1 Accountable Manager Responsibilities George Monteiro Principal Airworthiness Surveyor

2 The Accountable Manager

3 Definitions:  Accountable: required or expected to justify actions or decisions; responsible (Oxford)  Manager: a person responsible for controlling or administering an organization or group of staff (Oxford)

4 Why are we looking at this subject?  Not unreasonably, experience has shown that the accountable manager has a significant affect on safety and compliance issues;  Our new approach to performance based regulation (PBR) means we will have a higher expectation on industry performance;  To see where we can enhance our ability to deny proposals and appointed persons that we assess as a threat to safety;  That effective SMS is only as good as the leadership and participants;  Regulation 6 appeals have highlighted the need for robust action on those who present a risk to safety. 4

5 Some insight  An organisation seeking approval is responsible for: 1. Appointing an accountable manager with the overall responsibility for the organisation remaining in compliance with regulation (usually the CEO); 2. The accountable manager is responsible for nominating Key Post holders to deliver specific functions in relation to the management of approval activity. However, the CAA has no legal responsibility to decide on the suitability of the appointed accountable manager but it does have a responsibility to formally accept the nomination of the Key Post holders. 5

6 Regulatory Levers Accountable manager  Although we have no part in deciding their initial appointment we use their appointment as an opportunity to meet with them and gain an understanding of the extent of their knowledge. We use our “soft skills” to influence their thinking on risk management. Any serious concerns with the organisations performance are dealt with by suspending or revoking the approval. Key post holders  Organisations nominate Key Post holders who meet the published criteria for their role. This can be specific qualifications and relevant experience for the particular role they’re nominated for. This is presented to the regulator in the form of their biographical profile. If we are not satisfied with their nomination we inform the organisation and either reject their nomination based upon published criteria or agree a coaching environment whether their performance may be monitored. Any failing in their performance is dealt with by measures against the approval. However, in both cases no measures are provided in the regulations that supports an individual’s suspension or exclusion. 6

7 Legal Responsibilities  Your legal responsibilities under the regulations:  Financial.  Performance to the standards required.  Appointment of nominated position post holders.  Quality System.  Compliance with the requirements.  The NAA’s responsibilities under the regulations: Establishing compliance by oversight including:  Audits  Meetings

8 Financial  References:  Part-M M.A.706  Part A.30  Part A.105  Part-21 - Certification of Aircraft and Products  Plus associated AMC material.  Corporate authority for ensuring that all continuing airworthiness/maintenance activities can be financed………..  Where the person is not the Chief Executive Officer (CEO), the Exposition must be countersigned by the CEO

9 Meetings (with the CAA)  At least once during any initial investigation:  “to ensure he/she fully understands the significance for signing the exposition commitment…..”  145.A.30 requires the AM to “demonstrate a basic understanding of this part (145).”  At least once every 24 months during continued operation.

10 Legal Implications

11 Legal Exposure Potential liability is:  Criminal  Can YOU (and the organisation) be prosecuted?  Civil  Can YOU (and the organisation) be sued?  Regulatory  Might the regulator take away YOUR (and the organisation’s) licences, certificates or approvals? and  Employment  Might YOU be fired?

12 Legal Exposure  Corporate Manslaughter and Corporate Homicide Act 2007 A breach of duty of care by an organisation is a ‘gross’ breach if the conduct alleged to amount to a breach of that duty falls far below what can reasonably be expected of the organisation in the circumstances. ‘Senior management’, in relation to an organisation, means the persons who play significant roles in : (i) the making of decisions about how the whole or a substantial part of its activities are to be managed or organised, or (ii) the actual managing or organising of the whole or a substantial part of those activities.

13 Questions?