TSB Guidelines Regarding the Reporting of Railway Occurrences

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1 TSB Guidelines Regarding the Reporting of Railway Occurrences Background The Canadian Transportation Accident Investigation and Safety Board (CTAISB), more commonly referred to as The Transportation Safety Board of Canada (TSB), is governed by the CTAISB Act (the Act) and the TSB Regulations (the Regulations). A copy of both documents can be found on the TSB website at The Act and the Regulations outline the requirements for reporting transportation occurrences to the TSB and apply to all federally regulated railways including local railway companies 1 that fall directly under the authority of the Railway Safety Act when operating on federally-regulated railway lines. In addition, the Act also provides for the Board to enter into agreements with the provinces to conduct investigations into transportation occurrences (accidents, incidents and unsafe situations or conditions) involving railways that are within the legislative authority of the province. Some provinces currently require railways under their jurisdiction to report occurrences as per the TSB regulations. However, the increasing number of railways in the various jurisdictions throughout Canada has made it necessary to clarify the TSB reporting requirements and provide a better understanding of what is reportable, particularly for minor accidents. This guideline was prepared to help employees who are tasked with reporting railway occurrences. It is intended to be a useful document for both provincial railway regulators, and for the wider audience of all Canadian railways. The guideline provides an interpretation of the Regulations. In the event of a discrepancy, the Regulations will prevail. Users should refer to the Regulations to view the exact wording. Improved and more consistent reporting would provide better harmonization in the overall data collection process and the further advancement of transportation safety. Should further guidance be required, the TSB s will update or modify this document. 1 A provincially-regulated railway company or light-rail commuter service which operates on a federally-regulated railway line.

2 -2- Definitions Railway The definition of railway is found in Section 2 of the Act, where it states: railway includes all branches, extensions, sidings, yards, stations, depots, wharfs, equipment stores, signals, control systems, railway bridges, tunnels and other property, railway related structures and facilities, and works connected therewith." The broad scope of this definition includes industrial tracks and sidings. Rolling Stock The definition of rolling stock is also found in Section 2 of the Act, where it states: Rolling Stock means every description of car or other railway equipment that is designed for movement on its wheels along a line of railway and, without limiting the generality of the foregoing, includes any locomotive, engine, track motor car, tender, snow-plough, flanger, and railway crane that is so designed. Serious Injury The definition of a serious Injury is found in Section 1 of the Regulations, where it states: Serious injury means (a) a fracture of any bone, except simple fractures of fingers, toes or the nose; (b) lacerations that cause severe hemorrhage or nerve, muscle or tendon damage; (c) an injury to an internal organ; (d) second or third degree burns, or any burns affecting more than 5% of the body surface; (e) a verified exposure to infectious substances or injurious radiation; or (f) an injury that is likely to require hospitalization. Collision Section 5 (6) of the TSB Regulations states that collision means an impact, other than an impact associated with normal operating circumstances, between (a) rolling stock; (b) rolling stock and a person or vehicle; or (c) rolling stock and an object or animal, if the rolling stock is damaged or derailed. Derailment Section 5 (6) of the TSB Regulations states that derailment means any instance where one or more wheels of rolling stock have come off the normal running surface of the rail... This is consistent with the Association of American Railroads (AAR) Interchange Manual which defines a derailment as anytime the wheels of a car or engine come off the head of the rail. Rules - means the Canadian Rail Operating Rules, as amended from time to time and approved by the Minister of Transport in accordance with subsection 19(1) of the Railway Safety Act. Main Track - has the same meaning as that listed in the Rules. Risk of Collision - means a situation in which rolling stock comes so close to being involved in a collision that a threat to the safety of any person, property or the environment exists. Subdivision Track - has the same meaning as in the Rules.

3 -3- TSB Regulations Reportable Railway Occurrence Railway occurrences means any accident or incident associated with the operation of rolling stock; or any situation or condition that, if left unattended, may induce an accident or incident. Railway Occurrences that are reportable to the TSB are detailed in section 5 of the regulations. They include those occurrences during which: (a) a person is killed or sustains a serious injury as a result of (i) getting on or off or being on board the rolling stock, or (ii) coming into contact with any part of the rolling stock or its contents; (b) the rolling stock or its contents (i) are involved in a collision or derailment, (ii) sustain damage that affects the safe operation of the rolling stock, (iii) cause or sustain a fire or explosion, or (iv) cause damage to the railway that poses a threat to the safe passage of rolling stock or to the safety of any person, property or the environment; (c) a risk of collision occurs between rolling stock; (d) an unprotected main track switch or subdivision track switch is left in an abnormal position; (e) a railway signal displays a less restrictive indication than that required for the intended movement of rolling stock; (f) rolling stock occupies a main track or subdivision track, or track work takes place, in contravention of the Rules or any regulations made under the Railway Safety Act; (g) rolling stock passes a signal indicating stop in contravention of the Rules or any regulations made under the Railway Safety Act; (h) there is an unplanned and uncontrolled movement of rolling stock; (i) a crew member whose duties are directly related to the safe operation of the rolling stock is unable to perform their duties as a result of a physical incapacitation which poses a threat to the safety of persons, property or the environment; or (j) there is an accidental release on board or from a rolling stock consisting of a quantity of dangerous goods or an emission of radiation that is greater than the quantity or emission level specified in Part 8 of the Transportation of Dangerous Goods Regulations. Interpretation of Damage If damage to rolling stock occurs as a result of a derailment or collision, it is automatically reportable to the TSB in accordance with Section 5(b)(i). The following interpretation is provided as guidance to section 5(b)(ii) & 5(b)(iv) from the regulations as listed above. Regarding Section 5(b)(ii), damage to the rolling stock that occurs during its operation, but without a derailment or collision, is reportable to the TSB if it affects the rolling stock s safe operation. A non-exhaustive list of damaged components could include: - safety appliances; - axles; - wheels; - burnt off roller bearings;

4 -4- - truck side frames & bolsters - any other component which affects the safe operation of the rolling stock. Regarding Section 5(b)(iv), the track is considered to pose a threat to the safe passage of rolling stock if it must be taken out of service, restricted in any manner (other than precautionary restrictions to allow for inspection) or if it requires components to be changed, repaired or adjusted to put it back in compliance with the Track Safety Rules. If it occurs during the operation of rolling stock it is reportable to the TSB. The following is a non-exhaustive list of examples where damage to the track would be considered TSB reportable: - broken rail - rail rolled over - spread track - damage to switches, stop blocks, derails, fasteners or ties requiring repair, replacement or adjustment. Derailment involving track units and hi-rail equipment The following interpretation is provided as guidance when applying section 5(b)(i) of the regulations. Derailments involving track units and hi-rail equipment being operated in work mode and not resulting in injuries or damage to equipment, need not be reported to the TSB. Derailments involving track units and hi-rail equipment being operated in work mode and resulting in an injury and /or damage to equipment, must be reported to the TSB as per the current regulations. Derailments and collisions involving track units and hi-rail equipment being operated in travel mode must be reported to the TSB as per current regulations. These conditions will apply to only maintenance of way and hi-rail equipment and may be modified by the TSB at any time. Note: 1. All crossing accidents are reportable with or without injuries or fatalities. 2. Should the rolling stock sustain damage, the occurrence becomes TSB reportable even if repair or replacement work is performed at a later time, or at another location. 3. All derailments and collisions are reportable. The report must contain the following information: (a) the train s number, direction, tonnage, length and authorized speed; (b) the number of loaded cars and empty cars on each train and cut of cars; (c) the names of the operator of the rolling stock and the operator of the track; (d) the date and time of the occurrence; (e) the number of crew members, passengers and other persons involved in the occurrence and the number of those who were killed or sustained serious injuries as a result of the occurrence; (f) the number of rolling stock or intermodal platforms that are damaged or have derailed and their reporting marks; (g) for each rolling stock that is damaged or has derailed, whether the rolling stock is loaded, empty or contains residue; (h) for each damaged or derailed rolling stock a list of all the dangerous goods on board the rolling stock, including the shipping name or UN number of the dangerous goods; (i) if dangerous goods are released, (i) the shipping name or UN number of each dangerous good,

5 -5- (ii) the reporting marks of each rolling stock from which the dangerous goods were released, (iii) a brief description of each of the means of containment from which the dangerous goods were released, including the specification of the means of containment, (iv) a brief description of the condition of each of the means of containment from which the dangerous goods were released, (v) the quantity of the dangerous goods on board each rolling stock or in each means of containment prior to the occurrence, and (vi) the quantity of each dangerous good that is known or suspected to have been released; (j) the local weather conditions at the time of the occurrence and any climatic conditions such as snow, ice, wind, fog, dust and severe heat; (k) the location of the occurrence, including the mile, the subdivision and the track designation; (l) a description of the occurrence and the extent of any resulting damage to the environment and to the rolling stock, the railway and other property; (m) a description of any action taken or planned to protect persons, property and the environment, including any evacuation as a result of the occurrence; (n) the name and title of the person making the report and the phone number and address at which they can be reached; and (o) any information specific to the occurrence that the Board requires. The Keeping and Preservation of Evidence Section 8 of the TSB Regulations requires every person having possession of or control over evidence relating to a transportation occurrence to keep and preserve the evidence unless the Board provides otherwise. When necessary measures are taken to ensure the safety of any person, property or the environment, and these measures interfere with the preservation of evidence, to the extent possible in the circumstances and before those measures are undertaken, a record of the evidence must be made by the best means available, and the Board must be advised.

6 -6- Reporting The TSB is to be contacted as soon as possible by telephone with the available information. A follow-up report containing all outstanding information is to be sent as soon as practicable, and no later than by the end of the calendar month following the month of the occurrence. After receipt of a railway's initial telephone report, TSB Investigators will follow-up with the railway for any additional information required. All information is inputted into the Railway Occurrence Database System (RODS). The vast majority of required information is usually collected by railways for their own purposes. Contact Information 24-Hour Hotline for Reporting Railway/Pipeline Occurrences Collect calls are accepted Eastern Region (QC, NB, NS, NL) - (819) Central Region (ON, MB, SK) - (819) Western Region (AB, BC, YT, NT) - (819) Pour parler en français à un représentant, veuillez appeler la région de l Est address - RailNotifications@bst-tsb.gc.ca Fax number - (819) Penalties What if I don't report, or report falsely? Section 35 of the Act defines an offence and states in part that every person who knowingly gives false or misleading information, makes a report pursuant to section 31 that the person knows to be false or misleading or contravenes a provision of this Act or the regulations for which no punishment is specified is guilty of an offence or an indictable offence and may be liable to a summary conviction (fine), or a term of imprisonment not exceeding two years.