Compliance Audit and Review

A compliance audit and review is a systematic examination of an organization’s operations, processes, and practices to assess its adherence to regulatory requirements, industry standards, and internal policies. This proactive approach helps identify areas of non-compliance, mitigate risks, and ensure that the organization operates in accordance with established guidelines.

Process safety compliance audits and reviews are critical components of effective safety management in industries that handle hazardous materials or operate complex processes. They involve a systematic examination of how well an organization adheres to safety regulations and industry standards, and how effectively it implements its process safety management (PSM) programs.

It is essential for preventing accidents and incidents, protecting employees, the public, and the environment, and ensuring sustainable and safe operations.  Key aspects of these audits and reviews include:

Regulatory Compliance Check: The audit ensures that the organization complies with relevant laws and regulations, such as OSHA’s Process Safety Management standard (29 CFR 1910.119) in the United States, or other national and international standards.

Review of Safety Systems and Procedures: Auditors assess the effectiveness of safety systems, procedures, and controls in place. This includes examining risk assessments, safety policies, emergency response procedures, and maintenance records.

Evaluation of Management Systems: The review evaluates how safety is managed within the organization. This includes leadership commitment, employee involvement, training effectiveness, and the overall safety culture.

Inspection of Physical Facilities: Physical inspections of plants and equipment are conducted to identify potential safety hazards and ensure proper maintenance and operational integrity.

Documentation Review: Auditors examine documentation and records for accuracy and completeness. This includes process safety information, training records, incident reports, and audit histories.

Interviews with Employees: Auditors often speak with employees at various levels to gauge their understanding of safety procedures and their perception of the company’s safety culture.

Identification of Gaps and Non-compliance Issues: A key outcome is identifying areas where the organization falls short of regulatory requirements or industry best practices.

Recommendations for Improvement: The audit concludes with recommendations for addressing identified deficiencies, improving safety procedures, and enhancing compliance.

Action Plan Development: Organizations are typically required to develop action plans to address the audit’s findings and recommendations.

Follow-up and Continuous Improvement: Audits are not one-time events but part of an ongoing process of continuous improvement in process safety management.

Why Perform Process Safety Management Compliance Review and Audit

Performing Process Safety Compliance Audits and Reviews is a critical undertaking for any industry dealing with hazardous processes, as it serves multiple pivotal roles in ensuring a safe working environment. These audits are essential for verifying adherence to regulatory standards, such as OSHA’s Process Safety Management and EPA’s Risk Management Programs, thereby safeguarding against legal and financial repercussions. More importantly, they provide a thorough examination of the effectiveness and integrity of existing safety procedures, identifying potential areas of risk that might not be evident in day-to-day operations. This proactive approach not only helps in preventing catastrophic incidents, such as fires, explosions, or toxic releases, but also fosters a culture of continuous improvement and safety awareness within the organization. Regular process safety audits and reviews are, therefore, indispensable tools in maintaining operational integrity, protecting employee wellbeing, and ensuring the long-term sustainability of the facility.

Why Work with Prime Process Safety Center

  • Specialized Expertise: Our team specializes in process safety, ensuring that audits and reviews are conducted with a high level of expertise and understanding of industry-specific hazards.
  • Tailored Audits: We customize our audit approach to align with your unique operational processes, ensuring that all aspects of your process safety are thoroughly evaluated.
  • Regulatory Insight: Our deep knowledge of regulatory requirements, including OSHA, EPA, and other relevant standards, ensures your compliance with all applicable laws and guidelines.
  • Risk Management Focus: We emphasize not just compliance, but also effective risk management, helping you identify and mitigate potential hazards in your operations.
  • Practical Recommendations: Our audits yield practical, actionable recommendations that go beyond compliance to enhance overall safety and operational efficiency.
  • Comprehensive Approach: We examine all facets of process safety, including equipment integrity, employee training, emergency response, and operational procedures.
  • Latest Industry Practices: Our team stays updated on the latest industry practices and technological advancements, bringing innovative solutions to your process safety challenges.
  • Detailed Reporting: We provide detailed, clear audit reports that outline findings, prioritize areas for improvement, and suggest clear steps forward.
  • Employee Training and Engagement: Recognizing the importance of a safety-conscious workforce, we offer training and engagement solutions to foster a robust safety culture.
  • Long-Term Support: Beyond the initial audit, we offer ongoing support and guidance to ensure continuous improvement and sustained compliance in your process safety management.


1. What is a Process Safety Compliance Audit?

It’s a systematic evaluation to ensure that a facility’s operations comply with process safety regulations and industry standards, aimed at preventing hazardous incidents.

2. Why are Process Safety Compliance Audits important?

These audits are vital for identifying potential safety risks, ensuring regulatory compliance, and preventing incidents like explosions or toxic releases, which can have catastrophic consequences.

3. What regulations do Process Safety Audits typically focus on?

They often focus on compliance with regulations like OSHA’s Process Safety Management (PSM) standard and the EPA’s Risk Management Program (RMP).

4. Who should conduct these audits?

Audits should be conducted by experienced professionals with expertise in process safety, often including external specialists for an unbiased assessment.

5. How often should these audits be conducted?

Regulatory bodies like OSHA recommend conducting these audits at least every three years.

6. What is typically reviewed in a Process Safety Audit?

Audits review various elements, including safety documentation, process hazard analyses, operating procedures, mechanical integrity of equipment, and emergency response plans.

7. What's the difference between a compliance audit and a review?

An audit is a more formal, systematic process, while a review can be a less formal, ongoing process to ensure continual compliance and safety.

8. How long does a Process Safety Audit take?

The duration varies based on the facility’s size and complexity, but it generally takes several weeks to a few months.

9. What happens if non-compliance issues are found?

The facility is typically required to address these issues promptly, with corrective actions depending on the severity of the non-compliance.

10. Can Process Safety Audits improve operational efficiency?

Yes, besides enhancing safety, these audits can identify areas for operational improvements, potentially leading to increased efficiency and cost savings.