Advisory Circular (AC) No. 107-001

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Guidance on Safety Management Systems Development

Table of Contents


8.1 General Training Requirements

  1. In order for employees to comply with all safety requirements, they need the appropriate information, skills and training. To effectively accomplish this, the organization should document the training requirements for each area of work within the organization. The type of training to be offered is already mandated via regulation for certain positions in the organization. This includes initial, recurrent and update training requirements and, where required, training specific to the operation of the SMS. These regulations will provide a good starting point to identify what training is required.
  2. It is recommended that a training file be developed for each employee, including management, to assist in identifying and tracking employee training requirements.
  3. All employees will require some level of SMS training; the extent to which they are trained will depend on their function in the SMS. For example, a line employee will need to be trained how to report into the SMS reporting system. This would include how, where and what to report.
  4. Additionally, employees should be given basic human factors training to develop an awareness of the individual factors that can impact human performance and lead to errors. This might include coverage of issues such as fatigue, communication, stress, human performance models and lack of awareness.
  5. Employees with an assigned function in the SMS should receive more in-depth training. Training should include:

    1. Event investigation and analysis techniques;
    2. Hazard identification;
    3. Audit principles;
    4. Communication techniques;
    5. System analysis and implementation;
    6. Emergency response preparedness; and
    7. Human and organizational factors.
  6. Senior executives and the accountable executive should receive general awareness training related to all aspects of the SMS. The accountable executive is responsible for the establishment and maintenance of the SMS. A general awareness of the SMS is therefore advisable.

8.2 How do you know if your SMS is working?

Component 4 - Training Yes/No
Element 1 - Awareness and Competence  
There is a documented process to identify training requirements so that personnel are competent to perform their duties  
There is a validation process that measures the effectiveness of training  
The training includes initial, recurrent and update training, as applicable  
The organization's safety management training is incorporated into indoctrination training upon employment  
Training includes human and organizational factors  
There is emergency preparedness and response training for affected personnel  

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