UNCLASSIFIED Safety and Security Group CCM# XMS-2021-499370 RDIMS# 17348194
Memorandum to the Minister of Transport 2021 Spring Action Plan of the Auditor General Follow-up Report on Rail Safety
For Approval
Purpose
To seek your approval of a detailed management action plan, which sets out Transport Canada’s measures to address the Auditor General’s recommendations in the follow-up audit on rail safety.
Your approval of the detailed management action plan is sought by March 29, 2021, prior to submitting the document to the Public Accounts Committee.
Background
On February 25, 2021, the Office of the Auditor General (OAG) published its followup audit on Transport Canada’s oversight of rail safety, assessing the department’s progress toward implementing the recommendations from a previous audit on this topic in 2013.
Overall, the follow-up audit concluded that Transport Canada made progress in addressing recommendations from our 2013 audit in the areas it followed-up on. The follow-up audit, however, also found that the department still had important improvements to make. It nonetheless indicated that the department strengthened its approach to planning and prioritizing activities to oversee rail safety and in following-up on companies’ plans and actions to address deficiencies noted in inspections.” In particular, the follow-up audit found that:
- Transport Canada was unable to demonstrate how its oversight activities have improved rail safety; and
- Transport Canada did not assess the effectiveness of the railways’ safety management systems.
To address these findings, the OAG made six recommendations, which the department has accepted. As part of the department’s commitment to continuous improvement, the department has prepared a detailed management action plan to address the OAG’s recommendations. The action plan identifies specific measures, expected results, milestones and accountable executives for each action. Efforts are already underway to implement the action plan (e.g. use of electronic audit documentation is now mandatory, and a database is being created to track safety management system audit findings).
Transport Canada is required to share the detailed management action plan with the Public Accounts Committee by July 25, 2021. However, if the Committee decides to invite officials to appear on this topic, then the action plan must be tabled at least 48 hours prior to the appearance. As such, your approval of the attached action plan is sought by March 29, 2021.
Recommendation
It is recommended that you approve the detailed management action plan. Pending your approval, Parliamentary Affairs will share the document with the clerk of the Public Accounts Committee.
Deputy Minister of Transport
Associate Deputy Minister of Transport
Date: 2021-04-07
__ I approve __ I do not approve __ See Comments
Minister of Transport
Date: 2021-04-14
Transport Canada Detailed Action Plan
Follow-up Audit of Rail Safety Oversight 2021 Winter Report by the Auditor General of Canada
|
Report Ref. No. |
OAG Recommendation |
Departmental Response |
Description of Final Expected Outcome/Result |
Expected Final Completion Date |
Key Interim Milestones (Description/Dates) |
Responsible Organization/ Point of Contact (Name, Position, Tel #) |
Indicator of Achievement (For Committee Use Only) |
|---|---|---|---|---|---|---|---|
|
5.37 |
Transport Canada should determine the extent to which its inspections and audits have improved the railway companies’ compliance with regulations that mitigate key safety risks. The department should integrate these results into its risk-based planning decisions, including determining which and how many inspections to perform. |
|
The action plan is two stages,
|
September 2021 December 2022 |
Performance Indicators
Evaluation
|
Rail Safety Anne Marie Muldoon, Director Safety Management Systems and Risk / Stephanie Lines Director Operations Anne Marie Muldoon, Director Safety Management Systems and Risk Claude Blanchette, Executive Director Evaluation, Fraud, Practice Management |
|
|
5.41
|
Transport Canada should improve guidance to railway companies so that safety data submissions are complete, reliable and timely. |
|
The guidelines and information request template will provide clear direction to railway companies specifically with respect to the format of data received. |
October 2021 |
|
Rail Safety, Stephanie Lines Director Operations |
|
|
5.45
|
Transport Canada should integrate the findings from audits of safety management systems when planning its oversight activities and adjust its selection of planned inspections to address areas of highest risk. |
|
Revised risk-based planning procedures will require that staff from Safety Management Systems participate in oversight planning with each of the functional groups. This participation will include bringing forward audit results from prior years to be considered when selecting oversight locations. |
May 2021 |
|
Rail Safety Anne Marie Muldoon, Director Safety Management Systems and Risk
|
|
|
5.61
|
Transport Canada should set standards for the time it should take to assess whether railway companies’ corrected deficiencies identified in inspections and audits of safety management systems. |
|
A consistent approach to follow-up will be established for SMS audits that will guide all regions. Benchmarks for timelines will be established and monitored for both audit and inspection follow-up. |
December 2021 |
|
Rail Safety Anne Marie Muldoon, Director Safety Management Systems and Risk Stephanie Lines Executive Director Operations
|
|
|
5.64
|
Transport Canada should improve data management for its safety management systems audits by • adhering to its documentation standards; and • integrating the results of safety management system audits into a data management system. |
|
A review of audit files will ensure consistent documentation standards. Data management system will capture audit results that can be more readily accessible. |
December 2021 |
|
Rail Safety Anne Marie Muldoon, Director Safety Management Systems and Risk |
|
|
5.68
|
Transport Canada should make it an immediate priority to regularly assess the effectiveness of railway companies’ safety management system processes. |
|
Transport Canada will have a system in place that assesses the effectiveness of a railway company’s safety management system’s processes. Consultation will also take place to determine if changes are required to the Safety Management System Regulation. |
December 2021 |
|
Rail Safety Anne Marie Muldoon, Director Safety Management Systems and Risk Sean Rogers Director of Regulatory Affairs |