ISBN 978-0-626-22587-2 RSR 001:2009 SOUTH AFRICAN NATIONAL STANDARD Railway safety management Part 1: General Published by SABS Standards Division 1 Dr Lategan Road Groenkloof Private Bag X191 Pretoria 0001 Tel: +27 12 428 7911 Fax: +27 12 344 1568 www.sab s.co.za SABS
Table of changes Change No. Date Scope Acknowledgement The SABS Standards Division and the Railway Safety Regulator wish to acknowledge the valuable assistance of the following organizations in the preparation of this document: a) Transnet Limited; b) the Passenger Rail Agency of South Africa (PRASA); c) the Heritage Railway Association of South Africa; d) the Railroad Association of South Africa; e) Standards Australia; f) Transport Canada; and g) Bombela Concession Company (Pty) Ltd. Foreword This South African standard was approved by National Committee SABS TC 1066, National steering committee for railway safety standards, in accordance with procedures of the SABS Standards Division, in compliance with annex 3 of the WTO/TBT agreement. This document was published in October 2009. This document supersedes SANS 3000-1:2005 (edition 1). SANS 3000 consists of the following parts, under the general title Railway safety management: Part 1: General. Part 2-1: Technical requirements for engineering and operational standards General. Part 2-2: Technical requirements for engineering and operational standards Track, civil and electrical infrastructure. Part 2-3: Technical requirements for engineering and operational standards Rolling stock. Part 2-4: Technical requirements for engineering and operational standards Train authorization and control systems and equipment. (In course of preparation.) Part 2-5: Technical requirements for engineering and operational standards Train operations management. (In course of preparation.) Part 2-6: Technical requirements for engineering and operational standards Interoperability, intermodal and utilities management. (In course of preparation.)
Part 3: Railway occurrence management. (In course of preparation.) Part 4: Human factors management. (In course of preparation.) Part 5: Railway stations. (In course of preparation.) Reference is made in 1.3 and 3.1.2 to the "relevant national legislation". In South Africa this means the National Railway Safety Regulator Act, 2002 (Act No. 16 of 2002) (as amended from time to time). Reference is made in clause 3, 5.2.1 and 8.2 to the "relevant national railway safety legislation". In South Africa this means the National Railway Safety Regulator Act, 2002 (Act No. 16 of 2002) (as amended from time to time), and the Railway Safety Standards Development Regulations. Reference is made in 5.2.1 to the "relevant national health and safety legislation". In South Africa this means the Occupational Health and Safety Act, 1993 (Act No. 85 of 1993) (as amended from time to time) and the Mine Health and Safety Act, 1996 (Act No. 29 of 1996) (as amended from time to time). Reference is made in 5.2.2, 5.5.1, 5.5.3, 5.5.7, 5.6.1.3, 5.8.6, 5.9.1, 6.3.4, 6.4, 7.2.1, 7.6, 8.6, 9.2, 10.1.1, 10.2.1, 10.3.2, 11.1.2, 11.2, 14.1, clause 16 and annex E to the "relevant national railway safety regulator". In South Africa this means the Railway Safety Regulator (RSR). Reference is made in 5.6.1.3 and 5.8.7 to the "relevant national legislation". In South Africa this means the National Archives and Record Service of South Africa Act, 1996 (Act No. 43 of 1996). Reference is made in 5.7.2 to the "relevant national railway safety regulations". In South Africa this means the Railway Safety Standards Development Regulations. Reference is made in 7.5.1 to the "relevant national health and safety legislation". In South Africa this means section 24 of the Occupational Health and Safety Act, 1993 (Act No. 85 of 1993) (as amended from time to time). Reference is made in 10.1.1 to the "relevant national authorities". In South Africa this means the South African Police Services (SAPS) (including the Railway Police Division, local SAPS units, and the Government Security Regulator (GSR)), and the Chief Inspector of Explosives (CIE). The previous edition of this document was supplementary to the Railway Safety Management Regulations of 2004, which were developed in accordance with the National Railway Safety Regulator Act, 2002 (Act No. 16 of 2002) (as amended from time to time). This edition has been developed in accordance with the National Railway Safety Regulator Amendment Act, 2008 (Act No. 69 of 2008), which repealed the Regulations of 2004. Annexes D and E form an integral part of this document. Annexes A, B and C are for information only. Introduction This document has been developed primarily with a view to achieving uniformity in the management of railway safety both as a general principle and with specific reference to the issuing of safety permits to railway operators. Key to railway safety management is an appropriate risk management system that aims to ensure that railway operators identify their technical and operational hazards and manage the resultant risks to people, property and the environment to a level that is as low as is reasonably practicable. 1
This approach recognizes that, while there is an ideal level of safety, the costs of achieving this ideal might far outweigh the benefits and limit the viability of railway operations. However, it is understood that railway operators protect their commercial and social responsibilities by running safe railways. Railway safety has a relationship with workplace health and safety, and with security, both of which are governed by specific legislation. The safety management system is required to take into account the impact of occupational health and safety issues as well as security matters on railway operational safety. This document outlines a common approach to the management of the interfaces between operators and intrafaces within an operator s activities, which are crucial for ensuring the safety of railway operations. Different categories and types of safety permit may not require all the elements described in this document to be complied with. The Railway Safety Regulator will inform operators which elements are applicable to the category and type of safety permit that they desire. 2
Contents Page Acknowledgement Foreword Introduction 1 Scope... 5 2 Normative references... 5 3 Definitions and abbreviations... 6 4 Safety management system (SMS)... 7 5 Policy, structure and procedure... 8 5.1 Operator s safety policy... 8 5.2 Nominated manager... 8 5.3 Authority and responsibilities of the operator... 8 5.4 Involvement of employees and their representative structures... 9 5.5 Annual safety improvement plan... 9 5.6 Safety audits... 11 5.7 Compliance with safety legislation... 12 5.8 Document and data control... 13 5.9 SMS review... 14 6 Operational risk management processes... 14 6.1 General... 14 6.2 The risk management process... 14 6.3 Operational risk assessment processes... 15 6.4 Operational risk controls... 15 7 Occurrence management... 15 7.1 Occurrence management processes... 15 7.2 Railway occurrence categories... 16 7.3 Categories of immediate causes... 20 7.4 Human factor root (basic) cause... 22 7.5 Fatalities and injuries... 22 7.6 Railway occurrence recording, notification and reporting to the relevant national railway safety regulator (see foreword)... 23 8 Occurrence investigations... 26 9 Corrective action plans... 27 10 Security management... 27 10.1 General... 27 10.2 Security incidents categories... 28 10.3 Security incident recording, notification and reporting... 30 11 Information to be submitted... 31 11.1 Quarterly reports... 31 11.2 Annual safety improvement plans... 31 3