Firstly to understand that both System and Process audits are in fact compliance audits then to understand that a System typically consists of multiple processes. 

Next consider that when we perform an audit it is in effect performed against a "standard" Such standard could be for example directly taken from the applicable aviation regulations, or it could be an organisational standard that is referenced to the aviation regulations, but enhanced in some way to meet the organisations specific objective.

The best way to deal with such an endeavor is to start by looking at the system in total and comparing it against the regulatory requirements to ensure that there are no "gross" errors.

This requires a detailed comparison between the regulations and the organisational procedures documentation to determine that:

a) All elements of the regulatory requirements are fully complied with in the organisational documentation

b) Any additional undertaking does not create any conflicts with regulatory requirements

Once we are able to satisfy the above and we are confident that our procedures do not cause any conflict with the regulatory obligations we can start to look deeper into the process.

The system can now be subdivided into a number of process audits – each audit will typically look at the following elements and taken together will provide a degree of confidence regarding the overall integrity of the system. 

What will we look for during the process audits?

a) Manpower

i/  Does the process have sufficient manpower for the required task?

ii/ Has the manpower received appropriate training if required?

iii/ Is the competence of the Manpower being managed to a controlled and documented standard?

b) Documented Procedures

We have established that the procedures are compliant previously and now we can ask.

i/ Who is the manager of the procedures & does he or she have the authority to modify as necessary?  

ii/ What would cause a modification of the procedures when is the review cycle and how would a change in the regulations be reflected in the procedures?

c) Facilities Tooling & Equipment

i/ What Facilities, Tooling, and Equipment is specified for the activity is it correctly reflected in the actual which is available?

ii/ How are the Facilities, Tooling, and Equipment managed and how are defects reported and managed within the business area to ensure the documented procedure matches the actual circumstances found?

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