Audit Scheduling
 
An essential requirement of our audit program is to cover the entire organizational system, notionally this should be done on an annual basis, we should also be mindful that some areas may require more frequent auditing, whilst some areas may be audited on a less frequent basis.

The primary reason to perform audits is to ensure regulatory compliance with external requirements and full compliance with internal organizational requirements. The secondary reason is to enable an understanding of opportunities to seek out improvement.
 
Audits should never appear as adversarial or confrontational, rather they are a method that should be fully supported by the auditee to demonstrate compliance in all necessary areas.

Whether the audit is External or Internal it should be formal, planned, and organized. They must be delivered by an auditor who is independent and they should be conducted in an impartial and objective manner following an agreed scope and procedures.
 
The purpose of our audit program (schedule) is to plan the basic program which will identify the type and number of audits that we intend to carry out in the forthcoming year.
 
We also use this as a part of our manpower calculations to demonstrate we have the resources to carry out the required program.
 
We are required to submit to the regulatory authority the audit program for approval and acceptance of the manpower calculations.

A Quality Assurance Program should include a defined audit schedule and a periodic review cycle area by area. The schedule should be flexible, and allow unscheduled audits when trends are identified. Follow-up audits should be scheduled when necessary to verify that corrective action was carried out and that it was effective.

The audit schedule is an essential element of an effective quality audit system it is through the effectiveness of the audit program that an organisation's health and well-being are maintained and developed. It therefore follows that a more comprehensive audit program is going to deliver more in respect of identifying non-conformance, than a simple program. It should be understood that simply satisfying the regulator concerning the audit program should not be the primary objective of the business.
 
The audit schedule is composed of several elements:

1. The mandatory requirements
2. The Operator selected requirements

Often item 2 is far greater in respect of the workload than item 1 in terms of the depth and number of audits that are delivered. (Note - This is usually an indication of a very effective audit system.)
 
Each element generates a number of audits.
 
Item 1 audits - The mandatory requirements typically consist predominantly of Regulatory Compliance audits as well as a sample of Product Audits. 
Item 2 audits - The operator-selected requirements should usually contain a considerable number of System and Process audits.
 
When developing the audit schedule start with an understanding of how much resource you are prepared to commit to the audit process.
 
If you wish to simply satisfy the mandatory regulatory requirement, the required resource is somewhat less than a system that operates in a more inclusive and proactive way.
 
The first step is to ensure the audit schedule is fully compliant with all regulatory requirements basically each regulatory requirement must be shown to be compliant each and every year in respect of each obligation.
 
This is done in two ways - Item 1 audits the compliance of the organisation's documentation in respect of the regulatory requirement.
 
Item 2 audits the organisation's compliance with its procedures.
 
So for example an airline with its own Part 145 organization will have an audit schedule which includes Part OPS, Part M, and Part 145 together with all the associated compliances.
In addition, there is a requirement to perform several product audits to test each product line.
Once the basic structure is in place it is possible to start to add additional audits which will provide a strong understanding regarding the effectiveness of the Quality System.
 
For each business process or area include a process or system audit.
Set up an audit program for major suppliers (External Audits).
Set up a vendor audit management process which could be predominantly postal.
A copy of the audit schedule should be made available to the regulatory or competent authority.
 
Consider the additional System and Process Audits you are going to include in your audit plan.
Add additional Product audits to provide additional strength to the audit program.
Allocate time and resources for surveillance activities.
A copy of the audit schedule should be made available to the regulatory or competent authority.

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