SANS 3000-1:2009 - Railway Safety Regulator

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SANS 3000-1:2009Edition 2e) the appropriate level of management shall consider the findings for the area that has beenaudited, decide on the appropriate actions to be taken, and document the decisions;f) follow-up actions shall be documented and carried out in accordance with the documenteddecisions;g) audit findings and corrective actions shall be reported to senior management; andh) audit findings shall be signed off when implemented.5.6.1.3 Audit reports shall be retained for review by the relevant national railway safety regulator(see foreword) for a period determined by the relevant national legislation (see foreword), but theperiod shall be not less than three years.5.6.2 Compliance with the SMSRegular compliance audits shall be carried out to verifya) the existence of the SMS elements and sub-elements as a minimum in compliance with this partof SANS 3000, andb) that the elements and sub-elements are implemented and complied with at the appropriatelevels within the organization.5.6.3 Adequacy and effectiveness of the SMSAdequacy and effectiveness audits shall be carried out to determine the adequacy andeffectiveness of each element and sub-element of the SMS as part of an integrated process formanaging and improving operational safety.This audit component of the SMS should include periodic reviews of the system to ensure thecontinued suitability, adequacy and effectiveness of the SMS, taking into account changingcircumstances, including the results and recommendations of risk assessments, occurrenceinvestigations, and safety performance analyses.5.7 Compliance with safety legislation5.7.1 An SMS shall include procedures to ensure that the operatora) identifies all the legal obligations impacting directly or indirectly on railway safety,b) monitors changes in legislation,c) complies with the requirements contained in legislation, andd) evaluates compliance with the legislative requirements.5.7.2 The operator’s existing standards, including codes of practice, rules and notices, should beidentified in the operator’s SMS and will continue to apply in their current form, until amended orreplaced. Procedures and processes for developing new standards, and for amending, accepting oradopting existing standards are covered in relevant national railway safety regulations (seeforeword).12
SANS 3000-1:2009Edition 25.7.3 The operator shalla) develop systems and procedures to demonstrate and evalute compliance with applicable railwaysafety regulations and standards, including codes of practice, rules, notices and directives, andb) identify exemptions and the procedures to demonstrate compliance with the terms or conditionsspecified in the notice of exemption.5.8 Document and data control5.8.1 All safety-related documents and data shall be in English and may be made available inother official languages when required.5.8.2 The operator shalla) establish and maintain documented procedures to control all documents and data that relate tothe SMS and railway operations, including, to the extent applicable, documents of externalorigin;b) in the event of electronic data processing (EDP) or electronic data interchange (EDI) beingused, ensure that procedures for the capturing, storing and processing of data comply withapplicable legal requirements;c) approve documents and data before they are issued.5.8.3 Employees who are authorized to approve safety-related documents for issue shall ensurethat the contents are accurate and that the documents will be understood by all recipients to whomthey apply.5.8.4 The operator shall establish, develop or adopt, implement and maintain documentedprocedures to review documents and data for applicability and validity and to update and approveas appropriate.The changes to these documents and data shall be reviewed and approved by the same functionsor organizations that performed the original review and approval, unless specifically designatedotherwise.The designated functions or organizations shall have access to pertinent background informationupon which to base their review and approval.5.8.5 The operator shall ensure that documents and data are current, legible and identifiable. Thiscan be achieved by the use of a master list, a file reference list or an equivalent document controlprocedure.5.8.6 The operator shall establish, develop or adopt, implement and maintain procedures to ensurethata) the pertinent issues of appropriate documents are available at all relevant locations and areunderstood by all recipients to whom they apply,b) where practicable, the nature of changes is identified in the documents or the appropriateattachments,c) invalid or obsolete documents are promptly removed from all points of issue or use, orotherwise assured against unintended use,13
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SANS 3000-1:2009 - Railway Safety Regulator

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