1. 2002/02/20Portfolio Committee1 Railway Safety Regulator Project

2. 2002/02/20Portfolio Committee2 Contents of Presentation Background information RSR Bill Key Regulations Cascade of documentation Way forward Conclusion

3. 2002/02/20Portfolio Committee3 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. 2002/02/20Portfolio Committee4 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

5. 2002/02/20Portfolio Committee5 International Approaches to Railway Safety

6. 2002/02/20Portfolio Committee6 Regulator Monitoring Enforcement International Benchmarking Other Legislation Act Regulation Emergency Services Other Industry Operators Company Management Public & Customers Employees Organization’s Safety System Externalities Influencing Railway Safety Technology Continuous Improvement of SAFETY

7. 2002/02/20Portfolio Committee7 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

8. 2002/02/20Portfolio Committee8 Who will be Regulated

9. 2002/02/20Portfolio Committee9 RSR: Overseeing Safety Conducting –audits – inspections and – accident / incident investigations Analyzing – accident reports; – safety plans; – performance indicators Benchmarking Consultation

10. 2002/02/20Portfolio Committee10 Overseeing Safety (cont.) Making Regulations & Guidelines Ensuring industry reviews standards, including codes and rules Issuing of directives to limit operations Enforcement Relationship Building

11. 2002/02/20Portfolio Committee11 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

12. 2002/02/20Portfolio Committee12 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

13. 2002/02/20Portfolio Committee13 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

14. 2002/02/20Portfolio Committee14 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

15. 2002/02/20Portfolio Committee15 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

16. 2002/02/20Portfolio Committee16 Chapter 3 ESTABLISHMENT AND GOVERNANCE OF RSR Establishment Objects Co-operative Governance Functions of Regulator Board of Regulator CEO Staff

17. 2002/02/20Portfolio Committee17 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

18. 2002/02/20Portfolio Committee18 Chapter 3 (cont.) Financial year of Regulator Disagreements between Minister and board Reporting to Minister and Parliament Judicial management and liquidation of Regulator

19. 2002/02/20Portfolio Committee19 Chapter 4 SAFETY 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

20. 2002/02/20Portfolio Committee20 Chapter 5 SAFETY 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

21. 2002/02/20Portfolio Committee21 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

22. 2002/02/20Portfolio Committee22 Chapter 6 ENTRY 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

23. 2002/02/20Portfolio Committee23 Chapter 7 RAILWAY OCCURRENCE REPORTING AND INVESTIGATIONS Railway occurrence reporting Railway occurrence investigations

24. 2002/02/20Portfolio Committee24 Chapter 8 MONITORING, ASSESSMENT AND INFORMATION Establishment of national railway safety information and monitoring systems Provision of information Access of information Regulations for monitoring, assessment and information

25. 2002/02/20Portfolio Committee25 Chapter 9 APPEALS 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

26. 2002/02/20Portfolio Committee26 Chapter 10 OFFENCES 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

27. 2002/02/20Portfolio Committee27 Chapter 11 GENERAL PROVISIONS REGARDING REGULATIONS Making of regulations Regulations in general Consideration of regulations

28. 2002/02/20Portfolio Committee28 Chapter 12 GENERAL 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

29. 2002/02/20Portfolio Committee29 Chapter 12 (cont) Documents and steps taken valid under certain circumstances Service of documents Repeal of laws and savings Short title and commencement

30. 2002/02/20Portfolio Committee30 Key Regulations Reg. 001: Part 1:Safety 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)

31. 2002/02/20Portfolio Committee31 REG 001:SMS;SMSR; and 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

32. 2002/02/20Portfolio Committee32 SMS Report Name, address and registration no. of operator Principle features of operation Organizational objectives and policies Description of SMS Processing Fee

33. 2002/02/20Portfolio Committee33 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

34. 2002/02/20Portfolio Committee34 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 2:Track, Civil and Electric Traction Infrastructure  Part 3:Rolling Stock  Part 4:Train Control Systems and equipment  Part 5:Operational Systems  Part 6:Railway interface with other infrastructure  Part7:Transportation 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

35. 2002/02/20Portfolio Committee35 Way Forward Approval of Draft Bill: planned April 2002 Development of Regulations: completion March 2002 Development of SOP’s i.t.o of MOU with DOL as forerunner to Co-operative Governance Agreements: implementation July 2002

36. 2002/02/20Portfolio Committee36 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 staff:April 2002 to December 2002 Implementation of SMS: July 2003 Capacity Building

37. 2002/02/20Portfolio Committee37 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