How to Measure Effective Performance Delivery During EASA Compliance Audits
Why should we wish to measure the performance of our Compliance Audit Process?
Essentially for 2 reasons
1/ The first is that we have an organisational obligation to ensure both regulatory and organisation compliance and of course there is a cost for this – so the question becomes is the organisation receiving value for money?
2/ The second is because there is a cost associated lets call it a return on investment – if we invest more will we return more- without a measure we will not be able to understand this.
The Internal Audit function was predominantly existing as a mandatory process to ensure and demonstrate compliance is also able to focus on improving business performance and add value by supporting strategic business objectives.
Management communication of the various shortfalls related to the audit findings should be strong and consistent and to be demonstrated to have a contributory impact on a culture of compliance within an organization
Measuring Audit Performance
Measuring “Audit Performance” can help to demonstrate the maintenance of high standards related to the management and delivery of compliance audits
The information derived through the audit activities can be used as management data and integrated into the organization’s overall business strategy, In this way linking the overall audit performance with the objectives and obligations of the organisation.
to the organization’s mission and objective.
Benchmarking – KPI’s
The following aspects may be developed to provide data in support of the overall process
a) Effectiveness of audit in covering key areas
Is it demonstrated that the audit is identifying all gaps, exposures and non conformities.
Consider if this is working correctly then the CA should find little if any discrepancies during regulatory audits.
b) Feedback via reporting into the mandatory and voluntary reporting systems.
Consideration of the various exposures which are identified as a result of the report generated can be aligned with the previous audits carried out to assess the effectiveness of the previously carried out audits.
c) Duration and Cost of the audit
The cost of the audit should be aligned with both the regulatory obligation to perform an audit.
Consider that taking too long to perform an audit adds to the cost
A genuine low level of findings is also an indicator of the worth of the audit (one of the reasons EASA is moving towards a dynamic assessment of performance based audits rather than a fixed audit cycle)
d) Accuracy of audit findings
All audit findings should be directly related to an audit standard or criteria and this should be clear and demonstrated in every case.
e) Recurrent Findings of Systemic Issues
Analysis of audit findings should focus on reviewing the “root cause” of an identified systemic issue and assessing how effective is the process of “fixing” the identified issues
Sofema Aviation Services www.sassofia.com (
