Compliance Audits Curb Problems and Penalties

By: Dan Snyder


Compliance Audit - a voluntary examination and evaluation of specific activities of an enterprise to measure adherence to precise legal, regulatory, or contractual standards.

While every employer is well aware that there exist numerous and precise standards for running a business, all know how easy it can be to set aside voluntary auditing as low-priority. However, any employer who has suffered loss due to failure to meet such standards knows the importance of conducting these periodic self-inspections. Any funds, time, or effort put into administering a voluntary audit is truly miniscule when compared to the penalties of non-compliance or the weight of responsibility should injury occur.

Preventing injury or work-related illness is the main purpose in conducting compliance audits. While such audits are voluntary, the health and safety of workers is the legal responsibility of every employer. Because of this responsibility, business owners must be certain safety procedures are clearly defined and consistently practiced throughout the work environment. By examining safety practices, employers are given the opportunity to remedy areas of non-compliance, ultimately shielding their workers from harm as well as protecting themselves from liabilities.

Because the health and safety of workers is of primary importance, safety laws and regulations are strictly defined on the federal, state, and local levels. These laws, which are numerous, can be complex and are continuously evolving, often presenting a challenge for busy employers to remain well-versed in all facets of current procedures. Due to the intricacy of implementing such regulations, many firms opt to hire a certified safety professional to guide periodic audits. In this way, current safety practices can be thoroughly examined and oversights identified.

Upon being hired, a certified safety professional usually begins the compliance audit by conducting a walk-through of the facility, carefully examining every phase of operations in regards to occupational health and safety compliance. Throughout this initial examination, the safety consultant makes careful note of potential hazards while documenting working procedures currently in place. In addition to examining the work environment, the consultant also observes the workers themselves to ensure that every worker at every site is following proper OSHA safety training methods.

After examining the facility, the certified safety professional continues the audit by reviewing company policies and assessing all safety-related materials, including standard operating procedures, health and safety plans, and training records. Each policy, plan, record, and procedure is analyzed carefully for content, clarity, and occupational health and safety compliance. In addition, OSHA logs are examined to allow the safety consultant a clear understanding of potential hazards and to help identify areas in which additional OSHA safety training may be necessary.

Once all information is gathered and analyzed, the certified safety professional compiles a written report to present the results of the audit to the company. This confidential report details any violations in relation to occupational health and safety compliance along with recommendations for correcting these hazards. Further, if desired by the company, the safety consultant can work with clients on a continuous basis to maintain compliance and can even provide additional services, such as on-site OSHA safety training for both employers and employees.

Without question, conducting periodic compliance audits is significant to a company's on-going occupational health and safety compliance. Despite the continuous evolution of laws, employers must be certain of maintaining compliance measures, including necessary OSHA safety training for every worker at every site. By hiring a safety consultant to assist in this process, companies can be assured that regulations are being met -- regulations which not only protect workers but also benefit the company itself as performance and productivity improve.


Performance Based Safety, LLC (PBS) is a network of occupational health and safety training professionals dedicated in helping companies improve business performance by providing workplace safety consulting services. Contact Dan Snyder at 417-773-3555 for more information.