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. management system standards, requirements, etc.). The aim is to evaluate overall system effectiveness - planned activities and planned results.

Particular attention is given to creating audit questions in situations where the auditee organization may 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.

The key audit criteria covers ISO 9001:2015, the AS9100:2016 series of standards and, where applicable, ISO 14001:2015 and ISO 18001:2015. Although these international standards are used as the main audit criteria, other requirements contained in EASA Pt 21 (Sub Pt G & J), MoD standards and NATO (AQAP 2110:2016) standards may 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.

  • Auditing process-level effectiveness – Operational process KPIs

    • Examples of planned activities and planned results
    • Issuing NCRs against process results (CB rules)

  • Team mock audit – auditing and evaluating process effectiveness

  • PERFORMANCE EVALUATION and IMPROVEMENT –

    • Active management of all performance objectives – P-D-C-A
    • Understanding the link between clauses 9 and 10

  • Team exercise – auditing performance evaluation

  • Planning the on-site audit –

  • Understanding different types of on-site audit (audit trails) –

    • Example – preparing the audit plan
    • Example format – a more ‘flexible’ audit plan format

  • Team exercise – creating an audit plan

  • Conducting on-site audit –

    • Sequence of audit activities
    • Delivering an effective Opening Meeting

  • Team 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

  • Determining conformity and nonconformity

  • Recording audit evidence and making your decision (OK/NC)
  • Auditing process-level effectiveness – Operational process KPIs

    • Examples of planned activities and planned results
    • Issuing NCRs against process results (CB rules)

  • Team mock audit – auditing and evaluating process effectiveness

  • PERFORMANCE EVALUATION and IMPROVEMENT –

    • Active management of all performance objectives – P-D-C-A
    • Understanding the link between clauses 9 and 10

  • Team exercise – auditing performance evaluation

  • Planning the on-site audit –

  • Understanding different types of on-site audit (audit trails) –

    • Example – preparing the audit plan
    • Example format – a more ‘flexible’ audit plan format

  • Team exercise – creating an audit plan

  • Conducting on-site audit –

    • Sequence of audit activities
    • Delivering an effective Opening Meeting

  • Team 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

  • Determining conformity and nonconformity

  • Recording audit evidence and making your decision (OK/NC)

  • Understanding auditing, objective evidence, audit criteria –

    • audit
    • objective evidence
    • audit criteria

  • Selecting applicable management system standards –

    • ISO 9001:2015
    • ISO 14001:2015
    • ISO 18001:2016
    • AS9100:2016 series of standards

  • Understanding conformity and compliance –

    • conformity
    • compliance

  • Different requirements and conformity –

    • terminology
    • definition

  • Understanding different types of requirements –

    • conformity
    • performance

  • Interpreting and auditing standard requirements (audit criteria) –

    • requirement or clause number
    • audit question
    • objective evidence

  • Explanation of the ‘evidence-based approach’ to auditing –

    • documents & records
    • statements of fact
    • other information
  • Introduction to the ‘NCR template’ –

    • requirement/clause #
    • statement of nonconformity
    • objective evidence

  • Introduction to the ‘Investigation template’ –

    • clause #
    • who/what to ash
    • what to look for

  • identifying international management system standards –

    • ISO 9001:2015
    • AS9100:2016 series
    • ISO 14001:2015
    • ISO 18001:2015, etc.

  • Elements of quality managements systems standards –

    • the HLS (high-level structure) of international MSSs

  • Identifying the P-D-C-A alignment with MSS standard clauses

  • Understanding QMS standards requirements –

    • requirements
    • how-to-do’s

  • The need for management system documentation –

    • ISO 9001:2015 requirements for documented information
    • AS9100:2016 requirements for documented information
    • Performing a management system document review
  • Understanding the management system audit

    • Guidelines and Standards relating to auditing –
      • ISO 19011 (all Auditors)
      • ISO/IEC 17021 (CBs)
      • AS9101 (IAQG scheme)

  • Understanding audit elements and methods –

    • objectives
    • purpose
    • criteria
    • scope
    • questions – objective evidence – evaluation
    • NCRs – conclusions – audit report

  • understanding audit-related terminology –

    • audit objectives
    • audit scope
    • audit criteria

  • Understanding different audit methods –

    • on-site – remote
    • human interaction – no human interaction

  • Understanding different types of management system audit –

    • First-party audits
    • Second-party audits
    • Third-party audits


  • CONTEXT OF THE ORGANIZATION

  • Key elements of management systems and their relationships –

    • review and explanation of MMS clauses 4.1, 4.2, 4.3 and 4.4
  • Mock audit – auditing an organization’s purpose

  • Understanding the organization and its context –

    • external and internal issues

  • Mock audit – auditing external and internal issues

  • Example of an organization’s SWOT analysis

  • Understanding the needs and expectations of interested parties

    • Relevant interested parties and their relevant requirements

  • Mock audit – interested parties and their requirements

  • Determining the scope of the management system –

    • Understanding the ‘scope’ of the management system
    • Understanding the ‘applicable requirements’

  • Mock audit – scope and applicability of requirements

  • The management system and its processes –

    • Strengthened focus on the ‘process approach’

  • Class quiz – common names for OPERATION processes

    • Describing OPERATION processes and their interactions

  • Class quiz – description of QMS processes

  • OPERATION and SUPPORT processes

    • Identifying OPERATION processes tasks/activities
    • Relating audit questions to audit criteria (ISO 9001 or AS9100)
    • Formulating and ‘phrasing’ audit questions

  • Team exercise – audit questions for an OPERATION process
  • Auditing MS process ‘controlled conditions’

  • Using a ‘turtle diagram’ to identify controlled conditions

  • Team exercise – audit questions for an OPERATION process

  • Relating audit questions to audit trails (i.e. activities ‘flows’)

  • Demonstrating conformity/compliance with audit criteria

    • creating a ‘compliance matrix

  • Other key OPERATION, SUPPORT and related processes

  • LEADERSHIP (Management review) –

    • Leadership – not just management!
    • Leadership (QMP #2 & ISO 9000:2015)
    • Demonstrable leadership and commitment (involvement!)

  • Team exercise – auditing leadership and top management

  • Quality/Environmental policy –

    • Understanding the policy statement

  • Team exercise – auditing and evaluating policy

  • PLANNING (performance objectives)

    • Requirements for planning for the management system

  • Team exercise – auditing planning for the management system

  • Sources of an organization’s (performance) objectives –

  • Team mock audit – evaluating customer-focused objectives
  • Auditing process-level effectiveness – Operational process KPIs

    • Examples of planned activities and planned results
    • Issuing NCRs against process results (CB rules)

  • Team mock audit – auditing and evaluating process effectiveness

  • PERFORMANCE EVALUATION and IMPROVEMENT –

    • Active management of all performance objectives – P-D-C-A
    • Understanding the link between clauses 9 and 10

  • Team exercise – auditing performance evaluation

  • Planning the on-site audit –

  • Understanding different types of on-site audit (audit trails) –

    • Example – preparing the audit plan
    • Example format – a more ‘flexible’ audit plan format

  • Team exercise – creating an audit plan

  • Conducting on-site audit –

    • Sequence of audit activities
    • Delivering an effective Opening Meeting

  • Team 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

  • Determining conformity and nonconformity

  • Recording audit evidence and making your decision (OK/NC)
  • Writing an effective NCR (the NCR template)

  • Team mock audits – simulated audit situations

    • each team is allocated two simulated audit situations and asked to identify nonconformities and write out the associated NCR

  • Agreeing on audit conclusions

  • Team exercise – preparing audit conclusions

  • Delivering an effective Closing Meeting

  • Team role-play exercise – delivering an effective Closing Meeting

  • Preparing and presenting the audit report
    and Conducting audit follow-up

    • Preparing the audit report – suggested ‘generic’ format
    • Conducting audit follow-up

  • Individual/Team quiz – simulated audit situations

  • Extended question & answer session
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.

Details/quote

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

The course is specifically suited for auditing where -

  • multiple international management system standards are involved (quality, environmental, etc.)
  • organizations do not necessarily have documented procedures
  • it is simply required to establish the degree of conformity/compliance with customer-specific requirements

Delegates only need to have a basic knowledge of ISO 9001:2015, the AS9100:2016 series of standards and, where applicable, ISO 14001:2015 and ISO 18001:2015.

Attendees use their own copies of relevant international standards for use during the training 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 international standards (e.g. ISO 9001:2015, AS9100:2016 series, ISO 14001:2015, ISO 18001:2016, 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 management system 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.

/training-and-qualification/compliance_auditing-process_approach