Guide · Audit

How to run a compliance audit in a small business

A compliance audit is simply a structured check that every obligation you carry has current, findable evidence behind it. For most UK SMEs that means equipment inspections, health and safety records, insurance and training certificates — not a formal ISO programme. This guide walks through a self-led audit you can complete in a day.

Step 1 — Build the register

List every obligation in one place before you look at a single certificate. Group by type: statutory inspections (LOLER, PUWER, PAT, gas, pressure systems), health and safety (risk assessments, fire log, COSHH), commercial (employer's and public liability insurance, waste carrier licence), and people (training, tickets, competencies). Each row needs an owner, an interval and a next-due date.

Step 2 — Match evidence to each row

Work down the register and attach the actual document that proves the obligation is met. An entry with a date in a spreadsheet but no certificate behind it is a finding, not a pass. This is the step where most audits stall — see the equipment calibration tracking guide for how to structure evidence against assets.

Step 3 — Check the statutory dates

• Lifting equipment for people: 6-monthly thorough examination.
• Other lifting equipment and accessories: 12-monthly (or per written scheme).
• Pressure systems: per the written scheme of examination.
• Fire risk assessment: reviewed annually or after any material change.
• Employer's liability insurance: current certificate, displayed or accessible.

Details on the lifting side are in the LOLER inspection guide and the wider duties in the health and safety guide.

Step 4 — Record findings, don't just fix them

Write down every gap with a date, an owner and a target close-out date. An audit with no findings usually means the audit wasn't thorough. What matters to an inspector, insurer or client is that gaps were spotted and closed — with a trail showing it.

Step 5 — Close the loop and set reminders

Re-check the closed findings, then set the next-due reminders so the same gaps don't reappear. Recurring intervals that roll forward automatically after each completion turn the annual audit into a formality rather than a scramble. The regulatory compliance guide covers the ongoing routine.

Audit checklist

1. Register complete, with owner and interval on every row.
2. A document attached to every row.
3. No expired or missing statutory inspection.
4. Insurance and licences current.
5. Training and competency records in date.
6. Findings logged, assigned and dated.
7. Reminders set for the next cycle.

Frequently asked questions

How FileGuard helps

FileGuard keeps the register, the evidence and the reminders in one place, with an audit trail of who uploaded and changed what. When audit day comes, the register is already the answer. Compare options in the UK compliance software comparison.