A compliance audit essentially looks for conformance to a set of rules. Although the rules may not always be questions that may be asked by the auditor.
Certain areas of the business, (In aviation these are many) can be described as high risk. For these activities audits play a significant role, to establish ongoing conformity with company processes and procedures.
Is there a difference between compliance and conformance?
Conformance is typically associated with a standard or drawing form fit or function for example.
Compliance takes this to a higher level for example the requirements were met during the production or delivery of the product or service.
Compliance audits are designed to give assurance that activities have been performed properly. Compliance Audits are off course reactive.
Compliance audits also tend to be binary in respect that they pass or fail. It is also fair to say that the compliance audit in fact requires a lower level of auditor competence. Why? (Because it is essentially rules driven â means the removal of subjective ambiguity.)
The audit is presented typically as a completed checklist of observed conditions at the time of the audit.
A downside of simple compliance auditing is that it is essentially âunknownâ if the if the compliance will be satisfactory next week or next month. In addition a simple compliance audit does not test the process or procedures developed to deliver the requirement.
Compensation for simple compliance audits may be found in System or Process audits.
The role of Auditor Competence
Auditor Competency plays a significant role in delivering effective process audits when considering Types of Audit in Aviation and the difference between compliance and conformance.
Building on the foundation of compliance auditing. data is gathered in the field.
This âdataâ may be analyzed to determine if there are gaps when considered against expectations.
Note that the gaps, which are found may not always be non-conformity with regulatory requirements but in actual fact non conformity with the organisations desired outcome. However, to note that such a finding is still a âFindingâ as it is necessary to show full compliance with all âInternal requirements.
Auditing outside of the box!
Things to consider during the audit:
a) Are procedures user friendly (effective)?
b) Do established systems have the necessary scope to deliver â do the look and feel real?
c) Consideration of resources being used by the auditees process & department is it sufficient
d) By analyzing patterns and repetitive findings internal auditors can determine the possible causes of the observed non conformance. â consider examples
e) Management is the control of resources. The goals of quality, safety, environmental oversight, and efficiency are all driven by the same set of rules This is the Plan-Do-Check -Act (PDCA) approach.
f) A product audit is quite similar to an inspection, where the completed item or task is examined to required characteristics. Sometimes, the finished item is even destroyed, as various characteristics are measured. Paperwork associated with the building of those items is also examined.
They focus on completeness of the finished process, activity or services and do not require extensive training for the auditors. Their usefulness is in allowing verification of the completeness of the process.
g) Quality Management Principles accept that, âA desired result is achieved more efficiently when activities and related resources are managed as a process.
h)This increased attention to processes naturally leads to increased attention to process auditing. Yet, many approach the process audit as if it were a small system audit.
j) Â Auditing the processes is not the same as process auditing. There are similarities in the two forms of the audit, and there are fundamental l differences. Consider the following:
Products come from processes. Every organization performs a series of steps to accomplish its goals or objectives. Those products can be tangible. They can be intangible, such as an overall pleasant experience. ISO refers to these as the four product categories – âservicesâ âsoftwareâ âhardwareâ. And âprocessed materialsâ
j) Process audits are short but intense. Rather than examine entire systems within or across the facility. you look at only a single process
The process audit examines an activity to verify that the inputs, actions, and outputs are in accordance with defined requirements The boundary (scope) of a process audit should be a single process, such as marking, stamping, cooking, coating. or installing. It is very focused and usually involves only one work crew.
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