Safety Management SystemsSafety Management SystemsTraining DevelopmentTraining Development

Transport CanadaTransport CanadaInformation SessionInformation Session

Vancouver Vancouver November 8 2006November 8 2006

Jim StewartJim StewartExecutive DirectorExecutive Director

TriTri--Logic Solutions InternationalLogic Solutions International

Where are we going?Where are we going?

The Training RequirementThe Training RequirementThe Challenge of Training for SMSThe Challenge of Training for SMS

How we built our programHow we built our programThe outline we useThe outline we use

Training ExperienceTraining Experience

Not a trained educatorNot a trained educatorPilot, accident investigator, safety specialist, senior managerPilot, accident investigator, safety specialist, senior managerDeveloped ,military safety training programsDeveloped ,military safety training programsDeveloped System Safety and risk management programs for Developed System Safety and risk management programs for Transport Canada and the Air Line Pilots AssociationTransport Canada and the Air Line Pilots AssociationDeveloped and delivered executive training in SMSDeveloped and delivered executive training in SMSDeveloped and deliver the international Reachout training workshDeveloped and deliver the international Reachout training workshop op for the International Society of Air Safety Investigatorsfor the International Society of Air Safety Investigators

Training ExperienceTraining ExperienceHave delivered SMS training programs in:Have delivered SMS training programs in:

CanadaCanadaUnited StatesUnited StatesChinaChinaSouth KoreaSouth KoreaTaiwanTaiwanLebanonLebanonCosta RicaCosta RicaSaudi ArabiaSaudi ArabiaKosovoKosovoTanzaniaTanzaniaCzech RepublicCzech RepublicMexicoMexicoCyprusCyprusGreeceGreece

Regulated RequirementsRegulated RequirementsCAR 107.103CAR 107.103

Safety Management System includes:

Safety policyA process of goal setting and measuring attainment of those goalsHazard identification, evaluation and management of riskEnsuring personnel are trained and competent to perform their dutiesInternal reporting of hazards, incidents and accidentsTaking corrective actions to prevent their recurrence

Regulated RequirementsRegulated RequirementsCAR 107.103CAR 107.103

Safety Management System includes:Safety Management System includes:

Documentation of the safety management systemDocumentation of the safety management systemMaking personnel aware of their responsibilities with respect toMaking personnel aware of their responsibilities with respect tothemthema process for conducting periodic reviews or audits of the safeta process for conducting periodic reviews or audits of the safety y management system and reviews or audits for cause of the safety management system and reviews or audits for cause of the safety management system; andmanagement system; andany additional requirements for the safety management system thaany additional requirements for the safety management system that t are prescribed under these Regulations.are prescribed under these Regulations.

CAR 573.31CAR 573.31

573 (1) (f) identifies one SMS component as:573 (1) (f) identifies one SMS component as:

training requirements for the person responsible for training requirements for the person responsible for maintenance and for personnel assigned duties under the safety maintenance and for personnel assigned duties under the safety management systemmanagement systemtraining requirements for the operations manager, the maintenanctraining requirements for the operations manager, the maintenance e manager and personnel assigned duties under the safety managemenmanager and personnel assigned duties under the safety management t systemsystem

573.32 (g)573.32 (g) requires the requires the ““Person Managing the Safety Management Person Managing the Safety Management SystemSystem”” to:to:

determine the adequacy of the training required by determine the adequacy of the training required by paragraphparagraph 573.31(1)(f) 573.31(1)(f)

CAR 705.152CAR 705.152

705.152 (1) (f)705.152 (1) (f) identifies one SMS component as:identifies one SMS component as:training requirements for the operations manager, the training requirements for the operations manager, the maintenance manager and personnel assigned duties under the maintenance manager and personnel assigned duties under the safety management systemsafety management system

705.153 (g)705.153 (g) requires the requires the ““Person Managing the Safety Person Managing the Safety Management SystemManagement System”” to determine:to determine:

the adequacy of the training required by the adequacy of the training required by paragraphparagraph 705.152(1)(f)705.152(1)(f)

Transport Canada Assessment Transport Canada Assessment Guide Guide (TP 14326)(TP 14326)

Training needs analysis and requirements documented for each Training needs analysis and requirements documented for each activity areaactivity areaSMS and technical training to ensure competencySMS and technical training to ensure competencyInclude human and organizational factorsInclude human and organizational factorsEmergency preparedness and response training for affected Emergency preparedness and response training for affected personnelpersonnelIntroductory and refresher training (existing staff, new hires, Introductory and refresher training (existing staff, new hires, transfers) transfers) Training records must be maintained Training records must be maintained

Employee training files identify training requirements and trackEmployee training files identify training requirements and track what what training has been takentraining has been taken

Transport Canada Assessment Transport Canada Assessment Guide Guide (TP 14326)(TP 14326)

Training effectiveness measured Training effectiveness measured Management recognizes and uses informal opportunities Management recognizes and uses informal opportunities to instruct employees on safety managementto instruct employees on safety managementEvidence exists that management supports safety Evidence exists that management supports safety training initiativestraining initiativesTraining exercises and methods reflect:Training exercises and methods reflect:

new techniques and technologiesnew techniques and technologiesresults of investigations and corrective actionsresults of investigations and corrective actionsregulatory changes. regulatory changes.

So, if you are the person responsibleSo, if you are the person responsibleYou are on the hook for:You are on the hook for:

Understanding SMS to the extent you can identify Understanding SMS to the extent you can identify training requirementstraining requirementsKnowing who needs what training and to what levelKnowing who needs what training and to what levelDetermining when the training provided is adequateDetermining when the training provided is adequateMaintaining adequate training recordsMaintaining adequate training recordsKeep everything up to dateKeep everything up to date

ItIt’’s essential to understand and respond to what you s essential to understand and respond to what you dondon’’t knowt know

What we don’t know is not as dangerous as what we think we know that isn’t so.

Mark Twain

SMS Changes the Corporate SMS Changes the Corporate DynamicDynamic

Those responsible have to be aware and have knowledge of Those responsible have to be aware and have knowledge of operational risk managementoperational risk managementRequirement to ensure employees and managers have skill requiredRequirement to ensure employees and managers have skill requiredto do the job including risk managementto do the job including risk managementNeed to ensure skill sets available and maintainedNeed to ensure skill sets available and maintained

Challenges in Developing an SMS Challenges in Developing an SMS Training ProgramTraining Program

SMS comprisesSMS comprisesPrinciplesPrinciplesConceptsConceptsComponentsComponents

Components (the technical bits) are the easy partComponents (the technical bits) are the easy partWe are used to training in technical disciplines to a clear stanWe are used to training in technical disciplines to a clear standarddardWe are not as comfortable training in the We are not as comfortable training in the ““softsoft”” sciences of human sciences of human performance, organizational behaviour and decision makingperformance, organizational behaviour and decision making

There is a lot of information out there to make things complexThere is a lot of information out there to make things complex

The Technical PartThe Technical Part““The Easy BitsThe Easy Bits””

Organizational structureOrganizational structureHazard identification and analysisHazard identification and analysisInternal reporting processInternal reporting processDocuments on the SMS processDocuments on the SMS processPeriodic review and audit processPeriodic review and audit process

The Soft Science of SMSThe Soft Science of SMS““The Harder BitsThe Harder Bits””

SMS is aboutSMS is aboutCulture Culture –– ““safetysafety”” culture culture -- changing the culture where necessarychanging the culture where necessaryKnowing what needs change and coping with that change as it Knowing what needs change and coping with that change as it occursoccursEvaluating core beliefs and valuesEvaluating core beliefs and valuesResponsibility and accountabilityResponsibility and accountabilityWorking together as a corporate team to achieve common goalsWorking together as a corporate team to achieve common goalsListening to people to develop and maintain the programListening to people to develop and maintain the program

All of this requires: Training in a different wayAll of this requires: Training in a different way

Acceptance or True Value Shift?Acceptance or True Value Shift?

CreativeApplication

Belief

Value Shift

Acceptance

Understanding

Awareness

PerformanceLevel

Rejection

Michael Dillolo – AirTransat (Used with Permission)

Time

Expectations from TrainingExpectations from Training

Awareness Awareness -- having a basic knowledge of somethinghaving a basic knowledge of something

Knowledge Knowledge –– having a deeper understanding of the facts, truths, or having a deeper understanding of the facts, truths, or principles of somethingprinciples of something

Skill Skill -- the aptitude to use onethe aptitude to use one’’s knowledge to do something s knowledge to do something competently to a certain standard of performance competently to a certain standard of performance

Targets for TrainingTargets for Training

ManagementManagementResponsible for the SMS programResponsible for the SMS programNot responsible for the program but having Not responsible for the program but having ““safetysafety”” responsibility and accountabilityresponsibility and accountabilityNeither of the aboveNeither of the above

EmployeesEmployeesSupports the SMS program through performance Supports the SMS program through performance and reportingand reportingActively participates in the development and Actively participates in the development and maintenance of the SMS programmaintenance of the SMS programProvides essential services to ensure the program Provides essential services to ensure the program is effectiveis effective

Levels of TrainingLevels of Training

Awareness

Knowledge

Skill

All who will participate in the programAll who will participate in the programAn essential follow on to Awareness trainingAn essential follow on to Awareness trainingBegin to establish trust and championsBegin to establish trust and championsBecomes an onBecomes an on--going requirement for current and new going requirement for current and new

employeesemployees

Initial introduction to management and staffInitial introduction to management and staffThe first step at all levelsThe first step at all levelsUsed to generate interest and commitment to changeUsed to generate interest and commitment to change

Staff and management relative to their SMS responsibilitiesStaff and management relative to their SMS responsibilitiesUsing the reporting processUsing the reporting processConducting risk assessmentsConducting risk assessmentsAssessing program performanceAssessing program performanceProviding required trainingProviding required training

ImplementationImplementation

Convened a training program development committeeConvened a training program development committeeEducatorsEducatorsIndustry representativesIndustry representativesTransport CanadaTransport CanadaLine personnelLine personnelManagersManagers

The Development ProcessThe Development ProcessReviewed the proposed regulationsReviewed the proposed regulationsSolicited input from the group on their understanding of SMS froSolicited input from the group on their understanding of SMS from m meetings and discussions they hadmeetings and discussions they hadReceived briefings from knowledgeable people inside and outside Received briefings from knowledgeable people inside and outside Transport CanadaTransport CanadaIdentified what we thought we knew and what we knew we did not Identified what we thought we knew and what we knew we did not knowknowIdentified what we thought our target audience knew and what theIdentified what we thought our target audience knew and what they y needed to know and be skillful to improve organizational needed to know and be skillful to improve organizational performanceperformance

In one day we developed a course subject outlineIn one day we developed a course subject outline

In one month we developed a courseIn one month we developed a course

We prototyped the course at AirTransat with Transport Canada We prototyped the course at AirTransat with Transport Canada attendanceattendance

The Course OutlineThe Course Outline

The The ““SafetySafety”” RecordRecordAccident historyAccident historyWhat does it tell us? What does it not tell us?What does it tell us? What does it not tell us?The limitations of statistics The limitations of statistics –– what do the numbers meanwhat do the numbers mean

DefinitionsDefinitions““SafetySafety””SystemSystemHazardHazardPrimary hazardPrimary hazardSystem deficiencySystem deficiencyRiskRiskMitigationMitigation

The The ““SafetySafety”” ErasEras

The Course OutlineThe Course Outline

OrganizationsOrganizationsWhat do we know about them and how they do or do not workWhat do we know about them and how they do or do not workProfessor Ron WestrumProfessor Ron Westrum

Professor James ReasonProfessor James ReasonThe organizational accident Risk ManagementThe organizational accident Risk ManagementWhere does it fit in?Where does it fit in?Is it different from System Safety?Is it different from System Safety?Basics of risk management by integrating risk management Basics of risk management by integrating risk management concepts and System Safety processesconcepts and System Safety processes

The Course OutlineThe Course OutlineEvolution of Evolution of ““safetysafety”” managementmanagement

What has worked and why?What has worked and why?Where did traditional safety management fail us?Where did traditional safety management fail us?Traditional safety management: System Safety and Risk ManagementTraditional safety management: System Safety and Risk Management: : SMSSMS

Drowning the puppies!Drowning the puppies!

System safetySystem safetyImportant lessons learnedImportant lessons learnedProcesses to retain under SMS Dealing with changeProcesses to retain under SMS Dealing with change

Effecting changeEffecting changeWorking with executivesWorking with executivesWorking with financial managersWorking with financial managersWorking with line managersWorking with line managers

The OutlineThe Outline

Selling the need for changeSelling the need for changeHow and when to interveneHow and when to interveneWho are the targetsWho are the targetsHow do we arm ourselvesHow do we arm ourselves

Risk assessment processRisk assessment processRisk matrixRisk matrixRisk decision makingRisk decision makingRisk assessment limitationsRisk assessment limitationsRisk acceptanceRisk acceptanceEvaluating performance against expectationsEvaluating performance against expectations

We needed a picture!We needed a picture!

SMS SMS –– A PictureA Picture

Safety CultureSafety Culture

Reactive activityAccident InvestigationsIncident Investigations

Proactive activity"safety" Reporting

•Mandatory•Voluntary•Government•Corporate

Audits/Evaluation

Hazard AnalysisRisk AssessmentMitigationRisk ControlPerformance Measuring

The Benefits•Customer Confidence•Reduced cost•Improved Relationships•Continuous cycle of improvement

Marketing Strategy

Business Plan

“Safety" Plan

ResourcesProduct

Strategic VisionPotential Customers

SalesCustomer baseIncreased market share

ProductFinancingResource Requirements

Inputs

Processes

Outputs

Shared Values/Practices

The IATA SMS ModelThe IATA SMS Model

Individual and Corporate AccountabilityIndividual and Corporate Accountability

Detailed and consistent Safety Philosophy and PoliciesDetailed and consistent Safety Philosophy and Policies

Robust Hazard AnalysisRobust Hazard Analysis

Training and promotionTraining and promotion

Audit, reviews and evaluationAudit, reviews and evaluation

Change managementChange management

Data managementData management

DocumentationDocumentation

Risk measurement and trackingRisk measurement and tracking

Operational risk profile developmentOperational risk profile development

Emergency response planEmergency response plan

Implementation StrategyImplementation Strategy

CEO/Executive briefing to obtain commitmentCEO/Executive briefing to obtain commitmentInitial regulator liaison with HQ/POI/PMIInitial regulator liaison with HQ/POI/PMIGAP analysis (third party involvement?)GAP analysis (third party involvement?)Form internal SMS development teamForm internal SMS development teamSMS team trainingSMS team trainingDevelop detailed implementation planDevelop detailed implementation planThird party review of plan?Third party review of plan?

Implementation StrategyImplementation Strategy

CEO approval of and commitment to plan CEO approval of and commitment to plan –– issues issues company policycompany policyRegulator confirmation of acceptance of the SMS Regulator confirmation of acceptance of the SMS program and confirmation of regulatory oversight reliefprogram and confirmation of regulatory oversight reliefManagement/Employee awareness and trainingManagement/Employee awareness and trainingStepped implementation/integration of SMS componentsStepped implementation/integration of SMS componentsContinual monitoring and improvementContinual monitoring and improvementOnOn--going training to ensure required competence and going training to ensure required competence and program performanceprogram performance

Implementation StrategyImplementation Strategy(Training)(Training)

CEO/Executive briefing to obtain commitmentCEO/Executive briefing to obtain commitmentInitial regulator liaison with HQ/POI/PMIInitial regulator liaison with HQ/POI/PMIGAP analysis (third party involvement?)GAP analysis (third party involvement?)Form internal SMS development teamForm internal SMS development team

SMS team trainingSMS team trainingDevelop detailed implementation planDevelop detailed implementation planThird party review of plan?Third party review of plan?CEO approval of and commitment to plan CEO approval of and commitment to plan –– issues company policyissues company policyRegulator confirmation of acceptance of the SMS program and confRegulator confirmation of acceptance of the SMS program and confirmation of regulatory irmation of regulatory oversight reliefoversight relief

Management/Employee awareness and trainingManagement/Employee awareness and trainingStepped implementation/integration of SMS componentsStepped implementation/integration of SMS componentsContinual monitoring and improvementContinual monitoring and improvement

OnOn--going training to ensure required competence and going training to ensure required competence and program performanceprogram performance

Before you Start General TrainingBefore you Start General Training

Develop some foundation for SMSDevelop some foundation for SMSDefinitions to be usedDefinitions to be usedHow the program will runHow the program will runReporting systemsReporting systemsRisk management processesRisk management processesResponsibilities and accountabilitiesResponsibilities and accountabilities

Impact on ResourcesImpact on Resources

Awareness trainingAwareness trainingOne day per personOne day per personDedicated communication strategyDedicated communication strategy

Knowledge trainingKnowledge trainingUp to three days per personUp to three days per personDedicated communication and knowledge update strategyDedicated communication and knowledge update strategy

Skill trainingSkill trainingRisk assessment Risk assessment –– one week courses available ($3,000)one week courses available ($3,000)Investigation Investigation –– two week courses available ($3,000)two week courses available ($3,000)

Impact on ResourcesImpact on Resources

Competency trainingCompetency trainingDepends on skill sets required and experience levelsDepends on skill sets required and experience levelsGAP analysis will help identify requirementsGAP analysis will help identify requirements

Change management trainingChange management trainingWho will be trained and to what extent is training requiredWho will be trained and to what extent is training requiredGAP analysisGAP analysis

Questions and DiscussionQuestions and Discussion