SANS 3000-1:2009 - Railway Safety Regulator

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SANS 3000-1:2009Edition 2d) any obsolete documents retained for legal or knowledge preservation purposes are suitablyidentified,e) retention periods for documents and data are established, documented and complied with, andf) employees’ exit is subject to the maintenance of confidentiality of the relevant national railwaysafety regulator's (see foreword) information.5.8.7 The operator shall ensure that procedures for the collection, indexing, filing, storage anddisposal of safety records and reports, including documentation on occurrences and activitiesrelating to railway safety, are established, developed or adopted, implemented and maintained.Safety records and reports shall be retained for at least three years, and thereafter for a period thatcomplies with the relevant national legislation (see foreword) and other relevant specifications andstandards.5.9 SMS review5.9.1 In order to ensure the continuing suitability and effectiveness of the SMS, the operator shallreview it at regular intervals not exceeding 36 months, or more frequently, as requested by therelevant national railway safety regulator (see foreword).5.9.2 The process of review of the SMS shall be formalized, documented and signed off by theappropriate level of management.5.9.3 Since the results of the audit processes, unacceptable occurrence trends, or changes inoperating and technical circumstances are likely to be the prime catalysts for the need for morefrequent reviewing of the SMS, the reasons for the review shall be documented.6 Operational risk management processes6.1 GeneralIn the case of existing operations, many of the risks would already have been considered and riskcontrols would have been included in the operator's current rules, standards, procedures andoperating practices. In this case, the risk assessment process would document this link and thenfocus on the results of occurrence investigations, a safety data analysis, complaints follow-up,inspections and audits to ensure that the risk is being mitigated to an acceptable level. This analysisshould point operators to areas where they could undertake initiatives beyond their current practicesin an effort to improve their overall safety performance.6.2 The risk management processThe operator's risk management process shall comprise the following elements:a) identification of hazards;b) evaluation of the hazards (i.e. risk ranking);c) determination of the level of control (i.e. to tolerate, transfer, treat or terminate);d) implementation of the controls; ande) monitoring the effectiveness of the controls.14
SANS 3000-1:2009Edition 26.3 Operational risk assessment processesNOTE See 6.2(a) and (b).6.3.1 The operator shall establish, develop or adopt, implement and maintain procedures toidentify, evaluate and prioritize hazards by means of an operational risk assessment process.6.3.2 A complete analysis of existing operations shall be adequately documented. Input fromoccurrence investigations, safety performance data collection and analysis, inspections and safetyaudits shall be used to identify areas of existing operations where an analysis is required. Operatorsshall undertake a thorough analysis of both new operations and proposed changes to existingoperations, as determined by the operator. In particular, operational safety concerns and issuesrelating to human factors and interfaces shall be assessed.6.3.3 In the case of new equipment, systems, operations, practices and procedures whereexperience and a safety history are not available, formal analytical techniques shall be applied,taking into account international benchmarking.6.3.4 In addition, procedures for risk analysis should be reviewed periodically after a majoroccurrence when the safety performance has not improved or on receipt of a directive from therelevant national railway safety regulator (see foreword).6.3.5 Operators shall prioritize and classify the identified hazards.6.4 Operational risk controlsNOTE See 6.2(c), (d) and (e).6.4.1 The operator shall establish, develop or adopt, implement and maintain risk controls toaddress the risks identified and quantified in 6.2 to ensure business continuity. Risk controls arerequired for risks that have been classified as unacceptable or tolerable with mitigation. In genericterms, these controls can focus ona) terminating the situation, substance, condition or activity that generates the risk; orb) mitigating the probability or consequences of an occurrence.6.4.2 Operational risk controls should be established, developed or adopted, implemented andmaintained with full appreciation of the need to balance costs, benefits and opportunities.NOTE The relevant national railway safety regulator (see foreword) may provide directives or guidelines (orboth) for the documentation of the risk management process.7 Occurrence managementNOTE Occurrence management as reflected in this clause and annexes C and D are amplified inSANS 3000-3, which is in course of preparation.7.1 Occurrence management processes7.1.1 The management of occurrences shall include the measures to be taken to minimise hazardsat the scene, the consequences of the occurrences and the conducting of investigations todetermine the causes.15
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SANS 3000-1:2009 - Railway Safety Regulator

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