SOR-2015-26 Railway Safety Management System Regulations, 2015

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;

Part 2 sets out

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.

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

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

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.

a process for accountability;

a process with respect to a safety policy;

a process for ensuring compliance with regulations, rules and other instruments;

a process for managing railway occurrences;

a process for identifying safety concerns;

a risk assessment process;

a process for implementing and evaluating remedial action;

a process for establishing targets and developing initiatives;

a process for reporting contraventions and safety hazards;

a process for managing knowledge;

a process with respect to scheduling; and

a process for continual improvement of the safety management system.

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

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

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

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

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

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

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;

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;

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

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

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.

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

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

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

verifying compliance with

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

reviewing a railway occurrence.

any reports of railway occurrences;

any internal documentation relating to railway occurrences;

any reports of injuries;

the results of any inspections conducted by the railway company or by a railway safety inspector;

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

any complaints relating to safety that are received by the railway company;

any data from safety monitoring technologies;

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

the findings of any audit reports.

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

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

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:

describe the circumstances that triggered the requirement to conduct the risk assessment;

identify and describe the risks associated with those circumstances;

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;

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

identify the risks that require remedial action; and

identify the remedial action for each of those risks.

the employees of the railway company who are affected by any of those risks; or

a representative selected by the employees of the railway company.

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;

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

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

the employees of the railway company who are affected by the risk; or

a representative selected by the employees of the railway company.

a procedure for selecting the remedial action to be implemented;

a procedure for implementing the remedial action and evaluating its effectiveness; and

a plan for the consultation referred to in section 19.

establish targets designed to improve the safety of its railway operations; and

develop initiatives to achieve each target.

the duties that are essential to safe railway operations;

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

the skills and qualifications required to perform each of those duties safely.

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;

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

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.

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;

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

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.

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);

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);

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

a method for verifying that a person referred to in section 26 has the knowledge referred to in that section.

that human fatigue is governed by physiology;

that human alertness is affected by circadian rhythms;

that human performance degrades in relation to hours of wakefulness and accumulated sleep debt; and

that humans have baseline minimum physiological sleep needs.

is not communicated to the employee at least 72 hours in advance;

requires the employee to work beyond his or her normal work schedule; or

requires the employee to work between midnight and 6:00 a.m.

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

whether the targets established by the railway company under section 21 are being achieved; and

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.

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

the reasons why the targets are not being achieved.

the extent to which the requirements related to each process have been implemented; and

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.

defines the scope of each audit;

indicates the evaluation criteria to be applied;

specifies the method to be used in conducting each evaluation; and

sets out the schedule for evaluating each process.

the annual review of its safety policy;

each analysis conducted under section 13; and

each evaluation conducted under subsection 18(2).

the documentation relating to each risk assessment conducted under section 15;

the written description and written explanation referred to in section 22;

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

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

the signed audit report referred to in section 31; and

the approved action plan referred to in section 32.

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

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

the written description and written explanation referred to in section 22;

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

the latest signed audit report referred to in section 31.

a process for accountability;

a process with respect to a safety policy;

a process for ensuring compliance with regulations, rules and other instruments;

a process for identifying safety concerns;

a risk assessment process;

a process for implementing and evaluating remedial action;

a process for establishing targets and developing initiatives; and

a process for continual improvement of the safety management system.

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

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

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

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

the effectiveness of the procedures and methods in contributing to the improvement of the safety of the local railway company’s operations.

any regulations made under the Act that apply to the local railway company and that are in force;

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;

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

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

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.

in the case of a rule, the date on which it was approved or established; and

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

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

verifying compliance with

any reports of accidents;

any internal documentation relating to accidents;

any reports of injuries;

the results of any inspections conducted by the local railway company or by a railway safety inspector;

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

any complaints relating to safety that are received by the local railway company;

any data that is accessible to the local railway company from safety monitoring technologies;

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

the findings of any audit reports.

when it identifies a safety concern in its railway operations as a result of the analyses conducted under section 47;

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

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:

describe the circumstances that triggered the requirement to conduct the risk assessment;

identify and describe the risks associated with those circumstances;

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;

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

identify the risks that require remedial action; and

identify the remedial action for each of those risks.

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

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

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

a procedure for implementing the remedial action and evaluating its effectiveness.

establish targets designed to improve the safety of its railway operations; and

develop initiatives to achieve each target.

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

whether the procedures required by this Division are being followed, and whether the methods required by this Division are being implemented.

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

the reasons why the targets are not being achieved.

the extent to which the requirements related to each process have been implemented; and

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.

defines the scope of each audit;

indicates the evaluation criteria to be applied;

specifies the method to be used in conducting each evaluation; and

sets out the schedule for evaluating each process.

the annual review of its safety policy;

each analysis conducted under section 47; and

each evaluation conducted under subsection 52(2).

the documentation relating to each risk assessment conducted under section 49;

the written description and written explanation referred to in section 55;

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

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

the signed audit report referred to in section 59; and

the approved action plan referred to in section 60.

an up-to-date copy of the index referred to in subsection 41(1);

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

the written description and written explanation referred to in section 55;

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

the latest signed audit report referred to in section 59.

a process with respect to a safety policy;

a process for ensuring compliance with regulations, rules and other instruments;

a process for identifying safety concerns;

a risk assessment process; and

a process for implementing and evaluating remedial action.

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

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

any regulations made under the Act that apply to the local railway company and that are in force;

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;

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

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

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.

in the case of a rule, the date on which it was approved or established; and

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

reviewing and updating the list of instruments referred to in subsection 72(1); and

verifying compliance with

any reports of accidents;

any internal documentation relating to accidents;

any reports of injuries;

the results of any inspections conducted by the local railway company or by a railway safety inspector;

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

any complaints relating to safety that are received by the local railway company;

any data that is accessible to the local railway company from safety monitoring technologies; and

the findings of any audit reports.

when it identifies a safety concern in its railway operations as a result of the analyses conducted under section 74;

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

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:

describe the circumstances that triggered the requirement to conduct the risk assessment;

identify and describe the risks associated with those circumstances;

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;

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

identify the risks that require remedial action; and

identify the remedial action for each of those risks.

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

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

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

a procedure for implementing the remedial action and evaluating its effectiveness.

the annual review of its safety policy;

each analysis conducted under section 74; and

each evaluation conducted under subsection 79(2).