Compliance audits are designed to give assurance that activities have been performed properly. It should be understood of course that Compliance Audits are of course reactive (which means we have to review evidence that is either post an event or concurrent with an event).

As we know certain areas of our Aviation Business, (and it is fair to say in aviation there are many) can be described as high risk. For these areas, among the many mitigation techniques that are available Quality Audits can play a supporting role, by establishing ongoing conformity with company processes and procedures.

When we consider compliance audits whilst it may be satisfactory the reality is that it is unknown if the compliance will be satisfactory next week or next month. The compliance audit typically requires a lower level of auditor competence and is presented typically as a completed checklist of observed conditions at the time of the audit.

A shortfall of the compliance audit is that it does not always test either the process or procedures that are developed to deliver the requirement. (As a result, some assumption is typically made on behalf of the auditor.) Whilst often this does not become an issue it remains a weakness. Compensation for weaknesses found in compliance audits may be found in System or Process audits.

Compliance Audits may also be classified by scope as product, process, and system audits.

A product audit is quite similar to an inspection, where the completed item or task is examined to the 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.

Product audits focus on the 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.

Process Audits are short but intense. Rather than examine entire systems within or across the facility, 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 within the system.

So to consider a Performance Audit – Performance does not focus on compliance with the regulations. A performance audit looks more at the organisation's effectiveness for efficiency and business results. In a performance audit, the rules are challenged, whilst the underlying principles driving those rules are accepted and not challenged – This type of auditing goes beyond compliance.

To be successful when dealing with performance audits we must understand the critical importance attached to methods employed to deliver internal processes concerning evaluation, communication, and decision-making, together with a process to drive implementation. We should recognize that various factors may influence the success or effectiveness of the Performance process, for example, the strength of the quality reporting systems and the organisation's attitude to risk and safety.

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