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Railway Safety RegulatorRailway Safety Regulator

Regulating Safety in railwaysRegulating Safety in railways

Oversee and Promote safe railway operations through Oversee and Promote safe railway operations through  appropriate support, monitoring and enforcement, appropriate support, monitoring and enforcement, 

guided by an enabling regulatory framework:guided by an enabling regulatory framework:

Table of ContentsTable of ContentsRSR Mandate and BackgroundRSR Mandate and Background

Approach to Safety RegulationApproach to Safety Regulation

Railway IndustryRailway Industry

Overview: State of Safety in Railways and key safety Overview: State of Safety in Railways and key safety challenges.challenges.

Key PrioritiesKey Priorities

Key AchievementsKey Achievements

Institutional ChallengesInstitutional Challenges

RSR Value AddRSR Value Add

Structure, Budget and Equity ProfileStructure, Budget and Equity ProfileConclusionConclusion

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To oversee safety of railway transport, while operators remain rTo oversee safety of railway transport, while operators remain responsible for managing esponsible for managing safety of their operations;safety of their operations;

To promote improved safety performance in order to promote the uTo promote improved safety performance in order to promote the use of rail;se of rail;

To monitor and ensure safety compliance through the conducting oTo monitor and ensure safety compliance through the conducting of audits, inspections f audits, inspections and occurrence investigations;and occurrence investigations;

To develop appropriate regulations & standards for safe railwayTo develop appropriate regulations & standards for safe railway operationsoperations

To collect and disseminate information relating to safety perforTo collect and disseminate information relating to safety performance in the railway mance in the railway environment through producing state of safety reports;environment through producing state of safety reports;

To promote the harmonization of the railway safety regime of SouTo promote the harmonization of the railway safety regime of South Africa with SADC th Africa with SADC railway operations.railway operations.

MandateMandate

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BackgroundBackgroundBackground to the creation of the RSRBackground to the creation of the RSR

oo Current safety legislation (e.g. OHS Act, 1993 & MHS Current safety legislation (e.g. OHS Act, 1993 & MHS Act do not address railway operational safety.Act do not address railway operational safety.

oo No operator can set rules and monitor own performance No operator can set rules and monitor own performance ““both player and refereeboth player and referee””..

oo Large number of operators, with no process for verifying Large number of operators, with no process for verifying safety performancesafety performance

oo Introduction of new operators leading to many interfaces Introduction of new operators leading to many interfaces within the railway environmentwithin the railway environment

oo Similar safety regulatory approach as in other transport Similar safety regulatory approach as in other transport modes (Air, Sea and Road)modes (Air, Sea and Road)

oo CrossCross--border rail operations into South Africaborder rail operations into South Africaoo Advance govtAdvance govt’’s objective of s objective of ““providing a safe, affordable, providing a safe, affordable,

accessible and reliable transport systemaccessible and reliable transport system””NRSR Act promulgated in 2002.NRSR Act promulgated in 2002.RSR started operating as a fullyRSR started operating as a fully--fledged entity in fledged entity in January 2006.January 2006.

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Approach to Safety RegulationApproach to Safety Regulation

LEGAL INSTRUMENTSLEGAL INSTRUMENTS

NRSR ActNRSR ActSafety RegulationsSafety RegulationsSafety StandardsSafety StandardsSafety Management Safety Management SystemSystemSafety PermitSafety PermitCooperative Cooperative AgreementsAgreements

COMPLIANCE &COMPLIANCE &MONITORINGMONITORING

Safety Audits and Safety Audits and InspectionsInspectionsOccurrence Occurrence InvestigationsInvestigationsSafety Assessments Safety Assessments of new of new works/technology works/technology and operational and operational improvementsimprovementsState of Safety State of Safety ReportsReportsSafety PlansSafety Plans

ENFORCEMENTENFORCEMENT

Suspension and Suspension and Revocation of Safety Revocation of Safety PermitPermitRestriction or Restriction or suspension of an suspension of an activity (unsafe activity (unsafe conditions)conditions)Directives and Directives and NoticesNoticesLay criminal charge Lay criminal charge for contraventionsfor contraventionsPenalties (proposed)Penalties (proposed)

Overseeing and Facilitating safetyOverseeing and Facilitating safety

Receiving and Analysing Receiving and Analysing 

information (data and information (data and 

statistics on railway statistics on railway 

occurrences and corrective occurrences and corrective 

actions). State of safety actions). State of safety 

reportsreports

Conducting inspections and Conducting inspections and 

auditsaudits

Undertaking occurrence Undertaking occurrence 

investigationsinvestigations

Monitoring implementation Monitoring implementation 

of corrective actions arising of corrective actions arising 

from audits, inspections, and from audits, inspections, and 

investigationsinvestigations

Review of New or Review of New or 

Modified Technology.Modified Technology.

Monitoring Monitoring 

implementation of implementation of 

conditions of Safety conditions of Safety 

PermitsPermits

Issuing notices and Issuing notices and 

directives to address directives to address 

unsafe conditionsunsafe conditions

Development of Development of 

regulations and regulations and 

standardsstandards

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Directives

TechnologyManagement

Monitor Regulation s and

Standards

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Managing Safety by means of a SMSManaging Safety by means of a SMS

““SMSSMS: A formal framework for integrating safety into day to day : A formal framework for integrating safety into day to day railway operations and includes safety goals and performance railway operations and includes safety goals and performance targets, risk assessment, responsibilities and authorities, ruletargets, risk assessment, responsibilities and authorities, rules and s and procedures, monitoring and evaluation processes and any other procedures, monitoring and evaluation processes and any other matter prescribed.matter prescribed.””

Key Elements of SMSKey Elements of SMS

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Safety Policy statementSafety Policy statementAuthority and responsibilityAuthority and responsibilityRole of employeesRole of employeesSafety PlanSafety PlanSafety AuditsSafety Audits

Policy Structure and Policy Structure and ProceduresProcedures

Operational Risk Operational Risk Management Management ProcessesProcesses

Risk assessment processesRisk assessment processesRisk control strategiesRisk control strategiesOccurrence ManagementOccurrence ManagementOccurrence ReportingOccurrence ReportingOccurrence InvestigationOccurrence Investigation

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Key Elements of SMS (cont.)Key Elements of SMS (cont.)

Human Factors Human Factors ManagementManagement

Safety Critical WorkSafety Critical WorkPhysical environmental factors Physical environmental factors impacting on safety critical rolesimpacting on safety critical rolesOrganisational and psychological Organisational and psychological factorsfactors

Written safety standards, procedures Written safety standards, procedures and instructions for technical and and instructions for technical and Operational SystemsOperational SystemsStandards to cover track, civil, electric Standards to cover track, civil, electric traction infrastructure, rolling stock, traction infrastructure, rolling stock, train control systems, operational train control systems, operational systems interfacessystems interfaces

Safety Standards for Safety Standards for Technical and Technical and Operational SystemsOperational Systems

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Key Elements of SMS (cont.)Key Elements of SMS (cont.)

Interface Interface ManagementManagement Identification of all interfacesIdentification of all interfaces

Safety Management of all interfacesSafety Management of all interfaces

Security Security ManagementManagement

Procedures to guide all aspects of Procedures to guide all aspects of security impacting on safe operationssecurity impacting on safe operationsPhysical security measures in place to Physical security measures in place to manage assets, equipment and manage assets, equipment and peoplepeople

Procurement of Procurement of goods and servicesgoods and services

Products and services to address Products and services to address railway safety requirementsrailway safety requirementsCapability of contractors for safety Capability of contractors for safety related workrelated work

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224

39

214

62

18

108

2647

110

50

100

150

200

250

Number of Sites per Sector

SECTORS

INDUSTRY BREAKDOWN

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HIGH Class 1 Railways MEDIUM Manufacturing LOW Sidings/TerminalsPetro Chemical Mining AgriculturalTourism Municipality

Ports

RISK CLASIFICATION

158

320

271

0

50

100

150

200

250

300

350

INDUSTRY RISK TOTALS 

HIGH MEDIUM LOW

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Safety In RailwaysSafety In RailwaysPoor safety record over the past 4 Poor safety record over the past 4 years (04/05 years (04/05 –– 07/08)07/08)

From 04/05 From 04/05 -- 07/08 combined 07/08 combined accrued costs for TFR/accrued costs for TFR/MetrorailMetrorailamounted to R2.4b excluding amounted to R2.4b excluding indirect costs.indirect costs.

Collisions & Derailments contributed Collisions & Derailments contributed over 90% of the combined incident over 90% of the combined incident costs for both TFR & costs for both TFR & MetrorailMetrorail..

Major contributory factors; Human Major contributory factors; Human Factors Factors –– Poor state of Poor state of infrastructure & Rolling Stock infrastructure & Rolling Stock –– Poor Poor practices & operating procedures.practices & operating procedures.

General negative perception about General negative perception about rail transport in relation to safety and rail transport in relation to safety and operational efficiency.operational efficiency.

Derailments & CollisionsDerailments & Collisions

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Derailments & CollisionsDerailments & Collisions

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Security Related OccurrencesSecurity Related Occurrences

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Security Related OccurrencesSecurity Related Occurrences

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Injuries and FatalitiesInjuries and Fatalities

Injuries and FatalitiesInjuries and Fatalities

Injuries: 1750 Injuries: 1750

Fatalities: 458Fatalities: 458

InjuriesInjuries

700: People and 700: People and Train related. Train related. 498: Security 498: Security related.related.181: People struck 181: People struck by Trainsby Trains107 : Level 107 : Level CrossingsCrossings105: Collisions and 105: Collisions and DerailmentsDerailments

FatalitiesFatalities

378 People Struck 378 People Struck by Trainsby Trains

27 People and Train 27 People and Train relatedrelated

21: Security related21: Security related

14: Level Crossing14: Level Crossingss

InjuriesInjuries

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FatalitiesFatalities

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Safety In RailwaysSafety In RailwaysInvestment backlogs e.g. PRASAInvestment backlogs e.g. PRASA

oo Investment backlog = R20bInvestment backlog = R20boo Rolling Stock Recap=R60bRolling Stock Recap=R60boo 40% Fleet over 37 yrs & One third 40% Fleet over 37 yrs & One third

constantly out of service constantly out of service –– reliability & reliability & performance poor.performance poor.

oo Signalling system at end of economic life Signalling system at end of economic life –– only 23 (14%) of the 162 signalling only 23 (14%) of the 162 signalling installations have not exceeded their installations have not exceeded their design life.design life.

oo Govt (DoT) prioritising increased Govt (DoT) prioritising increased investment in key areas to stabilise the investment in key areas to stabilise the rail commuter services rail commuter services ––

oo Need for major investment in railways, in Need for major investment in railways, in particular the commuter rail system.particular the commuter rail system.

Loss of critical skillsLoss of critical skills

Poor Management practices Poor Management practices ––operating procedures not adhered tooperating procedures not adhered toHuman ErrorHuman Error

Safety In RailwaysSafety In RailwaysMushrooming of informal settlements along the rail reserve posesMushrooming of informal settlements along the rail reserve poses major safety major safety risksrisks-- Illegal crossing on rail line (highest number of fatalities in rIllegal crossing on rail line (highest number of fatalities in railways are people ailways are people

struck by train)struck by train)-- Risks on railway operations, e.g. Obstruction of access by maintRisks on railway operations, e.g. Obstruction of access by maintenance vehicles enance vehicles

and personneland personnel -- Vandalism and theft of rail assetsVandalism and theft of rail assets

Vandalism/Theft and ArsonVandalism/Theft and Arson-- Direct impact on operational safetyDirect impact on operational safety-- Vandalism/Theft of assets: Highest reported incidences under secVandalism/Theft of assets: Highest reported incidences under security categoryurity category-- Crime/personal safety (noticeable decrease)Crime/personal safety (noticeable decrease)

National Railway Safety Information SystemNational Railway Safety Information System-- Absence of NIMS impacts on Absence of NIMS impacts on RSRRSR’’ss ability to effectively monitor and evaluate ability to effectively monitor and evaluate

safety performancesafety performance-- Data quality and timely development of Railway State of Safety RData quality and timely development of Railway State of Safety Reporteport

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Safety FocusSafety FocusAssess condition/ status of critical elements of Assess condition/ status of critical elements of infrastructure, rolling stock, operational systems & infrastructure, rolling stock, operational systems & management (incl. safety critical personnel), from both management (incl. safety critical personnel), from both individual and overall systems perspective.individual and overall systems perspective.

Will the envisaged renewal/refurbishment programs Will the envisaged renewal/refurbishment programs have the desired result of improving availability, have the desired result of improving availability, reliability and operational safety.reliability and operational safety.

Are sufficient measures taken to ensure that current Are sufficient measures taken to ensure that current assets can continue to be used in a safe manner whilst assets can continue to be used in a safe manner whilst renewal programs are being introduced.renewal programs are being introduced.

What is the level of compliance with What is the level of compliance with RSRRSR’’ss directives directives resulting from safety audits, inspections and occurrence resulting from safety audits, inspections and occurrence investigations.investigations.

Adopt zero tolerance for negligent/unacceptable Adopt zero tolerance for negligent/unacceptable behaviour .behaviour . 23

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Key Priorities.Key Priorities.

Improve Safety Improve Safety Compliance and Compliance and Adequacy of Railway Adequacy of Railway OperationsOperations

Targeted specific Audits/Inspections Targeted specific Audits/Inspections on rail Infrastructure & Rolling Stock.on rail Infrastructure & Rolling Stock.Occurrence InvestigationsOccurrence InvestigationsDesign Reviews and Safety Design Reviews and Safety Assessments of New Rail Works.Assessments of New Rail Works.

Strengthen the Rail Strengthen the Rail Safety Regulatory Safety Regulatory FrameworkFramework

Implement Penalty systemImplement Penalty systemTrain Control System (signalling) Train Control System (signalling) Standard.Standard.Human Factors Human Factors MngtMngt StandardStandardOccurrence Occurrence MngtMngt StandardStandard

Proactive Support of Proactive Support of key Initiatives.key Initiatives.

Audits/Inspections on dedicated Audits/Inspections on dedicated routes for 2010 World Cup.routes for 2010 World Cup.Safety Assessment of critical elements Safety Assessment of critical elements of of GautrainGautrain incl. Track, civil infra, train incl. Track, civil infra, train control & communications systems, control & communications systems, testing and commissioning testing and commissioning procedures, operational procedures procedures, operational procedures etcetc

Strategic Objectives for the Medium Strategic Objectives for the Medium TermTerm

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OBJECTIVE OUTPUTS

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Strategic Objectives for the Medium Strategic Objectives for the Medium Term (cont.)Term (cont.)

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Strategic Objectives for the Medium Strategic Objectives for the Medium Term (cont.)Term (cont.)

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Key AchievementsKey Achievements

Safety Safety ReguIationsReguIationsSafety Management System regulations.Safety Management System regulations.Process for Development of Standards Process for Development of Standards regulationsregulationsPermit Fee RegulationsPermit Fee Regulations

Safety StandardsSafety Standards

General: Safety Management System StandardGeneral: Safety Management System StandardGeneral: Technical Requirements for General: Technical Requirements for Engineering and Operational standardEngineering and Operational standardTrack, Civil and Electrical Infrastructure standardTrack, Civil and Electrical Infrastructure standardRolling Stock standardRolling Stock standardGuidance notice on Guidance notice on ““design, construction and design, construction and commissioning of new rail workscommissioning of new rail works””

Safety PermitsSafety PermitsEvaluated operators Safety management Evaluated operators Safety management System reports as preSystem reports as pre--requisite for issuing requisite for issuing safety permitssafety permits..Issued 184 safety permits at end march 2009.Issued 184 safety permits at end march 2009.Implemented the permit fee model Implemented the permit fee model –– generated generated R5.02m in 2008/09.R5.02m in 2008/09.

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Key AchievementsKey Achievements

Safety Audits Safety Audits Inspections and Inspections and Occurrence Occurrence InvestigationsInvestigations

Conducted a total of 665 Safety Management Conducted a total of 665 Safety Management System audits on operational sites.System audits on operational sites.A total of 26 AdA total of 26 Ad--hoc Inspectionshoc InspectionsTotal 42 Occurrence Investigations and Board of Total 42 Occurrence Investigations and Board of Inquiries.Inquiries.77 Design reviews and safety Assessments of 77 Design reviews and safety Assessments of New Rail WorksNew Rail Works

Directives/Notices Directives/Notices issuedissued

9 Prohibition directives (when immediate threat to 9 Prohibition directives (when immediate threat to railway safety is evident)railway safety is evident)63 non63 non--compliance notices (when no elements of compliance notices (when no elements of a safety management system were implemented)a safety management system were implemented)83 Improvement directives (when there is possible 83 Improvement directives (when there is possible threats to safety, e.g. Civil infrastructure defects)threats to safety, e.g. Civil infrastructure defects)4009 Audit non4009 Audit non--conformance notices whish relate conformance notices whish relate to relatively minor but important findings within an to relatively minor but important findings within an operatoroperator’’s safety management system. s safety management system.

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Key AchievementsKey Achievements

GautrainGautrain safety safety assessmentsassessments

Railway tunnel from Park Station to Marlboro.Railway tunnel from Park Station to Marlboro.Train Control Systems including signalling and Train Control Systems including signalling and communication systems.communication systems.Rolling Stock Rolling Stock Hazard Log (identifies possible risks in the Hazard Log (identifies possible risks in the entire lifeentire life--cycle of cycle of GautrainGautrain project).project).

Harmonisation of Harmonisation of standards in SADC standards in SADC region.region.

Facilitated the development of Safety Facilitated the development of Safety Management Systems for 3 regional operators.Management Systems for 3 regional operators.Issued Safety Permits to 3 regional operators Issued Safety Permits to 3 regional operators operating into South Africa.operating into South Africa.Facilitated the development and adoption of the Facilitated the development and adoption of the regional safety policy through the Southern regional safety policy through the Southern African railways Association. African railways Association.

Safety Information Safety Information and Plans.and Plans.

Developed and published 2 State of Railway Developed and published 2 State of Railway Safety Reports reports.Safety Reports reports.Development of Safety Plans by Operators as a Development of Safety Plans by Operators as a performance monitoring tool.performance monitoring tool.

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Key Key Institutional ChallengesInstitutional Challenges

Funding ConstraintsFunding Constraintsoo Limited Inspectorate capacity.Limited Inspectorate capacity.oo Limited overall staff complementLimited overall staff complementoo Increased Increased ““New rail WorksNew rail Works”” will will

place additional pressure on place additional pressure on RSRRSR’’s capacity.s capacity.

oo Absence of appropriate National Absence of appropriate National Railway Safety Information Railway Safety Information Management System.Management System.

oo Limited Research capacity.Limited Research capacity.General shortage of technical General shortage of technical skills in the railway industry.skills in the railway industry.

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RSR Value AddRSR Value AddINPUT

Regulatory Framework

• NRSR Act 2002• Safety Regulations• Safety Standards• Safety Management System• Safety Permits

Safety Monitoring, Compliance and Enforcement

• SMS Audits• Technical Audits• Occurrence Investigations• State of Safety Reports• Safety assessments and reviews

IMPACT

• Reduction in rail occurrences

• Reduction in costs associated with occurrences

• Operational efficiency improvement

•Improved state of railway safety

• Improved safety culture

• Benefits to the Economy

•Sustainability of Road network.

• Benefits to the Environment

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RSR StructureRSR Structure

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Budget (MTEF)Budget (MTEF)

REVENUE ITEM

FINANCIAL YEAR 2009-10

FINANCIAL YEAR 2010-2011

FINANCIAL YEAR 2011-2012

Transfers – Government grants

37,523,000 35,994,000 37,854,000

Permit Fees 7,600,000 7,000,000 5,000,000

Interest Received 450,000 480,000 460,000

GRANT TOTAL: REVENUE

45,573,000 43,573,000 43,314,000

Original MTEF Allocation

34,523 30,994 32,854

Additional Allocation 3,000 5,000 5,000

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Preliminary Budget Allocations Preliminary Budget Allocations Accountability InformationR thousand 2009/2010 2010/11 2011/12MTEF ALLOCATIONS

Safety Assurance 16,861,355 Safety Regulation 6,381,999 Legal Services 2,819,269 Corporate Support 11,169,211Financial Management 4,201,827Office of the CEO 4,139,340

Total Expenditure Estimate 45,573,000

Accounting Authority: RSR Board of Directors

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Budget Allocation Budget Allocation

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Employment EquityEmployment Equity

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ConclusionConclusion

We hope that RSR We hope that RSR interventions will contribute interventions will contribute in;in;Enhancing a safety Enhancing a safety management culture management culture railways.railways.Reducing accidents & costs Reducing accidents & costs associated with railway associated with railway occurrences. (transport occurrences. (transport costs)costs)Promoting rail as a Promoting rail as a preferred mode of transportpreferred mode of transport