Regulatory Auditing Techniques

Course Benefits
Upon return to their organizations participants should have the knowledge and confidence to develop auditing processes that will act in full support of the oversight process, providing the regulatory organization with necessary facts to support approval / certification / licensing decision making.

Who shoud attend
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.

Content
Auditing in the context of regulatory oversight
The need for and importance of effective regulatory oversight management processes
Relative responsibilities within the regulatory organisation for oversight management and decision making based on oversight audit results
Development of oversight programmes for initial approval and on-going oversight Initial review of an organisations response to regulatory requirements
Fundamental principles of auditing
Objective based auditing & reporting methods
Audit visit planning
Development of auditors working documents, check lists etc.
Audit Entry / Exit meetings
Investigative auditing skills and techniques
Factual reporting of audit findings
Interactive audit role play scenarios
Regulatory audit reports & records
Auditor competency and development issues
Regulatory process for and associated timescales of corrective actions
Effective corrective action, audit follow up and close out mechanisms
Peer review, oversight harmonisation and international oversight programmes
Interactive trainer led discussions on auditing problems & solutions