AMC1 ADR.OR.F.045(b)(10) Management system

• ED Decision 2020/021/R found in: Aerodromes (139/2014) Part-ADR.AR Part-ADR.OR Part-ADR.OPS CS-ADR-DSN CS-HPT-DSN (Dec 2024)

AMC1 ADR.OR.F.045(b)(10) Management system ED Decision 2020/021/R COMPLIANCE MONITORING (a) Compliance monitoring (1) The implementation and use of a compliance-monitoring process should enable the organisation responsible for the provision of AMS to monitor the organisation’s compliance with the relevant requirements of this Part, of Part-ADR.OPS, as well as with any other applicable regulatory requirements, or requirements established by the aerodrome operator or the air traffic services (ATS) provider. (2) The compliance-monitoring process should be properly implemented, maintained and continually reviewed and improved, as necessary. (3) Compliance monitoring should include a system to feed findings back to the accountable manager to ensure the effective implementation of corrective actions, as necessary. (4) The organisation responsible for the provision of AMS should monitor the consistent application of its procedures, and compliance with the applicable procedures of the aerodrome operator and of the ATS provider to ensure that the activities are performed safely. In doing so, the AMS provider should, as a minimum, and where appropriate, monitor compliance with: (i) its privileges; (ii) the manuals, logs, and records; (iii) the training standards; (iv) the required resources; (v) the management system procedures and manuals; and (vi) the activities of the organisation carried out under the supervision of the person nominated in accordance with point ADR.OR.F.065(a)(2). (b) Organisational set-up (1) To ensure that the organisation continues to meet the requirements of this Part and of other applicable parts, the accountable manager should designate a person responsible for compliance monitoring. (2) Compliance monitoring should be an independent function. If the person responsible for compliance monitoring has also another function, that person’s independence should be established by ensuring that audits and inspections are carried out by personnel that are not responsible for the function, procedure, etc., being audited. (3) Staff involved in compliance monitoring should have access to any part of the organisation and, as necessary, to any contracted organisation. (c) Compliance-monitoring documentation (1) Relevant documentation should include the relevant part(s) of the organisation’s management system documentation. (2) In addition, relevant documentation should also include the following: (i) terminology; (ii) specified activity standards; (iii) a description of the organisation; (iv) the allocation of duties and responsibilities; (v) procedures to ensure regulatory compliance; (vi) the compliance-monitoring programme which reflects: (A) the schedule of the monitoring programme; (B) audit procedures, including an audit plan that is implemented, maintained and continually reviewed and improved; (C) reporting procedures; (D) follow-up and corrective action procedures; and (E) the recording system; (vii) the training syllabus referred to in point (d)(2) below; and (viii) document control. (d) Training (1) Proper and thorough training is essential to optimise compliance. In order to achieve optimum outcome of such training, the AMS provider should ensure that all personnel understand the objectives as laid down in the AMS provider’s management system documentation. (2) The staff member responsible for managing compliance monitoring should receive training in this task. Such training should cover the compliance-monitoring requirements, the manuals and procedures related to the task, audit techniques, reporting, and recording. (3) The time should be provided to train the staff involved in compliance management, and for briefing the rest of the staff. (4) The allocation of time and resources should be based on the volume and complexity of the activities concerned. (e) Compliance monitoring — audit scheduling (1) Defined audit schedules to be completed during a specified period as well as a periodic review cycle for each audited area should be established. The compliance monitoring itself should also be audited according to a defined audit schedule. The schedule should allow for unscheduled audits when non-compliance data shows an increasing trend. Follow-up audits should be scheduled to verify that corrective action has been carried out, and that it has been effective and completed, in accordance with the policies and procedures specified in the aerodrome manual. (2) The management system’s key processes, procedures and the operation of the organisation responsible for the provision of AMS should be audited within the first 12 months from the date on which the declaration was first registered. (3) Following that, the organisation responsible for the provision of AMS should consider the results of its safety (risk) assessments and of its past compliance-monitoring activities in order to adapt the period within which an audit or a series of audits should be conducted, to cover its management system’s key processes, procedures and operations in a manner and at intervals set out in the management system manual. This period should be consistent with the relevant Competent Authority’s oversight planning cycle and may be extended up to 36 months, in coordination with the Competent Authority, provided that there are no level 1 findings, and subject to the organisation responsible for the provision of AMS having a good record of addressing findings in a timely manner. AMC1 ADR.OR.F.045(b)(10) Management system ED Decision 2020/021/R COMPLIANCE MONITORING (a) Compliance monitoring (1) The implementation and use of a compliance-monitoring process should enable the organisation responsible for the provision of AMS to monitor the organisation’s compliance with the relevant requirements of this Part, of Part-ADR.OPS, as well as with any other applicable regulatory requirements, or requirements established by the aerodrome operator or the air traffic services (ATS) provider. (2) The compliance-monitoring process should be properly implemented, maintained and continually reviewed and improved, as necessary. (3) Compliance monitoring should include a system to feed findings back to the accountable manager to ensure the effective implementation of corrective actions, as necessary. (4) The organisation responsible for the provision of AMS should monitor the consistent application of its procedures, and compliance with the applicable procedures of the aerodrome operator and of the ATS provider to ensure that the activities are performed safely. In doing so, the AMS provider should, as a minimum, and where appropriate, monitor compliance with: (i) its privileges; (ii) the manuals, logs, and records; (iii) the training standards; (iv) the required resources; (v) the management system procedures and manuals; and (vi) the activities of the organisation carried out under the supervision of the person nominated in accordance with point ADR.OR.F.065(a)(2). (b) Organisational set-up (1) To ensure that the organisation continues to meet the requirements of this Part and of other applicable parts, the accountable manager should designate a person responsible for compliance monitoring. (2) Compliance monitoring should be an independent function. If the person responsible for compliance monitoring has also another function, that person’s independence should be established by ensuring that audits and inspections are carried out by personnel that are not responsible for the function, procedure, etc., being audited. (3) Staff involved in compliance monitoring should have access to any part of the organisation and, as necessary, to any contracted organisation. (c) Compliance-monitoring documentation (1) Relevant documentation should include the relevant part(s) of the organisation’s management system documentation. (2) In addition, relevant documentation should also include the following: (i) terminology; (ii) specified activity standards; (iii) a description of the organisation; (iv) the allocation of duties and responsibilities; (v) procedures to ensure regulatory compliance; (vi) the compliance-monitoring programme which reflects: (A) the schedule of the monitoring programme; (B) audit procedures, including an audit plan that is implemented, maintained and continually reviewed and improved; (C) reporting procedures; (D) follow-up and corrective action procedures; and (E) the recording system; (vii) the training syllabus referred to in point (d)(2) below; and (viii) document control. (d) Training (1) Proper and thorough training is essential to optimise compliance. In order to achieve optimum outcome of such training, the AMS provider should ensure that all personnel understand the objectives as laid down in the AMS provider’s management system documentation. (2) The staff member responsible for managing compliance monitoring should receive training in this task. Such training should cover the compliance-monitoring requirements, the manuals and procedures related to the task, audit techniques, reporting, and recording. (3) The time should be provided to train the staff involved in compliance management, and for briefing the rest of the staff. (4) The allocation of time and resources should be based on the volume and complexity of the activities concerned. (e) Compliance monitoring — audit scheduling (1) Defined audit schedules to be completed during a specified period as well as a periodic review cycle for each audited area should be established. The compliance monitoring itself should also be audited according to a defined audit schedule. The schedule should allow for unscheduled audits when non-compliance data shows an increasing trend. Follow-up audits should be scheduled to verify that corrective action has been carried out, and that it has been effective and completed, in accordance with the policies and procedures specified in the aerodrome manual. (2) The management system’s key processes, procedures and the operation of the organisation responsible for the provision of AMS should be audited within the first 12 months from the date on which the declaration was first registered. (3) Following that, the organisation responsible for the provision of AMS should consider the results of its safety (risk) assessments and of its past compliance-monitoring activities in order to adapt the period within which an audit or a series of audits should be conducted, to cover its management system’s key processes, procedures and operations in a manner and at intervals set out in the management system manual. This period should be consistent with the relevant Competent Authority’s oversight planning cycle and may be extended up to 36 months, in coordination with the Competent Authority, provided that there are no level 1 findings, and subject to the organisation responsible for the provision of AMS having a good record of addressing findings in a timely manner. ##### AMC1 ADR.OR.F.045(b)(10) Management system *ED Decision 2020/021/R* **COMPLIANCE MONITORING** (a) Compliance monitoring (1) The implementation and use of a compliance-monitoring process should enable the organisation responsible for the provision of AMS to monitor the organisation’s compliance with the relevant requirements of this Part, of Part-ADR.OPS, as well as with any other applicable regulatory requirements, or requirements established by the aerodrome operator or the air traffic services (ATS) provider. (2) The compliance-monitoring process should be properly implemented, maintained and continually reviewed and improved, as necessary. (3) Compliance monitoring should include a system to feed findings back to the accountable manager to ensure the effective implementation of corrective actions, as necessary. (4) The organisation responsible for the provision of AMS should monitor the consistent application of its procedures, and compliance with the applicable procedures of the aerodrome operator and of the ATS provider to ensure that the activities are performed safely. In doing so, the AMS provider should, as a minimum, and where appropriate, monitor compliance with: (i) its privileges; (ii) the manuals, logs, and records; (iii) the training standards; (iv) the required resources; (v) the management system procedures and manuals; and (vi) the activities of the organisation carried out under the supervision of the person nominated in accordance with point ADR.OR.F.065(a)(2). (b) Organisational set-up (1) To ensure that the organisation continues to meet the requirements of this Part and of other applicable parts, the accountable manager should designate a person responsible for compliance monitoring. (2) Compliance monitoring should be an independent function. If the person responsible for compliance monitoring has also another function, that person’s independence should be established by ensuring that audits and inspections are carried out by personnel that are not responsible for the function, procedure, etc., being audited. (3) Staff involved in compliance monitoring should have access to any part of the organisation and, as necessary, to any contracted organisation. (c) Compliance-monitoring documentation (1) Relevant documentation should include the relevant part(s) of the organisation’s management system documentation. (2) In addition, relevant documentation should also include the following: (i) terminology; (ii) specified activity standards; (iii) a description of the organisation; (iv) the allocation of duties and responsibilities; (v) procedures to ensure regulatory compliance; (vi) the compliance-monitoring programme which reflects: (A) the schedule of the monitoring programme; (B) audit procedures, including an audit plan that is implemented, maintained and continually reviewed and improved; (C) reporting procedures; (D) follow-up and corrective action procedures; and (E) the recording system; (vii) the training syllabus referred to in point (d)(2) below; and (viii) document control. (d) Training (1) Proper and thorough training is essential to optimise compliance. In order to achieve optimum outcome of such training, the AMS provider should ensure that all personnel understand the objectives as laid down in the AMS provider’s management system documentation. (2) The staff member responsible for managing compliance monitoring should receive training in this task. Such training should cover the compliance-monitoring requirements, the manuals and procedures related to the task, audit techniques, reporting, and recording. (3) The time should be provided to train the staff involved in compliance management, and for briefing the rest of the staff. (4) The allocation of time and resources should be based on the volume and complexity of the activities concerned. (e) Compliance monitoring — audit scheduling (1) Defined audit schedules to be completed during a specified period as well as a periodic review cycle for each audited area should be established. The compliance monitoring itself should also be audited according to a defined audit schedule. The schedule should allow for unscheduled audits when non-compliance data shows an increasing trend. Follow-up audits should be scheduled to verify that corrective action has been carried out, and that it has been effective and completed, in accordance with the policies and procedures specified in the aerodrome manual. (2) The management system’s key processes, procedures and the operation of the organisation responsible for the provision of AMS should be audited within the first 12 months from the date on which the declaration was first registered. (3) Following that, the organisation responsible for the provision of AMS should consider the results of its safety (risk) assessments and of its past compliance-monitoring activities in order to adapt the period within which an audit or a series of audits should be conducted, to cover its management system’s key processes, procedures and operations in a manner and at intervals set out in the management system manual. This period should be consistent with the relevant Competent Authority’s oversight planning cycle and may be extended up to 36 months, in coordination with the Competent Authority, provided that there are no level 1 findings, and subject to the organisation responsible for the provision of AMS having a good record of addressing findings in a timely manner.