Introduction

Note: This course will be available as of March 2025!

The aim of this course is effective audit planning and oversight.

This course aims to provide authority auditors/inspectors  with the tools and skills to succesfully organise audits and audit organisations for initial approvals and during continuing oversight.

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

Learning Objectives

Upon completion of this course you will be able to:

• Understand the principles of auditing
• Understand the different types of audits and be able to choose the right one for the occasion
• Identify the necessities and trades of a good auditor
• Make an audit plan
• Make an audit check list
• Make an audit schedule
• Conduct an audit
• Unstand audit processes and procedures
• Write audit findings
• Debrief auditees
• Write an audit report
• Understand root cause anlysis

Who should take this course

This course will be of most benefit to professionals responsible for undertaking any form of regulatory audit or inspection activity, as well as regulatory staff at all levels responsible for planning and managing oversight activities.

Pre-requisites

No previous experience in auditing or any regulatory management function is necessary.

Duration

4 Days: 09:00 – 16:30 hrs