Railway Safety Regulator Project

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Railway Safety Regulator Project
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Contents of Presentation

• Background information
• RSR Bill
• Key Regulations
• Cascade of documentation
• Way forward
• Conclusion

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Why a Railway Safety Regulator?

• Operator should not be player and referee
• Current large number of operators
• Safety considerations necessitate consistent
• Development and application of standards
• Interfaces between operators
• Reporting and performance measurement
• Industry-wide trend analysis
• Promotion of safety culture, including
• Employee involvement in safety processes
• Safety an integral part of management
• Harmonize with SADC objectives
• Changes to status quo will reinforce need for
  RSR
• Gautrain

4
Criteria

• Industry will remain responsible for managing
  safety
• Regulator to oversee safety and approve standards
• Bill, regulations, standards to be developed for
  South Africa
• Must be suitable for present and future
• Legislation should be simple, supplemented by
  regulations and standards
• All stakeholders should be consulted

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International Approaches to Railway Safety
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Externalities Influencing Railway Safety
Technology
Other Legislation
International Benchmarking

• Legislation
• Act
• Regulation

• Regulator
• Monitoring
• Enforcement

Organizations Safety System
Continuous Improvement of SAFETY
Emergency Services
Employees
Other Industry Operators
Public Customers
Company Management
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Managing Railway Operational Safety

• Process is one of Co-regulation
• Industry responsibilities
• Managing Safety
• Developing Standards
• Association responsibilities
• Ensuring consistency of Standards
• Regulator responsibilities
• Overseeing Safety
• Approving Standards

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Who will be Regulated
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RSR Overseeing Safety

• Conducting
• audits
• inspections and
• accident / incident investigations
• Analyzing
• accident reports
• safety plans
• performance indicators
• Benchmarking
• Consultation

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Overseeing Safety (cont.)

• Making Regulations Guidelines
• Ensuring industry reviews standards, including
  codes and rules
• Issuing of directives to limit operations
• Enforcement
• Relationship Building

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RSR Bill

• Purpose
• To establish the Railway Safety Regulator to
  regulate safe railway operations
• Preamble
• Safe railway operations are fundamental
• Safe railway operations promote rail as mode
• Safe railway operation must be overseen, managed
  and coordinated
• Relevant organs of State must co-operate

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RSR Bill Preamble (cont.)

• The Bill is enacted in order to
• provide for and promote safe railway operations
• encourage collaboration between interested and
  affected parties
• recognise the prime responsibility and
  accountability of railway operators for safety
• to facilitate a modern, flexible and efficient
  regulatory regime to improve safety
• harmonise with SADC objectives

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RSR Bill

• Chapter 1 Definitions and Interpretation
• Chapter 2 Purpose and Application
• Chapter 3 Establishment and Governance of RSR
• Chapter 4 Safety Permits
• Chapter 5 Safety Management
• Chapter 6 Entry and Inspection

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RSR Bill

• Chapter 7 Reporting and Investigations
• Chapter 8 Monitoring, Assessment and
  Information
• Chapter 9 Appeals and Dispute Resolution
• Chapter 10 Offences and Remedies
• Chapter 11 General Provisions re
  Regulations
• Chapter 12 General and Transitional
  Provisions

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Chapter 2 PURPOSE AND APPLICATION

• Purpose repeat of Preamble
• Application
• All railways with gauge greater than 600mm
• Not to railways underground in a mine
• Not to railways in an amusement park
• Not to aerial cableway
• Not to any other exempted railway

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Chapter 3 ESTABLISHMENT AND GOVERNANCE OF RSR

• Establishment
• Objects
• Co-operative Governance
• Functions of Regulator
• Board of Regulator
• CEO
• Staff

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Chapter 3 (cont.)

• Delegation and Assignment
• Vacation of office of board members
• Meetings of board
• Minutes of board meetings
• Committee of board
• Remuneration of directors and committee members
• Funds of Regulator

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Chapter 3 (cont.)

• Financial year of Regulator
• Disagreements between Minister and board
• Reporting to Minister and Parliament
• Judicial management and liquidation of Regulator

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Chapter 4SAFETY PERMITS

• Railway undertakings requiring safety permit
• Application for safety permit
• Conditions of safety permit
• Reason for decision
• Suspension, revocation and surrender of safety
  permit
• Prohibition on transfer of safety permit

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Chapter 5SAFETY MANAGEMENT

• Part 1 Safety Management Systems and Standard
• Regulation for safety management systems and
  safety management system report
• Standards
• Part 2 Rolling Stock, Infrastructure and
  Stations
• Regulations for design, construction, operation
  and alteration

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Chapter 5 (cont)

• Part 3 Non-railway operations affecting
  safety
• Regulations for infrastructure or activity
  affecting safe railway operations
• Part 4 Public Safety
• Regulations for Public safety

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Chapter 6ENTRY AND INSPECTION

• Appointment of railway safety inspector
• Powers and duties of railway safety inspector
• Duty to assist railway safety inspector
• Duty to produce documents
• Powers of railway safety inspector to deal with
  unsafe conditions

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Chapter 7RAILWAY OCCURRENCE REPORTING AND
INVESTIGATIONS

• Railway occurrence reporting
• Railway occurrence investigations

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Chapter 8MONITORING, ASSESSMENT AND INFORMATION

• Establishment of national railway safety
  information and monitoring systems
• Provision of information
• Access of information
• Regulations for monitoring, assessment and
  information

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Chapter 9APPEALS AND DISPUTE RESOLUTION

• Appeals to chief executive officer against
  decision of railway safety inspector
• Appeals to board against decision of chief
  executive officer
• Appeal to Minister against decision of the board
• Review by High Court of decision of Minister

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Chapter 10OFFENCES AND REMEDIES

• Offences
• Enquiry in respect of compensation for harm, loss
  or damage suffered
• Award of damages
• Offences in relation to employer and employee
  relationships
• Liability of Director
• Interdict or other order by High Court

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Chapter 11GENERAL PROVISIONS REGARDING
REGULATIONS

• Making of regulations
• Regulations in general
• Consideration of regulations

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Chapter 12GENERAL AND TRANSITIONAL PROVISIONS

• State bound
• Limitation of liability
• Financial assistance
• International co-operation
• Operation of Act in relation to other laws
• Effect of delegation
• Documents deemed to be properly authorized and
  issued

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Chapter 12 (cont)

• Documents and steps taken valid under certain
  circumstances
• Service of documents
• Repeal of laws and savings
• Short title and commencement

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Key Regulations

• Reg. 001 Part 1Safety Management System (28(a))
• Part 2 Safety Management System
  Report (28(b))
• Part 3(a) Occurrence Reporting (
  38)
• Part 3(b) Information to be
  supplied (43)
• Reg. 002 Procedure for development and
  standards (29)

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REG 001SMSSMSRand Safety Reporting

• Safety Management System
• Management Policy and Structure
• Risk and Occurrence Management
• Human Factors Management
• Procurement of Goods and Contracted Services
• Engineering and Operational Systems
• Interface Management

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SMS Report

• Name, address and registration no. of operator
• Principle features of operation
• Organizational objectives and policies
• Description of SMS
• Processing Fee

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Safety Performance Assessment

• Occurrence reporting
• Category A death, serious injury, significant
  damage to property within 24 hours
• Category B other safety related incidents, which
  have potential to become category A reported
  quarterly
• Information to be supplied
• Occurrences quarterly and annually
• SMS information
• Other to enable RSR to oversee safety

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Cascade of Documentation
Railway Safety Regulator Act
(mandatory)
Regulation 001 SMS SMSR Safety performance
assessment
(mandatory)

• RSR Standard
  (Normative and informative)
• Part 1 Railway Safety Standard General
  Requirements Describes the elements of
  Regulation 001and refers to Parts 2 to 7
• Part 2Track, Civil and Electric Traction
  Infrastructure
• Part 3Rolling Stock
• Part 4Train Control Systems and equipment
• Part 5Operational Systems
• Part 6Railway interface with other
  infrastructure
• Part7Transportation of Dangerous Goods

• Industry Standards
  (Normative and informative)
• General Standard or Sectoral Standard
• Standards for all or part of each element in
  Parts 2 to 7 above and will range from high level
  to detail

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Way Forward

• Approval of Draft Bill planned April 2002
• Development of Regulations completion March 2002
• Development of SOPs i.t.o of MOU with DOL as
  forerunner to Co-operative Governance Agreements
  implementation July 2002

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Way Forward (cont.)

• Development of Standards
• General Standard for Railway Safety July 2002
• Guidance documents in support of regulations
  July 2002
• Development of Technical and Operating Standards
  as and when required
• Appointment of RSR board, CEO and staffApril
  2002 to December 2002
• Implementation of SMS July 2003
• Capacity Building

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Conclusion

• RSR is an opportunity to improve safety
• Implementation needs to be phased in
• Establish office
• Create capacity in personnel
• Auditing
• Inspection
• Occurrence investigation
• Industry needs lead time to develop SMS
• Thank you for the opportunity