Risk Management Requirements

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Risk Management Requirements Mark Britton, PTSV
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Risk Management Requirements

• Risk Management Requirements in Rail Safety Act
• Demonstration of ongoing compliance with risk
  management requirements
• Exemption from ongoing requirements

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Transport Act Risk Management Requirements
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Rail Safety Act Risk Management Requirements

• RSA Part 5 Accreditation of Rail infrastructure
  and rolling stock operations
• Division 3, Risk Management Requirements for
  Accreditation
• Division 6
• Ongoing compliance with Risk management
  requirements
• Exemption from ongoing compliance

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RSA Risk Management Requirements for
Accreditation

• Section 50, Identification of incidents and
  hazards, and risk assessments
• Section 51, Measures to control likelihood,
  magnitude and severity of consequences of
  incidents

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Section 50 - Identification of incidents and
hazards

• 50 (1) to (3) requires rail operators to
  identify all (credible) incidents) which could
  occur, and all hazards that could contribute to
  those incidents.
• Regulator will emphasise examination towards
  hazards capable of producing catastrophic
  consequences such as
• Train to train collisions
• Derailments
• Level crossing incidents
• Collisions with terminal infrastructure

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Identification of incidents and hazards -Continued

• Documentation should show rail operator has given
  consideration
• Specific locations
• Interface issues
• Hazards during abnormal / emergency operations,
  maintenance, planned changes and other
  non-routine activities
• Ways in which equipment might fail
• Human Factors
• Ways in which a sequence of events could lead to
  a major incident

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Identification of incidents and hazards -Continued

• What the regulator will expect to see
• A documented hazard identification process
• A list of hazards covering both normal operations
  and emergency conditions
• A list that doesnt just consider historical data
• Consideration human factors elements
• Reference to interfaces and where risks are
  shared between organisations

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Section 50, Identification of incidents and
hazards, and risk assessments

• 50 (4) and (5) requirements for assessments of
  risks and hazards
• Purpose is to provide
• Information to make decisions regarding the
  acceptability of risk
• Cost effective commitment of resources to
  accident reduction

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Requirements for assessments of risks and hazards

• What the regulator will expect to see
• Documented procedures for risk analysis and
  assessment, including recognition of different
  techniques
• Detail of assessment sufficient to give
  confidence that all significant contributors to
  risk have been evaluated
• That the controls to combat the risks have been
  identified and are in the SMS
• A process for continual improvement of risk
  analyses

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Section 50, Identification of incidents and
hazards, and risk assessments

• 50 (6a) Consider Hazards Cumulatively
• Many major incidents have been caused by a number
  of hazards acting concurrently. E.g.,
• Train rollaway insufficient park brakes,
  insufficient roll-out protection
• Train derailed hit by other train Failure of
  defences to prevent derailment, failure of comms
  system to warn approaching train
• A cumulative consideration necessary to
  understand the full range of incidents
• Must consider common mode failures that can cause
  several hazards or failures to occur
  simultaneously

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Section 50, Identification of incidents and
hazards, and risk assessments

• 50 (6b) Use assessment methodologies
  appropriate to the hazard
• Qualitative
• Where risks are well understood and could not
  credibly result in catastrophic consequences
• Semi-Qualitative
• Where nature of risk and causation are well
  understood e.g. station fire, fall from train
• Qualitative
• For incidents which could have catastrophic
  consequences , or for which causation is not well
  understood

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Section 50, Identification of incidents and
hazards, and risk assessments

• 50 (7) Document all aspects of the assessment
• All steps in the process should be traceable and
  the information used should be documented to
• Permit review
• Ensure reproducibility
• Help understand assumptions made
• Help validate results
• Identify responsibilities
• Identify performance measures
• Reference monitoring and review of risk controls

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Section 51, Measures to control likelihood,
Magnitude and severity of consequences of
incidents

• Adopt measures to reduce likelihood and
  consequences So Far As Is Reasonably
  Practicable (SFARP)

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Demonstrating SFARP

• Demonstrate all that is reasonable is being done
• Methods for demonstrating SFARP
• Appropriate level of analysis commensurate with
  the risk
• In most cases will simply involve determining
  whether benefits to be gained from alternative
  options outweigh the costs
• Will involve an assessment of the risk, resources
  needed to avoid that risk and a comparison of the
  two.

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SFARP Methods
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RSA section 65,66

• Accredited rail operator demonstrate compliance
  with Risk Management Requirements every 5years
• Accredited tourist and heritage railway operators
  can apply for exemption from this ongoing
  demonstration

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Rail Safety Regulations Risk matters to be
included in an SMS (Schedule 2, section 16)

• Process to ensure compliance with the RSA
• A description of control measures adopted
• List controls at time of accreditation
• Processes for considering new controls to
  continually reduce risk
• A Risk Register
• Lists hazards, risks, control measures and those
  responsible, key standards applicable to
  controls, cross referencing to SMS
• A live document, regularly updated
• Prioritise work
• Greater the risk, greater the degree of
  thoroughness

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DOI Plans of Assistance

• PTD sponsored workshop
• PTSV visits to each Rail Operator
• Guidance material

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Purpose of Change

• Requires the applicant to show how its processes
  are designed and organised in the SMS to
  facilitate
• Assessment of risks
• Subsequent control of risks
• Not simply a question of the rail Operator
  possessing a list of all their risks