Canadian Aviation Regulations (SOR/96-433)

700.207 Despite subsection 700.200(3), the initial exemption ceases to apply in respect of a flight if the analysis referred to in paragraph 700.200(1)(c) or (2)(c) does not show any progress in the development of the operator’s safety case.

[700.208 to 700.212 reserved]

Fatigue Risk Management System — Establishment and Implementation

• 700.213 (1) An air operator shall establish and implement a fatigue risk management system.

• (2) The operations manager appointed under paragraph 700.09(1)(a) shall ensure that the fatigue risk management system complies with the requirements of this Division.

• (3) The operations manager shall, when a finding resulting from the quality assurance program for the fatigue risk management system referred to in section 700.219 is reported to them,

  • (a) determine what, if any, corrective actions are required and take those actions; and

  • (b) notify the accountable executive of any systemic deficiency and of the corrective action taken.

• (4) The operations manager may assign the management functions for the fatigue risk management system to another person.

• (5) The responsibility of the operations manager is not affected by the assignment of management functions to another person under subsection (4).

• (6) If the operations manager assigns the management functions for the fatigue risk management system to another person under subsection (4), that other person shall report to the operations manager the fatigue-related hazards, risks and incidents identified under the fatigue risk management system.

Fatigue Risk Management System — Components

• 700.214 (1) An air operator shall have a fatigue risk management system that includes

  • (a) a fatigue risk management plan;

  • (b) a fatigue risk management process;

  • (c) a program for fatigue risk management promotion; and

  • (d) a quality assurance program for the fatigue risk management system.

• (2) The air operator shall take into account, when establishing the fatigue risk management system, all of the duties performed in the operations of the air operator by flight crew members who are assigned duties on a flight that is the subject of an exemption under this Division.

• (3) The air operator shall update its fatigue risk management system if

  • (a) there is a change in the size and scope of its operations;

  • (b) any action is taken as a result of an audit of the fatigue risk management system conducted under subsection 700.231(1) or section 700.247;

  • (c) the air operator’s validation of the safety case in accordance with subsection 700.225(3) establishes that there is an increase in the level of fatigue or a decrease in the level of alertness of flight crew members; or

  • (d) a data analysis conducted in accordance with the process referred to in subsection 700.216(2) indicates that flight crew members are subject to an increase in their level of fatigue or a decrease in their level of alertness.

Fatigue Risk Management Plan

700.215 The air operator’s fatigue risk management plan shall include

• (a) a fatigue risk management policy — signed by the accountable executive — that establishes the shared responsibility of the air operator and flight crew members in managing fatigue;

• (b) safety objectives, including the identification and reduction of fatigue-related hazards and the effective management of fatigue in flight operations;

• (c) safety performance indicators to measure the attainment of the safety objectives;

• (d) defined responsibilities in relation to fatigue management for

  • (i) the air operator’s managers,

  • (ii) the persons managing the fatigue risk management system, and

  • (iii) other employees;

• (e) a training plan that identifies the content of the initial and annual training;

• (f) a plan for communicating the information referred to in paragraphs 700.218(4)(a) to (f) to flight crew members; and

• (g) a policy for the internal reporting of fatigue by flight crew members, without fear of reprisal.

Fatigue Risk Management Process

• 700.216 (1) The air operator’s fatigue risk management process shall include procedures for

  • (a) the internal reporting of fatigue by flight crew members;

  • (b) acknowledging in writing, to flight crew members, receipt of each fatigue report and advising of any follow-up action;

  • (c) collecting information to identify fatigue-related hazards, including

    • (i) flight crew member performance data,

    • (ii) accident and incident information,

    • (iii) data from work schedules,

    • (iv) data from comparisons of planned schedules in relation to time worked, and

    • (v) data from a review of operational or administrative duties;

  • (d) developing a list of the safety data and scientific studies used in support of the processes that form part of the fatigue risk management system;

  • (e) managing the data and information referred to in this subsection;

  • (f) identifying and assessing the levels of fatigue and alertness through modelling with respect to flight crew members’ schedules; and

  • (g) analyzing planned schedules in relation to time worked in order to assess whether fatigue is being managed.

• (2) The air operator’s fatigue risk assessment process shall be based on the information referred to in subsection (1) and shall include procedures for

  • (a) identifying the cause of fatigue-related hazards;

  • (b) assessing the likelihood that a fatigue-related event will occur and the severity of its consequences;

  • (c) identifying and prioritizing the risks that need to be managed;

  • (d) creating and updating a record of the risks that are identified;

  • (e) determining the actions to be taken to manage the risks referred to in paragraph (c), including the preventive measures or corrective actions; and

  • (f) developing safety performance indicators to measure the effectiveness of the measures and actions taken under paragraph (e).

Collaboration with Employees

700.217 The air operator shall have a process to collaborate with employees in the development of the policy and procedure for the internal reporting of fatigue.

Fatigue Risk Management Promotion

• 700.218 (1) In the case of an air operator to whom sections 700.20 to 700.72 or 700.101 to 700.135 apply, its program for fatigue risk management promotion shall include training for its employees on the following subjects:

  • (a) the components and functioning of the fatigue risk management system and the employees’ responsibilities with respect to the system;

  • (b) the actions to be taken with respect to fatigue-related risks; and

  • (c) the requirements of these Regulations with respect to fatigue management.

• (2) In the case of an air operator to whom sections 702.91 to 702.98 apply, its program for fatigue risk management promotion shall include training for its employees on the following subjects:

  • (a) the components and functioning of the fatigue risk management system and the employees’ responsibilities with respect to the system;

  • (b) the actions to be taken with respect to fatigue-related risks;

  • (c) the requirements of these Regulations with respect to fatigue management;

  • (d) personal fatigue management strategies relating to

    • (i) sleep hygiene,

    • (ii) lifestyle, exercise and diet, and

    • (iii) the consumption of alcohol and drugs;

  • (e) the impact of fatigue on aviation safety;

  • (f) sleep requirements and the science relating to fatigue;

  • (g) the causes and consequences of fatigue;

  • (h) how to recognize fatigue in themselves and in others;

  • (i) sleep disorders, their impact on aviation safety and treatment options; and

  • (j) human and organizational factors that may cause fatigue, including

    • (i) sleep quality and duration,

    • (ii) the effect of shift work and overtime,

    • (iii) the circadian rhythm, and

    • (iv) the effects of changes of time zones.

• (3) The programs set out in subsections (1) and (2) shall include

  • (a) competency-based training for persons who have been assigned duties in respect of the fatigue risk management system; and

  • (b) means of measuring the level of competency attained by each person who receives the training.

• (4) For the purposes of promoting fatigue risk management, an air operator shall have a procedure for communicating the following information to its employees:

  • (a) industry reports on fatigue;

  • (b) industry best practices in respect of fatigue risk management;

  • (c) advancements in the science relating to fatigue;

  • (d) the results of the data analysis conducted in accordance with the process referred to in subsection 700.216(2);

  • (e) updates to the fatigue risk management system; and

  • (f) the results of the review of the fatigue risk management system.

Quality Assurance Program for the Fatigue Risk Management System

• 700.219 (1) The air operator’s quality assurance program for the fatigue risk management system shall include a process for the audit of the fatigue risk management system that includes procedures for

  • (a) auditing the extent to which the air operator has implemented its fatigue risk management system, including

    • (i) a checklist setting out all of the components of the air operator’s fatigue risk management system that are to be audited, and

    • (ii) a plan establishing the frequency of the audits and the manner in which they will be conducted;

  • (b) auditing the fatigue risk management system in the event of an accident or incident;

  • (c) analyzing the findings of the audit and determining the contributing factors of those findings;

  • (d) developing, implementing and monitoring preventive measures and corrective actions to address the findings of the audit; and

  • (e) keeping and updating records, including the findings of the audit, the preventive measures and corrective actions to address those findings and any follow-up taken in respect of those measures and actions.

• (2) The air operator’s process for the periodic review of the effectiveness of its fatigue risk management system shall include procedures for the assessment of

  • (a) the fatigue risk management process;

  • (b) the reliability of the safety performance indicators; and

  • (c) the attainment of the safety objectives.

• (3) An air operator shall have procedures for the ongoing monitoring of the effect of the variance described in the notice of intent on the flight crew members’ levels of fatigue and alertness.

[700.220 to 700.224 reserved]

Safety Case

• 700.225 (1) The air operator shall ensure that a safety case is established in respect of a flight subject to an exemption referred to in section 700.200 to demonstrate that the variance described in the notice of intent does not increase the level of fatigue or decrease the level of alertness of the flight crew members.

• (2) The safety case shall consist of

  • (a) a description of the flight in respect of which an exemption set out in section 700.200 applies;

  • (b) the provisions of these Regulations from which the air operator and flight crew members are exempt;

  • (c) a description of the manner in which the flight is conducted results in a variance from the requirements of the provisions referred to in paragraph (b);

  • (d) the data collection methodology and data used initially to establish, in respect of the flight, the baseline levels of fatigue and alertness of the flight crew members and to identify fatigue-related hazards and risks;

  • (e) the data collection methods used to evaluate the safety case on an ongoing basis;

  • (f) the scientific studies used to demonstrate that the variance referred to in paragraph (c) is not likely to have an adverse effect on the flight crew members’ levels of fatigue and alertness;

  • (g) an analysis of the effect of the variance on the levels of fatigue and alertness of flight crew members that takes into account the flight crew members’ schedule before and after the flight in respect of which the exemption applies and the findings of the fatigue risk assessment;

  • (h) the fatigue risk controls that are implemented to address the findings of the risk assessment;

  • (i) procedures to measure the effect of the variance on the levels of fatigue and alertness of the flight crew members;

  • (j) the preventive measures or corrective actions that are taken to remedy any adverse effect of the variance on the levels of fatigue and alertness of the flight crew members; and

  • (k) the means that will be used to monitor the effectiveness of the fatigue risk management system in managing the safety case.

• (3) A safety case is validated when the following conditions are met:

  • (a) fatigue and alertness data have been collected during a period of not less than one year and not more than two years starting on the day on which the flight is first conducted under an exemption referred to in section 700.200, for not less than 20 consecutive flights identified in the notice of intent, and the data shows that not more than 5% of those flights have an adverse effect of more than 5% on the baseline levels of fatigue and alertness of the flight crew members determined by means of the methodology described in paragraph (2)(d);

  • (b) the fatigue risk assessment has been conducted and the findings of the assessment have been analyzed;

  • (c) mitigation measures have been implemented to manage the hazards and risks related to the variance to remedy increases in the level of fatigue and decreases in the level of alertness of flight crew members;

  • (d) the mitigation measures have been monitored to determine their effect on the flight crew members’ levels of fatigue and alertness;

  • (e) corrective actions have been taken if the mitigation measures monitored under paragraph (d) do not achieve the desired effect on the flight crew members’ levels of fatigue and alertness; and

  • (f) the effectiveness of the mitigation measures and, if applicable, the corrective actions in maintaining the established levels of fatigue and alertness of the flight crew members is shown.