ENGG404 Team Project Instruction Manual 2023F v20230822

ENGG404 Team Project Instruction Manual V20230822

ESRM Team Project Instruction Manual: 2 of 32 2023F Click here to go to Top Table of Contents 1) Overview of The Team Project for ENGG404 ..................................................................... - 4 - 2) Team Project Introduction .................................................................................................... - 5 - a) Purpose and Overview of the Team Project: .............................................................................................. - 5 - b) The Project Perspective, Context, Purpose, Scope, Deliverables, & Boundaries ...................................... - 5 - c) Learning Outcomes of the Team Project: ................................................................................................... - 6 - d) Ultimately, Your Desired Outcome … ......................................................................................................... - 6 - e) Components of The Team Project: ............................................................................................................. - 6 - f) Project Marks: ............................................................................................................................................. - 6 - g) Team Kick-off and Recommended Path to Start: ....................................................................................... - 6 - h) The Rapid Team-Building Toolkit: .............................................................................................................. - 7 - i) Project Case Study Topic (Loss Incident): .................................................................................................. - 7 - j) What do I do if I find an Official Report? ..................................................................................................... - 8 - k) Individual (Team-Member) Participation and Fair Contributions: ............................................................... - 8 - l) Appropriate Report Writing Terminology: ................................................................................................... - 8 - 3) Preliminary RCA Chart and Review: .................................................................................... - 9 - a) Purpose of the Preliminary RCA Chart and Review: .................................................................................. - 9 - b) Process to Develop the Preliminary RCA Chart, Chart Content, and Desired Outcome: .......................... - 9 - c) Instructions to Schedule and Present Your Preliminary RCA Chart at the Review: ................................. - 10 - d) Agenda for the Preliminary RCA Chart Review: ....................................................................................... - 10 - e) Example of the Narrative Technique: ....................................................................................................... - 11 - 4) Team Project Progress Report .......................................................................................... - 13 - a) Purpose of the Progress Report: .............................................................................................................. - 13 - b) The Recommended Path Forward to Create the Team Progress Report: ............................................... - 13 - c) How to Document and Submit the Progress Report: ................................................................................ - 13 - d) Overview of The Required Content of the Progress Report: .................................................................... - 13 - e) Required Content of the Progress Report: ............................................................................................... - 14 - Executive Summary .................................................................................................................................. - 14 - Chapter 1: Incident Description and the Losses: ...................................................................................... - 14 - Chapter 2: Context, Purpose, Scope, and Boundaries of Your Investigation Report: .............................. - 14 - Chapter 3: Hazards Related to the Loss Incident: .................................................................................... - 15 - Your List of References: ........................................................................................................................... - 15 - Appendix A: Root Cause Analysis – Chart: .............................................................................................. - 17 - f) Factors often missed or completed incorrectly for the RCA chart: ........................................................... - 17 - g) Do not blame “Management” or anyone else: .......................................................................................... - 18 - h) Spelling, Grammar, Rational, Logic, Format, Organization, Overall Flow: ............................................... - 19 - 5) The ITP Metrics Peer Feedback Survey Process .............................................................. - 20 - a) Purpose: .................................................................................................................................................... - 20 - b) Learning Outcomes: .................................................................................................................................. - 20 - c) Introduction to ITP Metrics Peer Feedback Survey: ................................................................................. - 20 - d) The Five Categories of Team-Member Effectiveness in ITP Metrics: ...................................................... - 20 - e) The Five Gauge Points of Effectiveness in ITP Metrics: .......................................................................... - 21 - f) The Process to Apply ITP Metrics Peer Feedback Survey: ...................................................................... - 21 - g) The Purpose of Valuable and Constructive Feedback: ............................................................................ - 21 - h) How to Provide Valuable and Constructive Feedback: ............................................................................ - 22 - i) How to Participate: .................................................................................................................................... - 22 - j) The ITP Metrics Surveys #1 and #2 Marking Rubrics: ............................................................................. - 22 - k) How to Interpret the Results and Begin Your Self-Improvement Plan: .................................................... - 22 - l) Team Debriefs and Instructor Intervention: .............................................................................................. - 22 -

ESRM Team Project Instruction Manual: 4 of 32 2023F Click here to go to Top 1) Overview of The Team Project for ENGG404 The overall purpose of this section of the team project instruction manual is: a) to instruct students on the methodology for undertaking a team project using the subject matter learned in this course, and b) to provide the parameters for the team project. Learning Outcomes: The team project is primarily about the application of all concepts and principles discussed in this course. Essentially, this team project is similar to a capstone project wherein the students as a team produce a preliminary RCA Chart, a progress report, and a Final Report. The learning outcomes for the team project include:  Collaborate in a team (organize, coordinate, participate in, and contribute as an effective team member and team leader) to:  Apply risk management principles and practices to a loss incident to prepare an incident investigation and Root Cause Analysis report including a set of recommendations and business case (suitable for presentation to management), and  Evaluate the performance of your team-mates and provide constructive feedback to your team-mates. The objective of this part of the chapter for ENGG404 is to present the requirements and parameters for the team project in ENGG404, with the intent to guide the teams through the incident investigation and Root Cause Analysis work processes in order to successfully complete the team project. There are five main sections within this Instruction Manual: 1. Team Project Introduction 2. Preliminary RCA Chart and Review: 3. Team Project Progress Report  Provides the process, requirements, and parameters to execute your progress report. 4. ITP Metrics Peer Feedback Process 5. Team Project Final Report  Provides the process, requirements, and parameters to execute your Final Report. Resources are posted on eClass / Student Resources shared folder that support your team project (please use them!):  Team Project Exclusion List  Preliminary RCA Chart Marking Rubric  Progress Report Marking Rubric  Final Report Marking Rubric  Template for ENGG404 TEAM PROJECT PROGRESS REPORT  Template for ENGG404 TEAM PROJECT FINAL REPORT  Template for The Bow-tie Diagram  Template for The Team Log The Team Log: Each team is expected to maintain a log for each seminar, starting with the first team project seminar, and for each team meeting outside the seminars. The intent is for the team to track attendance, and to gauge participation in, engagement with and relative contributions to the team project. Ultimately, this is intended to drive contributions from all team members per a leadership tenet, “W hat gets measured, gets attention ” . Use the template for the ENGG404 Team Log starting with your first team meeting or the first seminar, whichever occurs first. The data to track are self-evident in the Team Log. See Final Report Appendix A for more details. It is suggested that each team member start their version of the log at the very first seminar and team meeting.

ESRM Team Project Instruction Manual: 5 of 32 2023F Click here to go to Top 2) Team Project Introduction a) Purpose and Overview of the Team Project: The purpose of the team project is to apply the Incident Investigation, Root Cause Analysis, and Manage Corrective Actions Work Processes. An actual loss incident suffered by a company will be used as the genesis of your project. You will research, select, and investigate the actual loss incident. By using an actual incident your team will be able to apply the methodologies presented in this course to gain a practical understanding of these methodologies. You will uncover the immediate causes, the basic causes, and the latent causes. Ultimately, you will prepare and submit recommendations to senior company management in the form of your incident investigation report; these recommendations are intended to address and correct the latent causes as determined from your Root Cause Analysis, and these recommendations are intended to prevent future re- occurrence of the incident. Your team project will focus on learning the work process and, more importantly, on learning to connect your incident investigation of the selected loss incident to your recommendations. Your team project will focus on learning and applying these key points specific to ENGG404:  The concepts of engineering safety and risk management, the ESRM process, system, and its tools.  The relevance of your incident investigation and your recommendations to the loss incident.  Just as significantly as understanding the ESRM subject matter, you will learn and apply the concepts of leadership and teamwork. You will be asked to review your team’s performance showing the importance of teams in coming to effective resolutions. b) The Project Perspective, Context, Purpose, Scope, Deliverables, & Boundaries Imagine your team is working for “The ABC Conglomerate Company”. Senior management within ABC has learned of an external loss incident (the loss incident you selected). Because ABC has an operation that is the same in all respects to the company that suffered the external loss incident, ABC senior management has requested you and your team to conduct an incident investigation and Root Cause Analysis of the external loss incident, and to make recommendations. This is pro-active management because ABC management has recognized their operations are the same as the other company. ABC management wants to learn from others and does not want a similar event to happen within their operations; thus ABC management wants to make changes (based on your team’s recommenda tions) to their operations in order to prevent such a loss incident from happening at ABC. While conducting your investigation on behalf of your employer, ABC, you must consider that ABC has a positive and sustainable safety culture and a robust risk management program, but there are gaps in the existing programs i.e. inadequate performance standards ( category “S”: missing, incomplete, or erroneous), but there is not a complete absence of any specific elemental program i.e. there are no category “P” laten t causes. Although no organization is immune from deficiencies in RME #1 MLCS, restrict your investigation (and RCA Chart) to risk management system elements #2 through #11 i.e. do NOT consider any latent cause that leads to RME #1 Management, Leadership, Commitment, and Accountability. Having said this, it is wrong for organizations to believe that they have such a strong culture that they do not need to consider issues with management leadership, accountability, values, etc. Students (the future managers and leaders) should understand that thinking certain problems could not occur in their company is a bad line of thinking; future managers and leaders should actually be open to examining these issues to see how they can further improve their management and the organization’s culture. During your project, put yourself and your team in this role:  You work for the ABC Conglomerate; ABC is in the same business and has similar facilities / operations as that for the company / organization that suffered the actual loss incident.  ABC senior management has learned about this loss incident and wants to learn from it.  The situation is as though it were immediately after the loss incident had happened.  ABC senior management has assigned you to an incident investigation team, and has requested your team to conduct an incident investigation and Root Cause Analysis, and to make recommendations.  The purpose of your team is to study the loss incident, conduct an incident investigation and Root Cause Analysis, to make recommendations to address latent causes, and to seek approval from your senior leadership to proceed with your set of recommendations.  It is NOT necessary that you need complete and comprehensive information concerning the loss incident you selected; more likely, y ou will have “some” information, perhaps an official report, and it will not be in a form or nature that reflects the nature of this investigation. So, you will need to use your engineering know-how and the material that you are learning in this course to determine all possible, plausible, reasonable, and feasible causes in the RCA as to how this incident COULD have happened.  Do NOT try to fit your RCA chart to an official report. That is not the intent of this project.  The goal of your team is to make recommendations (determine the necessary actions) based on your team’s incident investigation and Root Cause Analysis that will benefit ABC and will prevent this kind of loss incident from happening at ABC, and to obtain approval to proceed with those recommendations.  The deliverable of your team is an Incident Investigation Report on the loss incident.

ESRM Team Project Instruction Manual: 7 of 32 2023F Click here to go to Top discussion and selection. Your team will nominate three choices for your desired loss incident, as instructed in email messages, and your selection will be approved on a first-come, first-served basis. h) The Rapid Team-Building Toolkit: You may not know all of your team members. When meeting for the first time outside the seminars, you can build your team rapidly and effectively in real time using the following techniques:  Introduce yourselves to those whom you don’t know.  Share personal histories. What is your work history? Personal stories reveal competencies, generate respect, and foster cooperation.  Ask: “What has worked for you (when working on teams) in the past?” This signals that past experiences are valued as potential contributions.  Describe how the team will work together. Clearly state the team’s purpose and plan.  Optimize individual team members’ strengths. Make realistic assignments that take advantage of each team member’s individual strengths.  Establish team norms for sharing information. How will you share and exchange information quickly, easily, and in all directions? Email? Text? Virtual shared drive? Voice call? Combination?  Establish team norms for meetings. Agree that a brief agenda is needed for each meeting. Determine location, time, and duration for each meeting, and determine how to communicate these details.  Establish team norms for making decisions. Discuss what types of decisions members are expected to make on their own and what types of decisions will be made by team consensus. What process will you use for making decisions?  Establish team norms for tracking contributions, and for giving and receiving feedback. What process will you use to track contributions? Will you give each other feedback? Adapted from: Harvard Business Review, MANAGING TEAMS FOR HIGH PERFORMANCE, Harvard Management Update Article Collection, Product #2304, 2007. i) Project Case Study Topic (Loss Incident): Research an actual loss incident (case study) which has occurred since 2000 i.e. nothing prior to 2000. Your case study does not need to be an event that grabbed world headlines. The case study must be such that it has caused losses in at least three of the following areas:  Worker Safety and Occupational Health  People (the general public) Safety  Environmental Damage  Asset Loss  Production / Productivity Loss / Business Interruption Certain loss incidents may be acceptable even though they may not have had impacts on at least three of the PEAP areas e.g. network security breaches, hacking attacks, etc. Please discuss with your Instructor for acceptability. The case study should be a “major loss incident” relevant to your engineering discipline, as these are most suitable for application of the methodologies taught in this course e.g. for chemical engineers, this may be phrased as a process safety loss such as a refinery fire or chemical plant explosion; for mining engineers, a major mine collapse or tailings pond failure; for civil engineers, a major structural collapse. There are many good sources of information about loss incidents including newspapers, magazines, various television channels, and website links and searches on news media, government agencies, and technical associations. If you have personal contact with companies, those can be a source for case studies, although recognize the information may not be as readily available on a timely basis, or may be protected by confidentiality. Any event or information in the media or searchable on-line is acceptable. Why choose an actual loss incident? The Team Project is about applying the Risk Management process, system, and tools to learn from other incidents and to prevent an incident from happening again, and one of the best ways to learn how to do that is to study an actual loss incident; that is, to learn from your errors, or learn from others. The reason for choosing an actual loss incident is simply because data are readily available. Of course, it is recognized that an incident has happened and the cause of it is known and the investigation may be fully completed. The use of the course processes, methods, and tools in examining a case study provides experience in their actual application, and adds considerable focus to your studies. Remember that all copyright and plagiarism rules apply. Proper recognition of reference resources is mandatory and must be included. Certain loss incidents have been done by previous course participants; so take care not to duplicate the previous work if accessible. Please observe these general and specific exclusions:  All loss incidents prior to 2000 are not acceptable.  All air transportation – passenger and cargo, all passenger-rail transportation, all passenger-ship transportation, and all space craft exploration / development events, and certain structural events (collapses and fires) are not acceptable. Some

ESRM Team Project Instruction Manual: 8 of 32 2023F Click here to go to Top exceptions may apply, such as those of this nature occuring in North America or Western Europe after careful review and approval. Please consult with the Instructor if you want to investigate such an incident prior to commencing.  Factory incidents outside of North America and Western Europe are usually excluded. Please consult with the Instructor if you want to investigate such an incident outside of North America and Western Europe prior to commencing.  Any natural disaster is excluded, unless specifically related to a failure in an engineered system caused by a failure in the management system. Two examples: the levee failures in New Orleans, LA, during Hurricane Katrina; Fukushima NPWGS after the earthquake and tsunami struck the east cost of Japan. (Both of these are excluded in any case.)  Do NOT select any of the loss incidents on the Team Project Exclusion List. This list is provided on eClass under the Team Project section.  Do NOT select a lost incident where country/regional safety rules are not enforced and/or where corruption of government officials and/or company officials is a factor in the loss incident . These exclusions are not acceptable for ENGG404 because the nature of the event limits the scope of the project learning value or are used in part during the course study. The selection of your loss incident for study in your team project must be approved before proceeding. j) What do I do if I find an Official Report? Where you have access to any official or credible report (government agency, corporate, or third party), it is recommended that you proceed in this manner:  Use it to learn about the process technology, the incident description, and the sequence of events leading up to the loss incident.  Then proceed with your incident investigation. It has been demonstrated by students in previous years that pursuing the line of investigation as done in the official report is not beneficial to this team project. Trying to fit this process to the exclusive findings of the official report is not effective.  Summaries, analyses, or regurgitations of official reports of investigations are not what this report is about! The point is for you to apply the work process and methodologies taught in this course!  In the Final Report, you will be asked to make recommendations. Same applies here: resist using the official report. Most of the official reports do not follow the work processes that need to be applied in this project. You need to determine what recommendations the ABC Company needs to undertake! k) Individual (Team-Member) Participation and Fair Contributions: The expectations for engagement, participation, and contribution, and the consequences for not engaging, participating, and contributing per your team- mates’ expectations, are described in the Course Syllabus. The ENGG404 Team Log is designed to encourage participation of, engagement of, and contributions from all team members. l) Appropriate Report Writing Terminology: Certain phrases, words, and modifiers we may use in everyday conversation should not be used in report writing. You must use terminology that is as precise as possible. Be careful not to use the following phrases and terms in your report: Management failed to Employee failed to Hard number to swallow Brunt of the losses Tremendous Very Incredibly Heavily Huge Lazy Management was to blame Employee was to blame Extremely difficult Extremely dangerous Impossible Ticking time bomb Extraordinary Big Time bomb Boom! Incompetent Negligent Criminal behaviour Corrupt behaviour Absolute failure Gambling with its future Drastically Just a matter of time Safety propaganda Remarkably or Incredibly

ESRM Team Project Instruction Manual: 10 of 32 2023F Click here to go to Top Acceptable Models: Two acceptable models for the Preliminary RCA Chart (each Latent Cause aligns to three (3) different elements) are depicted here: Branch from Incident Description: Branch from Immediate Cause Format of the RCA Chart drawing for the Preliminary Review:  Prepare the chart in LANDSCAPE, not portrait.  Font size has to be large enough and of correct resolution such that it is easily legible when magnified online.  If the chart were to be printed (hard copy), it should be designed to fit onto one single sheet of poster- size paper (36” x 48”), black print, standard quality paper is acceptable. c) Instructions to Schedule and Present Your Preliminary RCA Chart at the Review: 1) Several weeks prior to the review meeting, the Instructor will advise the teams to access a “Booking” spread -sheet on eClass to select a day and time for presenting your Preliminary RCA Chart. 2) On eClass, open and check the “Booking” spreadsheet for any open slots. 3) Enter your team # in the column for the desired day and time. Your Instructor is trusting that you will not delete another team's selection. 4) Open your @ualberta.ca CALENDAR, schedule a meeting for your selected day and time per the spreadsheet, state your Team # in the meeting request name, select "Make it a ZOOM Meeting" or “Make it a GoogleMeets” request, invite your team- mates and your instructor, and send the meeting invitation i.e. “save”. Conflicts will be resolved on an as -needed basis. Be sure that you have stated your Team # in the meeting request name. 5) Your Instructor will accept / confirm the meeting request. 6) On or before the due date, upload your Preliminary RCA Chart to the eClass submission space. Observe the file-name convention as noted in the marking rubric. 7) On the day and time of the Preliminary RCA Chart Review Meeting, the meeting host (the student who sent the meeting request to the Instructor) will start video-recording the meeting, and allow the Instructor to "share" a document. The Instructor will open the RCA Chart from the eClass submission space (or as a download in advance), and then "walks" through the RCA chart as the student speaks. The video-recording is for the purposes of the team to review the verbal feedback in order to improve the RCA Chart. d) Agenda for the Preliminary RCA Chart Review: Per the Course Plan, you and your team will verbally present your preliminary RCA chart to your Instructor. You need only present your preliminary RCA chart. All team members must be present online for the review and be able to speak about any part of the chart. A deduction may apply for a non-valid reason for absence. Select one spokesperson or take turns – you are not being marked on presentation style or participation in the presentation (your team-mates can assess you, though). You will walk your Instru ctor through the RCA chart using the “narrative” technique through each of the three roots. See example below. Meeting Agenda: Please be prepared to use this model agenda for the RCA Chart Review online meeting:  The Instructor indicates to students that they can record this review meeting for the benefit of their learning.  The Instructor confirms the Team #.  The Instructor checks that all participants are present online. If someone is not, ask if this is a regular behaviour or not. The Instructor may impose on the absent person a deduction of 2% towards their final mark. The Team shall record this in their Team Log.  The Instructor indicates that one person can speak on behalf of all, or they can take turns. It is an opportunity to practice but there is no requirement to do it one way or the other.  Note that the intention of this detailed review: “ This review is intended to provide constructive feedback at the early stage of development of the RCA Chart. This review is NOT intended to be overly harsh, but by its nature, it does closely examine the details. This constructive feedback is intended for the Team to learn from it and apply their improved skill set to complete a more correct and accurate RCA Chart for the Progress Report. ”  The Instructor turns the meeting over to the Team: "The review meeting is yours now per the Agenda and Process outlined in the Instruction Manual. Please begin!"  The Team launches by using the narrative technique for the first of their three roots. If the team is NOT correctly narrating the RCA Chart, the Professor should interrupt and give immediate correction on the narrative before moving on.

ESRM Team Project Instruction Manual: 11 of 32 2023F Click here to go to Top  The Team continues with the remaining two narratives.  After the team has completed the narratives for the three roots, the Instructor proceeds with immediate feedback, questions, and discussion on the areas needing improvement.  The Instructor records the scores for each of the items per the Preliminary RCA Chart Review Meeting Marking Rubric, and advises the Team to check this score in eClass on the next day to ensure the correct score was entered.  If time permits, the Instructor can invite the Team to ask one or more questions, and may ask for feedback on their experience in the "Preliminary RCA Chart Review meeting". e) Example of the Narrative Technique: The manner in which to apply the narrative technique is to “sound out loud” the words in your RCA Chart . The purpose of the narrative technique is to test your logic and rationale. When reading out loud, inadequacies in the written logic are discovered. All team members should be listening when their team-mate applies the narrative technique. You are testing the quality of your RCA chart by asking, “D oes it make sense when you read your RCA chart exactly the way it is written? ” The generic form of the narrative technique starts with the “<Incident Description>, because <an immediate cause>, because <an intermediate cause>, because <a basic cause>, because <an intermediate cause>, because <a latent cause>”. One could state “because of” or “which was caused by” in place of “because” where it makes sense. It will be unusual to have only 5 cause boxes in a root from the incident description to the latent cause, and highly unusual for you to have no intermediate causes in a particular root from the incident description through to the latent cause. There is no additional explanation to support what is stated in the cause boxes. There is no need to state the categories of the causes. Refer to the following example narrative (with additional wording in brackets to clarify the flow of the narrative) for one root of the excerpt of the RCA chart in the next figure. Narrative for One Root from the Excerpt of an RCA Chart: “On May 6th of 2021, the Colonial Pipeline which delivers half of the fuel between the south and eastern coast of the USA was hit by a massive ransomware attack. This attack resulted in the shutdown of the entire pipeline for a week resulting in heavy loss es for the company and a fuel shortage for the entire East Coast” because “Entire pipeline IT systems (was) compromised” because “An exposed legacy VPN account existed” because “Exposed account only had single - factor authentication” because “The exposed le gacy account was never updated to use multi-factor authentication ” because “Legacy profile security standards were never scheduled to be updated to require multi- factor authentication” because “There was no procedure to maintain the security of legacy acco unts” because “LC7 -S: The maintenance program did not include a standard for maintaining legacy account security”, “which relates to RME #8 O&M” Note that if you do not apply the narrative technique as indicated, marks may be deducted.

ESRM Team Project Instruction Manual: 13 of 32 2023F Click here to go to Top 4) Team Project Progress Report a) Purpose of the Progress Report: The purpose of the Team Progress Report is:  To get your team rolling on the path to success.  To capture your incident investigation at a broad level, and not necessarily full, complete, and correct, on the ES&RM work process and methodologies.  To check your team’s progress and team development. The Team Progress Report is much the same as in the workplace where your supervisor has asked you to provide an update on a major report due in two months – to check that you are on the right track. If you are on the right track, then you are well positioned for success. If you are not on the right track, then the progress report serves its intended purpose: between you and your supervisor, you can redirect your efforts to meet the purpose of the report. To meet the purpose, provide an interim Progress Report to management as to the status of your project. Provide all this information as though you are a management team reporting to senior executives i.e. write the report with an Executive Summary and attached chapters. b) The Recommended Path Forward to Create the Team Progress Report: Remember to collaborate! Almost all parts of the team project give opportunities for a team to collaborate. This can start with a blank sheet, or can start with a draft of that part that one or two members created, and then share with the others on a “talk - through”, with the eventuality that that part of the team project further developed. Thoroughly and completely read all of the content. Research and gather data on your case study. Create and fully develop the RCA, and apply the C&E Model. Write your report! Create all of the chapters first, then write the Executive Summary. Use the template. The use of colour is optional; however, it does improve the clarity of the report. Recall that your report should strive for succinct information, should demonstrate your understanding of what management wants, and should provide reasonable rationale or logic on your selections and priorities. Submit your Progress Report per instructions in section How to Document and Submit the Progress Report . c) How to Document and Submit the Progress Report: Use the supplied template to document your report using MS-Word or other compatible software. Adhere to the template specifications: Arial 12 font; single line spacing; no spaces between paragraphs ; 1” margins; headings and sub -headings; if not, a penalty may apply. (When using GoogleDocs on a shared drive to collaborate, some features in MS-Word report template do not reproduce correctly, such as headers and footers, or headings and sub-headings. Be certain that these are stated correctly when creating your final version in PDF file type. (Headers and footers in an MS-Word template do not reproduce on GoogleDocs when student collaborate using a shared drive; so, there is no deduction for lack of headers and footers.) Use software to create your RCA Chart. LUCIDCHART is recommended. Do NOT use miro.com. Convert both of your working documents to PDF versions, and append the RCA Chart at the end of your Progress Report PDF, to create your Team Project Progress Report . See https://www.pdfmerge.com/ to merge two PDF files. Observe the file-name convention as noted in the marking rubric. Check that your RCA Chart is legible in its PDF file type, and not the native file type used to create the chart. Marks will be deducted if it is not legible. A deduction will be applied if it is not legible. Submit an e-copy file of your complete Team Project Progress Report , in PDF file type, through your group number on eClass. There is no need to print and submit a hard-copy of your report. d) Overview of The Required Content of the Progress Report: The team project is about the application of the incident investigation and Root Cause Analysis processes of an actual loss event. It is about your putting theory into practice on the processes, methodologies, and systems of Engineering Safety and Risk Management. This progress report forms the basis for the Final Report. Your progress report consists of a cover page, a table of contents, an executive summary, and a set of chapters, all as described. You should note that the chapters should be written before the executive summary! The following is a brief to help you compose and compile your written report in a professional manner. Your progress report consists of the following sections, sub-sections, and chapters:

ESRM Team Project Instruction Manual: 14 of 32 2023F Click here to go to Top COVER PAGE The Cover Page per the details in the posted template. TABLE OF CONTENTS The table is generated using the embedded TOC in the posted template. EXECUTIVE SUMMARY Incident Description and Losses: Context and Purpose: List of Latent Causes: REPORT CHAPTERS: Chapter 1: Incident Description and Losses: Chapter 2: Context and Purpose, Scope and Boundaries: Chapter 3: Application of The Categories of Causes – Discussion: References: Appendix A: Root Cause Analysis – Chart: The total number of pages of the report is in the order of 10 to 20 pages, perhaps somewhat more:  One (1) page for the Cover Page; and 1 page for the TOC if not included on the Cover Page;  Two (2) pages maximum for the Executive Summary. A penalty will apply for exceeding 2 pages!  As many pages as you deem necessary in the chapters. e) Required Content of the Progress Report: See the Progress Report Marking Rubric for all information requirements of the Progress Report. Executive Summary The required content of the Executive Summary should include summaries or short descriptions based on the content in the chapters, as shown below. Headings, sub-headings, and bullets to highlight your points are required! Normally, the reader reads the Executive Summary first, and then looks for additional information in the chapters. Keep in mind that when I mark your report, I read all of the chapters first, then I read the Executive Summary. I do this because there should be no new information in the Executive Summary, and the Executive Summary should be consistent with the chapters. Some guidance: The Executive Summary is a summary. It is better to create and complete the chapters first, and then summarize your chapters i.e. the Executive Summary. If yo u try to do the Executive Summary first, you’ll undoubtedly generate far more that the maximum pages! For example, the Executive Summary should have a summary (a short paragraph and certainly NO MORE than a half page) of the event in your case study, whereas the appendix will include a full description exceeding several pages, especially if a report is cited or included from an industry association or regulatory body. Each section of the executive summary should summarize the corresponding appendix and provide key points of information, depending on the context and nature of the section. Two (2) pages maximum for the Executive Summary. A penalty will apply for exceeding 2 pages! (Penalty does not apply if the table structure causes text to spill over onto the third page.) The executive summary must include the following sections:  The Loss Incident and the Losses With Respect To PEAP .  The Context and Purpose of your Incident Investigation Report.  List of Latent Causes: List the applicable Risk Management System Elements and align your specific latent causes, as found from your RCA and your applied C&E Model, with the appropriate Element. You must provide at least different 18 latent causes and no more than 25, with a maximum of 4 in any one RME element, (#2 through to #11) in bullet point or tabular form. Chapter 1: Incident Description and the Losses: A narrative of the detailed sequence of events leading up to the loss incident, the specifics of the loss incident (when, where, brief explanation as to what happened), and any pertinent subsequent events. State the losses for PEAP. For A and P, also state in quantified terms for Assets and for Production e.g. dollar value or productivity value, $’s, $’s / year, kg/yr. from whatever sources this information is reported. Note that A can include the i mpact on the stock price of the company if it is a publicly traded corporation. Chapter 2: Context, Purpose, Scope, and Boundaries of Your Investigation Report: This chapter consists of three sections: 2.1 Industry Overview: Provide a brief overview of the industry and of the company’s specific operations relevant to the loss incident. This series of questions can guide your overview:

ESRM Team Project Instruction Manual: 16 of 32 2023F Click here to go to Top Example of factual material that is not original with the author: Proceedings Paper Formatting Instructions – Rev. 8/2020: References. All factual material that is not original with the author must be accompanied by a reference to its source. ASCE prefers the author-date system of referencing. The author-date system has two parts, the text citation and the reference list.  The text citation appears where the material to be cited is presented and it refers readers to a source in the reference list by the author's last name and year of publication. Often, the author and date appear in parentheses; a comma is not placed between them.  The reference list appears at the end of each proceedings paper. It should be single-spaced and list each reference alphabetically by the last name of the first author. When two or more references by the same author are listed, year of publication is taken into account, and the earliest work is listed first. [1] Example of a reference list to the original source: [1] Smith, I.M., Jones, B.Q., Peterson, C.O., Powers, M.. “ASCE Conference Proceedings Paper: Formatting Instructions.” ASCE (American Society of Civil Engineers). < https://ascelibrary.org/pb- assets/images/CUSTOM%20PAGES/FILES/edited_author%20formatting%20instructions-1597250646700.pdf > (August 2020). IEEE: https://ieee-dataport.org/sites/default/files/analysis/27/IEEE%20Citation%20Guidelines.pdf https://library.ship.edu/citing/ieee https://essaypro.com/blog/ieee-format MLA: https://essaypro.com/blog/mla-citation APA: https://essaypro.com/blog/apa-citation-guide An example of reference for a web-site soruce: MSN Money: “ Six psychological tricks rich people use to make more money ” ; posted Kathleen Elkins - CNBC - October 22, 2016; https://a.msn.com/r/2/AAjhDTZ?m=en-ca ; accessed 23-Oct-2016

ESRM Team Project Instruction Manual: 17 of 32 2023F Click here to go to Top Appendix A: Root Cause Analysis – Chart: See the Progress Report RCA Chart Marking Rubric for all information requirements of an RCA Chart. Revise your RCA Chart based on any feedback from the Preliminary RCA Chart Review. Note that feedback may not be complete and that some deficiencies may not have been noted. It is the Team’s responsibility to ensure that all requirements for the RCA Chart are met. Continue to build on your preliminary RCA Chart. This RCA Chart should be corrected, revised, or improved based on feedback from your Preliminary RCA Chart Review meeting. Note that the creation of the RCA Chart is done before the chapter on the RCA Discussion has been done. The Root Cause Analysis is an excellent opportunity for a team to continue to collaborate. Start with the Incident Description and apply the Root Cause Analysis process. Drill down through to the latent causes. Test that these indeed are latent causes by using the categories and sub-categories of Basic Causes; if it readily aligns with one of these sub-categories, then the cause is NOT a latent cause, it is a basic cause. Continue asking “why” to drill deeper to reach the la tent cause. When you have identified the latent causes, you are at the point where clear recommendations can then be made, without yet having to state the recommendations. Identify several latent causes in each of at least six (6) elements of the Risk Management System. Your Root Cause Analysis must be of sufficient breadth and depth to identify at least 18 latent causes (on average, 3 or more in 6 elements), and no more than 25 with a maximum of 4 in any one RME element, (#2 through to #11), specific to your loss incident. Refer to the Handbook Chapters The Categories of Causes and Root Cause Analysis of an Incident for guidance. The desired outcome: A completed RCA diagram showing the incident description down to the latent causes and with all requirements as described above and in the Marking Rubric . Format of the RCA Chart drawing for the Progress Report:  Prepare the chart in LANDSCAPE, not portrait.  Font size has to be large enough and of correct resolution such that it is easily legible when magnified online.  Include an “Information Text Box” preferably in the top right corner. Thi s text-box must state: your Team # only – do NOT list the team members; Name of Loss Incident, and the date of your RCA Chart. Example: Team #11: DPC Enterprises; Chlorine Transfer Hose Rupture and Release; Festus, Missouri; 14-Aug-2002; date of RCA Chart: 5-July-2023  Include a “Legend” on your RCA chart that includes the symbols for the ‘AND’ and ‘OR’ gates, as well as the colour -codes for immediate causes, basic causes, and latent cause key, any abbreviations used on the chart, and a table that lists the “RME #’s and their counts”.  If the chart were to be printed (hard copy), it should be designed to fit onto one single sheet of poster- size paper (36” x 48”), black print, standard quality paper is acceptable. f) Factors often missed or completed incorrectly for the RCA chart:  Clarity of language and logic: The RCA chart tells the story of your analysis, so it should be able to stand alone from the report (clearly outline the incident and all causes down to the latent causes).  Information Box (the title of your loss incident, your team number and names of the members), Legend, and Table of RME Counts. Be sure that your acronyms are clearly defined e.g. “LC = latent cause”.  Use noun, past-tense verb structure for every RCA chart box e.g. “Oil pipeline was located in close proximity to the river” ; e.g. “The pump was not properly designed for the process fluids.” “Bad design” is poorly stated.  Branch to more roots: When a cause statement includes the words “ and ”, “ or ”, “ caused by ”, or “ due to ”, consider branching to another root. For example: " The calibration device had been recently changed, and no one had changed the calibration procedure " should be restated and branched to drill deeper as follows: " The calibration device had been recently changed ” caused by “ The calibration procedure was recently changed ” caused by “..." and so on until the LC is discovered.  State causes in objective terms, not subjective terms: o e.g. do not state “ Engineer chose to ignore senior design advice ”; state “ Senior design advice was ignored ”; o e.g. do not state “ Operators did not follow the procedure ”; state “ The procedure was not followed .”  Drill deeper to discover the LC: If you can still answer the ‘why’ question for your bottom boxes (what you think is the LC), you aren’t at the LC yet, so drill deeper to get to a LC that IS actionable.  State the LC in specific and unique terms, and on which one can take action: The LC must be stated in specific and unique terms relevant to its root, and in terms of a P (inadequate program), S (inadequate performance standards), or C (inadequate compliance with performance standards. For example, do not state, “The risk assessment program was inadequate”; state “The risk assessment program did not include a standard to analyse risks associated with sub-standard password practices.”  LC is unique to ONE RME: The LC must be specific such that it can only be attributed to one RME. If the LC in question can be attributed to two RMEs, you’re not at the LC yet or you are confusing the meaning of elements. In this case, you need to either split it so that each LC can be attributed to a weakness in only one RME, or revise your LC statement to add clarity.  Do NOT USE or lead your roots to LCs relating to RME #1 MLCA.

ESRM Team Project Instruction Manual: 19 of 32 2023F Click here to go to Top 3) Instead of saying “The employee/worker did not follow the procedure to ...”, state the procedure to .... was not followed”. It is OK to say that “the employee was not aware / did not know / was not trained” and sometimes “the employee (did a task such as) mixed the two chemicals” as a statement of fact. But do not state “the employee failed to ...” as that is clearly “blaming the worker”, and similarly for “the company / management / manager / supervisor failed to . ..”. You do not want to blame management! This is the approach to take throughout the RCA Chart where it makes sense in the overall logic. Why you want to make your cause statements in objective terms: You do not want to “blame management”. Put it into this context: “Imagine you are standing at the front of the conference room, presenting your RCA Chart on your investigation to your supervisor and senior managers, and you have the cause statement "Management failed to ...". How do you think the managers are going to feel sitting in their chairs watching this? How do you think they will respond to your supervisor? And how do you think your supervisor is going to respond to you privately? Not only should you not blame workers, don't blame management.” Similarly, do not blame a worker. They will feel under attack and will become defensive; they will not tell you all of the facts about exactly what happened, and your investigation will go down the wrong path. h) Spelling, Grammar, Rational, Logic, Format, Organization, Overall Flow: The expectation is for a professional report. Your report is credited with 10 marks; however, marks can be deducted for deficiencies per the Progress Report Marking Rubric .

ESRM Team Project Instruction Manual: 20 of 32 2023F Click here to go to Top 5) The ITP Metrics Peer Feedback Survey Process a) Purpose:  To explain the ITP Metrics Peer Feedback Survey that will be formally completed twice by each team during the term. b) Learning Outcomes:  To apply the ITP Metrics Peer Feedback survey process to evaluate your team members, as a means to measure team effectiveness and make a “course correction” if necessary. c) Introduction to ITP Metrics Peer Feedback Survey: ITP will be formally used in this course two times, midway through and at the end of the term. The feedback that you give on each of your team-mates will be anonymous and will be shared. The feedback will be used to assess fair allocation of marks on the Team Project. A sliding scale on the ITP Adjustment Factor combined with students’ comments/feedback per the Team Log and instructors’ observations are used to apply the deduction for non -participation and/or non-contribution The ITP Metrics Surveys has three purposes: a) to provide constructive feedback to your peers, b) to receive feedback from your peers, and c) to give you an opportunity to develop the skill of giving specific, concrete, and constructive feedback. This is notable because as  As a future leader, you will be required to give specific and individualized feedback to all who work for you! Take this low-risk opportunity to develop this skill.  Feedback is a gift & is used in many organizations to calibrate performance.  Get used to it!  It is not just about the results we achieve and the feedback we receive, but how we learn from that feedback and adjust our behaviours to improve our personal performance. It is only through personal improvement that a person “meets or exceeds expectations” in the workplace; thus, placing themselves in consideration for advancement. There are two ITP Surveys – mid-term and end-of-term – and these two surveys ARE DIFFERENT!  Your completion of the ITP surveys earns marks. Refer to the ENGG404 ITP Metrics Peer Feedback Surveys Marking Rubrics for details on how you will be marked and the Course Syllabus for the marking scheme.  If you miss completing a survey, consult with your Instructor to resolve for excusable reasons.  Feedback will be anonymous on ITP #1 and #2; however, only ITP #1 feedback will be shared.  Feedback will be used to assess fair and equitable deductions on the Team Project as described under section m) How Your ITP Score Is Applied to Calculate a Deduction on Your Team Project. As introduced in Team Member Effectiveness and Engagement, and Team Collaboration , there are many characteristics, attributes, and processes that describe team effectiveness and just as many tools to gauge team-member effectiveness; however, an easily-adopted academic tool is the ITP Metrics Peer Feedback Survey , an online survey process for the semi- quantitative evaluation of peers. The Peer Feedback Report: Team members provide anonymous scores and feedback on five team member competencies that are associated with team effectiveness, as depicted in the graphic here. The report summa rizes your team members’ scores and feedback regarding these competencies, allowing you to gain a stronger sense of your strengths and areas for development. d) The Five Categories of Team-Member Effectiveness in ITP Metrics: This individual-level competency model was developed over 10 years of research by engineers and industrial psychologists in the US (Ohland et al., 2012). It is used in the itpmetrics.com platform to define effective team players. You and your teammates will be assessed in five areas of effectiveness, as follows: 1) Commitment to the team’s work: This is about your commitment to the team’s success and workload. It is about accountability and responsibility. This can be measured by your participation and contributions. 2) Communicating with teammates: This is in regards to your interactions and your ability to listen actively so as to foster and support team effectiveness, and to avoid confusion and hard feelings brought about by ineffective (poor, misguided, or absence of) communication. This can be measured by your responsiveness to team communications (email, messaging apps, shared drive, etc.) and your engagement in team meetings. 3) Strong foundation of knowledge, skills, and abilities: All team members must have a strong foundation of knowledge, skills, and abilities to be able to contribute to the team project. To gain this, members must attend the lectures / seminars and study the course material. Without this foundation, how can one contribute? Team members can build their foundation