Systems & Documentation · 6 checks

Plant & Equipment
safety audit checklist

Operator certs, pre-use checks, exclusion zones.

Every check below says what good looks like, when it passes, the regulation or HSE guidance it rests on and the defects that usually fail it. Critical checks are marked: a fail on one of those stops the activity.

  1. 1.
    Plant operators hold valid certificates (CPCS/NPORS)
    What to look forBlue (competent) or Red (trainee with supervision) CPCS / NPORS card, in date, for the specific category of plant being operated (e.g. A58 360° excavator above/below 10t; A77 Forward Tipping Dumper). CSCS card also held. Familiarisation on the specific make/model documented. Photo ID matches operator.
    Acceptable whenPUWER 1998 Reg 9, only authorised, trained operators. CPCS / NPORS / ALLMI / IPAF cards renewed every 5 years. Site induction confirms machine-specific familiarisation. Records of competence retained.
    StandardPUWER 1998. CPCS / NPORS scheme rules. BS ISO 18878 (operator training principles). HSG144.
    Common defectsCard expiredCard category wrong for machine being operatedNo machine-specific familiarisation recordOperator on red trainee card without supervisionPhoto ID doesn't match operator (card-sharing)
  2. 2.
    Daily pre-use checks completed and recorded
    What to look forPre-start check sheet filled in by operator each shift, fluids, tyres/tracks, lights, alarms, mirrors/cameras, hydraulics, attachments, FOPS/ROPS, seatbelt, fire extinguisher. Defects logged and reported. Walk-around inspection before start. Sheet retained on machine or returned to office.
    Acceptable whenPUWER 1998 Reg 6, equipment inspected at suitable intervals. Manufacturer recommended pre-use checks. CPA / HSE-recommended daily check sheet. LOLER 1998 if machine lifts.
    StandardPUWER 1998 Reg 6. LOLER 1998. HSG144. Manufacturer operator manual.
    Common defectsNo pre-start check sheetSheet ticked off without inspection (Friday afternoon syndrome)Defects noted but not actionedOperator hasn't inspected, sheet pre-signed by mateNo FOPS/ROPS check despite excavator working below other plant
  3. 3.
    Exclusion zones maintained around operating plant
    What to look forMin 6m exclusion around 360° excavators (slewing radius + safe margin). Heras barriers or flashing beacon zone where pedestrians close. Operator stops if person enters zone. Banksman/marshal at zone boundary on busy sites. Toolbox briefed.
    Acceptable whenCDM 2015 Reg 27. HSG144. PUWER 1998. Slewing radius + 0.5m clearance to any obstruction; pedestrian exclusion typically 6m or beyond reach of any attachment.
    StandardCDM 2015 Reg 27. HSG144. PUWER 1998. Workplace (HSW) Regs 1992 Reg 17.
    Common defectsOperatives walking past slewing excavatorBanksman in slewing radiusHeras moved to allow shortcutPedestrians crossing dump truck haul roadNo beacon / audible alarm during slew
  4. 4.
    Banksman in attendance for reversing
    What to look forTrained banksman/marshal where plant cannot avoid reversing, especially where pedestrians or other plant nearby. Banksman in operator visibility, hi-vis (different colour preferable), standardised hand signals or radio. Reverse alarm working AND banksman, alarm alone insufficient.
    Acceptable whenCDM 2015 Reg 27. HSG144, driver/banksman/marshal arrangements for reversing. Banksman trained to CITB Vehicle Marshal (formerly Banksman) standard.
    StandardCDM 2015 Reg 27. HSG144. BS 6736:1986. CITB Vehicle Marshal scheme.
    Common defectsNo banksman, operator reversing on mirrorsBanksman in blind spot directly behind machineHand signals non-standardBanksman doing other work simultaneouslyReverse alarm disabled "because of complaints"
  5. 5.
    Plant immobilised and keys removed when unattended
    What to look forEngine off, hydraulics lowered to ground, parking brake applied, doors locked, keys removed and held by operator/supervisor. Master isolator on excavators turned off if leaving for longer. Lockable cabs preferred. Out-of-hours storage in secure compound or immobilised in line.
    Acceptable whenPUWER 1998. CDM 2015 Reg 13, site secured against unauthorised use of equipment. Theft/joyriding incidents preventable by isolation. End-of-shift procedure briefed.
    StandardPUWER 1998. CDM 2015 Reg 13. HSG144.
    Common defectsKeys left in ignition during breakBucket/blade left up, strikes unauthorised user when machine startedCab unlocked overnightMaster isolator on overnight, battery flat / unauthorised start riskNo defined end-of-shift parking area
  6. 6.
    Defective plant taken out of service and tagged
    What to look forLock-out / tag-out (LOTO) on defective plant, RED "DO NOT USE" tag with defect description, date, name. Key isolated. Defect logged in machine record. Repair authorised before return to service. Driver/operator not pressured to keep using known-defective equipment.
    Acceptable whenPUWER 1998 Reg 5 + Reg 6, equipment maintained, inspected, defects rectified. HSG253, LOTO. Tagged out of service immediately and recorded.
    StandardPUWER 1998. HSG253, Lock-off / tag-off. LOLER 1998 for lifting equipment.
    Common defectsDefect noted but machine kept in use ("just one more job")No tag, verbal "don't use that one"Tag attached but key not isolated, restarted by next operatorNo defect log, repeat failures not trackedDefective plant in line of next-day work, used before fix

Questions people ask

How often should a plant & equipment audit be done?

Weekly is the common rhythm for a live site, plus whenever the work, the plant or the people change and after any incident or near miss. What matters is that it is scored, recorded, dated and the actions are closed out, not the exact frequency. Guidance, not legal advice.

What is the difference between a safety audit and an inspection?

An inspection looks at the site. An audit checks the system as well: is the paperwork there, do the people know it, is what was promised actually happening. On a small site the words blur, and that is fine. The checks below cover both.

What happens with a failed item?

A corrective action with an owner and a date, and a photo of the fail so nobody argues later. Where a check is marked critical, a fail stops that activity until it is put right.

Who should carry out the audit?

A competent person, and where possible not the person whose work is being looked at. The site manager auditing the site manager's housekeeping is better than nothing, but a visiting supervisor or the SHEQ lead sees what the regular eye has stopped noticing.

Is a site safety audit a legal requirement?

The Management of Health and Safety at Work Regulations 1999 require arrangements for monitoring your health and safety measures (regulation 5), and CDM 2015 requires every contractor to plan, manage and monitor the work under their control (regulation 15). A recorded, scored audit is how you show that is happening. Guidance, not legal advice.

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