Conduct Audit Checklist

It is recommended that the following checklist be used to review the incident

investigation, and to ensure everything has been done. You may want to use this
checklist to assess your investigations at the workplace.
NO. QUESTION YES NO

Were the incident report forms completed at the time of

1
the incident?

Were the incident compensation report forms completed at

2
the time of the incident?

Was the CEO/GM advised of the incident when it was first

3
reported?

Was the health and safety representative advised of the

4
incident when it was first reported?

5 Has a documented investigation been initiated?

6 Has the investigation been completed?

Who conducted the investigation? Name:

7
...................................................................

Who was responsible for the investigation? Name:

8
.....................................................

Did the investigation assess the organisation’s legal (non-

9
compliance) exposures?

What was the duration of the investigation from the date of

10
the incident? days hours

Was a Remedial Action Plan (RAP) developed from the

11
investigation findings? Was the RAP in writing?

12 Did the RAP assign responsibilities to the actions required?

Did the RAP consider time parameters for completion of

13
the actions required?

Did the RAP allocate and approve resources to develop and

14
complete actions required?

15 Did management approve the RAP?

16 Has the RAP been completed as proposed?

17 Have any modifications been made to the approved RAP?

Has the RAP been assessed to ensure it is suitable as first

18
planned?

Has senior management signed off the RAP when

19
completed?

20 Has the RAP been dated to show when it was completed?

Did the RAP fully address the incident’s remedial actions

21
that were required?

Did the RAP ensure we now comply legally with our

22
responsibilities?

Was the completed incident investigation form seen and

23
signed off by the CEO/GM?

Were the incident report forms completed at the time of

24
the incident?

Was the completed incident investigation form circulated

25
to:

 involved personnel

 health and safety representative(s)

 the health and safety committee

 the team leader/front line manager

 CEO/GM?
List the actions still required to complete the investigation
26
and the RAP.


27 Is a further review required (evaluation) of this incident?

28 By when is this review required?