Regulatory Auditing Techniques

Subject areaQuality
Course languageEnglish
NameRegulatory Auditing Techniques
Duration4 Days

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.


  • 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

This course is not planned, Request