Compliance Monitoring and Auditing - for National Aviation Authority Inspectors
A regulatory authority needs to be in full control of its regulatory oversight processes, which in turn will need to satisfy the States’ commitments to international conventions. It is now well recognised 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 to assist in the initial and continued approval and/or certification of an organisation.
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 Airworthiness Management and Maintenance, Training organisations, 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 compliance and process effectiveness.
The course covers the principles and practice of conducting an initial review of an organisation for regulatory compliance together with the use of auditing to verify the on-going effective implementation of the management system adopted by the organisation
to ensure continued compliance. The course is structured around EU regulations and the ICAO oversight model. The course revolves around a case study organisation that requires formal approval following which it is necessary for the regulatory authority
to construct an ongoing audit oversight program to verify continued compliance.
An optional exam will be available on completion of this course.
This four day course 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 an effective state regulatory oversight process.
- 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 competent authority 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.
Classroom base Duration: 4 days
- 3 - 6 September 2024