Auditing conformity and compliance

By the end of this 2-day practical course & workshop participants will be able to plan, undertake and report on internal and supplier audits using the ‘process approach’ against any audit criteria (i.e. standards, requirements, etc.). The aim is to evaluate overall QMS effectiveness - planned activities and planned results.

Particular attention is given to creating audit questions in situations where the auditee organization does not have documented procedures. In addition, participants will learn how to assess the ‘active’ management of customer satisfaction, QMS and suppliers performance and process-level effectiveness - and how to audit the organization's Leadership!

This practical course contains many Team Exercises that are structured to follow all of the key steps in preparing for, undertaking, reporting on and closing-off process-based conformity, compliance and performance audits. The Team Exercises are focused on Aviation and Defence (land/sea/air) scenarios.

Although ISO 9001:2015 and the AS9100:2016 series of standards will be the main audit criteria, other QMS requirements contained in EASA Pt 21 (Sub Pt G & J), MoD standards and NATO (AQAP 2110:2016) standards are also addressed.

The 2-day course & workshop is highly interactive and uses a Case Study, quizzes, team exercises and individual role-play scenarios. The course timings are - 08:30 to 17:00.

Understanding quality, auditing and requirements

  • Understanding quality and related terminology
    • characteristics
    • auditing, objective evidence, audit criteria
  • Understanding different requirements and conformity
    • different types of quality requirement
  • Interpreting and auditing standard requirements (audit criteria)
  • Explanation of the ‘evidence-based approach’ to auditing
  • Introduction to the ‘NCR template’
  • Introduction to the ‘Investigation template’
  • Identifying quality-related international standards
  • Elements of quality managements systems standards
  • Identifying the P-D-C-A alignment with MSS standard clauses
  • Understanding QMS standards requirements

The need for QMS documentation

  • ISO 9001:2015 requirements for documented information
  • AS9100:2016 requirements for documented information
  • Performing a QMS document review

Understanding the quality management system audit

  • Guidelines and Standards relating to auditing
  • Understanding audit elements and methods
  • Audit-related terminology
  • audit objectives
  • audit scope
  • audit criteria
  • Understanding different audit methods
  • Understanding different types of QMS audit
  • First-party
  • Second-party
  • Third-party


  • Key elements of the QMS and their relationships
  • Understanding the organization’s purpose
  • Understanding the organization and its context
  • Understanding external and internal issues
  • Understanding the needs and expectations of interested parties
  • Relevant interested parties and their relevant requirements
  • Determining the scope of the quality management system
  • Understanding the ‘scope’ of the QMS
  • Understanding the ‘applicable requirements’
  • Quality management system and its processes
  • Strengthened focus on the ‘process approach’
  • Identifying common names for OPERATION processes
  • Describing OPERATION processes and their interactions


  • Identifying OPERATION processes tasks/activities
  • Relating audit questions to audit criteria (ISO 9001 or AS9100)
  • Formulating and ‘phrasing’ audit questions
  • Identifying process criteria for operation processes
  • Auditing QMS process ‘controlled conditions’
  • Using a ‘turtle diagram’ to identify controlled conditions
  • Relating audit questions to audit trails (i.e. activities ‘flows’)
  • Demonstrating conformity/compliance with audit criteria
  • Identifying other key OPERATION, SUPPORT and related processes

LEADERSHIP (Management review)

  • Leadership – not just management!
  • Understanding leadership (the Quality Management Principles)
  • Evaluating demonstrable leadership and commitment (involvement!)
  • Identifying process criteria relating to leadership and top management

Quality policy

  • Understanding quality policy
  • Auditing and evaluating quality policy

PLANNING (Quality objectives)

  • Requirements for planning for the quality management system
  • Identifying process criteria relating to planning for the quality management system
  • Identifying sources of an organization’s (quality) objectives
  • Evaluating customer-focused quality objectives
  • Auditing process-level effectiveness – Operational process KPIs
  • Understanding process effectiveness (planned activities and planned results)
  • Issuing NCRs against process results (CB rules)
  • Auditing and ‘scoring’ process effectiveness


  • Active management of all quality objectives – the P-D-C-A cycle
  • Understanding the link between ISO 9001 clauses 9 and 10
  • Auditing how an organization evaluates QMS performance

Planning the on-site audit

  • Understanding different types of on-site audit (audit trails)
  • Examples of audit plans
  • Creating an audit plan
  • Identifying the processes needed for the QMS – Case Study
  • Developing a realistic audit plan – Case Study

Conducting the on-site audit

  • Understanding the sequence of audit activities
  • Delivering an effective Opening Meeting
  • Role-play exercise – performing an Opening Meeting
  • Collecting and verifying audit evidence
  • Audit sampling methods and sample size determination
  • Building rapport with the auditee – phrasing audit questions
  • Criteria for determining conformity and nonconformity
  • Recording audit evidence and making your decision (OK/NC)
  • Writing an effective NCR (the NCR template)
  • Mock audits – simulated audit situations
  • Agreeing on audit conclusions
  • Preparing audit conclusions
  • Delivering an effective Closing Meeting
  • Role-play exercise – performing a Closing Meeting

Preparing and presenting the audit report and conducting audit follow-up

  • Preparing the audit report – suggested ‘generic’ format
  • Conducting audit follow-up
  • Class quiz – evaluating proposed corrective action responses

Closing session

Final questions and comments

Public course

Our public courses are run at the Woodland Grange Conference Centre in Warwickshire

The course fee includes a 3-course lunch and refreshments during both days

Course dates
On-site course

In-company courses may be organised at any time and are extremely cost-effective on a ‘cost-per-student’ basis. The host company is responsible for the venue costs.

We can accommodate up to 10 (maximum) delegates per session.


The course is primarily aimed at aviation and defence sectors and individuals who are required to conduct conformity, compliance and performance audits at all levels in the supply chain. Participants are not required to have any previous experience of auditing.

The course is specifically suited for supply chain auditing where either -

  • supplier organizations do not necessarily have documented procedures, or
  • where it is simply required to establish the degree of conformity/compliance with requirements

Delegates only need to have a basic knowledge of ISO 9001:2015 standard or similar standards. The additional requirements of the AS9100:2016 series of standards are also addressed with particular attention to the Plan-Do-Check-Act cycle, the Process approach and Risk-based thinking. Counterfeit parts, human factors, and product safety, ethical behaviour and 'just culture' are also included..

Attendees use their own copies of ISO 9001:2015 and any other relevant sta

dards during the course.

Assessment of learning is achieved through structured exercises and real-world audit scenarios undertaken by the participants. The tutors provide feedback and advisement to ensure that best practice is fully understood in the context of the aerospace/defence industry.

Participants who successfully complete the course will -

  • be better equipped to maintain their organization's compliance with ISO 9001:2015-based standards (e.g. AS9100, AQAP 2110, etc.)
  • evaluate supplier quality management systems
  • be confident in knowing that their audit questions address all important issues - including the organization's Leadership!
  • identify weaknesses in QMS performance (e.g. quality and delivery), process-level effectiveness and management commitment
  • identify risks and opportunities within the QMS
  • be able to accrue IRCA CPD points because of the highly structured nature of this course

All students successfully completing the 2-day course will receive an individual training certificate containing the TEC Transnational logo

The organization will -

  • be confident that their auditors are empowered to undertake effective internal (and supplier) audits
  • know that the outcomes of the audits will meet the expectations of aerospace/defence industry customers and Certification Bodies
  • be able to assess both conformity to requirements and effectiveness of operational processes

Larger teams might benefit from our in-house courses. Fill out the form below and we will contact you with further details.