Page 59 - UK ATM ANS Regulations (Consolidated) 201121

Part ATM/ANS.OR - ANNEX III - Common Requirements for Service Providers

the service provider and the complexity of the activities to be monitored, including
those which have been subcontracted.
(b) A service provider should monitor compliance with the procedures they have designed to
ensure that services are provided with the required safety levels and quality, as
applicable. In doing so, they should as a minimum, and where appropriate, monitor:
(1) manuals, logs, and records;
(2) training standards; and
(3) management system procedures.
(c) Organisational set-up
(1) A person should be responsible for compliance monitoring to ensure that the
service provider continues to meet the requirements of this Part and other
applicable Parts. The accountable manager should ensure that sufficient resources
are allocated for compliance monitoring.
(2) Personnel involved in the compliance monitoring should have access to all parts of
service provider and, as necessary, any contracted organisation.
(3) In the case the person responsible for compliance monitoring acts also as safety
manager, the accountable manager, with regard to his or her direct accountability
for safety, should ensure that sufficient resources are allocated to both functions,
taking into account the size of the service provider and the nature and complexity of
its activities.
(4) The independence of the compliance monitoring function should be established by
ensuring that audits and inspections are carried out by personnel not directly
involved in the activity being audited.
(d) Compliance monitoring documentation
(1) Relevant documentation should include relevant part(s) of the service provider's
management system documentation.
(2) In addition, relevant documentation should also include:
terminology;
(i) (i) terminology;
(ii) specified activity standards;
(iii) a description of the service provider;
(iv) allocation of duties and responsibilities;
(v) procedures to ensure compliance;
(vi) the compliance monitoring programme, reflecting:
(A) the schedule of the monitoring programme;
(B) audit procedures;
(C) reporting procedures;
(D) follow-up and corrective action procedures; and
(E) the record-keeping system;
(vii) the training syllabus referred to in (e)(2); and
(viii) document control.
(e) Training
(1) Correct and thorough training is essential to optimise compliance in every service
provider. In order to achieve significant outcomes of such training, the service
provider should ensure that all personnel understand the objectives as laid down in
the service provider's management system documentation.
(2) Those responsible for managing the compliance monitoring function should receive
training on this task. Such training should cover the requirements of compliance
monitoring, manuals and procedures related to the task, audit techniques, reporting
and recording.
(3) Time should be provided to train all personnel involved in compliance management
and for briefing the remainder of the personnel.
(4) The allocation of time and resources should be governed by the volume and
complexity of the activities concerned.
ATM/ANS.OR.B.005(c) GM1 Management system
COMPLIANCE MONITORING ORGANISATIONAL SET-UP
(a) The role of the compliance monitoring may be performed by a compliance monitoring
manager to ensure that the activities of the service provider are monitored for compliance
with the applicable regulatory requirements and any additional requirements established
by the service provider, and that these activities are being carried out properly under the
supervision of other relevant nominated postholders and line managers.
(b) The compliance monitoring manager should:
(1) be responsible for ensuring that the compliance monitoring programme is properly
implemented, maintained, and continually reviewed and improved;
(2) have direct access to the accountable manager;
(3) not be one of the line managers; and
(4) be able to demonstrate relevant knowledge, background and appropriate
experience related to the activities of the service provider, including knowledge and
experience in compliance monitoring.
(c) The compliance monitoring manager may perform all audits and inspections
himself/herself or appoint one or more auditors by choosing personnel having the related
20th November 2021 59 of 238