Railway Safety Management System Regulations, 2015 (SOR/2015-26)

Interpretation

Marginal note:Definitions

1 The following definitions apply in these Regulations.

accountable executive

accountable executive means the executive referred to in subsection 8(1) or 43(1), as the case may be. (gestionnaire supérieur responsable)

Act

Act means the Railway Safety Act. (Loi)

dangerous goods

dangerous goods has the meaning assigned in section 2 of the Transportation of Dangerous Goods Act, 1992. (marchandises dangereuses)

main track

main track means a line of railway on which the movement of railway equipment is authorized by a railway company. (voie ferrée principale)

non-main track

non-main track means a line of railway other than a main track. (voie ferrée non principale)

railway occurrence

railway occurrence means a railway occurrence that is reportable under section 5 of the Transportation Safety Board Regulations. (accident ferroviaire)

Overview

Marginal note:Purpose

2 These Regulations establish the minimum requirements with respect to the safety management system that a company must develop and implement for the purpose of achieving the highest level of safety in its railway operations.

Marginal note:Organization — Parts

• 3 (1) These Regulations are divided into three Parts:

  • (a) Part 1 sets out the requirements applicable to a railway company with respect to its safety management system and with respect to record-keeping, notification and filing of information;

  • (b) Part 2 sets out

    • (i) in Division 1, the requirements applicable to a local railway company that operates railway equipment on main track with respect to its safety management system and with respect to record-keeping, notification and filing of information, and

    • (ii) in Division 2, the requirements applicable to a local railway company that operates railway equipment exclusively on non-main track with respect to its safety management system and with respect to record-keeping, notification and filing of information; and

  • (c) Part 3 makes consequential amendments to the Railway Operating Certificate Regulations, repeals the Railway Safety Management System Regulations and sets out the date on which these Regulations come into force.

• Marginal note:Organization — processes

  (2) The safety management system requirements set out in Parts 1 and 2 are organized into key processes that group together related requirements, including, in most instances, the requirement that a company develop and implement

  • (a) procedures that establish a step-by-step sequence of activities for dealing with certain matters;

  • (b) methods that are not necessarily a step-by-step sequence of activities, but that establish the manner in which certain evaluation, verification or supervisory activities are to be carried out; or

  • (c) plans that establish the proposed time for carrying out certain activities with respect to the consultation and knowledge management requirements, and the proposed manner in which those activities are to be carried out.

PART 1Railway Companies

Application

Marginal note:Railway company

• 4 (1) This Part applies to a railway company.

• Marginal note:Delayed application

  (2) In the case of a railway company that begins railway operations after the day on which these Regulations come into force, sections 21 to 23 do not apply until the day that is six months after the day on which the railway company begins railway operations.

Safety Management System

Processes, Procedures, Plans and Methods

Marginal note:Processes

5 A railway company must develop and implement a safety management system that includes

• (a) a process for accountability;

• (b) a process with respect to a safety policy;

• (c) a process for ensuring compliance with regulations, rules and other instruments;

• (d) a process for managing railway occurrences;

• (e) a process for identifying safety concerns;

• (f) a risk assessment process;

• (g) a process for implementing and evaluating remedial action;

• (h) a process for establishing targets and developing initiatives;

• (i) a process for reporting contraventions and safety hazards;

• (j) a process for managing knowledge;

• (k) a process with respect to scheduling; and

• (l) a process for continual improvement of the safety management system.

Marginal note:Index

• 6 (1) A railway company must keep an up-to-date index of all the processes referred to in section 5 that it has implemented.

• Marginal note:Content of index

  (2) The index must indicate the date of the last revision of the railway company’s safety policy and must indicate, for each process,

  • (a) the management position occupied by a person designated under subsection 8(4), if applicable;

  • (b) the procedures, plans and methods required by this Part that are associated with the process, and the date of their last revision; and

  • (c) the position in the railway company that has responsibility for the development and implementation of the procedures, plans and methods.

Marginal note:Procedures, plans and methods

7 Every procedure, plan and method required by this Part must be in writing and must indicate the date of its last revision.

Process for Accountability — Accountable Executive

Marginal note:Designation of executive

• 8 (1) A railway company must designate an executive who is responsible for the operations and activities of the railway company to be accountable for the extent to which the requirements of the safety management system are met, including its effectiveness in achieving the highest level of safety in its railway operations.

• Marginal note:Notice to Minister

  (2) The railway company must provide the Minister with the name of the accountable executive as soon as possible after he or she has been designated.

• Marginal note:Declaration to the Minister

  (3) The railway company must ensure that, within 30 days after the day on which it designates an accountable executive, the accountable executive provides the Minister with a signed declaration accepting accountability for the extent to which the requirements of the safety management system have been met.

• Marginal note:Designation of managers

  (4) The railway company may, in its safety management system, permit the accountable executive to designate one or more persons to develop and implement one or more of the processes required by this Part. A designated person must occupy a management position within the railway company that includes responsibilities relevant to the process or processes and the authority to make decisions with respect to that process or those processes.

• Marginal note:Annual update

  (5) If the accountable executive designates a person under subsection (4), the accountable executive must ensure that the person reports to him or her, on an annual basis, with respect to

  • (a) any problems following the procedures or implementing the plans and methods, and the manner in which those problems have been or are being resolved or, if applicable, the reasons why they have not been or are not being resolved; and

  • (b) the effectiveness of the procedures, plans and methods in contributing to the improvement of the safety of the railway company’s operations.

Process with Respect to a Safety Policy

Marginal note:Safety policy

• 9 (1) A railway company must include, in its safety management system, a written safety policy that reflects the railway company’s commitment to promoting railway safety. The policy must be approved and signed by the accountable executive.

• Marginal note:Annual review

  (2) The railway company must ensure that its safety policy is reviewed annually.

• Marginal note:Communication

  (3) The railway company must communicate its safety policy, and any changes to the policy, to its employees.

Process for Ensuring Compliance with Regulations, Rules and Other Instruments

Marginal note:List of instruments

• 10 (1) A railway company must include, in its safety management system, a list of the following instruments relating to railway safety:

  • (a) any regulations made under the Act that apply to the railway company and that are in force;

  • (b) any engineering standards approved by the Minister under section 7 of the Act or established by the Minister under subsection 19(7) of the Act that apply to the railway company and that are in effect;

  • (c) any rules approved or established by the Minister under section 19 of the Act that apply to the railway company and that are in force;

  • (d) any exemptions granted under section 22 or 22.1 of the Act that apply to the railway company and that are in effect;

  • (e) any notices sent to the railway company under section 31 of the Act that contain an order and that are in effect; and

  • (f) any documents in effect by which the Minister has ordered the railway company to do or to not do something, including a ministerial order issued under section 32 of the Act and an emergency directive sent under section 33 of the Act.

• Marginal note:Date and subject matter

  (2) The list of instruments must include

  • (a) in the case of an engineering standard or a rule, the date on which it was approved or established; and

  • (b) in the case of an exemption, a notice, or a document referred to in paragraph (1)(f), the date and subject matter.

• Marginal note:Update

  (3) The railway company must keep the list of instruments up to date and must indicate the date of its last revision.

Marginal note:Procedure

11 A railway company must include, in its safety management system, a procedure for

• (a) reviewing and updating the list of instruments referred to in subsection 10(1); and

• (b) verifying compliance with

  • (i) the requirements of the regulations, engineering standards, rules, and notices and documents containing an order, that are referred to in the list of instruments, and

  • (ii) the terms of the exemptions referred to in the list of instruments.

Process for Managing Railway Occurrences

Marginal note:Procedure

• 12 (1) A railway company must include, in its safety management system, a procedure for

  • (a) reporting a railway occurrence to the railway company’s management; and

  • (b) reviewing a railway occurrence.

• Marginal note:Communication

  (2) The railway company must communicate to its employees the procedure for reporting railway occurrences.

Process for Identifying Safety Concerns

Marginal note:Analyses

13 A railway company must, on a continual basis, conduct analyses of its railway operations to identify safety concerns, including any trends, any emerging trends or any repetitive situations. The analyses must, at a minimum, be based on

• (a) any reports of railway occurrences;

• (b) any internal documentation relating to railway occurrences;

• (c) any reports of injuries;

• (d) the results of any inspections conducted by the railway company or by a railway safety inspector;

• (e) any reports of contraventions or safety hazards that are received by the railway company from its employees;

• (f) any complaints relating to safety that are received by the railway company;

• (g) any data from safety monitoring technologies;

• (h) the conclusions of the annual report referred to in subsection 29(3); and

• (i) the findings of any audit reports.

Marginal note:Procedure

14 A railway company must include, in its safety management system, a procedure for conducting the analyses referred to in section 13.

Risk Assessment Process

Marginal note:Risk assessment

• 15 (1) A railway company must conduct a risk assessment in the following circumstances:

  • (a) when it identifies a safety concern in its railway operations as a result of the analyses conducted under section 13;

  • (b) when it proposes to begin transporting dangerous goods, or to begin transporting dangerous goods different from those it already transports; or

  • (c) when a proposed change to its railway operations, including a change set out below, may affect the safety of the public or personnel or the protection of property or the environment:

    • (i) the introduction or elimination of a technology, or a change to a technology,

    • (ii) the addition or elimination of a railway work, or a change to a railway work,

    • (iii) an increase in the volume of dangerous goods it transports,

    • (iv) a change to the route on which dangerous goods are transported, or

    • (v) a change affecting personnel, including an increase or decrease in the number of employees or a change in their responsibilities or duties.

• Marginal note:Components

  (2) The risk assessment must

  • (a) describe the circumstances that triggered the requirement to conduct the risk assessment;

  • (b) identify and describe the risks associated with those circumstances;

  • (c) identify the factors taken into account in the risk assessment, including the persons who may be affected and whether property or the environment is affected;

  • (d) indicate, for each risk, the likelihood that the risk will occur and the severity of its consequences;

  • (e) identify the risks that require remedial action; and

  • (f) identify the remedial action for each of those risks.

Marginal note:Consultation

• 16 (1) When identifying the risks that require remedial action and the remedial action to be implemented, a railway company must consult with the bargaining agents representing the employees of the railway company who are affected by any of those risks or, if there is no bargaining agent, with

  • (a) the employees of the railway company who are affected by any of those risks; or

  • (b) a representative selected by the employees of the railway company.

• Marginal note:Communication

  (2) The railway company must communicate the risks identified as requiring remedial action, and the remedial action to be implemented, to the employees of the railway company who are affected by any of the circumstances referred to in subsection 15(1).