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

Marginal note:Procedure, plan and method

17 A railway company must include, in its safety management system,

• (a) a procedure for identifying the risks that require remedial action, taking into account, for each risk, the likelihood that the risk will occur and the severity of its consequences;

• (b) a plan for the consultation referred to in subsection 16(1); and

• (c) a method for evaluating the level of risk, taking into account the likelihood that a risk will occur and the severity of its consequences.

Process for Implementing and Evaluating Remedial Action

Marginal note:Remedial action — implementation

• 18 (1) A railway company must implement remedial action with respect to the risks that it has identified in its risk assessment as requiring remedial action.

• Marginal note:Remedial action — evaluation

  (2) The railway company must evaluate the effectiveness of the remedial action in reducing or eliminating the risks.

Marginal note:Consultation

19 When evaluating the effectiveness of remedial action with respect to a risk, a railway company must consult with the bargaining agents representing the employees of the railway company who are affected by the risk or, if there is no bargaining agent, with

• (a) the employees of the railway company who are affected by the risk; or

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

Marginal note:Procedures and plan

20 A railway company must include, in its safety management system,

• (a) a procedure for selecting the remedial action to be implemented;

• (b) a procedure for implementing the remedial action and evaluating its effectiveness; and

• (c) a plan for the consultation referred to in section 19.

Process for Establishing Targets and Developing Initiatives

Marginal note:Targets and initiatives

• 21 (1) A railway company must, for each calendar year,

  • (a) establish targets designed to improve the safety of its railway operations; and

  • (b) develop initiatives to achieve each target.

• Marginal note:Basis for establishing targets

  (2) The targets must be based on the analyses conducted under section 13 and must take into account the results of any previous analyses.

Marginal note:Details of initiatives

22 A railway company must include, in its safety management system, a written description of each initiative to be implemented in order to achieve each target and a written explanation of how the initiative will contribute to achieving that target.

Marginal note:Communication

23 A railway company must communicate to its employees the targets established and the initiatives to be implemented.

Process for Reporting Contraventions and Safety Hazards

Marginal note:Internal reporting

• 24 (1) A railway company must include, in its safety management system, a procedure for enabling its employees to report to the railway company, without fear of reprisal, a contravention of the Act or of any regulations, rules, certificates, orders or emergency directives made under the Act in relation to safety, or a safety hazard.

• Marginal note:Policy

  (2) The railway company must include, in its safety management system, a policy, in writing, for protecting its employees from reprisals for reporting a contravention or safety hazard.

• Marginal note:Collaboration

  (3) The railway company must develop the procedure and the policy in collaboration with the bargaining agents or, if there is no bargaining agent, with its employees or a representative selected by its employees.

• Marginal note:Communication

  (4) The railway company must communicate the procedure and the policy to its employees.

Process for Managing Knowledge

Marginal note:List

• 25 (1) A railway company must establish a list setting out

  • (a) the duties that are essential to safe railway operations;

  • (b) the positions in the railway company that have responsibility for the performance of each of those duties; and

  • (c) the skills and qualifications required to perform each of those duties safely.

• Marginal note:Employees — skills and qualifications

  (2) The railway company must ensure that an employee who performs any of the duties referred to in paragraph (1)(a) has the skills and qualifications referred to in paragraph (1)(c).

• Marginal note:Employees — knowledge

  (3) The railway company must ensure that an employee who performs any of the duties referred to in paragraph (1)(a) has knowledge of

  • (a) the requirements of the instruments referred to in subsection 10(1) that the employee needs to know to carry out his or her duties safely;

  • (b) any federal legislation that may affect railway safety and that the employee needs to know to carry out his or her duties safely; and

  • (c) 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.

Marginal note:Other persons

26 A railway company must ensure that any person, other than an employee, who is authorized by the railway company to access the railway and whose activities may affect the safety of railway operations has knowledge of

• (a) the requirements of the instruments referred to in subsection 10(1) that the person needs to know to carry out his or her activities safely;

• (b) any federal legislation that may affect railway safety and that the person needs to know to carry out his or her activities safely; and

• (c) 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 person needs to know to carry out his or her activities safely.

Marginal note:Plan and methods

27 A railway company must include, in its safety management system,

• (a) a plan for ensuring that an employee who performs any of the duties referred to in paragraph 25(1)(a) has the skills and qualifications referred to in paragraph 25(1)(c) and the knowledge referred to in subsection 25(3);

• (b) a method for verifying that an employee who performs any of the duties referred to in paragraph 25(1)(a) has the skills and qualifications referred to in paragraph 25(1)(c) and the knowledge referred to in subsection 25(3);

• (c) a method for supervising an employee who performs any of the duties referred to in paragraph 25(1)(a); and

• (d) a method for verifying that a person referred to in section 26 has the knowledge referred to in that section.

Process with Respect to Scheduling

Marginal note:Principles of fatigue science

• 28 (1) A railway company must apply the principles of fatigue science when scheduling the work of the employees referred to in subsection (2), including the principles

  • (a) that human fatigue is governed by physiology;

  • (b) that human alertness is affected by circadian rhythms;

  • (c) that human performance degrades in relation to hours of wakefulness and accumulated sleep debt; and

  • (d) that humans have baseline minimum physiological sleep needs.

• Marginal note:Method

  (2) The railway company must include, in its safety management system, a method for applying the principles of fatigue science when scheduling the work of an employee who is required to work according to a schedule that

  • (a) is not communicated to the employee at least 72 hours in advance;

  • (b) requires the employee to work beyond his or her normal work schedule; or

  • (c) requires the employee to work between midnight and 6:00 a.m.

• Marginal note:Communication

  (3) The railway company must communicate, to any employees who are required by the railway company to work according to a schedule referred to in subsection (2), how the principles of fatigue science have been taken into account when requiring them to work according to that schedule.

• Marginal note:Exception

  (4) This section does not apply when scheduling the work of employees during an emergency related to the safety of railway operations.

Process for Continual Improvement of the Safety Management System

Internal Monitoring

Marginal note:Monitoring

• 29 (1) A railway company must, on a continual basis, monitor the implementation of its safety management system to verify

  • (a) whether the bargaining agents, the employees or a representative selected by the employees are being involved in the processes as required by this Part;

  • (b) whether the targets established by the railway company under section 21 are being achieved; and

  • (c) whether the procedures required by this Part are being followed, and whether the policy referred to in subsection 24(2) and the methods and plans required by this Part are being implemented.

• Marginal note:Deficiencies in implementation

  (2) Monitoring must include, if applicable, inquiring into

  • (a) the cause of any deficiencies in the implementation of the railway company’s safety management system and any actions being taken to remedy those deficiencies; and

  • (b) the reasons why the targets are not being achieved.

• Marginal note:Annual report

  (3) The railway company must prepare an annual report setting out the conclusions of its monitoring activities.

• Marginal note:Accountable executive

  (4) The railway company must ensure that the conclusions of the annual report are brought to the attention of the accountable executive.

Internal Audit

Marginal note:Scope and frequency

• 30 (1) A railway company must conduct an audit of its safety management system every three years to evaluate

  • (a) the extent to which the requirements related to each process have been implemented; and

  • (b) the extent to which the policy referred to in subsection 24(2) and the procedures, plans and methods developed by the railway company are effective in improving the level of safety of its railway operations.

• Marginal note:Audit plan

  (2) The railway company must include, in its safety management system, an audit plan that

  • (a) defines the scope of each audit;

  • (b) indicates the evaluation criteria to be applied;

  • (c) specifies the method to be used in conducting each evaluation; and

  • (d) sets out the schedule for evaluating each process.

Marginal note:Audit report

• 31 (1) A railway company must prepare an audit report that includes the findings of the audit.

• Marginal note:Accountable executive

  (2) The accountable executive must sign the audit report to attest to his or her acceptance of the report.

Marginal note:Action plan

• 32 (1) A railway company must prepare an action plan setting out the action to be taken to address each finding in the audit report that it identifies as a deficiency in its safety management system.

• Marginal note:Approval of action plan

  (2) The accountable executive must sign the action plan to acknowledge that he or she approves it.

Records

Marginal note:Review, analysis and evaluation

• 33 (1) A railway company must keep a record of the factors taken into account in, and the results of,

  • (a) the annual review of its safety policy;

  • (b) each analysis conducted under section 13; and

  • (c) each evaluation conducted under subsection 18(2).

• Marginal note:Date

  (2) The record referred to in subsection (1) must include the date on which the review, analysis or evaluation was undertaken.

Marginal note:Consultation, communication or collaboration

34 For each instance in which a railway company, in accordance with this Part, consults, communicates or collaborates with bargaining agents, employees or a representative selected by employees, the railway company must keep a record of the date and subject matter of the consultation, communication or collaboration and the manner in which it was carried out.

Marginal note:Specified documents

35 A railway company must keep the following records:

• (a) the documentation relating to each risk assessment conducted under section 15;

• (b) the written description and written explanation referred to in section 22;

• (c) the annual report referred to in subsection 29(3);

• (d) the audit plan referred to in subsection 30(2);

• (e) the signed audit report referred to in section 31; and

• (f) the approved action plan referred to in section 32.

Marginal note:Duration

36 A railway company must keep the records referred to in sections 33 to 35 for six years after the day on which they are created.

Filing and Notification

Marginal note:Filing with the Minister

37 A railway company must, at the request of the Minister, file with the Minister

• (a) an up-to-date copy of the index referred to in subsection 6(1);

• (b) the targets and initiatives referred to in subsection 21(1) for the current calendar year;

• (c) the written description and written explanation referred to in section 22;

• (d) the latest annual report referred to in subsection 29(3); and

• (e) the latest signed audit report referred to in section 31.

Marginal note:Notification and filing

38 A railway company that proposes to make a change referred to in paragraph 15(1)(b) or (c) must, before making the change, notify the Minister of the change and must, at the request of the Minister, file with the Minister the documentation relating to the risk assessment that it conducted with respect to the change.

PART 2Local Railway Companies

DIVISION 1Main Track Operations

Application

Marginal note:Local railway company — main track

• 39 (1) This Division applies to a local railway company that operates railway equipment on main track.

• Marginal note:Delayed application

  (2) In the case of a local railway company that begins operating railway equipment on a railway after the day on which these Regulations come into force, sections 54 to 56 do not apply until the day that is six months after the day on which the local railway company begins operating railway equipment on a railway.