Introduction

A regulatory authority needs to be in full control of its regulatory oversight process, which in turn will need to satisfy the State's commitments to international conventions. It is now well recognized that auditing is an important and integral part of a full regulatory oversight process, and many regulatory authorities have adopted auditing techniques as a means of obtaining evidence of regulatory compliance and assisting in the initial and continued approval and/or certification of an organization.

This four-day course is specifically designed to provide regulators with a sufficient understanding of the principles and practice of auditing to enable them to develop auditing processes to suit a broad range of regulatory auditing activities relating to Aerodromes, Flight Operations, Aircraft Maintenance, Training organizations, etc. undertaken by individuals or multi-disciplinary teams, and to provide them with the necessary tools and techniques to plan and undertake individual regulatory auditing activities that verify regulatory compliance and process effectiveness.

The course covers the principles and practice of conducting an initial review of an organization for regulatory compliance together with the use of auditing to verify the ongoing effective implementation of the management system adopted by the organization to ensure continued compliance. It is based on EASA regulations and the ICAO oversight model. 

The course revolves around a case study organization that requires formal approval following which it is necessary for the regulatory authority to construct an ongoing audit oversight program to verify continued compliance. 

Course Content

The following subjects will be addressed:

• The basis for regulatory oversight - Chicago Convention and EU regulations.
• Obligations of the state and obligations of the regulatory authority.
• How auditing is used as an integral part of regulatory oversight, with reference to the information provided in ICAO document 9734.
• The need for and importance of effective management of the oversight process, with reference to international best practices and case study examples.
• An overview of the Initial Approval process (the two-stage approach).
• Initial review of an organisation's response to regulatory requirements (document review).
• Auditor competency and development issues.
• Relative responsibilities within the regulatory organisation for oversight management and decision-making based on oversight audit results.
• Planning an audit visit.
• The function and responsibilities of regulatory oversight team leaders.
• An introduction to the fundamental principles of auditing including the need for objective-based auditing.
• The principle of audit sampling to verify compliance with regulations.
• Audit protocol including the need for Audit Entry / Exit meetings and the role of Audit Guides.
• Regulatory audit reports & records
• Regulatory process for and associated timescales of corrective actions.

Conclusion: This four-day course is specifically designed to provide regulators with a sufficient understanding of the principles and practice of auditing to enable them to develop auditing processes to suit the full range of auditing undertaken by an authority in response to the ICAO requirements for effective state regulatory oversight processes.

Learning Objectives

This four-day course is specifically designed as an initial and recurrent training course for regulatory management and oversight staff, to provide them with an understanding of the principles and practice of auditing to enable them to develop auditing processes to suit a broad range of regulatory auditing activities relating to Aerodromes, Flight Operations, Aircraft Maintenance, Training organizations, etc. undertaken by individuals or multi-disciplinary teams, and to provide them with the necessary tools and techniques to plan and undertake individual regulatory auditing activities that verify regulatory compliance and process effectiveness.

This course is suitable for those who need to understand the key principles of regulatory oversight as a prerequisite to setting up a fully managed and effective regulatory oversight process.

Who should take this course

Those responsible for undertaking any form of regulatory audit or inspection activity and regulatory staff at all levels who are responsible for planning and managing oversight activities will benefit from attendance at this course. Defence Audit personnel wishing to develop and implement oversight processes will also benefit from attendance at this training course.

Pre-requisites

A background in an aviation regulatory environment. No previous experience in auditing or any regulatory management function is necessary.

Please note that for in-company presentations the course may be provided either as a general auditing techniques course or in versions specific to oversight of Maintenance, Flight Operations, Design & Production organisations, Aerodrome, and Air Traffic Management. Please contact training@jaato.com and specify your wishes to ensure a course customized to your needs.

Duration

4 days - each day will commence at 09.00 and finish at 17.00, with appropriate refreshment breaks.