MEDC 9 ( 2029 ) DTZS / SADC SARA HT 89: 2017  
 
                                                                                                                                                                                             
                                                                                     
 
 
 
©TBS 20 23  First Edition  DRAFT TANZANIA STANDARD  
 
 
 
MEDC 9 ( 2029 ) CD2 / SADC SARA HT 89: 2017  - Railway safety management – 
General  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
TANZANIA BUREAU OF STANDARDS  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
i 
©TBS 202 3 – All rights reserved  This Tanzania Standard was published under the authority of the Board of Directors of Tanza nia Bureau 
of Standards  yyyy-mm-dd. 
 
Tanzania Bureau of Standards (TBS) is the statutory national standards body for Tanzania, established 
under the Standards Act No. 3 of 1975, amended by Act No. 2 of 2009.  
 
The Mechanical Engineering Divisional Standards  Committee (MEDC) under whose supervision this 
Tanzania Standard was prepared consists of representatives from the following organizations:  
 
University of Dar es Salaam (UDSM)  
National Development Corporation (NDC)  
Weights and Measures Agency (WMA)  
Tanza nia Industrial Research Development Organization (TIRDO)  
Aluminium Africa  
*National Institute of Transport (NIT)  
Ministry of Works, Transport and Communications.  
 
The organization marked with an asterisk (*) in the above list together with the following  were directly 
represented on the Technical Committee entrusted with the preparation of this Tanzania Standard:  
 
Traffic Police HQ  
Land Transport Regulatory Authority (LATRA)  
University of Dodoma (UDOM)  
Superdoll Ltd  
 
 
 
 
 
 
 
 
 
Tanzania Bureau of Standards  
P O Box 9524  
Dar es Salaam  
Tel:  022 2450206/2450298/2450949  
Fax: 022 2450959  
E-mail: info@tbs.go.tz  
 
 
 
 
 
 
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
 
  
 
NATIONAL FOREWORD  
This Tanzania Standard has been prepared under Automotive Components Technical Committee 
(MEDC 09) , under supervision of Mec hanical Engineering Standards Divisional Committee.  
It is identical to SADC SARA HT 89: 2017 , Railway safety management – General , published by 
SADC Cooperation in Standardization (SADCSTAN) . 
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
 
  
  
SADC SARA HT 89: 2017   
  
 
 
 
 
 
 
 
 
 
 
SADC HARMONISED T EXT, SAFETY POLICY  
 
 
Railway safety management - General  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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Foreword  
 
The SADC Protocol on Trade was established under the SADC Treaty in 1996, to provide 
for the  elimination of tariffs and non -tariff barriers to trade.  One of the objecti ves of the 
Protocol on Trade under the Technical Barriers to Trade (TBT) Annex (No. 8) is to 
establish a common technical regulation framework, which is supported by seven (7) 
regional TBT Cooperation Structures. The TBT Annex places  an obligation on Membe r 
states to pursue harmonization of standards and this is done through the SADC 
Cooperation in Standardisation (SADCSTAN) which is one of the 7 regional TBT 
Cooperation Structures.  
 
Co-operation in standardisation is expected to result into having uniforml y harmonised 
standards. Harmonisation of standards within the region is expected to reduce TBTs that 
are normally encountered when goods and services are exchanged among SADC Member 
States due to differences in technical requirements. Harmonized SADC Stand ards are also 
expected to result into benefits such as greater industrial productivity and competitiveness, 
increased agricultural production and food security, a more rational exploitation of natural 
resources among others.  
 
Harmonized SADC Standards are developed by the SADC experts on standards through 
SADCSTAN Technical Committees  representing the National Standards Bodies and other 
stakeholders. Further, SADCSTAN in certain instances collaborates with SADC Sector 
Associations in the harmonization of st andards to address sector specific needs. In this 
regard, SADCSTAN collaborated with Southern African Railway Association (SARA) in the 
harmonization of this standard.   
 
This SADC  Harmonized Standards was prepared by the SADCSTAN Technical Committee 
on Au tomobile and Transportation (SADCSTAN TC 2) in collaboration with SARA.  
 
SADC Harmonized Standards are drafted in accordance with the SADCSTAN 
Harmonization Procedures which are in line with international procedures and practices.  
 
Attention is drawn to th e possibility that some of the elements of this document may be the 
subject of patent rights. SADCSTAN shall not be held responsible for identifying any or all 
such patent rights.  
 
 
 
 
 
 
 
 
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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Table of Contents  
 
Foreword…………………………………………………………………………………………….. i 
Table of Contents …………………………………………………………………………………..ii  
1 Scope  ................................ ................................ ................................ ..........................  1 
2 Normative references  ................................ ................................ ................................ .. 1 
3 Definitions and abbreviation s ................................ ................................ .......................  2 
4 Safety management system (SMS)  ................................ ................................ .............  4 
5 Policy, structure and procedure  ................................ ................................ ...................  4 
 5.1 RAs safety policy  ................................ ................................ ................................ .. 4 
 5.2 Nominated manager  ................................ ................................ .............................  4 
 5.3 Authority and responsibilities of the operator  ................................ .........................  5 
 5.4 Involvement of employees and their representative structures  ..............................  5 
 5.5 Annual safety improvement pla n ................................ ................................ ...........  6 
 5.6 Safety audits  ................................ ................................ ................................ .........  7 
 5.7 Compliance with safety legislation  ................................ ................................ .........  8 
 5.8 Document and data control  ................................ ................................ .................  11 
 5.9 SMS review  ................................ ................................ ................................ .........  12 
6 Operational risk management processes  ................................ ................................ ... 10 
 6.1 General  ................................ ................................ ................................ ...............  10 
 6.2 The risk management process  ................................ ................................ ............  10 
 6.3 Operational risk assessment processes  ................................ ..............................  11 
 6.4  Operational risk controls  ................................ ................................ .....................  11 
7 Occurrence management  ................................ ................................ ..........................  12 
 7.1 Occurrence manage ment processes  ................................ ................................ .. 12 
 7.2 Railway occurrence categories  ................................ ................................ ...........  12 
 7.3 Categories of immediate causes  ................................ ................................ .........  17 
 7.4 Human factor root (basic) cause  ................................ ................................ .........  19 
 7.5 Fatalities and injuries  ................................ ................................ ..........................  19 
 7.6 Railway occurrence recording, notification and reporting to  relevant national 
regulating authorities(see foreword)  ................................ ................................ .... 20 
8 Occurrence investigat ions ................................ ................................ ..........................  23 
9 Corrective action plans  ................................ ................................ ..............................  24 
10 Security management  ................................ ................................ ................................  24 
 10.1  General  ................................ ................................ ................................ .............  24 
 10.2  Security incidents categories  ................................ ................................ ............  25 
 10.3  Security incident recording, notification and reporting  ................................ ....... 30 
11 Information to be submitted  ................................ ................................ .......................  30 
 11.1  Quarterly reports  ................................ ................................ ...............................  30 
 11.2  Annual safety improvement plans  ................................ ................................ ..... 31 
12 Human factors management  ................................ ................................ ......................  31 
 12.1  General  ................................ ................................ ................................ .............  31 
 12.2  Human factors in design (human -system interface)  ................................ ..........  32 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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  12.3  Psychologica l factors  ................................ ................................ ........................  32 
 12.4  Physical environmental factors  ................................ ................................ ..........  33 
 12.5  Organizational factors  ................................ ................................ .......................  33 
 12.6  Standards and procedures  ................................ ................................ ................  33 
13 Procurement of goods and contracted services  ................................ .........................  35 
 13.1  Procurement  ................................ ................................ ................................ ..... 35 
 13.2  Contract management  ................................ ................................ ......................  35 
14 Safety standards for engineering and operational systems  ................................ ........  36 
 14.1  General  ................................ ................................ ................................ .............  36 
 14.2  Process control  ................................ ................................ ................................ . 36 
 14.3  Design and development  ................................ ................................ ..................  36 
 14.4  Inspection and testing  ................................ ................................ .......................  37 
 14.5  Method of assessment  ................................ ................................ ......................  38 
 14.6  Corrective action  ................................ ................................ ...............................  37 
15 Interoperability, interface and intraface management  ................................ .................  39 
 15.1  General  ................................ ................................ ................................ .............  39 
 15.2  Identification of  interfaces/intrafaces  ................................ ................................ . 39 
 15.3  Management of interfaces/intrafaces  ................................ ................................  37 
16 Changes to the SMS  ................................ ................................ ................................ .. 40 
17 Recognized management syste ms ................................ ................................ ............  40 
Annex A (informative)  The elements of the SMS  ................................ .............................  41 
Annex B (informative)  Guidance on the preparation of a safety policy statement  .............  42 
Annex C (informati ve)  Occurrence investigation report  ................................ ....................  43 
Annex D ( normative)  Occurrences that operators record and manage  ............................  46 
Annex E (normative)   Changes to the SMS  ................................ ................................ ...... 48 
Bibliography  ................................ ................................ ................................ ......................  50 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
_____________________________________________________  
Railway safety management - General  
_____________________________________________________  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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 1    Scope  
 
1.1  This SADC SARA  standard describes the minimum elements of a safety 
management system (SMS) to enable the RAs to develop an SMS for the 
management of safe railway operations under his/her control, taking into 
account each of the following in the asset lif e cycle phases:  
 
  a) The demands on and capacity of the railway operations;  
 
  b) Business goals and value propositions;  
 
  c) Critical activities enabling the business;  
 
  d) The asset base and its associated li fe cycle and maintenance plans;   
 
  e) The role of support services.  
 
1.2   It also describes the circumstances that will necessitate changes to the RA’s SMS.  
 
1.3 This standard applies to RAs as defined in the relevant national railway legislation  
 
1.4 The point of departure in the development of  an SMS is the risk management process 
as   described in clause  6. This process recognizes that the content of the elements 
which constitute an SMS is influenced by the complexity and nature of the railway 
operation.  
 
2   Normative references  
 
The followin g referenced documents are indispensable for the application of this 
document. For dated references, only the edition cited applies. For undated references, 
the latest edition of the referenced document (including any amendments) applies. 
Information on cu rrently valid national and international standards can be obtained from 
the relevant National Standards Body (NSB) or SARA . 
 
Recommendations on the Transport of dangerous goods  - Model  Regulations 
(classification – chapter 2)  
 
Recommendations on the Transp ort of dangerous goods  - Model Regulations (Packaging  
– chapter 6)  
 
SARA : Dangerous Goods Handbook  
 
 
3 Definitions  and abbreviations  
 
For the purposes of this document, the definitions and abbreviations given in the relevant 
national railway s afety legislation (see foreword) and the following apply.  
 
 
3.1 Definitions  
 
3.1.1  
Accident  
Unplanned event that results in harm to people or damage to property or the environment  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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3.1.2  
Adequacy and effectiveness audit  
Audit to assess the integrity, as de fined in the relevant national legislation (see foreword), 
of the elements and sub -elements of the SMS as they relate to the total system  
 
3.1.3  
Asset life cycle  
Design, construction/manufacturing, commissioning, operation, monitoring, maintenance, 
modific ation, decommissioning and disposal of an asset  
 
3.1.4  
Compliance audit  
Audit to assess whether all the elements and sub -elements of the SMS are in place and 
can be substantiated  
 
3.1.5  
Dangerous goods  
The commodities, substances and goods that are capable  of posing significant risk to 
health and safety of persons or damage  to property or the environment that are listed 
and/or referred  to in the Recommendations on the Transport of dangerous goods - Model 
Regulations chapters 2 classification and 6 packaging  
 
3.1.6  
Human factors  
Factors which include perceptual, physical and mental capabilities of people and 
interaction of individuals with their job and working environments, the influence of 
equipment and system design on human performance and the organisation al 
characteristics that influence safety -related behaviour at work.  
 
3.1.7  
Incident  
Unplanned event, which, under different circumstances, could have resulted in an accident  
 
3.1.8  
Interface  
Area, point, or location, either physical or organizational, wher e two or more operators' 
activities meet and where the activities have the potential to affect one another.  
 
 
 
 
 
3.1.9  
Intraface  
Area, point or location, either physical or organizational, where the activities of two or more 
of the functional disciplines w ithin an operator’s organization meet and have the potential 
to affect one another  
3.1.10  
Network  
A system of railway infrastructure elements comprising track, civil, infrastructure, train 
control and train authorization and control(signalling) systems and  where applicable 
electrical traction infrastructure which constitutes running lines, and any part of the 
following on which those elements are situated, including:  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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3.1.11  
Occurrence  
Railway occurrence  
Accident or incident that is managed by an RA in acc ordance with his/her safety 
management system  
 
3.1.12 
Safety critical work  
Functions and activities related to the authorization and control of the movement of rolling 
stock  
 
NOTE    This includes the direct supervision of those functions and activities.  
 
3.1.13 
Safety -related work  
Functions and activities that have an impact on safe railway operations  
 
NOTE    This includes safety critical work.  
 
3.2 Abbreviations  
 
CCTV  closed -circuit television  
DMU  diesel multiple unit  
EMU  electric multiple unit  
EDI electro nic data interchange  
EDP electronic data processing  
OHTE  overhead traction equipment  
PA public address  
PPE personal protective equipment  
SMS  safety management system  
SPAD  signal passed at danger  
 
4 Safety  management system (SMS)  
 
4.1 The management of safe ty is a dynamic risk management -driven process that requires 
commitment and understanding at all levels within an organization and documentary 
evidence of the existence of the elements of the SMS at the relevant levels within the 
organization.  
 
4.2 The RAs SMS requires that  
 
a) the risks are identified and managed, and  
 
b) the complexity of the railway operation is understood and taken into account.  
 
4.3 The development of an SMS shall be guided by the following criteria:  
 
a) what – the safety objectives of  an administrator;  
 
b) who – the responsible and accountable persons for the implementation of an SMS;  
 
c) how – the procedures for the implementation of the elements and sub -elements of an 
SMS; and  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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 NOTE    A diagrammatic representation of the elements of  an SMS is given in annex  A. 
 
d) monitoring – the monitoring and evaluation of an SMS to effect safety performance 
improvement.  
 
5 Policy , structure and procedures  
 
5.1 RAs safety policy  
 
5.1.1  A safety policy and objectives for, and commitment to, railway  safety shall be defined 
and documented by the RA.  
 
NOTE    Guidance on the preparation of a safety policy statement is given in annex B.  
 
5.1.2  The RA shall ensure that this policy is understood, implemented and maintained at 
all levels in the organization . 
 
5.2 Nominated  manager  
 
5.2.1  The head of the RA shall appoint in writing, a senior staff member, either directly 
reporting to the CEO, or a member of the executive management or mandated by 
the executive management as nominated manager. This appointment  shall be 
supported, where appropriate, by a dedicated section in the organization. The letter 
of appointment shall state that the nominated manager, irrespective of other 
responsibilities, shall ensure that the requirements of the said national railway sa fety 
legislation, the SADC SARA  HTs Railway safety management series of standards, 
other applicable standards, and directives or guidelines (or both) are effectively 
implemented, maintained and auditable. The letter of appointment may provide for 
the furth er delegation in writing of these responsibilities.  
 
A letter of appointment only in terms of the relevant national health and safety 
legislation (see foreword) and any other applicable legislation is not acceptable in 
accordance with the said railway safe ty legislation.  
 
5.2.2  The nominated manager is the principal point of contact for railway safety issues. 
The RA shall therefore ensure continuity of the position of the nominated manager 
and shall inform all to all the relevant parties  immediately in writ ing of a change of 
nominated manager.  
 
5.2.3  The authority and responsibility of the nominated manager shall be demonstrated by 
the requirements that such manager be mandated by the executive management, 
and that such manager may  
 
a) report directly to the  head of the RA, or  
 
b) be a member of the executive management.  
 
5.2.4  The nominated manager shall ensure that the RA produces and maintains 
documentation that details the elements of the SMS.  
 
5.3 Authority  and responsibilities of the RAs  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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 5.3.1  The RA s hall define the authority, safety roles, responsibilities, accountabilities and 
relationships of all organizational units and all levels of employees who manage, 
perform or verify work with regard to railway safety, and shall ensure that this 
information i s communicated to all levels in the organization.  
 
NOTE    The authority, responsibilities and accountabilities regarding railway safety shall be 
illustrated by  
 
a) an organizational chart placed in a prominant position that indicates the chain of safety 
responsibilities and linkages,  
 
b) clear job descriptions that include safety responsibilities and authorities, and  
 
c) clear performance evaluation systems that include safety  requirements.  
 
5.3.2   The RA shall define the safety roles and responsibilities o f customers, contractors 
and other parties whose activities could affect railway safety, and shall communicate 
these roles and responsibilities to all the relevant parties.  
 
5.3.3   The RA shall provide the resources required for the fulfillment of these 
responsibilities, including the personnel, skills, technology and funding.  
 
5.4  Involvement of employees and their representative structures  
 
The RA shall put in place procedures to ensure that employees or their representatives (or 
both) are  
 
a) involved i n the drafting of a safety policy for the organization,  
 
b) consulted on the setting of annual safety targets and the identification of associated 
safety initiatives,  
 
c) afforded the opportunity and encouraged to identify safety issues and concerns on a 
routine and ongoing basis, and  
 
d) informed of actions that are being taken or that are planned to address the safety 
issues and concerns they have identified.  
 
5.5 Annual  safety improvement plan  
 
5.5.1  General  
 
The RA shall develop an annual safety improve ment plan in accordance with guidelines 
provided by SADC SARA HT 89 . This plan shall support the RAs safety policy, 
demonstrating commitment to continual safety improvement. The annual safety 
improvement plan shall include the information described in 5.5. 2 to 5.5.5.  
 
5.5.2  RAs details  
 
The following details of the RA shall be included in the annual safety improvement plan:  
 
a) the legal name of the organization;  
 
b) the trade name;  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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 c) the company registration number;  
 
e) the physical address and postal ad dress of the RAs head office;  
 
f) the network, train or station operators (or a combination thereof), or private siding 
operators (siding numbers) included in the organization  
 
g) the contact details of the nominated manager (i.e. his/her name, job title, telephone 
number, cell phone  number, fax number and e -mail address).  
 
5.5.3  The safety improvement process  
 
The safety improvement process comprises the following:  
 
a) Results of the most recent risk assessment undertaken and the resultant risk control 
strategies.  
 
b) Railway safety trends indicating critical problem areas to be addressed.  
 
c) Periodic analyses by the RA of ocurrence data to identify safety trends and to provide 
feedback to the risk management process.  
 
d) Periodic review of the safety data  analyses by senior management.  
 
e) Based on the findings of (a) and (b) above, a list of the most critical railway issues to 
be addressed for the next year and beyond (i.e. year 1, 2 and 3) . 
 
f) A list of the annual corporate safety performance targets an d associated initiatives to 
achieve the targets for the next year and beyond (i.e. year 1, 2 and 3).  
 
g) A list of all action plans to be taken in order to reach all corporate safety performance 
targets as indicated in (e) above. This should include the ta rgets for the next three 
years, objectives, actions, the responsible person and the completion date.  
 
h) Where appropriate, annual safety performance targets set for each Railway 
administrator, which are measurable, meaningful and realistically achievable while 
taking into account the current realities. These targets shall  
 
1) promote continual safety improvement,  
 
2) be tailored to the needs of the RA  and 
 
3) be linked to the RAs risk management process.  
 
i) Initiatives undertaken to achieve the set targets that a re monitored, measured and 
reported to the head of the RA or his/her delegated representative and, where 
necessary, corrective actions taken.  
 
5.5.4  Changes  to the SMS and railway operations  
 
Changes to the SMS and railway operations shall be listed. Plann ed or expected changes 
for the next year and beyond (i.e. year 1, 2 and 3) shall also be listed.  
 
5.5.5  Approval  of the annual safety improvement plan  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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The annual safety improvement plan shall be approved by the head of the RA or his/her 
delegated represen tative, and communicated to the relevant employees.  
 
5.5.6  Submission  of the annual safety improvement plan  
 
The annual safety improvement plan shall be submitted to to all the relevant parties  every 
year on an agreed date.  
 
 
5.6 Safety  audits  
 
5.6.1  Gener al 
 
5.6.1.1  Safety  auditing comprises the elements of compliance and adequacy as described 
in 5.6.2 and 5.6.3, respectively.  
 
5.6.1.2  The audit process shall include the following:   
 
a) audits shall be conducted by competent personnel who are impartial and  objective;  
 
b) recognized audit methodologies shall be used that include validation through 
interviews, random spot checks, and feedback gathered from employees and relevant 
stakeholders;  
 
 NOTE    An example of an audit methodology is one that is used to audit compliance 
with an ISO management system.  
 
c) audits shall be conducted at least annually and shall be prioritized,  
 
 NOTE    Audits may be prioritized according to risk assessments, occurrences, or the 
operational entity site.  
 
d) findings of the aud its, including recommendations for corrective action, shall be 
documented and brought to the attention of employees who are responsible for safety 
in the areas concerned;  
 
e) the appropriate level of management shall consider the findings for the area that  has 
been audited, 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 
documented decisions;  
 
g) audit findings and corrective actions shall be reported  to senior management; and  
 
h) audit findings shall be signed off when implemented.  
 
5.6.1.3   Audit reports shall be retained for review by all the relevant parties for a period 
determined by the relevant national legislation (see foreword), but the period  shall 
be not less than three years.  
 
5.6.2  Compliance  with the SMS  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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 Regular compliance audits shall be carried out to verify  
 
a) the existence of the SMS elements and sub -elements as a minimum in compliance with 
this part of SADC  SARA HT and 
 
b) that the elements and sub -elements are implemented and complied with at the 
appropriate levels within the organization.  
 
5.6.3   Adequacy  and effectiveness of the SMS  
 
Adequacy and effectiveness audits shall be carried out to determine the adequacy and 
effectiveness  of each element and sub -element of the SMS as part of an integrated 
process for managing and improving operational safety.  
 
This audit component of the SMS should include periodic reviews of the system to ensure 
the continued suitability, adequacy and eff ectiveness of the SMS, taking into account 
changing circumstances, including the results and recommendations of risk assessments, 
occurrence investigations, and safety performance analyses.  
 
5.7 Compliance  with safety legislation  
 
5.7.1  An SMS shall includ e procedures to ensure that the RAs:  
 
a) 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, and  
 
d) evaluates compliance  with the legislative requirements.  
 
5.7.2  The RAs existing standards, including codes of practice, rules and notices, should be 
identified in the RAs SMS and will continue to apply in their current form, until 
amended or replaced. Procedures and processes  for developing new standards, and 
for amending, accepting or adopting existing standards are covered in relevant 
national railway safety regulations (see foreword).  
 
5.7.3  The RA shall  
 
a) develop systems and procedures to demonstrate and evalute complian ce with 
applicable railway safety regulations and standards, including codes of practice, rules, 
notices and directives, and  
 
b) identify exemptions and the procedures to demonstrate compliance with the terms or 
conditions specified in the notice of exempt ion. 
 
5.8  Document and data control  
 
5.8.1   All safety -related documents and data shall be in the specific area/region medium of 
instruction and may be made available in other official languages when required.  
 
5.8.2  The RA shall;  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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 a) establish and mainta in documented procedures to control all documents and data that 
relate to the SMS and railway operations, including, to the extent applicable, 
documents of external origin;  
 
b) in the event of electronic data processing (EDP) or electronic data interchange  (EDI) 
being used, ensure that procedures for the capturing, storing and processing of data 
comply with applicable legal requirements;  
 
c) approve documents and data before they are issued.  
 
5.8.3  Employees  who are authorized to approve safety -related docu ments for issue shall 
ensure that the contents are accurate and that the documents will be understood by 
all recipients to whom they apply.  
 
5.8.4  The RAs shall establish, develop or adopt, implement and maintain documented 
procedures to review documents a nd data for applicability and validity and to update 
and approve as appropriate.  
 
The changes to these documents and data shall be reviewed and approved by the 
same functions or organizations that performed the original review and approval, 
unless specific ally designated otherwise.  
 
The designated functions or organizations shall have access to pertinent background 
information upon which to base their review and approval.  
 
5.8.5  The RAs shall ensure that documents and data are current, legible and identifia ble. 
This can be achieved by the use of a master list, a file reference list or an equivalent 
document control procedure.  
 
5.8.6  The RAs shall establish, develop or adopt, implement and maintain procedures to 
ensure that  
 
a) the pertinent issues of appropr iate documents are available at all relevant locations 
and are understood by all recipients to whom they apply,  
 
b) where practicable, the nature of changes is identified in the documents or the 
appropriate attachments,  
 
c) invalid or obsolete documents ar e promptly removed from all points of issue or use, or 
otherwise assured against unintended use,  
 
d) any obsolete documents retained for legal or knowledge preservation purposes are 
suitably identified, and  
 
e) retention periods for documents and data are established, documented and complied 
with. 
 
5.8.7   The RAs shall ensure that procedures for the collection, indexing, filing, storage and 
disposal of safety records and reports, including documentation on occurrences and 
activities relating to railway safe ty, 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 that complies with the relevant national 
legislation (see foreword) and other relevant  specifications and standards.  
 
5.9  SMS review  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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 5.9.1   In order to ensure the continuing suitability and effectiveness of the SMS, the RAs 
shall review it at regular intervals not exceeding three years, or more frequently, as 
required.  
 
5.9.2   The proces s of review of the SMS shall be formalized, documented and signed off 
by the appropriate level of management.  
 
5.9.3   Since the results of the audit processes, unacceptable occurrence trends, or 
changes in operating and technical circumstances are likely t o be the prime catalysts 
for the need for more frequent reviewing of the SMS, the reasons for the review shall 
be documented.  
 
6 Operational  risk management processes  
 
6.1 General  
 
In the case of existing operations, many of the risks would already have be en considered 
and risk controls would have been included in the administrator's current rules, standards, 
procedures and operating practices. In this case, the risk assessment process would 
document this link and then focus on the results of occurrence inv estigations, a safety data 
analysis, complaints follow -up, inspections and audits to ensure that the risk is being 
mitigated to an acceptable level. This analysis should point RAs to areas where they could 
undertake initiatives beyond their current practic es in an effort to improve their overall 
safety performance.  
 
6.2 The risk management process  
 
The RAs 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; and  
 
e) monitoring the effectiveness of the controls.  
 
6.3 Operational  risk assessment processes  
 
NOTE    See 6.2  (a) and (b).  
 
6.3.1  The RAs shall establish, develop or adopt, implement and maintain procedures to 
identify, 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. Inp ut 
from occurrence investigations, safety performance data collection and analysis, 
inspections and safety audits shall be used to identify areas of existing operations 
where an analysis is required. RAs shall undertake a thorough analysis of both new 
operations and proposed changes to existing operations, as determined by the RA. 
In particular, operational safety concerns and issues relating to human factors and 
interfaces shall be assessed.  
 
6.3.3  In the case of new equipment, systems, operations, practic es and procedures where 
experience and a safety history are not available, formal analytical techniques shall 
be applied, taking into account international benchmarking.  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
14 
  
6.3.4  In addition, procedures for risk analysis should be reviewed periodically after  a major 
occurrence when the safety performance has not improved or on receipt of a 
directive from the relevant parties  
 
6.3.5  RAs shall prioritize and classify the identified hazards.  
 
6.4 Operational  risk controls  
 
NOTE    See 6.2  (c), (d) and (e).  
 
6.4.1  The RAs shall establish, develop or adopt, implement and maintain risk controls to 
address the risks identified and quantified in 6.2 to ensure business continuity. Risk 
controls are required for risks that have been classified as unacceptable or tolerabl e 
with mitigation. In generic terms, these controls can focus on  
 
a) terminating the situation, substance, condition or activity that generates the risk; or  
 
b) mitigating the probability or consequences of an occurrence.  
 
6.4.2  Operational  risk controls s hould be established, developed or adopted, implemented 
and maintained with full appreciation of the need to balance costs, benefits and 
opportunities.  
 
 
 
7 Occurrence  management  
 
NOTE    Occurrence management as reflected in this clause and annexes  C and D  are 
amplified in a standard which is in course of preparation.  
 
7.1 Occurrence  management processes  
 
7.1.1  The management of occurrences shall include the measures to be taken to minimise 
hazards at the scene, the consequences of the occurrences and the c onducting of 
investigations to determine the causes.  
 
7.1.2  The RAs shall establish, develop or adopt, communicate and maintain contingency 
plans, including emergency preparedness plans for railway operations. Such plans 
shall be integrated with similar pl ans of other RAs at the interfaces/intrafaces of 
railway operations and also with those of relevant external emergency responders, 
including the departments that deal with disaster management.  
 
7.1.3  The contingency plan, including an emergency preparednes s plan, referred to in 
7.1.2 shall be based on risk assessments to provide for the prevention and mitigation 
of the consequences of all potential occurrences associated with railway operations. 
The emergency preparedness plan shall address specifically, as  a minimum, the 
following:  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
15 
 a) initial response procedures;  
 
b) call-out procedures;  
 
c) on-site management of an occurrence;  
 
d) liaison with emergency responders;  
 
e) evacuation procedures;  
 
f) initiation of an investigation;  
 
g) environmental response a nd rehabilitation; and  
 
h) restoration of normal operations.  
 
7.2 Railway  occurrence categories  
 
7.2.1  General  
 
Railway occurrences shall be recorded and reported to all the relevant parties . These 
railway occurrences shall reflect the number of occurrence s and not the consequences 
thereof, which are to be recorded and reported as indicated in 7.5.  
 
7.2.2  Category  A — Collisions during movement of rolling stock  
 
Category A occurrences covers  the following:  
 
a) a collision between rolling stock on a running line; 
 
b) a collision of rolling stock with an obstruction on a running line (including road vehicles 
that collide with rolling stock);  
 
c) a collision of rolling stock with a stop block on a running line;  
 
d) a collision of rolling stock other than on a r unning line;  
 
e) a collision of rolling stock with an obstruction other than on a running line; and  
 
f) a collision of rolling stock with a stop block other than on a running line.  
 
NOTE    Level crossing collisions or persons struck by rolling stock in mot ion are excluded 
from this category.  
 
7.2.3  Category  B — Derailments during movement of rolling stock  
 
Category B occurrences cover the following:  
 
a) derailments of rolling stock on a running line;  
 
b) derailments of rolling stock on a line other than a r unning line; and  
 
c) derailments of rolling stock during tippler activities.  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
16 
 7.2.4  Category  C — Unauthorized movements (rolling stock movements exceeding 
the limit of authority)  
 
Category C occurrences cover the following:  
 
a) signal passed at danger on a  running line;  
 
b) signal passed at danger on any other line;  
 
c) passing limit of authority on a running line;  
 
d) passing limit of authority on any other line;  
 
e) physical train token limit passed on a running line;  
 
f) physical train token limit passed  on any other line;  
 
g) verbal authority exceeded on a running line;  
 
h) verbal authority exceeded on any other line;  
 
i) written authority exceeded on a running line; and  
 
j) written authority exceeded on any other line.  
 
7.2.5  Category  D — Level crossing  occurrences  
 
Category D occurrences cover the following:  
 
a) collisions between rolling stock and road vehicles (including motor vehicles, bicycles 
and animal -drawn vehicles) at a recognized level crossing on a running line;  
 
b) collisions between rolling  stock and road vehicles (including motor vehicles, bicycles 
and animal -drawn vehicles) on any line other than a running line (including yards, 
sidings and private sidings) at a recognized level crossing;  
 
c) persons struck by rolling stock at a recognized  pedestrian level crossing; and  
 
d) persons struck by rolling stock at a recognized road level crossing.  
 
7.2.6  Category  E — Persons struck during movement of rolling stock (other than at 
level crossings)  
 
Category E occurrences cover the following:  
 
a) occurrences where a member of the public is struck by rolling stock on a running line;  
 
b) occurrences where an employee is struck by rolling stock on a running line;  
 
c) occurrences where a contractor or a contractor’s employee is struck by rolling stock on  
a running line;  
 
d) occurrences where a member of the public is struck by rolling stock on a line other 
than a running line;  
 
e) occurrences where an employee is struck by rolling stock on a line other than a 
running line; and  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
17 
  
f) occurrences where a cont ractor or a contractor’s employee is struck by rolling stock on 
a line other than a running line.  
 
NOTE    In this category only the number of occurrences should be recorded and not the 
number of persons injured or fatally injured (or both).  
 
7.2.7  Category  F — People -related occurrences: trains outside station platform 
areas (in section)  
 
Category F occurrences cover the following:  
 
a) occurrences where a passenger fell or was pushed from inside a moving or stationary 
train;  
 
b) occurrences where an employe e fell or was pushed from inside a moving or stationary 
train; and  
 
c) occurrences where a contractor or contractor’s employee fell or was pushed from 
inside a moving or stationary train.  
 
7.2.8  Category  G — Passenger -related occurrences: travelling outsid e designated 
passenger area of train  
 
Category G occurrences cover the number of occurrences for each train on each 
scheduled route where passengers travel outside the designated passenger area of trains.  
 
7.2.9  Category  H — People -related occurrences: pla tform -train interchange  
 
Category H occurrences cover the following:  
 
a) occurrences where a passenger fell between the train and the platform whilst 
entraining/detraining a stationary or moving train;  
 
b) occurrences where a passenger fell on the platform  whilst entraining/detraining a 
stationary or moving train;  
 
c) occurrences where an employee fell between the train and the platform whilst 
entraining/detraining a stationary or moving train;  
 
d) occurrences where an employee fell on the platform whilst e ntraining/detraining a 
stationary or moving train;  
 
e) occurrences where a contractor or a contractor’s employee fell between the train and 
the platform whilst entraining/detraining a stationary or moving train; and  
 
f) occurrences where a contractor or a contractor’s employee fell on the platform whilst 
entraining/detraining a stationary or moving train.  
 
7.2.10  Category  I — People -related occurrences: Station infrastructure  
 
Category I occurrences cover the following:  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
18 
 a) occurrences resulting in injuries  and fatalities to the public due to infrastructure defects 
in a public area of the station;  
 
b) occurrences resulting in injuries and fatalities to passengers due to infrastructure 
defects in the passenger area of the station;  
 
c) occurrences resulting in  injuries and fatalities to an employee due to infrastructure 
defects in a public area of the station;  
 
d) occurrences resulting in injuries and fatalities to an employee due to infrastructure 
defects in the passenger area of the station;  
 
e) occurrences r esulting in injuries and fatalities to a contractor or a contractor’s 
employee due to infrastructure defects in a public area of the station; and  
 
f) occurrences resulting in injuries and fatalities to a contractor or a contractor’s 
employee due to infrast ructure defects in the passenger area of the station.  
 
7.2.11  Category  J — Electric shock  
 
Category J occurrences cover the following:  
 
a) an electric shock to a member of the public on the network infrastructure;  
 
b) an electric shock to an employee on th e network infrastructure;  
 
c) an electric shock to a contractor or a contractor’s employee on the network 
infrastructure;  
 
d) an electric shock to a member of the public, including passengers, whilst on rolling 
stock or in rolling stock;  
 
e) an electric sh ock to an employee whilst positioned on rolling stock or on part of rolling 
stock;  
 
f) an electric shock to a contractor or a contractor’s employee whilst positioned on rolling 
stock;  
 
g) an electric shock to a member of the public in the public area of a station;  
 
h) an electric shock to an employee in the public area of a station;  
 
i) an electric shock to a contractor or a contractor’s employee in the public area of a 
station;  
 
j) an electric shock to a passenger in the passenger area of a station;  
 
k) an electric shock to an employee in the passenger area of a station; and  
 
l) an electric shock to a contractor or a contractor’s employee in the passenger area of a 
station.  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
19 
 7.2.12  Category  K — Spillage/leakage, explosion or loss of dangerous goods  
 
Categor y K occurrences, as given in Recommendations on the Transport of dangerous 
goods - Model Regulations , (chapters 2 classification and 6 Packaging ), and SARA 
Dangerous Goods Handbook, cover s the following:  
 
a) spillage or leakage of dangerous goods en route;  
 
b) spillage or leakage of dangerous goods during shunting operations;  
 
c) spillage or leakage of dangerous goods whilst staged;  
 
d) missing consignments of dangerous goods;  
 
e) theft of dangerous goods; and  
 
f) explosion of dangerous goods.  
 
 
7.2.13  Categ ory L — Fires  
 
Category L occurrences cover the following:  
 
a) fires in fixed operational assets (for example in station buildings, tunnels, relay rooms 
and substations);  
 
b) freight fires;  
 
c) rolling stock fires; and  
 
d) veld fires that threaten operatio nal safety.  
 
7.3 Categories  of immediate causes  
 
7.3.1  General  
 
In addition to the recording and reporting of occurrences as required in categories A, B and 
D (see 7.2.2, 7.2.3 and 7.2.5, respectively), the immediate causes of railway occurrences 
shall be recorded in the categories and sub -categories as required in 7.3.2 to 7.3.7 and 
reported in the quarterly reports as required in clause  11. 
 
7.3.2  Track  and civil infrastructure  
 
The category of track and civil infrastructure covers the following:  
 
a) rail breaks;  
 
b) kick-outs;  
 
c) track geometry, including slacks, twists and cants ( super elevations ); 
 
d) gauge widening;  
 
e) wash -aways;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
20 
  
f) defective points and crossings;  
 
g) structural failure (bridges, culverts, tunnels and overhead traction equipment (O HTE));  
 
h) cuttings or embankment failure; and  
 
i) other (specify).  
 
7.3.3  Signalling  failures  
 
The category of signalling failures covers the following:  
 
a) wrong -side signal failure;  
 
b) signal equipment defects;  
 
c) electromagnetic interference; and  
 
d) other (specify).  
 
 
7.3.4  Rolling  stock failures  
 
The category of rolling stock failures covers the following:  
 
a) broken axle;  
 
b) braking system failure;  
 
c) coupler failure;  
 
d) wheel profile including a sharp wheel flange;  
 
e) high-tension equipment fi re; and  
 
f) other (specify).  
 
7.3.5  Operational  irregularities  
 
The category of operational irregularities covers the following:  
 
a) loading irregularities;  
 
b) movements that exceed the limits of authority, including signals passed at danger 
(SPADs);  
 
c) speeding;  
 
d) shunting irregularities; and  
 
e) any other operational irregularities (for example errors caused by drivers, train control 
officers (TCOs), shunters and maintenance personnel).  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
21 
 7.3.6  Security  aspects  
 
The category of security aspects covers the following:  
 
a) vandalism (wilful acts not for gain) of operational assets;  
 
b) theft of operational assets;  
 
c) malicious damage (vandalism) to property, impacting on operational safety; and  
 
d) other (specify).  
 
7.3.7  Externalities  
 
The category of ex ternalities covers the following:  
 
a) power outages;  
 
b) adverse weather conditions;  
 
c) non-compliance with road signage; and  
 
d) other (specify).  
 
7.4 Human  factor root (basic) cause  
 
7.4.1 In addition to the recording and reporting of occurrences as req uired in categories A 
to D (see 7.2.2 to 7.2.5), the human factor root (basic) cause of railway occurrences 
shall be recorded in the categories and sub -categories as required in 7.4.2 and 
reported in the quarterly reports as required in clause  11. 
 
7.4.2  Categories  of the human factor root (basic) cause cover the following:  
 
a) failure of the human resources procurement and placement process (recruitment);  
 
b) substance abuse;  
 
c) shift work and fatigue;  
 
d) training;  
 
e) unfit for duty owing to a physical or psychological condition (or both);  
 
f) gross negligence; and  
 
g) other (specify).  
 
7.5 Fatalities  and injuries  
 
7.5.1  The RAs shall record and report fatalities and injuries resulting from railway 
occurrences that are recorded in the categories and sub -categories A to L (see 7.2.2 
to 7.2.13), in the categories as required in 7.5.2, in accordance with 7.6 and in 
accordance with the relevant national health and safety legislation (see foreword).  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
22 
 7.5.2  The number of members of the public  
 
a) fatally injure d, 
 
b) seriously injured, and  
 
c) that suffered minor injuries  
 
shall be recorded and reported as specified in 7.5.1.  
 
7.5.3  The number of employees  
 
a) fatally injured,  
 
b) seriously injured, and  
 
c) that suffered minor injuries.  
 
shall be recorded and re ported as specified in 7.5.1.  
 
7.5.4  The number of contractor or contractor employees  
 
a) fatally injured,  
 
b) seriously injured, and  
 
c) that suffered minor injuries  
 
shall be recorded and reported as specified in 7.5.1.  
 
7.5.5  The number of passengers  
 
a) fatally injured,  
 
b) seriously injured, and  
 
c) that suffered minor injuries  
 
shall be recorded and reported as specified in 7.5.1.  
 
7.6 Railway  occurrence recording, notification and reporting to the relevant national 
regulating authority  
 
7.6.1  General  
 
7.6.1.1  RAs shall ensure that procedures for recording and reporting of occurrences are 
established, developed or adopted and maintained in compliance with 5.8, 7.2, 7.3, 
7.4 and 7.5.  
 
7.6.1.2  The format of the documentation shall be in accordance with t he directives or 
guidelines (or both) provided by the relevant national regulating authority. In the 
event of more than one RAs being involved in a railway occurrence, all RAs shall 
report the occurrence to their respective regulating authorities and relev ant parties.  
 
7.6.1.3  In addition to the railway occurrences that are reported to the respective regulating 
authorities and relevant parties.  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
23 
  
RAs are expected to track those occurrences that could assist them in assessing 
their own safety performances. Th ese occurrences might be incidents that could 
serve as leading indicators of problems and that could be used to identify 
shortcomings in procedures or products, or they could be used to identify specific 
problem areas.  
 
See annex  D for a list of examples o f occurrences that the RAs shall record and 
manage other than the ones required to be reported to the respective regulating 
authorities and relevant parties.  
. 
 
7.6.1.4  RAs shall identify the safety data to be collected to assess performance with regard 
to their annual safety targets and to address other analytical requirements.  
 
7.6.2  Immediate  telephonic notification (within 15 min)  
 
Railway occurrences (see categories A to L as given in 7.2.2 to 7.2.13) that result in 
injuries or fatalities to people, or  significant damage to property and the environment shall 
be reported telephonically by the RAs to the respective regulating authorities and relevant 
parties.  
 
 (see foreword) within 15  min. 
 
These occurrences include extensive damage to rolling stock and infrastructure, threats to 
nearby communities or the environment resulting from a spillage of dangerous goods, or 
other major disruptions that affect normal train operations.  
 
7.6.3  Immediate  written notification (within 12 h)  
 
7.6.3.1  Railway  occurrences (see categories A to L as given in 7.2.2 to 7.2.13) that have 
been notified in terms of 7.6.2 shall be confirmed in writing via fax or e -mail to the 
respective regulating authorities and relevant parties.  
 
 (see foreword) within 12  h. 
 
7.6.3.2  The written notification shall provide at least the following information:  
 
a) the name of the RAs; 
 
b) the physical address of the RAs; 
 
c) the date of reporting the occurrence;  
 
d) the date of the occurrence;  
 
e) the time of the occurrence;  
 
f) the place of the occu rrence;  
 
g) the province of the occurrence;  
 
h) a short description of the occurrence;  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
24 
 i) details of dangerous goods involved, including details of the consignor, the quantity 
spilled, the shipping name, the United Nations (UN) number and also damage to 
property, assets and the environment; and  
 
j) the name and contact details of the reporting person.  
 
7.6.4  Daily  occurrence report  
 
7.6.4.1  The respective regulating authorities and relevant parties’  foreword) shall receive 
daily reports of occurrences (cat egories A to L) that occurred in the prevailing 
period 00:00 to 23:59 by 11:00 on the following day, except for weekends or 
holidays in which case the reports shall be provided by 11:00 on the next working 
day. 
 
These reports shall include fatalities and i njuries that emanate from attempted 
suicides or people struck by trains whilst trespassing on the railway reserve.  
 
7.6.4.2  The daily reports shall include the immediate reportable occurrences as described 
in 7.6.3.  
 
7.6.4.3  The daily reports shall provide  at least the following information:  
 
a) the name of the RAs; 
 
b) the name of the reporting person;  
 
c) the physical address of the RAs;  
 
d) the date of reporting the occurrence;  
 
e) the date of the occurrence;  
 
f) the time of the occurrence;  
 
g) the place  of the occurrence;  
 
h) the province of the occurrence;  
 
i) a short description of the occurrence;  
 
j) the railway occurrence category and sub -category;  
 
k) the RAs’s occurrence reference number.  
 
l) details of dangerous goods involved, including details o f the consignor, the quantity 
spilled, the shipping name, the UN number and also damage to property, assets and 
the environment; and  
 
m) the names of the persons contacted.  
 
7.6.5  Ad hoc reports  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
25 
 7.6.5.1  In addition to the information to be provided in ter ms of 7.6.2, 7.6.3 and 7.6.4 
respective regulating authorities and relevant parties (see foreword) may request 
additional information, such as:  
 
a) the exact location of the occurrence (i.e. the kilometre point or mast pole(s) number(s)),  
 
b) the train num ber(s) involved,  
 
c) the type of train (i.e. passenger, freight, tourism, or mixed trains, inspection trolleys and 
on-track maintenance machinery),  
 
d) the type of braking system (i.e. vacuum or air brake),  
 
e) the gradient at the point of occurrence,  
 
f) the type of power (i.e. 3 kV dc, or 25 kV ac, or 50 kV ac,) or non -electrified,  
 
g) the classification of the line (i.e. light rail, heavy rail (N1, N2, N3 or S1), or monorail),  
 
h) the motive power (locomotives, whether electric multiple units (EMUs) or d iesel multiple 
units (DMUs)),  
 
i) the name of the network operator (if different from that of the train operator),  
 
j) the name of the station operator (if different from that of the train operator),  
 
k) the content of the load of the freight train (if app licable),  
 
l) the names of train personnel involved,  
 
m) the weather conditions (at the time of the occurrence),  
 
n) a description of the immediate natural and built environment,  
 
o) the method of train authorization,  
 
p) normal or abnormal train working,  
 
q) the possible cause of the incident, and  
 
r) the number of injuries and fatalities.  
 
7.6.5.2  The respective regulating authorities and relevant parties shall receive prompt 
notification of any occurrence that otherwise might not have been reported in te rms 
of 7.6 in order to be in a position to respond to queries. Such queries might include 
queries from politicians, the community, local interest groups and the media.  
 
8 Occurrence  investigations  
 
8.1 RAs are encouraged to adopt a just culture to occurren ce investigations in which the 
sole focus will be to determine the facts and the root cause(s) of the occurrence and to 
make recommendations to prevent or reduce the risk of recurrence rather than to 
allocate blame or liability (or both).  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
26 
 8.2 In complianc e with the provisions of the relevant national railway safety legislation (see 
foreword), RAs shall establish, develop or adopt, implement and maintain procedures 
for investigating the root cause(s) of occurrences and implementing the corrective 
action(s) needed to prevent recurrences of occurrences.  
 
8.3 The scope and level of investigation shall be determined by the frequency, severity and 
consequences, both actual and potential, of the occurrence.  
 
8.4 Persons  appointed to investigate occurrences shall h ave the necessary competence 
and seniority, both in relation to the nature and seriousness of the occurrence, and the 
scope and level of the investigation.  
 
8.5 RAs shall ensure that their respective occurrence investigation processes provide for 
cooperati on, support in collating evidence, and the undertaking of joint occurrence 
investigations at the interface/intraface of railway operations.  
 
8.6 Occurrence  investigation reports shall be retained by operators (see 5.8.7) and made 
available to respective re gulating authorities and relevant parties (see foreword), when 
required.  
 
NOTE    Depending on the scope and level of the investigation, and as a minimum 
recommendation, the contents of the occurrence investigation report described in annex  C 
should be addr essed.  
 
9 Corrective  action plans  
 
9.1 RAs shall establish, develop or adopt, document and maintain procedures for  
 
a) the development of corrective action plans that focus on reducing the risk of the 
problem or the occurrence recurring,  
 
b) obtaining the appropriate management approval of recommended actions,  
 
c) formal monitoring of the implementation of corrective actions and compliance with the 
corrective actions approved by management,  
 
d) the application of controls to ensure that corrective actions a re taken and that they are 
effective, and  
 
e) the implementation and recording of changes that result from corrective actions.  
 
9.2 Corrective  actions may include the following:  
 
a) directives or guidelines (or both) issued by respective regulating authori ties and relevant 
parties. (see foreword);  
 
b) occurrence investigation reports;  
 
c) safety audit reports;  
 
d) the evaluation of compliance with standards;  
 
e) risk control strategies;  
 
f) skills and competency requirements;  
 
g) a safety performance data a nalysis; and  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
27 
  
h) other (specify).  
 
 
10 Security  management  
 
10.1 General  
 
10.1.1  RAs shall develop procedures, processes and systems in collaboration with the 
respective regulating authorities and relevant parties. (see foreword) with the 
objective of:  
a) preventing security incidents as described in 10.2,  
 
b) managing security incidents, and  
 
c) notifying and reporting security incidents to the respective regulating authorities and 
relevant parties . (see foreword) and other relevant authorities in accordan ce with 10.3.  
 
10.1.2  RAs shall establish, develop or adopt, communicate and maintain contingency 
plans, including emergency preparedness plans for security incidents. Such plans 
shall be integrated with similar plans of other operators at the interfaces/i ntrafaces 
of railway operations and also with those plans of relevant external emergency 
responders, including the police services and the departments of provincial and 
local government.  
 
10.1.3  The contingency and emergency preparedness plans referred to in 10.1.2 shall be 
based on risk assessments to provide for the prevention and mitigation of the 
consequences of all potential security -related incidents associated with railway 
operations.  
 
10.2 Security  incidents categories  
 
10.2.1  General  
 
Security inci dents shall be recorded and reported to the respective regulating authorities 
and relevant parties . (see foreword) in the categories 1 to 9 as given in 10.2.2 to 10.2.10. 
These records and reports shall reflect the number of incidents and not the consequen ces 
thereof.  
 
10.2.2  Category  1 — Theft of assets  
 
Category  1 incidents cover the theft of the following assets, causing an impact on 
operational safety:  
 
a) rolling stock components in sections;  
 
b) rolling stock components in yards and sidings;  
 
c) civil infrastructure components in sections;  
 
d) civil infrastructure components in yards and sidings;  
 
e) overhead traction equipment in sections;  
 
f) overhead traction equipment in yards and sidings;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
28 
  
g) train authorization and control systems and equipment i n sections;  
 
h) train authorization and control systems and equipment in yards and sidings; and  
 
i) ancillary equipment, including public address (PA) systems, information boards and 
closed -circuit television (CCTV).  
 
10.2.3  Category  2 — Malicious damage ( vandalism) to property  
 
Category 2 incidents cover malicious damage (vandalism) to the following, causing an 
impact on operational safety:  
 
a) rolling stock components in sections;  
 
b) rolling stock components in yards and sidings;  
 
c) civil infrastructure  components in sections;  
 
d) civil infrastructure components in yards and sidings;  
 
e) overhead traction equipment in sections;  
 
f) overhead traction equipment in yards and sidings;  
 
g) train authorization and control systems and equipment in sections; and  
 
h) train authorization and control systems and equipment in yards and sidings; and  
 
i) ancillary equipment including, PA systems, information boards and CCTV.  
 
10.2.4  Category  3 — Threats  
 
Category  3 incidents cover the following threats to operational s afety:  
 
a) bomb threats to networks;  
 
b) bomb threats to stations;  
 
c) bomb threats to rolling stock;  
 
d) threats due to electrical power outages; and  
 
e) threats other than bomb and power outage threats.  
 
10.2.5  Category  4 — Hijacking of trains  
 
Category  4 incidents cover the kidnapping of train crews and the hijacking of  
 
a) passenger trains,  
 
b) freight trains, and  
 
c) other rolling stock.  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
29 
  
10.2.6  Category  5 — Crowd -related incidents  
 
Category  5 incidents cover crowd -related incidents and include stamped es. 
 
10.2.7 Category  6 — Industrial action  
 
Category  6 incidents cover industrial action that causes a threat to safe railway operations 
or to security.  
 
10.2.8  Category  7 — Personal safety on trains  
 
Category  7 incidents cover the following:  
 
a) murder;  
 
b) attempted murder;  
 
c) rape;  
 
d) assault;  
 
e) indecent assault;  
 
f) aggravated robbery;  
 
g) common robbery;  
 
h) theft; and  
 
i) bomb explosions.  
 
10.2.9  Category  8 — Personal safety on stations  
 
Category  8 incidents cover the following:  
 
a) murder;  
 
b) attempted murder;  
 
c) rape;  
 
d) assault;  
 
e) indecent assault;  
 
f) aggravated robbery;  
 
g) common robbery;  
 
h) theft; and  
 
i) bomb explosions.  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
30 
 10.2.10  Category  9 — Personal safety outside station platform areas  
 
Category  9 incidents cover the following rega rding personal safety outside station platform 
areas (in sections between stations, including yards, sidings and depots):  
a) murder;  
 
b) attempted murder;  
 
c) rape;  
 
d) assault;  
 
e) indecent assault;  
 
f) aggravated robbery;  
 
g) common robbery;  
 
h) theft; a nd 
 
i) bomb explosions.  
 
10.3 Security  incident recording, notification and reporting  
 
10.3.1  All security incidents shall be recorded and reported to the police services in terms 
of guidelines provided to the RAs by respective regulating authorities and r elevant 
parties from time to time.  
 
10.3.2  In addition, RAs shall report security incidents in the categories described in 10.2.2 
to 10.2.10 to respective regulating authorities and relevant parties (see foreword) 
as provided for in clause  11. 
 
11 Informat ion to be submitted (where applicable)  
 
11.1 Quarterly  reports  
 
11.1.1  Quarterly  reports shall be submitted not later than the end of the month following 
the quarter under review. The quarters shall follow the cycle  
 
a) April to June,  
 
b) July to September , 
 
c) October to December, and  
 
d) January to March.  
 
11.1.2  In addition to the railway occurrence recording, notification and reporting required in 
7.6, RAs shall submit to the respective regulating authorities and relevant parties 
(see foreword) quarterl y railway occurrence reports and security incident reports 
that shall comprise a summary of the following:  
 
a) the railway occurrences in accordance with the sub -categories listed in categories A to 
L as described in 7.2;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
31 
  
b) the immediate causes as descri bed in 7.3;  
 
c) the human factor root (basic) cause as described in 7.4;  
 
d) fatalities and injuries as described in 7.5; and  
 
e) security incidents in accordance with the sub -categories listed in the categories  1 to 9 
as described in 10.2.  
 
11.1.3  Quarter ly reports shall also provide the following management information:  
 
a) explanations of significant changes in trends in each category and sub -category;  
 
b) recommendations that are proposed and accepted to address the trends in (a);  
 
c) actions taken to a ddress any adverse trends;  
 
d) actions that lead to favourable results and lessons learned; and  
 
e) traffic information, in order to normalize occurrence trends.  
 
11.2 Annual  safety improvement plans  
 
In addition to the quarterly reports as described in 11 .1, RAs shall submit annual safety 
improvement plans in accordance with 5.5 to respective regulating authorities and relevant 
parties (see foreword). These plans shall demonstrate continual safety improvement and 
the effectiveness of the SMS.  
 
12 Human  factors management  
 
12.1 General  
 
12.1.1  The management of human factors as reflected in this clause is amplified in SADC 
SARA HT 93  
 
12.1.2  Human  factors is a holistic discipline that includes the perceptual, physical and 
mental capabilities and limitations of persons and the interaction of individuals with 
their respective working and passenger environments, the influence of equipment 
and systems design on human performance, and the organizational characteristics 
that influence safety -related behaviour.  
 
12.1.3 The management of human factors applies a user -oriented philosophy that 
acknowledges human variability as a parameter. The result incorporates features 
that take advantage of unique human capabilities and also built -in safeguards to 
mitigate the impact  of human error or misbehaviour (or both). The benefit of a 
human factors management programme is measured by the level of improved 
efficiency, safety, health and comfort for the user and optimized safety and 
productivity for the organization.  
 
12.1.4  The management of human factors encompasses the following:  
 
a) human factors in design (human -system interface);  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
32 
 b) psychological factors:  
 
1) psychosocial factors; and  
 
2) psychophysiological factors;  
 
c) physical environmental factors; and  
 
d) organizational fact ors. 
 
12.2 Human  factors in design (human -system interface ) 
 
12.2.1  The human -system interface is an interaction between persons and one or more 
physical components to bring about a desired output or to fulfil the function for 
which the human system is des igned  in order to optimize human performance and 
mitigate risks in railway operations.  
 
12.2.2  The work environment refers to the physical area in which tasks are performed. The 
performance of tasks is directly linked with the human -system interface. Human  
capabilities and limitations are important factors to bear in mind when designing 
work interfaces, irrespective of their size or nature.  
 
12.2.3  The two aspects of the human anatomy that are of particular importance in the 
design of system interfaces and equipment are anthropometrics (dealing with the 
size and proportions of the human body) and biomechanics (dealing with how the 
human body applies forces to itself and objects with which it comes into contact, 
and how the human body is affected by external forces ). These two aspects cover 
the limited ability of the human body to adapt to poor workplaces and the forces on 
and by the human body.  
 
12.3 Psychological  factors  
 
12.3.1  General  
 
Psychological factors are a person’s cognitive ability (judgement, reas oning, memory and 
perception), emotions, personality, aptitude, attitude and motivation. These factors 
determine how a person receives stimuli, processes the information and responds. A 
person’s psychological makeup is further influenced by the interaction  of physiological and 
social aspects (see 12.3.2 and 12.3.3).  
 
12.3.2  Psychophysiological  factors  
 
Psychophysiological factors are those factors that deal with the relationship between 
physiological processes and thoughts, emotions, and behaviour. These fa ctors might 
impair the sensory, motor -functional and cognitive abilities of a person to perform tasks 
effectively and safely.  
 
12.3.3  Psychosocial  factors  
 
Psychosocial factors are the inherent characteristics of a person, which include 
personality, attitu de, aptitude and motivation that are prone to be influenced by a person’s 
interaction with his/her social environment. The social environment includes both his/her 
workplace and the impact of the external environment on a person’s safe working 
behaviour.  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
33 
  
12.4 Physical  environmental factors  
 
Physical environmental factors are stressors that can impact on the human physiological 
and psychological equilibrium, and consequently on railway safety.  
 
12.5 Organizational  factors  
 
Organizational factors are charact eristics that  refer to the inherent features of 
organizations that influence the safe behaviour of people at work. These factors include 
the safety culture, the safety climate, leadership, the demonstration of management's 
commitment to safety, the physica l work environment, policies and systems that address 
human factors, and that consequently impact on railway safety.  
 
12.6 Standards  and procedures  
 
12.6.1  RAs shall establish, develop, adopt, document and maintain standards and 
procedures for the manageme nt of human -system interfaces to optimize human 
performance and mitigate risks in railway operations.  
 
12.6.2  RAs shall establish, develop, adopt, document and maintain standards and 
procedures for  the management of psychological factors in order to mitiga te the 
potential effects of these factors on railway safety. These factors include:  
 
a) return  to work  or normal  duties:   care should be taken when a person returns to work 
after a period of absence, depending on the reason for the absence;  
 
b) shift work:   understanding the impact and nature of shift work and its relationship to 
work performance;  
 
c) night  work:   understanding the impact and nature of night work and the management of 
employee activities during the day;  
 
d) substance  abuse:   understanding t he impact of substance abuse (i.e. the abuse of 
drugs, alcohol and medication);  
 
e) pregnancy:   employers shall determine the limit of the duration of work by pregnant 
employees in safety -related roles;  
 
f) medication:   employees shall understand and decla re the impact of the type of 
medication on their ability to execute their duties safely;  
 
g) illness:   employers and employees shall understand and manage chronic, acute and 
life-threatening diseases/illnesses; and  
 
h) stress:   employers and employees shal l understand and manage physical and mental 
stress.  
 
12.6.3   The RAs shall establish, develop, adopt, document and maintain standards and 
procedures for  the management of environmental stressors, such as  
 
a) noise:   any sound that can have a distracting ef fect and impact on railway safety,  
 
b) vibration:   any vibration that can have a negative effect and impact on railway safety,  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
34 
  
c) lighting:   includes proper illumination, luminance, contrast and glare of the working and 
passenger environment that impact o n railway safety,  
 
d) temperature:   temperature extremes that can have a negative effect and impact on 
railway safety.  
 
e) toxic substances:   any toxic substances that can have a negative effect and impact on 
railway safety.  
 
12.6.4  RAs shall establish, de velop, adopt, document and maintain standards and 
procedures for  the management of organizational factors in relation to safety -
related roles as a minimum in order to ensure safe railway operations. These 
include  
 
a) human  factor  risk assessments:   RAs sha ll have processes to assess human -factor -
related hazards, unsafe conditions and risks impacting on workers in safety -related 
roles, which can have an effect on railway safety. These risk assessments should 
ensure that hazards are identified and risks are m itigated,  
 
b) medical  surveillance:   RAs shall have processes to assess the mental and physical 
fitness of workers for potential and existing safety -related duties,  
 
c) recruitment,  selection  and placement:   RAs shall have processes to ensure that 
employee s in safety -related roles are able to perform the tasks required of them and 
should ensure compatibility between the capabilities and limitations of employees and 
task demands,  
 
d) training:   RAs shall have processes to ensure that employees in safety -related roles 
have the necessary knowledge, competencies and skills to perform their work safely,  
 
e) return  to work  or normal  duties:   RAs shall have processes to manage workers in 
safety -related roles who return to work or who resume normal duties after a pe riod of 
absence,  
 
f) shift work:   RAs shall have processes to manage the impact of shift work on the 
organization and the consequences thereof (such as fatigue, burnout and ill health) on 
persons in safety -related roles,  
 
g) night  work:   RAs shall have pro cesses to manage the impact of night work on the 
organization and the consequences thereof (such as fatigue, psychosocial 
consequences and ill health) on persons in safety -related roles,  
 
h) substance  abuse:   RAs shall have processes to manage the use, mis use and abuse of 
substances by workers in safety -related roles,  
 
i) pregnancy:   RAs shall have processes to manage the impact of pregnancy on workers 
in safety -related roles. The organization shall monitor the task requirements of pregnant 
employees and en sure that they are not given any task that may impact on railway 
safety,  
 
j) medication:   RAs shall have processes to manage the use, misuse and abuse of 
medication by workers in safety -related roles,  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
35 
 k) illness:   RAs shall have processes to manage the imp act of chronic, acute and life -
threatening diseases/illnesses on workers in safety -related roles,  
 
l) stress:   RAs shall have processes to manage the impact of stress on workers in safety -
related roles,  
 
m) employee  wellness:   RAs shall have processes to m anage the wellbeing of workers in 
safety -related roles, and  
 
n) fitness  for duty:   RAs shall have processes to enable supervisors to ensure that 
employees in safety -related roles are fit for duty.  
 
13 Procurement  of goods and contracted services  
 
13.1 Proc urement  
 
The RAs shall establish, develop or adopt, implement and maintain procedures for 
ensuring that purchased goods, services and products comply with specified railway safety 
requirements. These procedures shall ensure that  
 
a) procurement documents c ontain adequately specified railway safety requirements,  
 
b) steps are taken to verify that the supplied goods or services, including those supplied 
from within the organization, comply with railway safety requirements before they are 
accepted, and  
 
c) where appropriate or specified, traceability of manufacture through batch or other 
identification is available.  
 
13.2 Contract  management  
 
13.2.1  General  
 
13.2.1.1  The RAs shall establish, develop or adopt, implement and maintain procedures 
for the management  of contracts in respect of safety issues.  
 
13.2.1.2  Tender  or proposal invitation documents shall be reviewed by the organization to 
ensure that railway safety requirements are adequately defined and documented. 
Any conflict between the specified railway safety requirements and those 
contained in a tender or proposal shall be resolved before a contract is awarded.  
 
13.2.1.3  The capability of a likely contractor to comply with the specified safety 
requirements shall be reviewed before a contract is awarded.  Permission for the 
engagement of a subcontractor by the contractor both initially and during a 
contract shall be subject to a review of the capability of the proposed 
subcontractor to comply with the specified railway safety requirements.  
 
13.2.2  Assessme nt of contractors and subcontractors  
 
Procedures for the selection, control and ongoing review of contractors and subcontractors 
for safety -related work, including the coordination of these activities across all parts of the 
organization, shall be establis hed and maintained. The type and extent of control 
exercised shall be dependent upon the type of service and, where appropriate, the records MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
36 
 of contractors’ and subcontractors’ previously demonstrated capabilities and safety 
performance.  
 
14 Safety  standar ds for engineering and operational systems  
 
14.1 General  
 
Safety standards for engineering and operational systems as reflected in this clause are 
amplified in SADC SARA  HT 90 , SADC SARA HT 91 , SADC SARA HT 92 , SADC SARA 
HT 94  & SADC SARA HT 95  
 
RAs shall establish, develop or adopt, implement and maintain safety standards, 
procedures and instructions for engineering and operational systems to cover the 
applicable life cycle phases, namely design, construction/manufacturing, commissioning, 
operation, monito ring and maintenance, modification, and decommissioning and disposal. 
These standards, procedures and instructions also cover all safety and other relevant 
aspects of  
 
a) track, civil and electrical infrastructure,  
 
b) rolling stock,  
 
c) train authorizatio n and control systems and equipment,  
 
d) train operations management, and  
 
e) inter-modal and utilities management.  
 
The implications of the introduction of new or modified engineering and operational 
systems to RAs SMSs  shall be addressed in accordance w ith clause  16 and any directives 
or guidance notices (or both) provided by respective regulating authorities and relevant 
parties.(see foreword).  
 
14.2 Process  control  
 
Activities that directly affect railway safety shall be carried out under controlled co nditions, 
which shall be achieved by  
 
a) compliance with the safety standards referred to in 14.1,  
 
b) following documented procedures that specify all the processes associated with the 
activities of the operator, including train control and operation, mai ntenance, equipment 
and facility usage, installation and construction, that shall be used in all cases where 
the absence of such documentation could adversely affect railway safety, and  
 
c) monitoring to ensure compliance with (a) and (b).  
 
14.3 Design  and development  
 
RAs shall establish, develop or adopt, implement and maintain procedures to control and 
verify the design of structures, vehicles, equipment and systems in accordance with the 
safety requirements for engineering and operational systems as set  out in 14.1. Design 
control procedures shall include the following:  
a) identification of the responsibility for each design or development activity;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
37 
  
b) safety review at both the design input and design output stages;  
 
c) assignment of design verification  functions;  
 
d) control of design changes in accordance with (a), (b) and (c); and  
 
e) coordination between various engineering and operational functions where safety could 
be affected by the change.  
 
14.4 Inspection  and testing  
 
14.4.1  General  requiremen ts 
 
14.4.1.1  RAs shall have in place procedures for the inspection and testing of safety -related 
engineering and operational systems. The procedures shall define the location, 
method, level of detail and frequency of inspection and testing (see 14.4.2).  
 
14.4.1.2  The procedures shall identify the need for inspection and testing on both a 
scheduled basis and an ad hoc basis after a defined event (for example, flooding 
of the track, a derailment, including both rolling stock and track after the 
derailment, li ghtning strike impact on the signalling system, or detection of a hot 
axle box).  
 
14.4.1.3  RAs shall control, calibrate and maintain all equipment (which, for this part of 
SADC SARA HT 89 , SADC SARA HT 90 , SADC SARA HT 91 , & SADC SARA 
HT 92 used for inspec tion and testing. RAs shall ensure that this equipment is 
used correctly and complies with the required measurement capability and 
accuracy.  
 
14.4.1.4  Where  the safety of part of an engineering or operational system cannot be 
verified before its commission ing or its entry or re -entry into service (for example 
safety issues that can become apparent only after the activity has started or the 
item has been placed in service), operators shall make special provision for in -
service monitoring and shall document t he requirements for such monitoring.  
 
14.4.2  Inspection  frequency  
 
14.4.2.1  RAs shall establish, develop or adopt, implement and maintain formal frequency 
schedules for the regular inspection and testing of safety -related engineering and 
operational system s, and shall determine the frequency of inspection and testing of 
each item of each system by taking all of the following into account:  
 
a) capacity utilization, operational speed and load limits (infrastructure and rolling stock);  
 
b) the known or estimat ed rate of deterioration of critical elements;  
 
c) consequences of failure of any part of the system;  
 
d) adverse environmental factors; and  
 
e) occurrence experience.  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
38 
 14.4.2.2  Inspection  in response to defined events and occurrences (see 14.4.1.2) shall be 
additional to scheduled inspections.  
 
14.4.3  Inspection  and test records  
 
RAs shall establish, develop or adopt, implement and maintain inspection and test records 
that provide evidence of the condition of all elements critical to railway safety. The re cords 
shall be established and maintained in accordance with the requirements of 5.8.  
 
14.4.4  Inspection  and test status  
 
14.4.4.1  The inspection and test status of any item of track or other infrastructure, rolling 
stock or equipment shall be identified b y the use of suitable means that will 
indicate compliance or non -compliance of the item with regard to inspections and 
tests performed. The identification of inspection and test status shall be 
maintained, as necessary, throughout the life cycle of the ite m to ensure that only 
items that have passed the required inspections and tests are allowed to be in 
service.  
 
14.4.4.2  Where  an item of infrastructure, rolling stock or equipment does not comply but 
remains in service temporarily, procedures shall be in p lace to ensure safe railway 
operations. (For example, the imposition of temporary speed restrictions over 
substandard track, or speed or other limitations placed on rolling stock involved in 
an occurrence.)  
 
14.5 Method  of assessment  
 
RAs shall establish, develop or adopt, implement and maintain standards and procedures 
for assessing the condition of all safety -related engineering and operational systems and 
their deterioration as determined by inspection and testing. RAs shall define the response 
interval between inspection and assessment such that both the safe operation of trains 
and public safety are not compromised, and the safety standards are not infringed.  
 
 
14.6 Corrective  action  
 
14.6.1  RAs shall establish, develop or adopt, implement and maintain standards and 
procedures for taking corrective action when the assessed safety condition of any 
element of the system  
 
a) can cause the RAs safety standards to be infringed, or  
 
b) has reached prescribed intervention levels, or  
 
c) can cause acceptable lev els of risk being exceeded.  
 
14.6.2  All corrective actions shall be subjected to re -inspection and reassessment in 
accordance with 14.4 and 14.5.  
 
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
39 
 15 Interoperability , interface and intraface management  
 
15.1 General  
 
Documented procedures and processes s hall be established, developed or adopted, 
implemented and maintained to ensure the safe interoperability of railway operations and 
for the management of safety at interfaces between RAs and intrafaces between the 
functional disciplines within an administr ator’s organization.  
 
The requirements for the management of interfaces/intrafaces between railway operations 
shall be included in business or operating agreements (or both) between parties.  
 
15.2 Identification of interfaces/intrafaces  
 
Network operators shall identify where they meet the networks of another operator and 
which parts of their networks are used or are to be used by more than one RA (train or 
station or both).  
 
Station operators shall identify where they interface/intraface with network opera tors and 
indicate which parts of a station are used or are to be used by more than one train 
operator.  
 
 
 
15.3 Management  of interfaces/intrafaces  
 
15.3.1  General  requirements  
 
All RAs involved in the management of interfaces/intrafaces shall establish, de velop or 
adopt, implement and maintain the necessary systems, procedures and processes that 
provide for safe railway operations in accordance with this part of SADC SARA HT 89 , 
including  
 
a) interface agreements,  
 
b) standard working and operating procedur es, and  
 
c) contingency plans as given in 7.1.2.  
 
15.3.2  Common  essential requirements  
 
In addition to the general requirements given in 15.3.1, the common essential 
requirements to be addressed in business or operating agreements (or both) between 
operato rs, in addition to commercial aspects, technical standards, and other matters that 
form part of such agreements, include the following:  
 
a) Rolling stock shall be considered in respect of the following:  
 
1) vehicle design, overall vehicle and load dimensions in compliance with the 
clearances required by the fixed and moving structure gauges;  
 
2) service worthiness of vehicles and train sets;  
 
3) permissible speed limit of vehicles and train sets;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
40 
  
4) size, shape, profile and gauge of wheels and wheel sets;  
 
5) limits and tolerances of wheel size, defects, gauge, and wheel shape (including 
flange thickness);  
 
6) front and rear -end visibility of trains;  
 
7) coupler types, height and tolerances;  
 
8) braking systems, taking into account train performance parameters;  
 
9) auxiliary equipme nt attachment (for example for telemeters, side and rear -end 
markers);  
 
10) fire-fighting and related equipment;  
 
11) vehicle fittings for personnel safety (for example, brake -steps and hand brakes);  
 
12) vehicle maintenance standards and procedures, including applica ble visible 
evidence on the vehicle of maintenance done;  
 
13) vehicle type identification, including bogie types;  
 
14) electrical resistance tolerances between wheel -to-rail contact faces on the same 
axle (train detection requirements);  
 
15) electrical compatibility b etween traction systems and train control systems 
(signalling systems);  
 
16) effective vigilance controls; and  
 
17) technical limitations on the length of a train.  
 
b) Track, other civil engineering infrastructure, and electrical traction infrastructure shall be 
considered in respect of the following:  
 
1) structure clearances;  
 
2) track gauge, geometry and tolerances;  
 
3) axle mass limits of track;  
 
4) structural condition of track;  
 
5) maintenance plans, standards and procedures; and  
 
6) track -side indicators, including speed restr iction boards and whistle boards.  
 
c) Stations shall be considered in respect of the following:  
 
1) platform structure clearances;  
 
2) building and other structure clearances;  
 
3) capacity of stations;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
41 
  
4) safety equipment, including fire equipment and communication systems;  
 
5) abnormal working hours, including effective communication thereof;  
 
6) occurrence management; and  
 
7) dangerous goods passing through stations.  
 
d) Electric traction infrastructure shall be considered in respect of the following:  
 
1) fault protection;  
 
2) power supply parameters;  
 
3) electrical clearances and approach distances;  
 
4) safety switching and isolation procedures; and  
 
5) earthing and bonding.  
 
e) Train control shall be considered in respect of the following:  
 
1) train control systems;  
 
2) train working rules and  instructions;  
 
3) safe work procedures; and  
 
4) effective means of communication.  
 
f) RAs shall be considered in respect of the following:  
 
1) availability and suitability of route;  
 
2) train performance parameters;  
 
3) indication of track speed limits;  
 
4) axle mass limit s; 
 
5) commodity loading profiles and patterns, and stability;  
 
6) occurrence management, including contingency plans;  
 
7) personnel competence;  
 
8) effective communication;  
 
9) handling of dangerous goods;  
 
10) operation limitations and restrictions;  
 
11) compatibility;  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
42 
 12) train compilation;  
 
13) personal protective equipment (PPE);  
 
14) abnormal loads; and  
 
15) special vehicles for dedicated freight.  
 
g) Other (specify).  
 
16 Changes  to the SMS  
 
16.1  In addition to the life cycle requirements described in clause  14 and in SADC SARA 
HT 89 , and any guidelines issued by respective regulating authorities and relevant 
parties. (see foreword), the RAs shall ensure that the implications of changes to the 
SMS are considered, and that the necessary changes to the SMS are made (see 
annex  E). 
 
16.2 The respective regulating authorities and relevant parties shall be notified of such 
changes 30  days before implementation.  
 
16.3 If safety might be compromised by not implementing an identified change, the RAs 
shall immediately implement the change and inform respective regulating authorities 
and relevant parties in writing as soon as possible.  
 
17 Recognized  management systems  
 
Where an RA is certified as compliant with other management systems, it is recommended 
that the requirements of SADC SARA HT 89  be inc orporated into such systems thereby 
ensuring an integrated approach to the management of operational safety.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
43 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Annex A  
(informative )  
 
The elements of the SMS  
 
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
44 
 
Audits and 
inspections
Occurrence report 
findingsSafety policy
Annual safety improvement plan
Operational risk management
Occurrence management
Security management
Human factors
Procurement
Engineering and operational standards
Interoperability, interface and
 intraface managementContinual 
improvement
Defined authorities                   Employee involvement             Training and supervision 
 
 
 
 
 
 
 
 
Annex  B  
(informative )  
 
Guidance on the preparation of a safety policy statement  
 
B.1 A safety policy is a concise statement that sets out an organization’s safety 
philosophy, including railway aspects, and that guides the establishment of goals and 
objectives , policies, procedures and programmes.  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
45 
  
B.2 Experience  has shown that there is a strong correlation between companies with low 
accident rates and companies whose senior management are concerned with safety 
and communicate this concern to employees. To maxi mize the effect of the 
commitment in order to manage safety, the safety policy should be approved at the 
highest possible level of the company.  
 
B.3 The major challenge that faces organizations, especially large ones, is to enable and 
encourage diverse gro ups of staff to direct their best contributions towards the goals of 
the organizations. This implies, amongst other things, the need for involvement and 
ownership within and between departments, groups, divisions and employees. If all 
the interested partie s are not involved it is impossible to engender the sense of 
ownership.  
 
B.4 The policy statement should include the following:  
 
a) a general statement that reflects the organization’s commitment to safety principles and 
practices;  
 
b) a demonstration of s enior management’s commitment to safety and of where the safety 
responsibilities and accountabilities lie;  
 
c) a commitment to make resources available in order to achieve the objectives of the 
safety policy;  
 
d) a declaration of the organization’s safety philosophy and guidance for the 
establishment of goals and objectives, policies, procedures and programmes, which will 
contribute to the enhancement of business performance; and  
 
e) a directive that all employees shall be involved in achieving the safety p olicy objectives.  
 
B.5 International  best practice regarding the development of a safety policy indicates that  
 
a) the policy is integrated to comply with other applicable legislation,  
 
b) references to safety training are included,  
 
c) safety is monitored  at all levels,  
 
d) the safety policy is periodically reviewed and revised, and  
 
e) the objectives of the safety policy are practicable and realistically achievable.  
 
 
 
Annex C  
(informative)  
 
Occurrence investigation report  
 
C.1  General  
 
An occurrence in vestigation report should be based on the guidelines given in this annex. 
The format of the report, however, is left to the user's discretion.  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
46 
  
C.2  Cover page  
 
A title that includes the following information should appear on the cover page of the 
report:  
 
a) the number and reference number of the report;  
 
b) the number(s) of the train(s) involved;  
 
c) the type of train(s);  
 
d) the type of occurrence (for example an accident, collision and SPAD);  
 
e) the place; and  
 
f) the date and time of the occurence.  
 
C.3  Contents of the report  
 
C.3.1   Remit and abstract  
 
The remit of the report or terms of reference, if applicable, should be included in the report. 
The report should also include an abstract that gives the background of the occurrence 
and a summary of t he report.  
 
C.3.2   Investigating team  
 
The following information regarding the investigating team should be included in the report:  
 
a) a list of the names of the members on the investigating team or board of inquiry or the 
name of the investigator, includ ing the competence and designation of each individual; 
and 
 
b) the date(s) on which and location(s) where the inquiry or investigation took place.  
 
C.3.3   Other information  
 
Other relevant information may be given in an annex, where appropriate. Such infor mation 
should include the following:  
 
a) the name of the operator(s);  
 
b) the type of occurrence (for example, derailments, collisions, and level -crossing 
accidents);  
 
c) the location of the occurrence;  
 
d) the geographic layout of the surrounding area;  
 
e) the date and time of the occurrence;  
 
f) the time when the occurrence was reported;  
 MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
47 
 g) a time comparison;  
 
h) a description of the weather and visibility;  
 
i) a list of all injuries;  
 
j) a list of damage to property, including other assets and the envir onment;  
 
k) the train type(s) and the number(s) of the rolling stock and the shunting operation;  
 
l) the number(s) and type(s) of the locomotive;  
 
m) the composition and load of the train;  
 
n) the origin and destination of the train;  
 
o) the names of perso nnel involved in the occurrence and location where they are 
stationed;  
 
p) the hours on duty of personnel involved;  
 
q) a list of any tests done for substance abuse;  
 
r) the method of working of the train and of the train control system;  
 
s) the condition of the rolling stock and infrastructure;  
 
t) a statement of relevant documentation or token (or both) withdrawn;  
 
u) a list of the names of witnesses;  
 
v) witness statements and evidence;  
 
w) sketches, photographs, pictures (these would normally be given in an annex);  
 
x) particulars of the clearing operation; and  
 
y) any other known factual information.  
 
C.3.4   Analysis  
 
The following should be stated in the analysis:  
 
a) the nature of the cause (immediate or basic):  
 
1) technical;  
 
2) operational;  
 
3) human; or  
 
4) environmental;  
 
b) an assessment  of the risk of the occurrence;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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c) any irregularities (that did not contribute directly to the occurrence); and  
 
d) other (specify).  
 
C.3.5   Findings  
 
Findings should be stated in the following categories:  
 
a) human factor s; 
 
b) technical;  
 
c) operational;  
 
d) institutional; and  
 
e) other (specify).  
 
C.3.6   Interim actions  
 
Interim actions should be stated in the report.  
 
C.3.7   Recommendations  
 
Appropriate recommendations should be included in the report.  
 
C.3.8   Signature s and dating  
 
Provision should be made for the signing and dating of the report.  
 
 
 
 
 
 
 
 
 
 
 
Annex D  
(normative )  
 
Occurrences that operators record and manage  
 
D.1 General  
 
In addition to the railway occurrences recorded in clause  7 (categories  A to L) an d security 
incidents recorded in clause  10 (categories  1 to 9), each operator will have a list of railway 
occurrences and security incidents that shall be tracked, monitored and managed.  
 
D.2 Examples  of occurrences  
 
D.2.1  Operational  occurrences  
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 Serious train working irregularities include the following:  
 
a) uncontrolled movement of rolling stock (runaway rolling stock);  
 
b) authorizing of conflicting movements;  
 
c) near misses (averted collisions);  
 
d) illegal occupation (trespassing and illegal crossing ); 
 
e) overshooting platform;  
 
f) inadequate protection of work area;  
 
g) disregard of track -side indicators and hand signals; and  
 
h) points run through.  
 
D.2.2  Infrastructure  
 
Infrastructural deviations from standards include the following:  
 
a) level cro ssing warning system failures;  
 
b) lack of track -side indicators; and  
 
c) structure clearances.  
 
D.2.3  Rolling  stock  
 
Rolling stock deviations from standards include the following:  
 
a) hot axle boxes;  
 
b) defective couplers;  
 
c) cracked wheels;  
 
d) loose t yres;  
e) defective handbrakes;  
 
f) defective steps; and  
 
g) defective doors.  
 
D.2.4  Stations  
 
Station deviations from standards include the following:  
 
a) unavailability or malfunctioning (or both) of PA systems;  
 
b) unscheduled changes to platform working ; 
 
c) safety -related complaints; and  
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 d) trespassers.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Annex E  
(normative)  
 
Changes to the SMS  
 
E.1 The relevant national railway safety regulator (see foreword) shall be notified of the 
changes to the SMS as given i n E.2 and E.3.  
 
E.2 Changes  to an operator's SMS include the following elements:  
 
a) policy, structure and procedure;  
 
b) operational risk management processes;  
 
c) occurrence management;  
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51 
 d) security management;  
 
e) human factors management;  
 
f) safety st andards for engineering and operational systems; and  
 
g) interoperability, interface and intraface management.  
 
E.3 Changes  to an operator's SMS include the following network, rolling stock, station and 
railway operations:  
 
a) new lines, extensions, discon tinued and abandoned lines, including changes in the 
operating status of sidings;  
 
b) increases to line operating speeds over part or all of the operation;  
 
c) significant changes to operating procedures that require additions to or amendment of 
(or both) operating standards;  
 
d) changes to train authorization and control systems or equipment (or both) over part or 
all of the operation, including arrangements for workplace protection;  
 
e) changes to the type of motive power, for example steam -to-diesel, and  diesel -to-
electric;  
 
f) changes to the types and routes of rolling stock, other than motive power, used;  
 
g) new and modified rolling stock;  
 
h) non-electrified to electrified lines, and vice versa;  
 
i) changes to inspection procedures, for example, track  inspection frequencies, bridge 
examination procedures and frequencies, structure inspection, and traction overhead 
inspection;  
 
j) changes to rolling stock and infrastructure examination and maintenance frequencies;  
 
k) alterations to fixed and moving str ucture gauges;  
 
l) the introduction of new types of motive power, including aspects that relate to axle 
loading, braking and coupling systems and aspects that require additions or changes 
(or both) to existing standards or operating procedures (or both);  
 
m) the introduction of new or substantially changed rolling stock, including aspects that 
relate to width, length, height, loading capacity, and axle loading and aspects that 
require additions or change (or both) to existing mechanical and operating standa rds or 
operating procedures (or both);  
 
n) the introduction of new on -track equipment that require any additions or changes (or 
both) to standards or operating procedures;  
 
o) the introduction of new train services;  
 
p) changes to operating agreements, inc luding access and interface agreements;  MEDC 9 ( 2029) DTZS/  SADC SARA HT 89: 2017  
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q) changes in ownership (permits are not transferable);  
 
r) alterations to track standards, including material specifications, geometric configuration, 
and tolerances; and  
 
s) alterations to bridge and structure loa dings, material specifications and clearances 
standards.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Bibliography  
 
OHSAS  18001, Occupational health and safety management systems – Requirements . 
 
OHSAS  18002, Occupational health and safety management systems – Guidelines fo r the 
implementation of OHSAS  18001:2007 . 
 
ISO 9001, Quality management systems – Requirements . 
 
ISO 14001, Environmental management systems – Requirements with guidance for use . 
 
 
 
 
 
 
 
 
 
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