EASA AOC & ATO Compliance Monitoring System Training Course – 3 Days


The introduction of Regulation (EU) 965/2012 and (EU) 1178/2011 saw the requirements of Compliance Monitoring introduced in lieu of Quality Systems for AOCs., FTOs, and TRTOs. It also saw the introduction of Compliance Monitoring for the Operators for whom it may have previously not been required.

A fully integrated (Into the management system) Compliance Monitoring program within an EASA-approved organization is able to deliver far more than the simple identification of non-compliance.

It should ideally provide significant benefits to support the business by underpinning the Safety Management System (SMS).

This course was developed to be equally relevant for those Operators and ATOs for whom Compliance Monitoring and Quality Systems are new concepts and those for whom the new requirements are simply a transition from their existing systems. This course was also designed to give delegates sufficient theoretical auditor training for them to then continue on to an in-company auditor training program.

The course looks in detail at maximizing the effectiveness of the EASA Management System Approach and ensuring the strongest possible Compliance Monitoring and reporting function.

The course deals with the effective auditing of the AOC and the Approved Training Organisation (ATO).

The Course is specifically focused to meet the needs of Compliance Auditing staff from both the AOC and ATO business areas.

Who is the course for?

This course is intended for anyone who is involved in the implementation, running, or ongoing management of a Compliance Monitoring System within an AOC and ATO or other Operator.

What is the Benefit of this Training – What will I learn?

a) To consider the fundamentals of an EASA compliant Aviation Compliance System together with the Key elements required to organize the Compliance Audit System processes to ensure compliance and to deliver maximum effectiveness.
b) To re-enforce a comprehensive understanding of the requirements for both the QA & SMS systems including an understanding of the different types of audit applicable for each area together with how the QMS & SMS integrates within the EASA Management System Process
c) A detailed practical understanding of the high-level and working-level regulations.
d) To provide sufficient theoretical auditor training for them to be able to continue to develop within the “in-company” auditor training program.
e) An essential element then of benefiting from this training is to focus on the issues, how they relate to our workplace, and what we need to do to address them.
f) How to identify areas that need special attention and how to focus our efforts on making sure our training delivers in all relevant areas.

Detailed Content / Topics – The following Subjects will be addressed

– Introduction
– Abbreviations and Terms
– EASA Regulatory Background & Framework
– QMS & SMS Relationship Challenges and Misconceptions
– The role of the Quality Auditor – What are the challenges we face?
– Regulatory responsibilities of the Compliance Manager
– Requirements of Compliance Monitoring Systems in ORO.GEN 200
– Related Acceptable Means of Compliance and Guidance Materials ORO.GEN.200
– Audit Considerations Related to Compliance Monitoring System (CMS) for Approved Training Organisation (ATO)
– Accountable Manager and Post Holder Responsibilities and Relationships
– The Challenges of Effective Compliance Auditing
– Auditor Competency and Development Issues
– Types and Relationship of Audits
– Where to use System and Process Audits?
– Introduction to EASA Compliant Aviation Auditing – Best Behaviour
– How to Physically Perform an Audit – Where are the Challenges?
– The role of Surveillance Audits, Observation & Witnessing of related activities
– Developing your interview skills – Best Practice
– Understanding the Psychology of an Aviation Auditee
– Corrective Action (CA) and Preventative Action (PA)
– Developing an Audit Plan – Objectives, Criteria, Capacity Planning, Delivery.
– Audit Checklists Management, Development, and Validation – Use of Checklists during the Audit
– Maintaining Documentation and Records within the QMS
– Delivering an EASA Ops Audit – Best Practice
– Dealing with Situations arising during the Audit / Communication
– Managing Meetings to Open and Close the Audit
– The Role of Root Cause Analysis Related to Compliance Audits
– Measuring the Effectiveness of the Quality Assurance System & Improving audit performance
– Management Evaluation – How to Ensure Effectiveness
– Debrief & Close

Target groups

This course is intended for anyone wishing to undertake the role of an auditor within such an ATO and Operator organization. It may also be suitable for any other individuals connected with ATO and air operations who wish to expand their knowledge of the functioning of aviation systems (the Compliance Monitoring System basic requirements are similar in most spheres of European Aviation).


It is beneficial for participants to have at least a basic understanding of the principles behind ATO and Operator management systems although this is not essential.

Learning Objectives

Upon completion of this course, it is anticipated that participants with average aptitude will be competent to undertake a role in the management and/or audit function of a Compliance Monitoring System within an air Operator and ATO (as specific to their role within that organization).

Certificate Wording

Introduction to Airworthiness Principles & EASA Regulatory Background & Framework, Auditing QMS &SMS, ARO.GEN 200, Compliance Monitoring System (CMS) for Approved Training Organisation (ATO).Accountable Manager and Post Holder Responsibilities and Relationships, Effective Compliance Auditing, QACompetency, Types and Relationship of Audits, Measuring the Effectiveness of the Compliance System audit performance, and Management Evaluation.

What do People Say about Sofema Aviation Services Training?

“The course exceeded my expectations.”
“Everything was inappropriate timing and in a good climate.”
“The instructor provided enough room for all the questions to be asked”
“We received a lot of additional information to make things clearer.”


3 days – each day will commence at 09.00 and finish at 17.00, with appropriate refreshment breaks.

To register for this training, please email team@sassofia.com or Call + 359 29633966

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