GM1
ATM/ANS.OR.B.005(c) Management system
ED Decision 2017/001/R
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 competence as defined in point (b)(iii), either from within or outside the service provider.
(d) Regardless of the option chosen, it needs to be ensured that the independence of the audit function is not affected, in particular in cases where those performing the audit or inspection are also responsible for other activities within the service provider.
(e) In case external personnel are used to perform compliance audits or inspections:
(1) any such audits or inspections are performed under the responsibility of the compliance monitoring manager; and
(2) the compliance monitoring manager remains responsible for ensuring that the external personnel has relevant knowledge, background and experience as appropriate to the activities being audited or inspected, including knowledge and experience in compliance monitoring.
(f) A service provider retains the ultimate responsibility for the effectiveness of the compliance monitoring function, in particular for the effective implementation and follow-up of all corrective actions.
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