Guide · Audit
Workshop Compliance Records Audit Checklist
By FileGuard · Published 29 July 2026 ·
Step 1 — Build the register
List every obligation before looking at a single certificate: statutory inspections (LOLER, pressure systems, LEV), electrical equipment maintenance (a duty to keep equipment safe, with risk-based checks — not a mandatory annual PAT certificate), health and safety records (risk assessments, fire log), commercial records (insurance, waste carrier licence), and people records (training, tickets, competencies). Each row needs an owner and the interval or review cycle that applies to it.
Step 2 — Match evidence to each row
A date in a spreadsheet with no certificate or report behind it is a finding, not a pass. Work down the register and attach the actual document. See calibration register for how to structure evidence against individual instruments.
Step 3 — Check the regime-specific detail, not a blanket rule
- LOLER: interval depends on what the equipment does and any written scheme; HSE recommends 6-monthly examination of vehicle lifts in motor vehicle repair — see LOLER reports for the detail.
- Pressure systems: per the written scheme of examination drawn up by a competent person.
- Fire risk assessment: must be kept up to date and reviewed when circumstances change; an annual review is a sensible internal practice, not a fixed statutory interval.
- LOLER reports: retention depends on the report type — see the table below.
- Insurance: current certificate held and accessible, not just a renewal reminder.
LOLER report retention (HSE INDG422)
| Report | Keep for |
|---|---|
| Initial examination before first use (equipment) | Until the equipment is no longer used |
| Initial examination before first use (lifting accessory) | Two years after the report is made |
| Examination after installation or assembly at a new site | Until the equipment is no longer used at that site |
| Periodic thorough examination | Until the next report is made, or two years, whichever is later |
Source: HSE INDG422.
Step 4 — Record findings, don't just fix them
Write down every gap with a date, an owner and a target close-out date. What matters to an inspector, insurer or client is that gaps were identified and closed, with a trail showing it.
Step 5 — Close the loop and set reminders
Re-check closed findings, then set reminders ahead of the next review. A reminder schedule you configure (for example 90/60/30/14/7 days before each due date) reduces the chance the same gap reappears — but the schedule only works if due dates are entered accurately and kept up to date by the team.
Audit checklist
| Requirement | Evidence | Status | Owner | Action date |
|---|---|---|---|---|
| Vehicle lift thorough examination | Competent person's report | Overdue | Workshop manager | Take out of use now unless the competent person confirms it is safe; book the examination and complete any required action |
| Compressor air receiver examination | Written scheme + examination report | Current | Site manager | Review scheme at next renewal |
| Fire risk assessment | Dated assessment document | Due for review | Office manager | Review within 30 days |
| Employers' liability insurance | Current certificate on file | Current | Admin | Renewal due in 60 days |
This is an example layout, not a complete list — adapt the rows to the obligations your business actually carries.
Frequently asked questions
Is an internal records review the same as a statutory inspection?
No. A compliance records audit is an internal check that the evidence for each obligation exists, is current and is findable. It does not replace a statutory thorough examination, calibration or any other inspection carried out by a competent person or approved body.
How long should we keep audit records?
This depends on the regime. There is no single universal retention period — follow the retention requirement for each regime and your insurer's or contract's requirements, and ask your adviser if unsure. LOLER report retention depends on the report type — HSE INDG422 sets out the periods. RIDDOR records are generally kept for three years.
Do we need an external auditor?
Not for an internal self-review. External auditors are only required where a certification scheme (such as ISO 9001) or a client/insurer specifically requires one.
FileGuard is record-keeping and reminder software. It does not inspect, examine, calibrate or certify equipment or vehicles, and it does not provide legal advice. Check current requirements with the official guidance, your competent person or your adviser.
Official sources
- HSE — Thorough examination of lifting equipment(opens in a new tab)
- HSE INDG422 — Thorough examination and testing of lifting equipment(opens in a new tab)
- HSE — Motor vehicle repair: working under vehicles (vehicle lifts)(opens in a new tab)
- HSE — Portable appliance testing FAQs(opens in a new tab)
- GOV.UK — Fire risk assessments(opens in a new tab)
- HSE — Reporting and record keeping (RIDDOR)(opens in a new tab)
Related
Run your next records review in FileGuard
Keep the register, the evidence and the follow-up actions together so the next review starts from what you already have on file.