Alberta Railway Audit Program

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1 Alberta Railway Audit Prgram Self Audit Prgram Guideline fr Alberta Railways

2 Self-Audit Prgram Intrductin T ensure nging safe railway peratins and cmpliance with the railway regulatins, all railways are required t cnduct self-audits n an annual basis and the submissin f an external audit with their applicatin fr an perating apprval renewal every three years. Nte: This applies t categry 1 and 2 railways nly; categry 3 railways may submit an internal self-audit in place f the external audit. Overview The purpse f a self audit prgram is t prvide a railway with a systematic way t measure cmpliance t the Alberta railway legislatin. It was recgnized that the size and cmplexity f railways in Alberta varied cnsiderably, therefre, t facilitate the audit prgram 3 categries have been develped. The first step a cmpany shuld take is t determine what categry is applicable t their peratin. The three categries are: Categry 1 Categry 2 Categry 3 Self switches railway cars with an lcmtive r rail car mver Industrial, Public and Heritage railways Self audit every year then requires an external audit in the 3rd year and submissin with perating apprval renewal applicatin Des nt self switch cars by an lcmtive r rail car mver Any site that translad Dangerus Gds regardless f car cunt Self-audit every year then requires an external audit in the 3rd year and submissin with perating apprval renewal applicatin Translad 100 r mre cars per year Des nt self-switch cars with an engine Trans lads 99 cars r less per year Des nt translad Dangerus Gds Self audits every year, submits 3rd year self audit with perating apprval renewal applicatin In each categry there are similar mdules such as training and track inspectins. Hwever, dependent f the type f peratin, ther specific mdules have been created t audit specific aspects that are unique t a particular railway peratin. i.e. lcmtives, autmated crssing, dangerus gds sites etc. Versin 2 Revised Nvember 20, 2012 Page 2

3 Submissin Timelines / Criteria New Railways New railways must submit a self-audit and have received acceptance frm the Railway Administratr f the audit within 6 mnths frm the start f peratins prir t receiving a permanent authrity t perate. First Internal Self Audit All railways with a current railway perating apprval issued by Alberta Transprtatin must submit a self audit by June 30, 2013 The audit will nt be accepted withut an auditr training certificate Nte: Only the first internal audit will require submissin t Alberta Transprtatin via audit mdules as attachments. Subsequent internal audits will nt require submissin with the exceptin f; n the request f a Rail Safety Officer the audit must be made available within a reasnable time. Subsequent Self Audits All railways are required t cnduct annual self audits f their railway peratin using the Alberta Transprtatin Audit templates. The annual audit shuld be cnducted n r befre the anniversary date nted n the perating apprval. EXAMPLE: On the perating apprval there is a renewal date shwn in mnth, day and year. The internal audit shuld be cnducted n r befre the date and mnth in the current year. As an example the cmpany s perating apprval renewal date is August 15, 2015 and the current year is 2013; annual cmpany audits are due n r befre August 15 f the current year. Internal audits are t be retained n file with the cmpany and nly external audits are t be submitted t Alberta Transprtatin. Categry 3 railways are required t submit internal audits with the perating apprval certificate renewals. The audit will nt be valid withut the auditr training certificate IMPORTANT The auditr must review the last audit findings and planned crrective actins. Shuld the review find the crrective actins were nt implemented; it is then cnsidered t be a finding and must be dcumented n the current audit. Peer / External Audits Railways must submit an external audit as part f their perating apprval renewal applicatin. The external audit can be cnducted by either a third party r by a peer Peer Audit When a cmpany has mre than ne railway lcatin in the prvince, the cmpany can utilize a trained railway safety management system auditr frm: Versin 2 Revised Nvember 20, 2012 Page 3

4 External Audit Anther lcatin ther than their wn lcatin r; A designated persn within the cmpany that cnducts ther types f audits n behalf f the cmpany and frm a lcatin ther than being audited. When the audit is cnducted by a third party the cmpany must ensure: The auditr is a cmpetent persn as per the Industrial Railway Regulatins definitin f cmpetency. This must include sufficient experience inspecting dangerus gds sites, track, lcmtive, rail car mver and autmated crssings as applicable t the lcatin being audited. NOTE: A subject matter expert maybe brught in t assist the auditr when there is a lack f cmpetency in an audit prtcl. Have a training certificate issued by a training rganizatin apprved by Alberta Transprtatin fr categry 1 railways. Audit Submissin Requirements The fllwing audit dcuments must be submitted t Alberta Transprtatin with the railway perating certificate renewal applicatin: Auditrs training certificate issued by a training rganizatin apprved by Alberta Transprtatin A cpy f the previus audit findings and crrective actins Statement f authenticity current audit Applicable audit prtcls fr the railway categry Lcmtive COTS certificate fr each lcmtive when applicable Lcmtive inspectin recrds (ne each) fr the 45 day safety inspectin, 92 and annual maintenance checks Track inspectin fr three alternating mnths i.e. Jan, Mar and May Training recrds fr three randmly pulled recrds Railway general perating instructin (GOI) cmpliance checks fr three alternating mnths i.e. Jan, Mar and May Medical certificates f fitness fr all staff in safety critical psitins A current cpy f the Safety Management System plan Nte: The audit will nt be accepted withut the nted dcuments The Alberta Transprtatin Audit mdule templates must be used. Must be submitted t the Railway Administratr sixty days prir t the expiratin f the railway perating apprval. The external audit submissin applies t categry 1 and 2 railways nly; categry 3 railways may submit an internal self-audit in place f the external audit Audit Reprt Dcumentatin All audits must be submitted using the Alberta Transprtatin audit mdules. T facilitate acceptance, the external audit reprts must be submitted electrnically in a PDF frmat r MS Wrd t with yur cmpany name, site lcatin in additin t the text Railway Audit in the subject line f the . i.e. ABC Crp Ft. Saskatchewan Railway Audit Versin 2 Revised Nvember 20, 2012 Page 4

5 Amendments by the Operatr Amendments n the audit mdules may be made by the railway prvided the amendment is relevant t the railway peratin. Nn railway instructins / prcedures and excluding ccupatinal health and safety requirements are nt t be included with the audit. In additin, amendments must be in keeping with the intent f the railway self audit. If, in the pinin f the Railway Administratr, the amendments are nt acceptable, the railway must make changes t ensure acceptability. Audit Reprt Cnfidentiality The persnal infrmatin that yu prvide in the self audit frms is cllected under the authrity f Sectin 33(c) f the Freedm f Infrmatin and Prtectin f Privacy Act (RSA 2000). The infrmatin will be used fr the purpse f administering the Rail Safety Prgram. If yu have any questins abut the cllectin f this infrmatin, please cntact the Rail Safety Officer, Dangerus Gds, Vehicle and Rail Safety Branch, Alberta Transprtatin at r tll free at and at the prmpt dial Audit Cmpnents In rder t ensure cnsistency and applicability three categries have been develped t suit different railway peratins. Under each categry is a list f required and ther mdules that maybe required fr that categry. The applicable mdules must be selected fr the particular peratinal elements and utilized when cnducting internal and external railway audits. Nte: The audit mdules are available fr dwnlading frm the nted website under the tab Railway Audit Prtcls Categry 1 Means a railway that: Self switches railway cars with a lcmtive / rail car mver Industrial, Public and Heritage railways Self-audit every year then requires an external audit in the 3rd year and submissin with perating apprval renewal applicatin Required Mdules 1. General 2. Training 3. Track 4. General Operatin Instructin (GOI) 5. Crrective Actins 6. Statement f Authenticity 7. Engine either lcmtive and r rail car mver 8. Medical 9. Passenger Handling Required fr Public and Heritage railways nly Versin 2 Revised Nvember 20, 2012 Page 5

6 Other Mdules when applicable Based peratinal elements that are present in the railway peratin, the fllwing maybe required t cmplete a full railway audit: 10. Autmated Crssings 11. Nn autmated crssings 12. Dangerus Gds Translading Categry 2 Means a railway that: Des nt self-switch cars by an lcmtive r rail car mver Any site that translad Dangerus Gds regardless f car cunt Self-audit every year then requires an external audit in the 3rd year and submissin with perating apprval renewal applicatin Translad 100 r mre cars per year Required Mdules 1. General 2. Training 3. Track 4. General Operatin Instructin (GOI) 5. Crrective Actins 6. Statement f Authenticity Other Mdules when applicable 7. Autmated Crssings 8. Nn autmated crssings 9. Dangerus Gds Translading Categry 3 Means a railway that: Des nt self-switch cars with an engine Trans lads 99 cars r less per year Des nt translad Dangerus Gds Self-audits every year, submits 3rd year self-audit with perating apprval renewal Required Mdules 1. General 2. Training 3. Track 4. General Operatin Instructin (GOI) 5. Crrective Actins 6. Statement f Authenticity Versin 2 Revised Nvember 20, 2012 Page 6

7 Other Mdules when applicable 7. Autmated Crssings 8. Nn autmated crssings Shuld yu have any questins, please call Knut Ohm, Rail Safety Officer. In Alberta then r Versin 2 Revised Nvember 20, 2012 Page 7

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