under PUWER and LOLER, lifting equipment, contractor management, vehicles at work, work at height, and housekeeping. Capture evidence, note observations, assign actions, and monitor completion to maintain regulatory compliance across the workplace.
by Nigel Martin, from the Community
Downloads: 10+
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Template
Health and Safety Gap Analysis Audit
This Health and Safety Gap Analysis Audit helps organizations systematically evaluate their safety management system and close compliance gaps. Review core elements including policy and communication, staff training and toolbox talks, manual handling, risk assessments and safe systems of work, COSHH and chemical controls, fire safety and emergency procedures, incident investigation and reporting, internal audits, and first aid readiness. Assess machinery and statutory inspections such as LOLER, LEV and pressure systems, PPE and RPE programs including face fit, asbestos controls, electrical and gas safety, noise and DSE, working at height, contractor management and permits to work, waste handling, work areas and vehicles, documentation, and overall site tidiness.
by Rob Brown, from the Community
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Template
Key Document 5: Health and Safety Inspection
This health and safety inspection checklist supports quarterly reviews and annual audits across facilities. It covers policy and management responsibilities, contractor control and permits to work, incident reporting and analysis, risk assessments, fire safety and evacuation planning, emergency action plans, staff training and competence, first aid, DSE, COSHH, electrical safety, asbestos management, work at height, internal and external audits, car park and vehicle movement, legionella controls, and event safety. Use it to evidence compliance, assign actions, and track progress.
by alex copland, from the Community
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Template
Annual Health and Safety Compliance Checklist 2023
This annual checklist helps organizations evaluate health and safety compliance across sites. It covers leadership responsibilities, management systems, policies, competent person, workplace facilities, noticeboards, risk profiling, and both general and specific risk assessments including COSHH, DSE, noise, vibration, confined spaces, and working at height. It includes hazardous substance inventories, communication of findings, safe systems of work, legionella, asbestos, fire risk management and records, contractor controls and permits to work, inspections and audits, LOLER and PUWER checks, traffic management, emergency response and business recovery, training matrices and mandatory training, first aiders and fire marshals, mental health support, incident and accident reporting, RIDDOR compliance, document awareness, and performance review.
by Mark Leach, from the Community
Downloads: 10+
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Legal Compliance Audit Template

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