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

Safety Management System

Processes, Procedures and Methods

Marginal note:Processes

40 A local 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 identifying safety concerns;

• (e) a risk assessment process;

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

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

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

Marginal note:Index

• 41 (1) A local railway company must keep an up-to-date index of all the processes referred to in section 40 that it has implemented.

• Marginal note:Content of index

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

  • (a) the management position occupied by a person designated under subsection 43(4), if applicable;

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

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

Marginal note:Procedures and methods

42 Every procedure and method required by this Division must be in writing and must indicate the date of its last revision.

Process for Accountability — Accountable Executive

Marginal note:Designation of executive

• 43 (1) A local railway company must designate an executive who is responsible for the operations and activities of the local 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 local 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 local 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 local 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 Division. A designated person must occupy a management position within the local 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 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 and methods in contributing to the improvement of the safety of the local railway company’s operations.

Process with Respect to a Safety Policy

Marginal note:Safety policy

• 44 (1) A local railway company must include, in its safety management system, a written safety policy that reflects the local 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 local railway company must ensure that its safety policy is reviewed annually.

• Marginal note:Communication

  (3) The local 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

• 45 (1) A local 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 local railway company and that are in force;

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

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

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

  • (e) any documents in effect by which the Minister has ordered the local 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 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)(e), the date and subject matter.

• Marginal note:Update

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

Marginal note:Procedures

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

• (a) reviewing and updating the list of instruments referred to in subsection 45(1); and

• (b) verifying compliance with

  • (i) the requirements of the regulations, 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 Identifying Safety Concerns

Marginal note:Analyses

47 A local 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 accidents;

• (b) any internal documentation relating to accidents;

• (c) any reports of injuries;

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

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

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

• (g) any data that is accessible to the local railway company from safety monitoring technologies;

• (h) the conclusions of the annual report referred to in subsection 57(3); and

• (i) the findings of any audit reports.

Marginal note:Procedure

48 A local railway company must include, in its safety management system, a procedure for conducting the analyses referred to in section 47.

Risk Assessment Process

Marginal note:Risk assessment

• 49 (1) A local 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 47;

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

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

    • (iv) 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:Communication

50 A local railway company must communicate the risks identified as requiring remedial action, and the remedial action to be implemented, to the employees of the local railway company who are affected by any of the circumstances referred to in subsection 49(1).

Marginal note:Procedure and method

51 A local 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; and

• (b) 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

• 52 (1) A local 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 local railway company must evaluate the effectiveness of the remedial action in reducing or eliminating the risks.

Marginal note:Procedures

53 A local railway company must include, in its safety management system,

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

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

Process for Establishing Targets and Developing Initiatives

Marginal note:Targets and initiatives

• 54 (1) A local 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 47 and must take into account the results of any previous analyses.

Marginal note:Details of initiative

55 A local 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

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

Process for Continual Improvement of the Safety Management System

Internal Monitoring

Marginal note:Monitoring

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

  • (a) whether the targets established by the local railway company under section 54 are being achieved; and

  • (b) whether the procedures required by this Division are being followed, and whether the methods required by this Division 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 local 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 local railway company must prepare an annual report setting out the conclusions of its monitoring activities.

• Marginal note:Accountable executive

  (4) The local 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

• 58 (1) A local 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 procedures and methods developed by the local railway company are effective in improving the level of safety of its railway operations.

• Marginal note:Audit plan

  (2) The local 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

• 59 (1) A local 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

• 60 (1) A local 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.