Waste Duty of Care Audit: A Practical Checklist
A duty of care audit checks that the waste you produce, carry or receive is handled legally from start to finish. It covers carrier registrations, site permits, waste descriptions and paperwork, and digital waste tracking makes the evidence far easier to pull together.
Last reviewed: 16 October 2026
Duty of Care Audit: What It Covers
A duty of care audit checks that your waste is being managed legally, from the moment it's produced or collected to its final destination. It helps you spot weak links before a regulator or customer does.
A typical audit covers:
Waste descriptions and codes
are they accurate?
Storage
is waste kept safely and securely?
Carriers and brokers
are they registered?
Receiving sites
are they permitted for the waste you send?
Paperwork
are notes complete and kept for long enough?
Digital waste tracking
where it applies, are loads being reported correctly and on time?
Checking Carriers and Receiving Sites
Carrier registration:
check each carrier, broker and dealer on the public register for their nation. Record the date and registration number.
Upper or lower tier:
make sure the registration tier matches what they do.
Site permits:
check that receiving sites hold a permit or exemption covering your waste types and quantities.
Site visits:
for significant waste streams, visit the site or ask for evidence such as photos, certificates or audit reports.
Price check:
be wary of quotes far below the market.
Digital waste tracking:
ask receiving sites to confirm they're reporting under Phase 1.
Paperwork and Records
Waste transfer notes:
complete, signed, with EWC codes, SIC code and waste hierarchy declaration. Kept for at least two years.
Consignment notes:
for hazardous waste, complete and kept for at least three years.
Season tickets:
in date and covering the right waste.
Weighbridge and tip tickets:
matching your own records.
Disposal certificates:
for specialist waste, such as data destruction or asbestos.
Defra records:
waste tracking IDs and submission dates for loads you receive.
How Often to Audit
As a guide:
Annually
for most waste producers and carriers
Before using
any new carrier or receiving site
When something changes
such as a new waste stream, a new site or a regulatory update
More often
for hazardous waste or high-value contracts
Keep a record of each audit, what you found and what you did about it.
Using Digital Records to Speed Up Audits
Paper-based audits mean digging through files and chasing missing notes. With digital records, an audit can take minutes:
Search every transfer
by customer, carrier, site or date
See which notes are missing
signatures or codes
Check carriers and sites
against stored registrations and permits, with expiry alerts
Pull Defra submission records
with tracking IDs
Export a report
for your customer or auditor
Our apps include licence and permit tracking and compliance reporting to make audits quick.
Frequently Asked Questions
Related
Official guidance
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