Audit Planning Process

1. Audit Program/Plan

2. Audit Program/Plan

3. • AIM
• To describe the various parts involved in the planning of
an audit in
accordance with the applicable Civil Aviation standards

5. • Audit Manager Shall plan for Audit.
Select Team Leader and Team Member
Plan for Scope, Area and Depth of Audit
 Plan for Logistical details
Plan Who, When, How Long and Costs
 Get necessary approval

6. • Planning Factors: Bases
When was the last audit?
Review the company and compliance history.
What was found at the bases during the last
audit?
Was there a follow-up? How did it go?

7. • Planning Factors: Bases
How accessible are the bases and is it worthwhile
to visit?
Can we find the information elsewhere?
What manpower is required?
Determine risk management.

8. • Planning Factors: Manpower
Team Members. Are the right people available?
Will Subject Matter Experts be required?
Will all Specialties be covered?
Do I need Support Staff?
How can I get the best utilization of team
members?

9. • Planning Factors: Duration
Size of Company
Record of Company
Capabilities/diversification of A/C, etc.
Scope and function of work carried out
Distance, location and company scope of work
Unforeseen circumstances (weather, travel etc.)

10. • Planning Factors: Duration
Significant areas of concern will increase sampling
& duration.
Availability of team members
Loss of a team member (illness, accident etc)
Experience level of auditors

11. • Funding/Cost:
Class of Audit
The number of people on the team
The scope of the audit
Accommodation, meals, etc.
Foreign travel, Air and ground transportation,
Equipment/conference room, rentals.

13. •Environmental
•Safety (Personnel and Process)
•Emerging Risk
•Business Process Effectiveness
•Compliance

16. • Audit Team:
Select Team Leaders
Select Subject Matter Experts
Select Advisors (if required)
Determine support personnel requirements

17. • Audit Manager
Selects the team
Communicates internally and externally
Prepares the audit plan
Establishes contact with the Auditee
Sets the audit date(s)

18. • Attributes of the Auditing Team Members:
i. Sound knowledge of the aeronautical regulations
and technical expertise;
ii. Fundamental knowledge of the industry or activity
being regulated;
iii. Skills in communication;

19. iv. Be able to anticipate problems and assess the
seriousness of observed
v. Is able to organise his/her work, to question, to
look for objective evidence, to construct checklists
and use them effectively without being limited by
them, etc..
vi. Has knowledge of the criteria against which the
audited object is to be evaluated.

20. • Conflict of Interest:
• In selection of the Audit Manager/Team Leaders/
Members or Observers there shall be no conflict
of interest, real or perceived by the auditor, the
auditee or others

21. • Confidentiality:
Confidentiality must be maintained:
At site or away from the site
In general, keep the conversation between you and other
team members.

22. Lucky Airlines AUDIT ORGANIZATIONAL CHART
1997
Inspector
Inspector
Inspector
Deputy Team Leader
Engineering
Bob Scott
A300, A330, B727,B737
Inspector
DC-10, MD-11
Deputy Team Leader
Fleet Analysis
Dick
Inspector
Deputy Team Leader
Standards
T Hard
Airworthiness Team Leader
Joe Hunt
Operational Team Leader
tba
Audit Manager
Ted Smith
Convening Authority
Director, Airworthiness
Cpt Harry
Inspector
Inspector
Adminitrative Assistant
Ms Lush
Inspector
Inspector Inspector
Inspector

23. Scope and Depth
• Scope - Means the number of functional areas
within a company that will be audited.
• Depth- Means the period of time over which a
company will be audited, normally from the last
audit up to the present day.

24. • The following factors should be considered when
determining the scope and depth of an audit:
The areas of the company to be audited (the entire operation
or a specific area);
The depth (i.e. how far back in time) to which the audit will
reach;
The geographical dispersion; and
The sample sizes to be used versus the population being
sampled.

25. • Functional Area:
• Defined as 28 discrete areas or departments within an organization
e.g.:
• Code Topic
• A-1 Maintenance Control Manual
• A-2 Technical Publications
• A-3 Company Quality Audits
• A-4 Engineering
• A-5 Support/Overhaul Shops
• A-6 Aircraft Maintenance Records, etc

26. Functional Area
A1
IPM
A2
Technical Publications
A3
Company Internal Audits
A4
Engineering
A5
Support/Overhaul Shops
A14
Certification of Components
A16
AWD/SB Compliance
Engineering
A1
IPM
A2
Technical Publications
A3
Company Internal Audits
A6
Aircraft Maintenance Records
A7
Sample Aircraft for Conformance
A9
Maintenance Programs
A10
Reliability Programs
A11
MEL
A16
AWD/SB Compliance
A19
Fuelling/Refuelling/ Fire Prevention
Fleet Analysis
A1
IPM
A8
Parts/Material Control
A12
Test Flights
A13
Maintenance Contracts
A15
Airworthiness Control Committee
A17
Maintenance Training Standards
A18
Licencing Certification Standards
A20
Facilities/General
Standards A21
Sub-Bases/Enroute
tba
Audit Areas