Product Overview

Summary: This Audit and Compliance Checks Standard Operating Procedure provides a clear, repeatable framework for planning, conducting, and documenting internal WHS and business compliance audits. It helps Australian organisations demonstrate due diligence, close gaps before regulators or clients find them, and embed a culture of continual improvement across their operations.

The Audit and Compliance Checks Standard Operating Procedure is designed for Australian organisations that need a structured, defensible way to verify they are meeting their legal, contractual, and internal requirements. Rather than relying on ad‑hoc inspections or last‑minute paperwork before an external audit, this SOP sets out a consistent approach to planning, conducting, reporting, and following up on internal audit and compliance activities across WHS, HR, environmental, and operational domains.

This procedure helps you turn audits from a reactive “tick and flick” exercise into a proactive management tool. It guides your team through defining audit scope and criteria, preparing checklists aligned with relevant Australian legislation and standards, engaging with workers and supervisors, gathering and verifying evidence, and prioritising corrective actions. By implementing this SOP, businesses can reduce the risk of non‑compliance penalties, improve the reliability of their records, and provide senior management and regulators with clear evidence of due diligence and continual improvement.

Key Benefits

• Ensure a consistent, repeatable approach to internal audits and compliance checks across all sites and departments.
• Reduce the risk of WHS and regulatory non‑compliance by identifying and addressing gaps before external inspections or incidents occur.
• Strengthen evidence of due diligence for directors and officers under Australian WHS and corporations legislation.
• Streamline audit planning, fieldwork, reporting, and follow‑up so that findings translate into timely, trackable corrective actions.
• Improve transparency and accountability by clearly defining audit roles, responsibilities, and documentation requirements.

Who is this for?

• WHS Managers
• Compliance Managers
• Quality Assurance Managers
• Operations Managers
• General Managers
• Internal Auditors
• Safety Advisors
• HR Managers
• Site Supervisors
• Business Owners and Directors

Included Sections

• 1.0 Purpose and Scope
• 2.0 Definitions and Key Terms
• 3.0 Roles and Responsibilities (Management, Auditors, Supervisors, Workers)
• 4.0 Audit and Compliance Planning (Schedule, Scope, Criteria, Risk‑based Prioritisation)
• 5.0 Preparation for Audits and Compliance Checks (Documents, Tools, Checklists)
• 6.0 Conducting On‑Site Audits and Interviews
• 7.0 Evidence Collection, Sampling and Verification Methods
• 8.0 Rating Non‑Conformances and Observations
• 9.0 Reporting Requirements and Communication of Findings
• 10.0 Corrective and Preventive Actions (CAPA) and Follow‑Up
• 11.0 Recordkeeping, Data Security and Retention
• 12.0 Integration with WHS, Quality and Environmental Management Systems
• 13.0 Auditor Competency, Training and Independence
• 14.0 Continuous Improvement and Review of the Audit Program
• 15.0 Appendices – Sample Audit Checklists, Templates and Forms

Legislation & References

• Work Health and Safety Act 2011 (Cth) and model WHS Regulations (as implemented in each state and territory)
• AS/NZS ISO 19011: Guidelines for auditing management systems
• AS ISO 45001: Occupational health and safety management systems – Requirements with guidance for use
• AS/NZS ISO 9001: Quality management systems – Requirements
• Safe Work Australia – How to manage work health and safety risks: Code of Practice
• Safe Work Australia – Work health and safety consultation, cooperation and coordination: Code of Practice