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

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.

Records

Marginal note:Review, analysis and evaluation

• 61 (1) A local 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 47; and

  • (c) each evaluation conducted under subsection 52(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:Communication

62 For each instance in which a local railway company communicates with its employees in accordance with this Division, the local railway company must keep a record of the date and subject matter of the communication and the manner in which it was carried out.

Marginal note:Specified documents

63 A local railway company must keep the following records:

• (a) the documentation relating to each risk assessment conducted under section 49;

• (b) the written description and written explanation referred to in section 55;

• (c) the annual report referred to in subsection 57(3);

• (d) the audit plan referred to in subsection 58(2);

• (e) the signed audit report referred to in section 59; and

• (f) the approved action plan referred to in section 60.

Marginal note:Duration

64 A local railway company must keep the records referred to in sections 61 to 63 for six years after the day on which they are created.

Filing and Notification

Marginal note:Filing with the Minister

65 A local 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 41(1);

• (b) the targets and initiatives referred to in subsection 54(1) for the current calendar year;

• (c) the written description and written explanation referred to in section 55;

• (d) the latest annual report referred to in subsection 57(3); and

• (e) the latest signed audit report referred to in section 59.

Marginal note:Notification and filing

66 A local railway company that proposes to make a change referred to in paragraph 49(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.

DIVISION 2Non-Main Track Operations

Application

Marginal note:Local railway company — non-main track

67 This Division applies to a local railway company that operates railway equipment exclusively on non-main track.

Safety Management System

Processes, Procedures and Methods

Marginal note:Processes

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

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

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

• (c) a process for identifying safety concerns;

• (d) a risk assessment process; and

• (e) a process for implementing and evaluating remedial action.

Marginal note:Index

• 69 (1) A local railway company must keep an up-to-date index of all the processes referred to in section 68 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 procedures and methods required by this Division that are associated with the process, and the date of their last revision; and

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