Internal Auditing

As part of Aberystwyth University’s strategy for continual improvement, the Health, Safety and Environment Department will be undertaking an internal audit programme which will include all University Institutes and Departments.

It is considered good practice that Institutes and Departments conduct their own local audits at regular intervals. Internal Audits conducted by the Health, Safety and Environment Department should support and supplement local audit schedules, and should not represent the only means by which the Institute or Department’s Health and Safety Management System are appraised and evaluated. For guidance and templates which can be amended to suit local purposes, please contact the Health, Safety and Environment Department.

Qualified auditors from the Health, Safety and Environment Department will be auditing all areas against common and consistent Terms of Reference. Audit criteria will include determining Institute or Department compliance with the Health and Safety at Work etc Act 1974, Aberystwyth University’s Health and Safety Policy, and the Health and Safety Executive (HSE)’s Managing for Health and Safety (HSG65) Guidance. Auditees may also, where applicable, be referred to best practices as suggested by relevant Professional, Educational, and Advisory Bodies.

The Aberystwyth University Health, Safety and Environment Internal Audit Terms of Reference is available here:

Key individuals will be made aware and receive sufficient notice of forthcoming audits, and will be expected to communicate relevant information to colleagues to ensure full co-operation and disclosure in the process. The auditing team will endeavour to, as much as is reasonably practicable, allow a degree of flexibility in the schedule in recognition of other demands on staff time such as workloads, research deadlines, additional seasonal requirements, and unforeseen circumstances.

The audit process for each Institute or Department will consist of four main stages:

Opening Meeting

Members of the auditing team will meet with key individuals in the institute or department being audited to discuss and agree on matters such as the audit scope, the areas to be audited, and the schedule for its undertaking.

Desktop Review

The desktop review will require auditees to provide members of the auditing team with a representative sample of their health and safety management documentation in advance of the audit date. Documents requested may include evidence of sufficient risk assessment undertaking and review, local training records and training requirements analysis, and Standard Operating Procedures (SOP’s) for areas of recognised risk.


Members of the auditing team will visit the area being audited, in order to gain an appreciation of the work being undertaken in that area, to meet colleagues undertaking the work, and observe local practices and procedures.

Closing Meeting

Member of the auditing team and auditees will meet to discuss the audit report (which will be circulated to attendees in advance of the meeting). Attendees will be required to agree on appropriate actions in response to any recommendations or non-conformances raised in the audit report, alongside agreement on timescales for implementing any necessary remedial actions.

For any further queries relating to internal auditing, please contact the Health, Safety and Environment Department.