Publications

Transportation Safety Board of Canada

Introduction

In 2001, we initiated the development of a strategic and business planning framework. This initiative was motivated by three main factors: the requirement to function under a more structured planning and resource management framework; the resolve to strengthen internal management practices, consistent with the government's Modern Comptrollership initiative; and the imperative to define the appropriate balance between activity levels and the resource base within which the TSB must operate to successfully achieve of its mandate.

This initiative resulted in the publication of a strategic plan, followed shortly thereafter by a business plan for fiscal year 2002-2003, the organization's first-ever business plan. Although recognized as being a "work in progress", focussed efforts on the plan's priorities produced many excellent results throughout the year and established a solid foundation for further improvements in subsequent years. The articulation of a priorities and resource planning cycle adapted to TSB needs, the execution of a formalized stakeholder needs analysis, the creation of a performance management framework, focussed training for investigative staff to improve the quality and timeliness of TSB safety products, and the integration of workplace and human resource issues into day-to-day management deliberations are just a few indicators of progress achieved during the past fiscal year.

Predictably, much of this work was developmental; fiscal year 2002-2003 was a transitional year. Therefore, although the general focus of the seven priorities in this plan are essentially the same as the four priorities and three "important issues" described in last year's document, the business plan for fiscal year 2003-2004 is focussed to a greater degree upon implementation and beginning the measurement of outcomes. The seven priorities are described briefly in the following paragraphs. All of them are motivated by the overriding objectives of finding ways to enhance the TSB's relevancy and contribution to transportation safety in Canada and internationally and of continuously strengthening the organization from within.

Priorities for 2003-2004

1. To implement the key elements of a planning and resource management framework.

A fully defined business planning framework will be implemented this year with activities and milestones timed to coincide with the government's resource planning cycle. Three new management tools: performance measurement, internal audit and a risk management framework will be employed for the first time. Clearly this will be a learning experience for the TSB and adjustments will be required in fiscal year 2004-2005 and beyond as the framework matures. We will also focus on developing, in collaboration with the Treasury Board Secretariat, an assessment of the required balance between allocated resources and the activities essential for successful achievement of the TSB's mandate in the future. Furthermore, the TSB will receive short term incremental funds in the Supplementary Estimates for fiscal year 2003-2004 to address capital asset rust-out issues. This new funding will enable us to replace key assets that are essential to enable investigators for the effective delivery of the TSB mandate.

2. To reshape the TSB's product and service mix based upon the results of the stakeholder needs analysis.

The stakeholder needs analysis conducted in fiscal year 2002-2003 provided important insights into how key decision makers in the transportation system perceive the TSB's contribution to the advancement of transportation safety. The focus of activities under this priority will be to convert that information into a products/services mix that responds more effectively to the stated needs of our stakeholders. Current outputs will be modified as necessary, new ones will be developed, and a strategic communications plan will be developed along with a more active outreach program.

3. To improve the quality and timeliness of TSB products.

The timeliness of TSB investigations, reports and safety products has always been recognized as a critical measure of the organization's relevancy and effectiveness. It has also been acknowledged for some time as being an area where improvements are required. Reinforcing the case for action, timeliness has been identified by the Chairman as being an issue of immediate concern for him. The elements that comprise a vibrant, responsive and technically sound investigation process and the subsequent transfer of safety information and knowledge to other parties for action are numerous. Their interrelationship is often complex. A consistent application of investigative methodologies, guidelines, policies and practices to achieve high quality TSB safety products requires constant attention. Training, technical currency, streamlined processes, and the judicious application of limited resources are essential to success and are specifically targeted under this priority.

Treasury Board ministers have recently approved the inclusion of short term funding requests in the Supplementary Estimates of the next two fiscal years to help the TSB reduce its backlog of investigations in progress. The proposed investment will enable us to reduce the backlog from approximately 160 investigations to 100 and to improve the mean time in process by 10% (approximately 60 days) by the end of fiscal year 2004-2005, with an objective to do even better. As part of a broader human resources strategy, staff hired with these incremental resources will be viewed as potential replacements for staff expected to depart over the next two to three years. These resources will also permit current, more experienced staff to contribute to a full range of longer-term initiatives to improve performance in future, which includes training, quality assurance and development of modern tools and procedures to aid investigative staff. This investment will also enable us to significantly reduce the backlog of Class 3 unpublished reports.

4. To establish the TSB as a learning organization.

The success of the TSB depends, in large part, on the dedication and skills of its employees. The organization cannot be successful without recruiting, training, developing and retaining highly motivated and qualified individuals. The core of the TSB business line is very technical, thereby posing a special challenge in an age of rapidly evolving and expanding technologies. At the same time, the organization cannot function without a team of knowledgeable employees in all of the specialty areas such as financial services, human resources, communications, information technology and management, data analysis, human performance, and legal services, to name but a few. Therefore, the establishment of a comprehensive departmental learning plan, encompassing training and development, is essential and is, once again this year, identified as a stand-alone priority. Activities this year include implementation of the employee and manager orientation programs and the development of multi-year learning plans based upon both organizational and individual requirements. In the longer term, this activity will be subsumed as an ongoing element within annual human resources planning.

5. To ensure a responsive workplace atmosphere within the TSB.

The principal formal mechanism for defining workplace issues within the TSB was the Public Service Employee Survey conducted in 2002. Participation in this survey by TSB employees was encouragingly high, identifying a variety of issues that must be addressed. Many of the issues parallel those identified across the Public Service while others appear to be unique to the TSB. Follow up activities in the last quarter of fiscal year 2002-2003 have identified a number of areas upon which the organization will focus in this year's plan and in subsequent years. These activities will be characterized by a broader framework of collaboration and consultation between management, employees and union representatives in the definition of priorities and the formulation of solutions.

6. To implement required changes to the governance structure.

A review of the governance structure of the TSB was undertaken in fiscal year 2002-2003. The requirement for this review was seen as twofold. The first desired outcome was to clarify the decision making processes within the TSB. The second was to equip all TSB managers with the tools they require to successfully assume their responsibilities and accountabilities within a management model that delegates to the lowest possible level. The focus of this year's plan is to finalize and implement the resulting model.

7. To renew the management of information within the TSB.

The collection, analysis, presentation and transfer of information and knowledge is the essence of the TSB's mandate. Without sound information practices, consistently applied across the organization and supported by current business applications, the organization's full potential and value will not be achieved. A comprehensive formal assessment of TSB's current capacity in this area over the past year has clearly made the case for priority activity in the information management area.

Summary

In 2001, we embarked upon an agenda of change through which we seek to build upon the TSB's well established values and performance strengths. Significant advances have been made on a variety of fronts over the past 18 months, accomplished largely through the internal reallocation of priorities and resources within the current resource base and much hard work by many. The organization is clearly on the right path. Nevertheless, the adequacy of TSB's resources, both financial and human, continues to be a major preoccupation within the organization. An increase of $1 million to the TSB's budget beginning in fiscal year 2002-2003 was valuable in contending with several pressing resource issues. The recent approval of short term financial resource increases over the next two fiscal years to address specific projects will assist greatly in mitigating spending pressures that have been building over the last several years. However, a common understanding of the longer term balance between allocated resources and the activity levels required to ensure the TSB is successfully achieving its mandate has not been achieved. The articulation of such a balance remains a critical element of management's focus in the first half of this fiscal year.

Modern Management

Modern Comptrollership

Modern Comptrollership is one of the Government's key priorities focused on the sound management of public resources and effective decision-making. It provides for better performance information, sound risk management and appropriate control systems. Modern Comptrollership also reinforces values and ethics and improves the Government's accountability to Parliament and to Canadians.

The first step towards implementing Modern Comptrollership within the TSB consisted of a self-assessment of our current management practices against thirty-three criteria of sound organizational management. The report, issued in March 2002, identified a number of areas of the management framework where important changes are needed in order to achieve a state of Modern Comptrollership. This Capacity Assessment report is available on the TSB web site.

Understanding the importance and the value of modernizing management practices as well as the risks to the organization if strong comptrollership capabilities are not entrenched in daily operations, the senior management committee identified Modern Comptrollership as a management priority and integrated Modern Comptrollership activities and projects in the departmental 2002-2003 Business Plan. The implementation of Modern Comptrollership will involve a shift in emphasis beyond control and compliance to more emphasis being placed on attention to results, better performance measurement and reporting resulting, strong strategic planning and effective decision-making.

Once again this year Modern Comptrollership activities are fully integrated in the Business Plan. The following table identifies the Modern Comptrollership priorities for 2003-2004 as set by the senior management committee as well as the desired target ratings on a scale of 1 to 5 .

In line with our Modern Comptrollership priorities and with corporate preoccupations, the TSB is also committed and actively involved in working with other departments and agencies on modern comptrollership projects. These projects are funded through the Treasury Board Secretariat Modern Comptrollership Innovation Fund and therefore have little impact on our own financial resources.

Modernization of Human Resources

The recent tabling in Parliament of legislative changes to modernize the management of human resources in the Public Service will have a significant impact on the TSB. Although it is too early to articulate specific departmental plans on the modernization of human resources, we are currently reviewing the potential implications in order to prepare for the development of an action plan soon after the new legislation is approved by Parliament.

2003-2004 Resource Allocation

The senior management team recognizes the importance of timely resource allocation. Special efforts were therefore made to arrive at key decisions based on the organizational priorities, the integration of various planning activities and an element of risk management. Budgets for fiscal year 2003-2004 were approved by the Senior Management Committee on February 26, 2003. Approved allocations are shown in the following table.

Funding from the TSB base budget has been specifically set aside for the various projects described in this Business Plan. Short term funding in the amount of $2,863,000 was also recently obtained from Treasury Board for specific Business Plan projects. More specifically, additional funding was approved for the replacement of capital assets, the reduction of the backlog of investigations in progress, and the improvement of information management. Approved allocations for Business Plan activities are shown in the following table.

In the budget allocations, funding has also been set aside for other specific purposes. These approved allocations are shown in the following table.

Challenges

Last year, the TSB embarked upon a significant renewal agenda which seeks to effect changes in a relatively short time span. The experience of 2002-2003 confirmed that there are not only budgetary limitations but also limited human capacity to manage the changes. Effecting good solutions and making them sustainable requires solid planning and constant attention. This places a premium on choosing the right priorities and acknowledging that we can't do everything at once. The primary challenge is to balance the work required to strengthen our management framework with the work required to ensure successful achievement of the day-to-day mandate. There is, of necessity, an impact on daily operations in order to create both financial and human resources to oversee the change agenda. Difficult choices and compromises were made by senior management to arrive at this Business Plan and resource allocation. As a result, once again some activities will be curtailed or deferred and certain things will not be done. The Senior Management Committee has considered and accepted the impacts and the risks arising from these decisions. Senior management also commits to managing activities and resources in such a way as to minimize those risks while ensuring that we do not deviate from our renewal agenda.

Another important preoccupation for the TSB is communication at all levels. The results of the Public Service Employee Survey clearly demonstrate the challenge associated with internal communication amongst managers and employees. Although effective internal communications can be challenging at any time, they become even more important and difficult during a period of adjustment or change. Managers at all levels are currently faced with an important challenge as they attempt to stay informed and to keep their employees informed. Without proper communication and understanding, energies risk not being focussed and staying with the agenda will be that much more difficult. With respect to external communication, the absence of an agreed upon strategic communications approach also presents a significant challenge for the TSB. There are risks that communications activities will not be planned and delivered in a holistic manner with the appropriate linkages to ensure that strategic objectives are achieved in the most efficient manner.

Senior management also recognizes that the TSB faces many other challenges over the coming year. All of these challenges could have a negative impact on the TSB. However, prudent and sensible management of financial, human and material resources can go a long way towards mitigating these risks as the organization implements its renewal plan. Senior management expects that managers at all levels within the organization will contribute to effectively minimizing these risks through the sound management and periodic re-allocation of their allotted resources.

Throughout this period of change the TSB will ensure that it fulfills its obligations as a federal government agency in the areas of official languages, employment equity, access to information and privacy, information management, as well as occupational health and safety. Current government priorities and initiatives will also be implemented to the extent that resources permit and that they can be integrated into the TSB renewal plan. Senior management will ensure that the right balance is maintained between the government-wide agenda and the TSB's own legislated mandate and internal agenda so that maximum progress can be achieved towards the TSB's stated outcomes.

Detailed Action Plans for 2003-2004

Priority # 1: Planning and Resource Management

SMC Champion: David Kinsman

Link to Strategic Plan: By implementing a strong planning and management framework, the TSB will:

• ensure effective organizational performance (Objective #3); and
• optimize alliances, partnerships and linkages to advance the TSB mission (Objective #4).

Performance Measurements: We will know we have succeeded when:

• the TSB business planning cycle is mature, including a "roll up" dimension, with the plan and allocations for fiscal year 2004-2005 being published at least two months before the beginning of the fiscal year;
• the TSB business planning cycle is in line with the federal government's financial resources planning schedule;
• a departmental assessment has been completed in which the balance between resources available and capacity are clearly described and reflected in planning and resource allocation/reallocation;
• the departmental assessment has been presented to the Treasury Board and their evaluation is obtained; and
• performance measurement has begun to play an integral role in management decisions.

Link to the Modern Management Priorities: This priority provides the following links to the modern management priorities, as identified by the Senior Management Committee for fiscal year 2003-2004:

• builds leadership and management commitment to modern management;
• strengthens the planning, resource management, integrated management control framework, management tools and techniques, and integrated performance reporting priorities; and
• demonstrates the TSB strategy of incorporating the concepts of modern management (modern comptrollership) into the processes and practices of its day to day operations.

Priority # 2: Reshape our Products and Services in Response to Client Needs

SMC Champion: Greg Hunter

Link to Strategic Plan: By implementing changes to its products and services and adapting its communications approach, based on the results of the stakeholder needs analysis, the TSB will:

• ensure that its products are developed in a manner that maximizes their potential to advance transportation safety and meets the needs of clients and the system as a whole (Objective #1);
• get a better assessment of how it is viewed and enable it to achieve the required profile and awareness of the Agency, and its products (Objective #5); and
• increase the awareness of safety issues and to foster a safety culture in the transportation community (Strategy #6).

Performance Measurements: We will know we have succeeded when:

• stakeholders are satisfied with the revised TSB products and services;
• there is broader public awareness of the TSB and its products and services;
• mechanisms are in place to seek stakeholder feedback and to use this information in future decision-making on TSB products and services; and
• we see improvements in our ability to influence safety change agents to eliminate safety deficiencies.

Link to the Modern Management Priorities: This priority provides the following link to the modern management priorities chosen by the Senior Management Committee for fiscal year 2003-2004:

• it clarifies the organizational responsibilities in light of external client/stakeholder needs and requirements.

Priority # 3: Improve Quality and Timeliness

SMC Champion: Terry Burtch

Link to Strategic Plan: By improving quality and timeliness the TSB will:

• improve the organizational effectiveness by fostering continuous improvement of TSB processes and the skills set of employees (Objective #3);
• increase the awareness of safety issues and foster a safety culture in the transportation community (Strategy #6);
• enhance its national and international reputation through the reduction of its backlog of investigations in process and wrap-up of the Swissair 111 investigation (Objective #5); and
• be in a better position to identify and communicate safety deficiencies in the marine, pipeline, rail and air transportation systems (Objective #2).

Performance Measurements: We will know we have succeeded when:

• all investigators have received core-competency training;
• the Integrated Safety Investigation Methodology is fully utilized by investigators for all investigations;
• the number of investigations in progress at year-end is not higher than the number of new cases undertaken during the year;
• the average time in process has been reduced by 10% based on the December 2002 data;
• all investigation standards and manuals are current;
• class 3 reports are published within a reasonable time after Board approval;
• key bottlenecks in the investigation process have been identified and eliminated; and
• the Board, senior management and staff have established a common understanding of the criteria for investigation decisions and of future directions for investigation reports.

Link to the Modern Management Priorities: This priority will advance the following elements of the modern management priorities, as identified by the Senior Management Committee for fiscal year 2003-2004:

• it will strengthen knowledge management ensuring investigators are well trained and have access to current operations manuals; and
• it will enhance TSB's internal management controls and make better use of resources at hand.

Priority # 4: Learning

SMC Champion: Daniel Verreault

Link to Strategic Plan: By transforming the TSB into a learning organization, the TSB will:

• improve organizational effectiveness in terms of leadership by providing tools that encourage the continuous improvement of the individual and the organization (Objective #3).

Performance Measurements: We will know we have succeeded when:

• employees will have received essential training;
• every employee has a personal learning plan providing opportunities for personal growth and development; and
• multi-year training & development plans are in place to meet current and future work expectations along with the requisite funding.

Link to the Modern Management Priorities: This priority will further many modern management elements identified as priorities by the SMC:

• employee satisfaction by ensuring employees are given learning opportunities;
• better planning and management of resources;
• knowledge management - ensuring that knowledge and skills to carry out the work of the TSB are kept current; and
• provide management tools to help in decision-making.

Priority # 5: Responsive Workplace

SMC Champion: Jean L. Laporte

Links to Strategic Plan: By providing a responsive workplace for employees, the TSB will:

• improve organizational effectiveness in terms of leadership in the conduct of TSB activities (Objective #3); and
• achieve effective organizational performance (Strategy #5).

Performance Measurements: We will know we have succeeded when:

• employees at all levels openly provide feedback to management;
• individual employee performance objectives are linked to the TSB strategic objectives and business plan;
• employees are provided with regular feedback on their performance;
• managers feel comfortable and properly equipped to fulfil their responsibilities;
• employees are well informed about management decisions and on-going priorities / activities; and
• employees concerns are dealt with on a timely basis.

Link to the Modern Management Priorities: This priority directly links to the following modern Comptrollership priorities, as identified by Senior Management Committee for fiscal year 2003-2004:

• achieving a responsive workplace status would ensure a high degree of employee satisfaction; and
• managerial commitment, leadership commitment, knowledge management, clarity of senior management responsibilities and organization, as well as management tools and techniques.

Priority # 6: Governance

SMC Champion: David Kinsman

Link to Strategic Plan: By establishing an effective governance structure, the TSB will:

• improve organizational effectiveness in terms of leadership in the conduct of its activities (Objective #3); and
• increase organizational performance by adopting a framework that optimizes overall functionality (Strategies #1+ 5).

Performance Measurements: We will know we have succeeded when:

• a formal decision-making hierarchy is in place that everybody understands and conforms with;
• managers are making well informed decisions based upon organizational priorities and objectives;
• decision-making bodies deal only with those issues that are within their mandate;
• meetings are run efficiently with decisions being reached through focussed dialogue;
• decisions are formally recorded and readily available to interested parties; and
• information that has traditionally remained within 'silos' is available to those who need it, when they need it; and timely reactions and decisions are facilitated.

Link to the Modern Management Priorities: This priority addresses two of the modern management (modern comptrollership) priorities established by the SMC for fiscal year 2003-2004:

• by strengthening the integrated management control framework and
• providing clarity to senior management responsibilities and organization.

Priority #7: Renew the Management of Information

SMC Champion: Fred Perkins

Link to Strategic Plan: By renewing and modernizing the management of information, the TSB will:

• Improve organizational effectiveness in terms of leadership by providing tools and mechanisms to make valued business information easy to create, store, retrieve, analyse, share and use (Objective #3); and
• enhance the efficiency and effectiveness of TSB products in terms of timeliness and quality (Objective #1).

Performance Measurements: We will know we have succeeded when:

• employees can create, store, retrieve, analyse, share and use information efficiently and effectively;
• files contain supportive information for the investigations and can be easily located;
• files contain all administrative information required for the ongoing business of the TSB and can be easily located; and
• all employees are familiar with the applicable requirements of ATIP, other acts and regulations.

Link to the Modern Management Priorities: This priority furthers the following modern management priority previously established by the SMC for fiscal year 2003-2004:

• making better use of departmental information, thus improving knowledge management.