(new) - Auditing for Regulators
Course content
Module 1 – Introduction
A. What is compliance monitoring in aviation?
B. What is an audit and why perform audits and oversight?
C. Introduction ICAO
D. ICO document 9734 and critical element 6 and 7
E. EASA and the European Commission
F. Basic regulation art. 62 and authority requirements on oversight
G. Regulation 638/2013
H. ISO
I. ISO Quality management system
J. Compliance monitoring versus quality
K. Deming cycle
L. Process based management
Module 2 – EASA & the organisationalmanagement system principle
A. Introduction of the EASA management system and the requirements for Compliance Monitoring
B. Organisational organograms and the key principles
C. EASA Roles and Positions
D. The EASA management System and an integration of Management Systems
E. Compliance and performance oversight
F. Business objectives, key performance indicators and process design
G. Performance based auditing and the MSAT Tool
Module 3 – The Audit Process
A. ISO definitions
B. ISO Principles of auditing
C. Auditors trades
D. The components of the audit process
Module 3a – The Audit Process: preparation
A. Reasons for initiating an audit
B. Oversight programme
C. Exercise oversight prgramme
D. Difference between audits and inspections
E. oversight programme objectives
F. Improving the audit programme
G. A risk based approach…
H. Purpose and scope of the audit
I. The audit criteria
J. The audit team
K. Auditors selection
L. Different types of audits
Module 3b – The Audit Process: Initialisation
A. Initiating an audit
B. Possibility of a pre-visit
C. The first team meeting
D. Contact with the auditee
E. Audit Plan
F. Audit Schedule
G. Team meetings
H. Presentation of a case
I. Exercise: make an audit plan and schedule
J. Announcement to the auditee
K. The Audit check list
L. preparation
M. Make an audit check list for an interview
N. Guide person
Module 3c – The Audit Process: Execution
A. Opening meeting
B. Conduct an Opening meeting
C. Audit techniques and investigative skills
D. Interviews
E. Question types
F. Note taking
G. Objective evidence
H. Evaluating audit results
I. Findings
J. Audit
Module 3d – The Audit Process: Report
A. Writing audit findings
B. Non-conformity classification
C. The audit report
D. Write findings
E. Closing meeting
F. Prepare and conduct closing meeting
Module 3e – The Audit Process: Follow up
A. Correction and corrective action
B. Closing the finding
C. Follow up
D. Overdue findings
E. The last team meeting
F. Summary
Course prerequisites
No previous experience in auditing or any regulatory management function is necessary.
Scheduled dates
None, request by mail