railway safety management systems: experiences to date and lessons learned presentation to irsc 2005...
TRANSCRIPT
Railway Safety Management Systems:Experiences to Date and Lessons Learned
Presentation to IRSC 2005
Luc Bourdon
Director General, Rail SafetyTransport Canada
Cape Town
October, 2005
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Agenda
• The evolution of rail safety in Canada
• 1989 Railway Safety Act
• What is a Safety Management System?
• TC’s RSMS Audit Program
• Audit Results To Date
• Lessons Learned/Challenges
• Conclusions
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The Evolution of Rail Safety in Canada
• 1867: The Constitution Act, (formerly the British North American Act) cites the Intercolonial Railway as part of Canada’s Constitution.
• 1868: The Railway Act creates the Railway Committee.
• 1903: The (Canadian) Railway Act creates the Board of Railway Commissioners.
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The Evolution of Rail Safety in Canada (cont’d)
• 1967: Board of Transport Commissioners is replaced by the Canadian Transportation Commission (CTC).
• 1987: National Transportation Agency (NTA) replaces the CTC.
• 1989: The Railway Safety Act transferred the responsibility of rail safety to Transport Canada.
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1989 – Railway Safety Act
• The Railway Safety Act came into force on January 1, 1989. It established a new regime for the regulation of “railway safety in Canada founded on the principles that railway management must be responsible and accountable for the safety of operations and that the regulator must have the power to protect public and employee safety”.
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1989 – Railway Safety Act (cont’d)
• The Act called for a comprehensive review of the new regime including an evaluation of its impact on the safety of railway operations within five years (1994 at the latest).
• Although, the Railway Safety Act was reviewed in 1994, it was also revisited in 1997.
• The Railway Safety Act was officially amended in 1999.
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Amendments to 1989 Railway Safety Act
• The Railway Safety Act was amended in 1999 based on the recommendations generated by the 1994 and 1997 reviews.
• One of the key recommendations that was retained, was to adopt a more modern regulatory regime by requiring the railway to implement safety management systems.
• On March 31, 2001, the railway SMS Regulations came into force.
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What is an SMS
“a formal framework for integrating safety into day-to-day railway operations and includes safety goals and performance targets, risk assessments, responsibilities and authorities, rules and procedures, monitoring and evaluation processes.” (RSA)
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SMS Regulations
Changes in the
Railway Industry
(more, new
railways)
Concerns raised
by Derailments
Evolu
tion o
f TC
Complia
nce
Monitorin
g
Approac
h
Amendments to
the Rail Safety
Act - principle of
railway
responsibility
Railway Safety Management System
Requirements
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Understanding Safety Management Systems
Loss Prevention Theory• losses are the consequence of the interaction or
coincidence of a series of deficiencies within a “system”
The Safety Management System Concept
• to prevent losses, it is necessary to control the entire “system” from which the loss can arise -- which is ultimately an issue of management policy and practices
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Railway ObligationsSection 2 - Implement/maintain a SMS with specified
components
• Safety Policy, Annual Safety Targets and Associated Safety Initiatives
• Safety Authorities, Responsibilities and Accountabilities
• Employee and Representative Involvement
• Compliance with Applicable Regulations, Rules, Standards and Orders
• Risk Management Process
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Railway Obligations (cont’d)• Risk Control Strategies
• Accident and Incident Reporting, Investigation and Analysis
• Skills, Training and Supervision
• Safety Performance Data Collection and Analysis
• Safety Audit and Evaluation
• Corrective Action and Development, Approval and Monitoring
• Documentation
DATA AND
TARGETS
DATA COLLECTION AND ANALYSIS ACTIVITIES
RISK MANAGEMENT
Core Components
TR
AIN
ING
ROLES, RESPONSIBILITIES
SU
PE
RV
ISIO
N
EMPLOYEE INVOLVEMENT
Enabling Components
COMPLIANCE OBLIGATIONS
SAFETY POLICY
INTERNAL AUDIT / MGT
REVIEW
PERFORMANCE MONITORING
AND REPORTING
The RSMS Process
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TC’s RSMS Audit Program
Pre-Audit (Documentation)
- To determine if the company has produced the
documentation stipulated by the regulation
- To prepare for the Verification audit by
documenting (mapping) specific references
within the companies documented process
Verification Audit
-To assess implementation and effectiveness
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SMS Audit Results to Date• Some success, notably at Management Level
• Improvements needed:
– “Silos” vs overall systems approach
– Risk Assessment: Need to “Walk the Talk”
• lack of “triggers”, training
– Involvement of Employees: better – but can improve
– “Pass/Fail” attitude vs Continuous Improvement
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Lessons Learned/Challenges
i. Integrating SMS with existing Programs &
Practices
– A new direction for Transport Canada Rail
Safety
– Addresses organizational risk factors within
all levels of a Railway
– Systems-based thinking
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Lessons Learned/Challenges (cont’d)
ii. Harmonizing RSMS Regulations with existing
prescriptive requirements
- Performance-based RSMS regulations:
- preventative thinking
- puts onus for safety management on
Railways
- Flexibility in determining best regulatory
framework
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iii. A changing approach to Regulatory Oversight
- Cultural change: from inspecting to auditing
- No one-size fits all approach – recognize
differences in size/nature of Railways
- Auditing challenges: need for training &
education
- Incentive for companies to establish/maintain
effective SMS
Lessons Learned/Challenges (cont’d)
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Conclusion
SMS leads to an enhanced safety culture – it is a
journey requiring cultural change on the part of
the Railways and the Regulators
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Questions?
www.tc.gc.ca