An HSE inspector can arrive without warning. Every item on this checklist is something they will look for. Every gap they find is a potential improvement notice under the LOLER compliance framework. Run through it before any planned inspection, or quarterly as a self-audit.
The six areas below reflect the documented areas of focus across published enforcement outcomes. Work through each section systematically. Do not wait for the inspector to find the gaps. If your examination records are missing or incomplete, get the right paperwork in place first: use our free LOLER inspection checklists on site and free LOLER inspection templates for the Schedule 1 report.
What to have ready before the HSE walk through the door
1Asset register
Complete inventory of all lifting equipment on site
All lifting accessories individually listed with unique identifiers
Equipment type recorded correctly (determines 6 vs 12-month interval)
Safe working load (SWL) marked and legible on all equipment and accessories
Out-of-service equipment clearly identified and segregated
2Examination records
Schedule 1 report exists for every asset listed
All 12 Schedule 1 fields completed on every report
Examination date within the required interval (6 or 12 months)
Competent person name and organisation recorded on every report
Next examination date stated on every report
3Defect management
All Category A defects led to equipment removal from service
All Category A defects were notified to HSE or local authority
All Category B repair deadlines have been met or equipment removed from service
Evidence of repairs (invoices, engineer sign-off) retained
No equipment in use with an unresolved Category A finding
4Examination scheme (if applicable)
Written scheme authored by a competent person
Scheme sets intervals no longer than statutory defaults
Scheme reviewed and updated when equipment changes
All examinations carried out in accordance with scheme intervals
5Operator competence
Evidence that operators received training for each equipment type
Pre-use check procedure in place and understood by operators
Training records retained and accessible
6Record accessibility
All records accessible in under 5 minutes (ideally instantly)
Clear location for all records, no searching through multiple systems
Records retrievable for any specific asset on demand
The specific things an inspector will ask to see
Each of the following areas maps directly to a specific regulation in LOLER 1998. Each one can independently trigger enforcement action. The HSE guidance on thorough examinations sets out what a compliant examination must contain.
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Written examination scheme: is there a documented scheme setting out examination intervals for each type of lifting equipment on site, and was it produced by a competent person?
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Competent person appointment records: who is appointed, what are their qualifications, and is there a written record of the appointment?
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Asset register: is it complete? Does it include unique identifiers for every item, including individual lifting accessories such as slings, shackles, and hooks?
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Examination reports for the last two or more years: does a Schedule 1 report exist for every asset, covering every examination, with all required fields completed?
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Defect records and evidence of action: where Category A or B defects were identified, is there documentary evidence of the required action (equipment removed from service, repairs completed, HSE notified for Category A defects)?
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Any prohibition notices and how they were resolved: HSE will check whether previous enforcement action was complied with fully and on time.
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Near-miss records involving lifting equipment: a culture of reporting near-misses is viewed positively. No near-miss records at all raises questions about safety management.
How to be ready when HSE arrive without notice
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Important
HSE can conduct unannounced inspections at any time under the Health and Safety at Work Act 1974. Records must be retrievable within minutes, not hours.
Readiness means having compliance evidence immediately accessible. A current examination report for every asset. All examination intervals within legal limits. All defect categories correctly acted upon. Those are the three areas inspectors check first. Work through this sequence:
1
Know where your examination reports are
If they are in a digital system, retrieve any report within 60 seconds. If they are in paper files, they must be organised by asset and immediately accessible on site.
2
Have your written examination scheme ready
If you operate under a written scheme rather than the statutory default intervals, the scheme must be available for the inspector to review at any time.
3
Know who your appointed competent person is
Have their name, organisation, and contact details to hand. If your competent person changes, update your records immediately.
4
Have a defect log for the last two years
A log of any Category A or B defects identified and the action taken. Inspectors specifically look for whether defect management was carried out correctly and promptly.
5
Ensure no equipment is in service past its examination due date
Carry out a quick audit of your asset register. Any overdue examination should either be completed or have a documented reason for delay.
The gaps that show up most often when an inspector visits
✗ No written examination scheme
Relying on the statutory defaults without a documented scheme is not automatically non-compliant, but the absence of any documentation leaves the duty holder unable to demonstrate a systematic approach to HSE.
✗ Spreadsheet with no audit trail
Cells in a spreadsheet can be edited without trace. HSE expects records that demonstrate integrity, particularly where defect management is concerned. Digital inspection management systems provide a tamper-evident audit trail.
✗ Relying on the contractor to hold records
Regulation 11 requires the duty holder to keep records. Outsourcing that obligation to the inspection company or maintenance contractor is not compliant.
✗ Mixing maintenance records with examination reports
A PUWER service visit record is not the same as a LOLER thorough examination report (Schedule 1). Conflating the two is a compliance failure.
✗ No record of when defects were remediated
Identifying a Category B defect is only the first step. The record must show what action was taken and when the deadline was met.
✗ Equipment in service past its examination due date
This is the most straightforward LOLER breach and the most common basis for HSE Improvement Notices. It is also the most easily avoided.
What to do if the HSE issues a notice after the visit
If HSE issues an improvement notice, comply with every requirement by the date specified. Failure to comply is a separate criminal offence. Document every corrective action with dates and evidence of completion. The inspector will check this on a follow-up visit.
A prohibition notice means the named activity or equipment stops immediately. No warning. No grace period. No second chance. The notice remains in force until the inspector is satisfied the issue has been resolved and formally lifts it.
In the most serious cases, HSE will refer matters for prosecution. If you receive notification of a potential prosecution, seek legal advice immediately. Every corrective action you can document, every defect record you can produce, and every piece of compliance evidence you hold will be relevant. The HSE enforcement policy statement sets out how HSE decides what action to take and when prosecution is used.
Frequently Asked Questions
What does HSE check in a LOLER audit?+
HSE inspectors check that thorough examination reports exist for all lifting equipment, that reports contain all Schedule 1 fields, that examination intervals are within the legal limits (6 or 12 months), that any Category A defects led to equipment removal from service and HSE notification, that Category B defect repair deadlines were met, that records are accessible and legible, and that operators are competent.
How long do I need to keep LOLER records for an audit?+
Under Regulation 11, examination reports must be kept until the next report is produced (in-service equipment) or for two years (out-of-service equipment). In practice, keeping all records for the lifetime of the equipment is best practice. Historical records are valuable in incident investigations and insurance claims.
What is the quickest thing I can do to improve LOLER audit readiness?+
Build a complete asset register and verify that every asset has a current examination report. This single step resolves the most common compliance gap HSE identifies. If you use digital inspection software, your asset register and reports are automatically linked and accessible in seconds.
Manage your LOLER inspections digitally with Lolerflow.
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