​FAQ

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​​𝐅𝐀𝐐: 𝐂𝐨𝐦𝐩𝐥𝐢𝐚𝐧𝐜𝐞 𝐀𝐮𝐝𝐢𝐭𝐬 𝐯𝐬. 𝐏𝐫𝐨𝐜𝐞𝐬𝐬 𝐀𝐮𝐝𝐢𝐭𝐬 - Understanding the Differences and Approaches

𝐖𝐡𝐚𝐭 𝐢𝐬 𝐭𝐡𝐞 𝐝𝐢𝐟𝐟𝐞𝐫𝐞𝐧𝐜𝐞 𝐛𝐞𝐭𝐰𝐞𝐞𝐧 𝐚 𝐜𝐨𝐦𝐩𝐥𝐢𝐚𝐧𝐜𝐞 𝐚𝐮𝐝𝐢𝐭 𝐚𝐧𝐝 𝐚 𝐩𝐫𝐨𝐜𝐞𝐬𝐬 𝐚𝐮𝐝𝐢𝐭?
Compliance audits and process audits assess different aspects of an organisation. A compliance audit focuses on whether specific rules, standards, or regulations are being followed. In contrast, a process audit reviews the effectiveness and efficiency of a particular process within the organisation.

𝐖𝐡𝐚𝐭 𝐝𝐨 𝐭𝐡𝐞 𝐭𝐞𝐫𝐦𝐬 "𝐡𝐨𝐫𝐢𝐳𝐨𝐧𝐭𝐚𝐥" 𝐚𝐧𝐝 "𝐯𝐞𝐫𝐭𝐢𝐜𝐚𝐥" 𝐚𝐮𝐝𝐢𝐭 𝐦𝐞𝐚𝐧?
You may also have heard a reference to "horizontal" and "vertical" audits. A vertical audit focuses on a single function or department in detail. A horizontal audit, on the other hand, examines a specific process or requirement across multiple functions or departments.

𝐒𝐡𝐨𝐮𝐥𝐝 𝐭𝐡𝐞 𝐦𝐚𝐭𝐮𝐫𝐢𝐭𝐲 𝐨𝐟 𝐭𝐡𝐞 𝐚𝐮𝐝𝐢𝐭 𝐩𝐫𝐨𝐜𝐞𝐬𝐬 𝐢𝐧𝐟𝐥𝐮𝐞𝐧𝐜𝐞 𝐩𝐥𝐚𝐧𝐧𝐢𝐧𝐠?
Yes. When planning your audits, consider how mature your audit process is. The maturity level may affect both the scope and the approach you take for your audits.​

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𝐅𝐀𝐐: What is the difference between an audit and a review?

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ISO 19011:2018(en) Guidelines for auditing management systems defines "Audit" as:

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Audit

Systematic, independent and documented process for obtaining objective evidence (3.8) and evaluating it objectively to determine the extent to which the audit criteria are fulfilled.

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See terms and definitions for "Review" for the relevant standards e.g., ISO 9000:2015(en) Quality management systems — Fundamentals and vocabulary.

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Review

determination (3.11.1) of the suitability, adequacy or effectiveness (3.7.11) of an object (3.6.1) to achieve established objectives (3.7.1)

EXAMPLE:

Management review , design and development (3.4.8) review , review of customer (3.2.4)requirements (3.6.4), review of corrective action (3.12.2) and peer review .

Note 1 to entry: Review can also include the determination of efficiency (3.7.10).