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

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.

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.