As you become familiar with this process you will start to understand that there are two options and a challenge to consider:
Option 1 - To develop an EASA Compliant Auditing Program which ensures compliance with the regulatory objectives.
Option 2 - To develop an Organisation Auditing Program which ensures compliance with the regulatory objectives but goes on to set and meet further organisational objectives which provide a far wider and deeper understanding of the organisational exposures.
Such an approach as “Option 2” can provide a significant benefit to the organisation in terms of fully understanding business process underperformance which provides for an opportunity to deliver optimisations.
The Challenge?
Quite simply the challenge is how much resource to put into the Quality Assurance (Compliance) System and how much time to spend performing audits and follow-ups.
As with any project, at least until we reach saturation, the time that is taken to plan the internal audit increases the chances that the audit will provide a return on the “time” investment to deliver the audit to a high standard.
Based on the overall management objective we can construct an audit program that meets all objectives.
Also to note that the approach from EASA has changed from the previous philosophy of auditing “everything” once a year to developing an audit program that is performance-based and provides additional resources where it is needed.
Auditor Competence
The level of understanding by the auditor concerning the audit subject is extremely important.
Typically consisting of background knowledge, together with appropriate subject matter specialist knowledge. Positive outcomes derived from an internal audit depend on the ability of the auditor to effectively interact with the auditee. Effective planning can provide an opportunity to establish or develop effective communications that will benefit the actual audit delivery.
Preparation for Audits
Typically the time taken to prepare for the audit is more or less equal to the time taken to deliver the audit. The preparation time may be reduced if well-developed checklists are available.
A typical time division would be:
Preparation 40%
Delivery 40%
Writing up 10%
Follow up 10%
A thorough understanding of the target audit subject provides for a more professional outcome. The information and supporting data depend very much on the size and shape of the organisation. In addition, consideration of existing approvals and qualifications held by the organisation are of course highly relevant.
Considerations related to the preparation of an Audit
What are the tasks and activities that occur within the business process/area?
Roles, Responsibilities, and the Accountability of Management & Manpower - who does what, where & how?
How does the process interact with the rest of the business – meeting organisational objectives?
How is information managed within the business and who has access?
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