TSB Recommendation R18-02

Transport Canada agrees with rail safety recommendation (R18-02). Railway safety is a key priority for the Department. To that end, the Department has been doing work in the area of training and qualifications because it recognizes that rail employees must have the necessary qualifications to perform the duties of their safety-critical positions, that they demonstrate those qualifications prior to undertaking those duties, and that those qualifications are monitored on an ongoing basis. To address the identified gaps, the Department is undertaking work in multiple areas, including considering amendments to the regulatory framework as well as ensuring effective oversight of training and qualification requirements.

In the interim and to further reduce the risk, the Department is planning to publish a guideline on the use of remote control locomotive systems in the rail industry in December 2018. This guideline will be informed by a comprehensive study of remote control locomotive systems which the department conducted. This study looked at areas such as qualification/training/experience, mitigating measures, mainline operation, train speed, and crew size. The study was completed in spring 2018, and included outcomes from rail industry site visits. The results were presented to members of the Advisory Council on Railway Safety. The study recommended the introduction of training and qualification standards for Remote Control Operators.

With regards to regulatory development work, Transport Canada is planning consultations with industry stakeholders throughout 2018/2019 to ensure the employee training and qualification policy framework is up-to-date, effective, and reflective of the needs of an evolving and dynamic railway industry. This is especially crucial given the wide diversity of railway companies and the complexities involved in designing a training and qualification regime that can be effectively implemented and overseen. The Department intends to publish the regulatory proposal in Canada Gazette, Part I, during the first quarter of 2020, followed by a 30-day final comment period from stakeholders.

In the interim, Transport Canada will continue to oversee railway companies' compliance with existing training and qualification requirements through a combination of inspection activities and Safety Management System Audits. Of note, the Railway Safety Management System Regulations, 2015, includes requirements for companies to have processes for managing knowledge. It also requires that companies ensure that the employees conducting duties essential to safe railway operations have the necessary skills and qualifications. The knowledge management process was one of the components audited in 2017-18 for Canadian Pacific Railway, Canadian National Railway, and VIA Rail Canada. In response to audit findings, each railway submitted a corrective action plan.

Transport Canada shares the Transportation Safety Board's commitment to advancing the safety of Canada's transportation system and is committed to working with partners to further enhance the safety of Canada's railway system through improvements to the existing training and qualifications regime.

TC agrees with the recommendation. TC recognizes that rail employees must have the necessary qualifications to perform the duties of their safety-critical positions, that they demonstrate those qualifications prior to undertaking those duties, and that those qualifications are monitored on an ongoing basis.

To address the gaps related to training, qualification and re-qualification standards for railway employees in safety-critical positions, TC is undertaking work in multiple areas, including possible amendments to the regulatory framework. TC will conduct consultations with industry stakeholders throughout 2018–19 to ensure that the employee training and qualification policy framework is up to date, effective, and reflective of the needs of the railway industry. TC plans to publish the regulatory proposal in the Canada Gazette, Part I, during the first quarter of 2020.

In the interim, TC plans to publish a guideline on the use of RCLS in December 2018. This guideline will consider the results of its 2018 study on RCLS that recommended the introduction of training and qualification standards for remote control operators.

TC will ensure effective oversight of training and qualification requirements through a combination of inspection activities and safety management system (SMS) audits. In 2017–18, TC audited the knowledge management process for CP, CN, and VIA Rail Canada Inc. (VIA). In response to the audit findings, each railway submitted a corrective action plan.

The Board is encouraged that TC recognizes that there are gaps in the training and qualification standards for employees in safety-critical positions and that it is actively working in a number of areas to address the gaps, including possible amendments to the regulatory framework. The Board considers the response to the recommendation to show Satisfactory Intent.

The new SMS 2015 Regulations (Section 25 to 27) includes requirements for Managing Knowledge for employees whose duties are essential to safe railway operations; as well as others who are authorized by the railway company to access the railway and whose activities may affect the safety of railway operations. This includes knowledge of “any of the railway company's procedures – including any procedure referred to in this Part – standards, instructions, bulletins or other internal documents that may affect railway safety and that the employee needs to know to carry out his or her duties safely.”

The regulation further requires railways to have a plan for ensuring that an employee has the skills, qualifications and knowledge; a method for verifying that an employee has the required skills, qualifications and the knowledge; a method for supervising an employee who performs any of the duties and a method for verifying that a person has the knowledge.

It is not necessary for the Railway Employee Qualification Standards Regulations to be updated or for regulations to prescribe the specific qualifications that TSB is describing as the performance based / continuous improvement nature of SMS ensures that companies are reviewing, improving and implementing programs that ensure employees have the necessary skills, qualification and knowledge. If the TSB or TC identify a specific topic that they believe needs to be addressed, it should be raised with the relevant railway company, so they can evaluate it and address it through SMS, if needed.

To address this issue over the long-term, the Department is currently developing policy options to update the regulatory framework in order to address the gaps identified in this area while at the same time keeping pace with the evolving and dynamic railway industry. This is especially crucial given the wide diversity of railway companies and the complexities involved in designing a training and qualification regime that can be effectively implemented and overseen. Transport Canada consulted with CN and CP representatives in Fall 2018 to gain a better understanding of their training and qualifications regime. The Department will launch pre-consultations with stakeholders on a training and qualifications policy proposal in Spring/Summer 2019, with the intention of pre-publishing a regulatory proposal in Canada Gazette, Part I, in 2020.

In the interim and to further reduce the risk, the Department has developed a guideline on the use of remote control locomotive (RCL) systems in the rail industry. The intent of the guideline is to promote industry best practices and to provide federally-regulated railways, and those providing services to railways, with guidance in regard to the continued safe use of RCL. The guideline is informed by work conducted by Transport Canada from 2016-2018, which was presented to members of the Advisory Council on Railway Safety. TC examined areas such as qualification/training/experience, mitigating measures to reduce the risk of accidents or incidents, mainline operation, train speed and crew size. TC also conducted industry site visits (where operating procedures and training programs were observed), and reviewed Transportation Safety Board (TSB) occurrence data and United States regulatory requirements and guidance.

It is not the intent of the guideline to compare the safety of RCL and conventional switching approaches. Indeed, many of the recommendations found within the guideline would be equally applicable to either method of working. Building upon current industry best practices, the guideline recommends that railways take actions including establishing common standards to be implemented by all railway in two key areas: training and qualification of employees and RCL operation.

The guideline was circulated, in draft form, to members of the Advisory Council on Railway Safety in January 2019. A final version of the guideline is expected to be posted on Transport Canada's web site by March 31, 2019.

In the interim, Transport Canada will continue to oversee railway companies' compliance with existing training and qualification requirements through a combination of inspection activities and Safety Management System Audits. Of note, the Railway Safety Management System Regulations, 2015, includes requirements for companies to have processes for managing knowledge. It also requires that companies ensure that the employees conducting duties essential to safe railway operations have the necessary skills and qualifications. The knowledge management process was one of the components audited in 2017-18 for Canadian Pacific Railway, Canadian National Railway, and VIA Rail Canada. In response to audit findings, each railway submitted a corrective action plan.

Transport Canada shares the Transportation Safety Board's commitment to advancing the safety of Canada's transportation system and is committed to working with partners to further enhance the safety of Canada's railway system through improvements to the existing training and qualifications regime.

TC is developing policy options to update the regulatory framework to address the gaps identified in training and qualifications standards. In fall 2018, TC consulted with CP and CN representatives to better understand their training and qualifications regime. In spring/summer 2019, TC will conduct pre-consultations with stakeholders on a training and qualifications policy proposal. In 2020, TC plans to pre-publish the regulatory proposal in the Canada Gazette, Part I. The TSB supports the use of regulations to establish specific training and qualification standards for railway employees in safety-critical positions to ensure consistent application and use across the railway industry.

To further reduce risk, TC developed a draft guideline on the use of RCL systems in the rail industry. Based on the work conducted by TC between 2016 and 2018, this guideline promotes industry best practices and provides guidance with respect to the safe use of RCL. The guideline recommends that railways take actions including establishing and implementing common standards in the training and qualification of employees and in RCL operation. In January 2019, the draft guideline was circulated to members of the Advisory Council on Railway Safety. A final version of the guideline is expected to be published in April 2019.

In the interim, TC continued its oversight of railway companies relating to compliance with existing training and qualification requirements through inspection activities and SMS audits. In 2017-18, the knowledge management process was one of the SMS components audited for CP, CN and VIA. In response to the audit findings, each railway submitted a corrective action plan.

The Board is encouraged that TC is actively working in a number of areas to address the gaps in the training and qualifications regime, including the initial work to develop the regulatory proposal. The Board considers the response to Recommendation R18-02 to show Satisfactory Intent.

The RAC reiterates the response provided previously. The new SMS 2015 Regulations (Section 25 to 27) includes requirements for Managing Knowledge for employees whose duties are essential to safe railway operations; as well as others who are authorized by the railway company to access the railway and whose activities may affect the safety of railway operations. This includes knowledge of “any of the railway company’s procedures – including any procedure referred to in this Part – standards, instructions, bulletins or other internal documents that may affect railway safety and that the employee needs to know to carry out his or her duties safely.”

The regulation further requires railways to have a plan for ensuring that an employee has the skills, qualifications and knowledge; a method for verifying that an employee has the required skills, qualifications and the knowledge; a method for supervising an employee who performs any of the duties and a method for verifying that a person has the knowledge.

It is not necessary for the Railway Employee Qualification Standards Regulations to be updated or for regulations to prescribe the specific qualifications that TSB is describing as the performance based/continuous improvement nature of SMS ensures that companies are reviewing, improving and implementing programs that ensure employees have the necessary skills, qualification and knowledge. If the TSB or TC identify a specific topic that they believe needs to be addressed, it should be raised with the relevant railway company, so they can evaluate it and address it through SMS, if needed.

The Department continues work to improve its regulatory regime for railway employee qualification and training regime. Transport Canada published in 2019 the Guideline for Remote Control Locomotive Operation. The guideline, which is available on the department’s website (https://www.tc.gc.ca/eng/railsafety/guideline-78.html), makes recommendations in the area of training and qualification for employees involved in remote control locomotive (RCL) operations.

More broadly, the Department’s objective is to ensure Canada’s federally-regulated railway companies have training programs that adequately train their employees for safe railway operations. To this end, the Department consulted with stakeholders, and conducted site visits to observe best practices with respect to training programs. In addition, the Transport Canada reviewed Transportation Safety Board (TSB) data on rail occurrences to better understand the role that the lack of training played in incidents and accidents as well as reviewing the regulatory regimes in the United States, Australia and E.U. on employee training.

During 2020, Transport Canada will begin consultations with stakeholders on policy options for amendments to the Railway Employee Qualification Standards Regulations, with draft regulations to follow sometime in 2020–21.

While this work is underway, Transport Canada will continue to oversee railway companies’ obligations with respect to training under the Railway Safety Management System Regulations, 2015.

In 2019, TC continued its work to improve the regulatory regime for railway employee qualifications and training. TC published the Guideline for Remote Control Locomotive Operation, which makes recommendations in the area of training and qualification for employees involved in remote control locomotive operations.

Other work in 2019 included consulting with stakeholders, and conducting site visits to observe best practices with respect to training programs. In addition, TC reviewed TSB’s rail occurrence data to better understand the role that the lack of training played in these occurrences. The regulatory regimes with respect to employee training in the United States, Australia and the European Union were also reviewed.

In 2020, TC will begin consultations with stakeholders on policy options for amendments to the Railway Employee Qualification Standards Regulations. It is expected that the preparation of draft amendments to the regulations will continue into 2020-21. While this work is underway, TC will continue to oversee railway companies’ obligations with respect to training under the Railway Safety Management System Regulations, 2015.

The Board considers the response to Recommendation R18-02 to show Satisfactory Intent.

The Railway Association of Canada (RAC) reiterates that the SMS 2015 Regulations (Section 25 to 27) include requirements for Managing Knowledge for employees whose duties are essential to safe railway operations; as well as others who are authorized by the railway company to access the railway and whose activities may affect the safety of railway operations. This includes knowledge of “any of the railway company’s procedures – including any procedure referred to in this Part – standards, instructions, bulletins or other internal documents that may affect railway safety and that the employee needs to know to carry out his or her duties safely.”

It is our opinion that it is not necessary for the Railway Employee Qualification Standards Regulations to be updated or for regulations to prescribe the specific qualifications that TSB is describing, as the performance based/continuous improvement nature of SMS ensures that companies are reviewing, improving and implementing programs that ensure employees have the necessary skills, qualification and knowledge.

Transport Canada (TC) continues its work to improve its regulatory regime for railway employee qualification and training regime. The department is in the process of identifying amendments to the Railway Employee Qualification Standards Regulations to strengthen oversight requirements and address gaps related to training and experience of employees. Stakeholder consultations on proposed amendments to the Regulations will be launched by March 2021.

TC has also completed its initial round of 126 audits to ensure the safety management systems of railway companies meet the requirements of s. 25 of the Railway Safety Management System Regulation, 2015, and ensure there are sufficient processes in place to ensure employees have sufficient knowledge to perform their duties safely.

In 2020, TC continued its work to improve the regulatory regime for railway employee qualifications and training.

TC has completed its initial round of 126 audits of the SMS of all federally regulated railway companies. This included section 25 of the Railway Safety Management System Regulations, 2015 which is to ensure that there are sufficient processes in place allowing employees to have sufficient knowledge to perform their duties safely.

TC is in the process of identifying amendments to the Railway Employee Qualification Standards Regulations that are aimed at strengthening oversight requirements and address gaps related to training and experience of employees. Stakeholder consultations on the proposed amendments to the regulations are planned for March 2021.

The Board looks forward to a briefing from TC on the proposed changes to the Railway Employee Qualification Standards Regulations that will address the gaps for railway employees in safety-critical positions related to training, qualification and re-qualification standards, and regulatory oversight.

The Board considers the response to Recommendation R18-02 to show Satisfactory Intent.

The Railway Association of Canada (RAC) reiterates that the SMS 2015 Regulations (Section 25 to 27) include requirements for Managing Knowledge for employees whose duties are essential to safe railway operations; as well as others who are authorized by the railway company to access the railway and whose activities may affect the safety of railway operations. This includes knowledge of “any of the railway company’s procedures – including any procedure referred to in this Part – standards, instructions, bulletins or other internal documents that may affect railway safety and that the employee needs to know to carry out his or her duties safely.”

It is our opinion that it is not necessary for the Railway Employee Qualification Standards Regulations to be updated or for regulations to prescribe the specific qualifications that TSB is describing, as the performance based/continuous improvement nature of SMS ensures that companies are reviewing, improving and implementing programs that ensure employees have the necessary skills, qualification and knowledge.

However, the RAC and the railway industry are prepared to consult on any proposed amendments to the Railway Employee Qualification Standards Regulations if and when engaged by Transport Canada to do so.

Transport Canada is committed to full implementation of this recommendation, and continues to move forward with updating the regulatory regime for railway employee training and qualification. Taking into account recommendations made by the TSB in Recommendation Report 18-02 and an extensive review of observations and findings from TSB investigation reports, the department developed a consultation paper for updating the training and qualification regime under the Railway Employee Qualification Standards Regulations. The department launched formal consultations on November 16, 2021, with the discussion paper posted on the department’s website for a 60-day consultation period. During this period, the department will also engage in targeted consultations with stakeholders.

Progress in this area has accounted for landmark reports on rail safety in Canada, such as the February 2021 Auditor General’s follow-up audit on rail safety oversight, as well as from Transport Canada inspections and audits. Drawing on these findings, the department has prepared proposed regulatory changes aligned with the TSB’s recommendations and findings, including with respect to safety-critical positions related to training, qualification and recertification standards, regulatory oversight, crew resource management, and on-the-job training.

To minimize risk associated with training and qualification of railway employees, TC continues to monitor railway employees skills and knowledge through ongoing inspections and audits under the Railway Safety Management System Regulations, 2015. In response to the March 2021 Office of the Auditor General audit on rail safety oversight, Transport Canada has taken action to implement the Auditor General’s recommendations, including moving forward with assessing effectiveness of companies’ safety management systems and making improvements to data management to ensure audit results are included in risk-based planning oversight activities.

In practice, these improvements are being implemented as part of the department’s oversight regime for safety management systems. For example, during the 2020-21 fiscal year, 14 targeted safety management system audits were completed, specifically looking at how railway companies are managing the identification of safety concerns, ensuring compliance with the Rules Respecting Track Safety and managing knowledge of track employees. In September 2021, Transport Canada launched its initial round of safety management systems effectiveness audits, which help ensure there are effective processes in place to support employees with sufficient knowledge to perform their duties safely.

In 2021, TC continued its work to update the regulatory regime for railway employee qualifications and training.

TC continues to monitor the skills and knowledge of railway employees through ongoing inspections and audits under the Railway Safety Management System Regulations, 2015. During the 2020-2021 fiscal year, TC performed 14 targeted SMS audits that included managing the knowledge of track employees.

In September 2021, TC launched its initial round of SMS effectiveness audits, which help ensure that effective processes are in place to support employees with sufficient knowledge to perform their duties safely.

On 16 November 2021, TC launched formal consultations by publishing a discussion paper for updating the training and qualification regime under the Railway Employee Qualification Standards Regulations. The Board notes that, pending the results of these consultations, publication of the regulatory proposal in the Canada Gazette, Part I is planned for spring 2022.

The Board looks forward to a briefing from TC on the proposed changes to the Railway Employee Qualification Standards Regulations based on the results of the formal consultations that will address the gaps for railway employees in safety-critical positions related to training, qualification and re-qualification standards, and regulatory oversight.

The Board considers the response to Recommendation R18-02 to show Satisfactory Intent.

Transport Canada (TC) is continuing to advance the modernization of the Railway Employee Qualification Standards Regulations (REQSR) to address gaps identified by the Transportation Safety Board through this recommendation.^{Footnote 2}

Industry and other stakeholders responded to TC’s request for comments on a REQSR discussion paper, which was posted on the department’s website from November 17, 2021 to January 17, 2022. A summary of these comments was published in February, 2022 and is available on TC’s “Let’s Talk Transportation” website.

In addition to these comments, TC’s work continues to be informed by the findings of Transport Canada inspections and audits and by the findings of TSB investigations, such as the TSB investigation report R19W0002, which highlights the benefits that Crew Resource Management (CRM) training could have on Canadian railway employees.

The proposed changes to the REQSR will namely address the following:

• Setting minimum requirements for various types of training (including initial training, Crew Resource Management (CRM), simulator, on-the-job, territory familiarization, continuing, recertification and return-to-duty training), examinations, and evaluations;
• Reviewing the scope of employees to whom the REQSR apply;
• Concerns related to the pairing of railway employees with limited experience; and
• Including requirements for the evaluation of the effectiveness of a company’s training program.

In order to mitigate the risks prior to the publication of the revised regulations, TC continues to take meaningful actions such as:

• Monitoring railway employee skills and knowledge through ongoing inspections and audits.
• Developing a best practice document for CRM in the rail industry for publication by May 2023.

These regulatory changes, which take into account technological advancements in the industry and TSB recommendations, will strengthen the current federal railway employee training regime. TC is currently targeting pre-publication in the Canada Gazette Part I in late 2023.

As per the update provided November, 2021, the Railway Association of Canada (RAC) reiterates that the SMS 2015 Regulations (Section 25 to 27) include requirements for Managing Knowledge for employees whose duties are essential to safe railway operations; as well as others who are authorized by the railway company to access the railway and whose activities may affect the safety of railway operations. This includes knowledge of “any of the railway company’s procedures – including any procedure referred to in this Part – standards, instructions, bulletins or other internal documents that may affect railway safety and that the employee needs to know to carry out his or her duties safely.”

It is our opinion that it is not necessary for the Railway Employee Qualification Standards Regulations to be updated or for regulations to prescribe the specific qualifications that TSB is describing, as the performance based/continuous improvement nature of SMS ensures that companies are reviewing, improving and implementing programs that ensure employees have the necessary skills, qualification and knowledge.

In late 2021, Transport Canada published a discussion paper outlining a proposed approach to modernizing the Railway Employee Qualification Standards Regulations (REQ). The RAC submitted comments to the discussion paper.

Transport Canada (TC) is continuing to advance the modernization of the Railway Employee Qualification Standards Regulations (REQSR). It posted on its website (from 17 November 2021 to 17 January 2022) a discussion paper on REQSR and, in February 2022, it published a summary of comments on the discussion paper received from industry and other stakeholders.

TC is targeting pre-publication of the proposed changes to the REQSR in the Canada Gazette, Part I in late 2023. To mitigate the risks before the publication of the revised regulations, TC is monitoring railway employee skills and knowledge through ongoing inspections and audits, and it is developing a best practice document for crew resource management in the rail industry.

The Board acknowledges and is encouraged by the progress made by TC towards modernizing the REQSR. However, until the TSB has the opportunity to review the revised REQSR and the timelines for their implementation, the Board considers the response to Recommendation R18-02 to show Satisfactory Intent.