How to Conduct a WHS Compliance Audit for Your Small Business

Many small business owners wait until a WHS regulator inspection — or worse, an incident — to assess whether their workplace safety practices are compliant. A proactive WHS compliance audit is far more cost-effective than a reactive response to enforcement action.

This guide walks you through how to conduct a meaningful WHS compliance audit for a small Australian business, what to look for, and what to do with the findings.

Why Audit WHS Compliance?

Under the Work Health and Safety Act 2011 (and equivalent state legislation), the primary duty of care falls on the person conducting a business or undertaking (PCBU). The duty is to ensure health and safety "so far as is reasonably practicable."

Demonstrating that you have systematically identified hazards, assessed risks, and implemented controls is central to meeting this duty. An audit — properly documented — creates a record that you have taken your obligations seriously. It also identifies gaps before they result in injuries, enforcement action, or prosecution.

Step 1: Understand the Legal Requirements for Your Business

Before auditing your practices against the law, you need to know what the law requires. Key sources of WHS obligations for small businesses include:

• The WHS Act — for your state or territory (or the Commonwealth WHS Act for Comcare-covered workers)
• The WHS Regulations — specific requirements for hazardous work, hazardous chemicals, plant and structures, and high risk activities
• Codes of Practice — approved codes of practice provide practical guidance on how to meet your WHS obligations; compliance with a code of practice demonstrates compliance with the WHS Act

Safe Work Australia's website (safeworkaustralia.gov.au) maintains a comprehensive library of model codes of practice covering:

• Hazardous manual tasks
• Managing electrical risks
• Falls prevention (general and construction-specific)
• First aid in the workplace
• Managing the work environment and facilities
• Noise management
• Managing psychosocial hazards
• Work in confined spaces
• High risk activities (scaffolding, cranes, demolition, asbestos)

Identify which codes of practice are most relevant to your specific business activities and use them as your audit benchmark.

Step 2: Build Your Audit Checklist

An effective WHS audit checklist covers:

Governance and Management

• [ ] Has a WHS policy been documented and communicated to workers?
• [ ] Has a WHS committee or representative been established (if required by your jurisdiction or workforce size)?
• [ ] Are WHS responsibilities clearly assigned to specific roles?
• [ ] Is WHS training included in management induction?
• [ ] Is there a process for reviewing and updating WHS management systems?

Hazard Identification and Risk Assessment

• [ ] Has a systematic hazard identification process been conducted?
• [ ] Are risk assessments documented for significant hazards?
• [ ] Are risk assessments reviewed when there are workplace changes?
• [ ] Are workers involved in hazard identification?
• [ ] Are near-misses and hazard reports properly documented and actioned?

Control Measures

• [ ] Have control measures been implemented for identified hazards?
• [ ] Is the hierarchy of controls being applied (elimination, substitution, engineering, administrative, PPE)?
• [ ] Are control measures reviewed for effectiveness?
• [ ] Are control measures specific to the hazards identified (not generic)?

Workplace Facilities and Environment

• [ ] Is the workplace layout safe (no obstructions, adequate walkways and emergency exits)?
• [ ] Are floor surfaces appropriate and maintained?
• [ ] Is lighting adequate in all work areas?
• [ ] Is temperature and ventilation appropriate?
• [ ] Are toilets, hand washing, and rest facilities provided?
• [ ] Is drinking water accessible?

Plant and Equipment

• [ ] Is all plant and equipment fit for purpose?
• [ ] Is plant and equipment maintained to manufacturer specifications?
• [ ] Are maintenance records kept?
• [ ] Is hazardous plant registered with the WHS regulator (where required)?
• [ ] Are workers trained to operate each piece of equipment they use?

Chemicals and Hazardous Substances

• [ ] Is a chemical register maintained?
• [ ] Are current Safety Data Sheets (SDS) available for all hazardous chemicals?
• [ ] Are workers trained in the safe handling of chemicals they use?
• [ ] Is appropriate PPE provided and maintained for chemical work?
• [ ] Are chemicals stored correctly (labelled, compatible storage, adequate ventilation)?

High Risk Activities

• [ ] Have all high risk activities been identified?
• [ ] Do workers performing high risk work hold current High Risk Work licences (where required)?
• [ ] Have Safe Work Method Statements (SWMS) been prepared for all high risk activities?
• [ ] Are SWMS reviewed and updated regularly?

Training and Induction

• [ ] Is a documented induction process in place for new workers?
• [ ] Does induction cover site-specific hazards and emergency procedures?
• [ ] Are training records maintained?
• [ ] Is ongoing WHS training (not just induction) provided?
• [ ] Are contractors and visitors inducted appropriately?

Incident Management

• [ ] Is there a documented incident reporting and investigation process?
• [ ] Are all incidents (including near-misses) recorded in an incident register?
• [ ] Are WHS regulator notification obligations understood and met?
• [ ] Are incident investigations completed and corrective actions implemented?
• [ ] Are investigation records retained?

Emergency Procedures

• [ ] Are emergency response procedures documented and communicated?
• [ ] Are emergency procedures practiced through drills?
• [ ] Are emergency exits clearly marked and unobstructed?
• [ ] Is first aid equipment maintained and accessible?
• [ ] Are sufficient workers trained in first aid for the workplace and shift arrangements?

Worker Consultation and Participation

• [ ] Is there a process for consulting workers on WHS matters?
• [ ] Are workers able to raise WHS concerns without fear of reprisal?
• [ ] Are workers informed of hazards relevant to their work?
• [ ] Is there a process for workers to refuse unsafe work?

Step 3: Conduct the Audit

Document Review

Start by reviewing your existing documentation:

• WHS policy
• Risk assessment register
• Hazard and incident reports
• Training records
• Maintenance logs
• Chemical register and SDS library
• Emergency procedures

Does the documentation reflect actual practices? Is it current?

Physical Walkthrough

Conduct a thorough walkthrough of your workplace with your checklist. Look with fresh eyes — hazards that have been present for a long time can become invisible. Take photographs of identified hazards and non-compliance issues.

Worker Interviews

Speak informally with workers at different levels. Ask:

• What hazards do you encounter in your daily work?
• Have you raised any WHS concerns recently? What happened?
• Do you know who to talk to about WHS?
• Have you seen anything recently that concerned you?

Workers often know more about hazards than the audit documentation reflects.

Step 4: Analyse and Prioritise Findings

Assess each finding against:

• Risk level: How likely is an injury? How severe would it be?
• Current controls: Are there any controls in place?
• Legal obligation: Is a specific legal obligation being breached?

Prioritise findings by risk — address the most serious hazards first.

Step 5: Implement Corrective Actions

For each finding, specify:

• What corrective action is required
• Who is responsible for implementing it
• The deadline for implementation
• How completion will be verified

Step 6: Monitor and Review

Set a schedule to review the implementation of corrective actions and to conduct subsequent audits. Annual audits are common for many small businesses; higher-risk industries may warrant more frequent audits.

How Reguladar Helps

A WHS compliance audit tells you where you stand today. Reguladar tells you what the law requires across WHS, employment law, tax, and privacy — and keeps you current as requirements change.

Reguladar surfaces your specific WHS obligations based on your industry and state, including which codes of practice apply, what licences your workers need, and when your WHS management plans should be reviewed.

Start with a compliance check across all your obligations. Start your free compliance check at Reguladar and build your complete WHS and compliance profile today.