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Table of Contents Table of Contents RSR Mandate RSR Mandate Approach to Safety Regulation Approach to Safety Regulation Key Priorities – (2009-10) Key Priorities – (2009-10) Key Performance Highlights (2009- Key Performance Highlights (2009- 10) 10) Budget and Financial Performance Budget and Financial Performance 2009-10 State of Safety Data 2009-10 State of Safety Data (Preliminary data). (Preliminary data). Overview: State of Safety in Overview: State of Safety in Railways and key safety challenges. Railways and key safety challenges. Medium Term Interventions Medium Term Interventions Institutional Challenges. Institutional Challenges. 2

1 Railway Safety Regulator Portfolio Committee on Transport: 21 October 2010 Annual Report 2009-10

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Page 1: 1 Railway Safety Regulator Portfolio Committee on Transport: 21 October 2010 Annual Report 2009-10

Table of ContentsTable of Contents RSR MandateRSR Mandate

Approach to Safety RegulationApproach to Safety Regulation

Key Priorities – (2009-10)Key Priorities – (2009-10)

Key Performance Highlights (2009-10)Key Performance Highlights (2009-10)

Budget and Financial PerformanceBudget and Financial Performance

2009-10 State of Safety Data (Preliminary data).2009-10 State of Safety Data (Preliminary data).

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

Medium Term InterventionsMedium Term Interventions

Institutional Challenges.Institutional Challenges. 2

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

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

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

To develop appropriate regulations & standards for safe railway operationsTo develop appropriate regulations & standards for safe railway operations

To collect and disseminate information relating to safety performance in the railway To collect and disseminate information relating to safety performance 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 South Africa with SADC To promote the harmonization of the railway safety regime of South Africa with SADC railway operations.railway operations.

MandateMandate

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Approach to Safety RegulationApproach to Safety RegulationLEGAL INSTRUMENTSLEGAL INSTRUMENTS

NRSR ActNRSR Act Safety RegulationsSafety Regulations Safety StandardsSafety Standards Safety Management Safety Management

SystemSystem Safety PermitSafety Permit Cooperative Cooperative

AgreementsAgreements

COMPLIANCE &COMPLIANCE &

MONITORINGMONITORING Safety Audits and Safety Audits and

InspectionsInspections Occurrence Occurrence

InvestigationsInvestigations Safety Assessments Safety Assessments

of new of new works/technology works/technology and operational and operational improvementsimprovements

State of Safety State of Safety ReportsReports

Safety PlansSafety Plans

ENFORCEMENTENFORCEMENT

Suspension and Suspension and Revocation of Safety Revocation of Safety PermitPermit

Restriction or Restriction or suspension of an suspension of an activity (unsafe activity (unsafe conditions)conditions)

Directives and Directives and NoticesNotices

Lay criminal charge Lay criminal charge for contraventionsfor contraventions

Penalties (proposed)Penalties (proposed)

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Key Priorities (2009-10Key Priorities (2009-10))

Strengthen the Railway Strengthen the Railway Safety Regulatory regime. Safety Regulatory regime.

Safety Regulations.Safety Regulations. Safety Standards -Safety Standards - Regulatory Model for various risk operator Regulatory Model for various risk operator

categories.categories. Safety Permit ManagemSafety Permit Managementent

Improve Safety Improve Safety Compliance and Compliance and Adequacy Adequacy

Safety AuditsSafety Audits InspectionsInspections Occurrence InvestigationsOccurrence Investigations Railway Technology ReviewsRailway Technology Reviews Evaluation of Annual Safety PlansEvaluation of Annual Safety Plans Railway Occurrence Information Railway Occurrence Information

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Key Priorities (2009-10)Key Priorities (2009-10)

Stakeholder Partnerships Stakeholder Partnerships to promote and improve to promote and improve safety. safety.

Safety Awareness Campaigns in Safety Awareness Campaigns in collaboration with key Stakeholders.collaboration with key Stakeholders.

National Railway Crime Combating Initiative/ National Railway Crime Combating Initiative/ Forum Forum

Agreements with stakeholders to improve Agreements with stakeholders to improve safety.safety.

Promotion of safety and harmonisation of Promotion of safety and harmonisation of railway operations in SADC railways railway operations in SADC railways

Proactive Support of Proactive Support of Key initiativesKey initiatives

Safety Oversight of the Gautrain Project.Safety Oversight of the Gautrain Project. Safety Oversight of dedicated 2010 World Safety Oversight of dedicated 2010 World

Cup services.Cup services. Reviews/Assessments of capital Reviews/Assessments of capital

programmes by major operators.programmes by major operators.

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Key Priorities (2009-10)Key Priorities (2009-10)

Improve Institutional Improve Institutional Effectiveness. Effectiveness.

Sound Financial ManagementSound Financial Management Revenue ManagementRevenue Management Good Corporate GovernanceGood Corporate Governance Sound Human Capital ManagementSound Human Capital Management Risk ManagementRisk Management Optimal Utilisation of ICT Optimal Utilisation of ICT

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Key Performance HighlightsKey Performance Highlights

Safety Audits, Inspections Safety Audits, Inspections and Occurrence and Occurrence Investigations.Investigations.

Conducted a total of 72 Safety Conducted a total of 72 Safety Management System Audits.Management System Audits.

16 Ad-hoc Inspections undertaken16 Ad-hoc Inspections undertaken 23 Occurrence Investigations and Board of 23 Occurrence Investigations and Board of

Inquiries conducted.Inquiries conducted. 43 Technology Reviews completed43 Technology Reviews completed

Targeted PRASA/TFR Targeted PRASA/TFR Technical audits focussing on Technical audits focussing on infrastructure integrity, rolling infrastructure integrity, rolling stock maintenance, stock maintenance, communication infrastructure communication infrastructure and interface mngt. and interface mngt.

27 Targeted technical audits on PRASA 27 Targeted technical audits on PRASA regions (Cape Town, Durban and Gauteng) regions (Cape Town, Durban and Gauteng) were conducted.were conducted.

24 Targeted technical audits on Transnet 24 Targeted technical audits on Transnet Freight Rail.Freight Rail.

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Key Performance HighlightsKey Performance Highlights

Directives and Notices Directives and Notices arising from audits, arising from audits, inspections and inspections and Occurrence Occurrence investigations. investigations.

72 Safety Audits 72 Safety Audits 3 Prohibition Directives issued (when immediate 3 Prohibition Directives issued (when immediate

threat to safety was evident)threat to safety was evident) 17 Improvement Directives issued (when there is a 17 Improvement Directives issued (when there is a

possible threat to safety, e.g. Infrastructure possible threat to safety, e.g. Infrastructure defects)defects)

6 non-compliance notices (when elements of a 6 non-compliance notices (when elements of a safety management system were not safety management system were not implemented).implemented).

253 audit non-conformance notices (relatively 253 audit non-conformance notices (relatively minor but important findings within an operator’s minor but important findings within an operator’s safety management system).safety management system).

16 Ad-hoc Inspections – resulting in 7 16 Ad-hoc Inspections – resulting in 7 Improvement Directives and 1 non-compliance Improvement Directives and 1 non-compliance notice.notice.

23 Occurrence Investigations resulting in 39 23 Occurrence Investigations resulting in 39 recommendations and 6 Improvement Directives.recommendations and 6 Improvement Directives.

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Key Audit Findings on PRASA and TFR.Key Audit Findings on PRASA and TFR.

PRASA AuditsPRASA Audits Sound Safety Management Structure in place –preparation and focussed planning for 2010 World Sound Safety Management Structure in place –preparation and focussed planning for 2010 World

Cup.Cup. Low system capacity, rolling stock backlog/shortage (lead to overcrowding of trains) and age of Low system capacity, rolling stock backlog/shortage (lead to overcrowding of trains) and age of

assets remains a major concern.assets remains a major concern. Increased demand on system lead to unsafe passenger behaviour. Increased demand on system lead to unsafe passenger behaviour. Poor reliability of rolling stock and infrastructure – particularly the signalling system. Service Poor reliability of rolling stock and infrastructure – particularly the signalling system. Service

disruptionsdisruptions Theft and vandalism has placed immense pressure on maintenance.Theft and vandalism has placed immense pressure on maintenance. Extensive tests on Gauteng infrastructure revealed that it is sound despite major challenges – Extensive tests on Gauteng infrastructure revealed that it is sound despite major challenges –

reliability of radios in trains is a major concern.reliability of radios in trains is a major concern. High number of vacancies in the safety critical grades in the infrastructure departments.High number of vacancies in the safety critical grades in the infrastructure departments.

Transnet Freight Rail Coal Line Audits.Transnet Freight Rail Coal Line Audits. Risk Management processes not embedded in the organisation.Risk Management processes not embedded in the organisation. High levels of manual train authorisations – too many train control officer posts not filled.High levels of manual train authorisations – too many train control officer posts not filled. Signal equipment failures exceedingly highSignal equipment failures exceedingly high High levels of vandalism and theft of equipmentHigh levels of vandalism and theft of equipment Too many vacancies in safety critical and safety related grades.Too many vacancies in safety critical and safety related grades.

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Investment Backlogs. Investment Backlogs. Commuter Rail System.Commuter Rail System.

o Investment backlog = R20bInvestment backlog = R20b

o Rolling Stock Recap=R60bRolling Stock Recap=R60b

o 40% Fleet over 37 yrs & One third 40% Fleet over 37 yrs & One third constantly out of service – reliability & constantly out of service – reliability & performance poor.performance poor.

o 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.

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Key Performance HighlightsKey Performance Highlights

Gautrain Rapid Rail Gautrain Rapid Rail Project.Project.

Issued Construction Train Safety Permit and Test Issued Construction Train Safety Permit and Test and Commissioning Safety Permit.and Commissioning Safety Permit.

Safety reviews/assessments of the train control Safety reviews/assessments of the train control system and rolling stock completed.system and rolling stock completed.

Evaluation of Traction Equipment in progress at Evaluation of Traction Equipment in progress at year end.year end.

Safety Management System report under review at Safety Management System report under review at year end (requirement for issuing a Safety Permit year end (requirement for issuing a Safety Permit for Phase 1 of the project).for Phase 1 of the project).

Hazard Log developed (identifies possible risks in Hazard Log developed (identifies possible risks in the entire life-cycle of Gautrain project) and the entire life-cycle of Gautrain project) and monitored & updated on a regular basismonitored & updated on a regular basis

2010 World Cup 2010 World Cup Readiness. Readiness.

4 PRASA (Metrorail) region based audits 4 PRASA (Metrorail) region based audits conducted.conducted.

PRASA’s station programme evaluated.PRASA’s station programme evaluated. 8 Audits conducted on Tourist Operators8 Audits conducted on Tourist Operators

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Key Performance HighlightsKey Performance Highlights

Railway Safety Railway Safety Standards, Guides and Standards, Guides and Regulations.Regulations.

Amended and published the General Railway Amended and published the General Railway Safety Management System Standard published.Safety Management System Standard published.

Human Factors Management Standards (Safety Human Factors Management Standards (Safety critical positions in railways) – Draft standard critical positions in railways) – Draft standard developed to be published in 2010/11.developed to be published in 2010/11.

Level Crossings Standard – Draft standard Level Crossings Standard – Draft standard developed.developed.

Level Crossings Risk Assessment model Level Crossings Risk Assessment model developed and tested at 5 sites.developed and tested at 5 sites.

Guidance notice on the standardisation of railway Guidance notice on the standardisation of railway occurrence management issued to operators.occurrence management issued to operators.

Penalty Regulations completed but not published Penalty Regulations completed but not published at year end.at year end.

Revised Permit Fee framework/model developed Revised Permit Fee framework/model developed and approved as part of implementing the and approved as part of implementing the amended NRSR Act.amended NRSR Act.

Regulatory model for regulating small/low risk Regulatory model for regulating small/low risk operators developed – to enable RSR to focus operators developed – to enable RSR to focus more resources on high risk operators.more resources on high risk operators.

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Key Performance HighlightsKey Performance Highlights

Stakeholder Partnerships Stakeholder Partnerships to improve Safety.to improve Safety.

Integrated railway safety campaigns initiated in Integrated railway safety campaigns initiated in cooperation with PRASA, TFR , Railway Police cooperation with PRASA, TFR , Railway Police and Commuter Organisations.and Commuter Organisations.

The MOU with the Chemical Industry Association The MOU with the Chemical Industry Association (with regard to the transportation of dangerous (with regard to the transportation of dangerous goods by rail) .goods by rail) .

MOU with the South African Police Services.MOU with the South African Police Services. Active participation in the national Railway Crime Active participation in the national Railway Crime

Combating Forum (forum to address issues Combating Forum (forum to address issues around crime and security in the railway around crime and security in the railway environment).environment).

Regional safety standards in the Southern African Regional safety standards in the Southern African Region through the Southern African Railways Region through the Southern African Railways Association – regional safety policy adopted by Association – regional safety policy adopted by the SARA Board in 2008/09)the SARA Board in 2008/09)

Monitoring Safety Monitoring Safety Performance in the Performance in the Railway Industry. Railway Industry.

Revised format for the 2008/09 State of Safety Revised format for the 2008/09 State of Safety

Evaluated 320 Annual Safety Improvement Plans.Evaluated 320 Annual Safety Improvement Plans.

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2010 2009

Income: Government Grant

37,260,000 33,861,072

Permit Fees 9,700,800 5,087,000

Other Income 805,035 35,135

Investment Income

96,752 427,571

Total 47,862,587 39,410,778

% Increase 08/09 – 09/10 = 28.27 %

Budget Budget 2009 - 20102009 - 2010

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Income Income 2009 - 20102009 - 2010

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Budget & Expenditure for Budget & Expenditure for 2009 - 20102009 - 2010

Expenditure 2010 2009

Staff Costs 29,429,243 23,328,436

Operating Expenses (including professional fees)

10,808,273 7,934,584

Admin Expenses 8,912,039 7,052,447

Total 49,149,555 38,315,467

Deficit/Surplus (1,493,719) 864,132

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STATEMENT OF FINANCIAL POSITION AS AT 31 MARCH 2010

2010 2009

ASSETS

Non-current assets 4,892,893 4,741,758

Property, plant and equipment 4,112,403 4,028,374

Intangible assets 780,490 713,384

Current assets 1,301,859 2,562,403

Trade and other receivables 220,566 127,570

Bank and Cash 1,081,293 2,434,833

TOTAL ASSETS 6,194,752 7,304,161

NET ASSETS AND LIABILITIES

Net Assets 1,053,257 2,546,976

Accumulated Surplus 1,053,257 2,546,976

Non-current liabilities 881,834 1,176,080

Finance Lease Liability 881,834 1,176,080

Current Liabilities 4,259,661 3,581,105

Trade and other payables 3,965,415 3,385,383

Short-term portion of finance lease liability 294,246 195,722

TOTAL NET ASSETS AND LIABILITIES 6,194,752 7,304,161

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Medium Term BudgetMedium Term Budget

R’000

2010/2011 2011/2012 2012/2013

Transfers – Government Grant 35,994 37,475 39,349

Permit Fees (Projected) 10,000 15,000 16,000

Projected Interest 480 500 500

TOTAL 46,474 52,975 55,849

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SARCC/METRORAIL 2009/10 SECURITY RELATED OCCURRENCES

CATEGORY TOTAL RANK % TO TOTAL

1 - Theft of assets 366 2 18 %

2 - Vandalism 444 4 22 %

3 - Threats to operational safety 9 6 0 %

4 - Train hijacking 1 8 0 %

5 - Crowd related incidences 5 8 0 %

6 - Industrial action related incidences 21 7 1 %

7 - Safety on trains 399 3 20 %

8 - Safety on stations 533 1 27 %

9 - Safety outside station platform area (yards, depots, sidings)

233 5 12 %

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7. Personal safety on trains8.Personal safety on stations9.Personal safety outside station platform (yards, sidings and depots)

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7. Personal safety on trains8.Personal safety on stations9.Personal safety outside station platform (yards, sidings and depots)

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TRANSNET FREIGHT RAIL 2009/10 OPERATIONAL OCCURRENCES

CATEGORY TOTAL RANK % TO TOTAL

A - Collisions 819 1 32 %

B - Derailments 556 2 22 %

C - Unauthorised Movements 59 6 2 %

D - Level Crossings 130 6 5 %

E - People struck by trains 228 5 9 %

F - People-related occurrences 28 7 1 %

G - Passenger-related occurrences 0 11 0 %

H - People related: Platform 10 9 0 %

I - People related: Station 2 10 0 %

J - Electric Shock 21 8 1 %

K - Spillage 376 4 15 %

L - Fire 332 3 13 %

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GRAPHSGRAPHS

TRANSNET FREIGHT RAIL 2009/10 SECURITY-RELATED OCCURRENCES

CATEGORY TOTAL RANK % to Total

Theft 2924 1 90 %

Vandalism 343 2 10 %

3 0 3 0 %

4 0 3 0 %

5 0 3 0 %

6 0 3 0 %

7 0 3 0 %

8 0 3 0 %

9 0 3 0 %

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SARC 2009/10 COST OF OCCURRENCE

DESCRIPTION LOSS AMOUNT % TO TOTAL

Theft & Vandalism R6 783 202.20 6 %

Train Fires R72 829 062.97 65 %

Collisions R21 901 563.10 20 %

Derailments R9 730 464.23 9 %

Level Crossing Accidents R423 887.75 0 %

Total R111 668 180.25 100 %

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TRANSNET FREIGHT RAIL 2009/10 RAIL OCCURRENCE COSTS

DESCRIPTION CATEGORY TOTAL % TO TOTAL

Theft & Vandalism Cables R54 267 333 15 %

Theft & Vandalism Doors & Windows R347 156 0 %

Arson Rolling Stock R0 0 %

Train Fires Rolling Stock R4 850 003 1 %

Level Crossing Accidents

R/S & Perway R25 864 140 7 %

Collisions R/S & Perway R6 758 639 2 %

Derailments R/S & Perway R276 352 825 75 %

R368 440 096 100 %

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Safety In RailwaysSafety In Railways

Poor safety record over the past 5 years. Poor safety record over the past 5 years.

From 04/05 - 09/10 combined accrued costs From 04/05 - 09/10 combined accrued costs for TFR/Metrorail amounted to just over for TFR/Metrorail amounted to just over R3.5b excluding indirect costs.R3.5b excluding indirect costs.

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

Concerns around the condition of aging Concerns around the condition of aging infrastructure, Rolling Stock, Signalling and infrastructure, Rolling Stock, Signalling and Radio systems and capacity planning.Radio systems and capacity planning.

Vandalism and theft of railway Vandalism and theft of railway assets/infrastructureassets/infrastructure

Inadequate capacity to meet demand Inadequate capacity to meet demand ( Safety implications).( Safety implications).

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Safety In RailwaysSafety In Railways

Personal Safety in trains and stations Personal Safety in trains and stations

Vehicle driver behaviour – level crossings Vehicle driver behaviour – level crossings accidents.accidents.

Shortage of technical skills.Shortage of technical skills.

Challenges in relation to balancing Challenges in relation to balancing investments between maintaining the current investments between maintaining the current system while migrating to new technologies.system while migrating to new technologies.

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

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Medium Term Interventions.Medium Term Interventions. The assessment of the condition/status of critical elements of the infrastructure, rolling The assessment of the condition/status of critical elements of the infrastructure, rolling

stock, operational systems and management from both individual and overall systems stock, operational systems and management from both individual and overall systems perspective through undertaking technical audits.perspective through undertaking technical audits.

The interrogation of the level of implementation and compliance with safety directives The interrogation of the level of implementation and compliance with safety directives arising out of audits, inspections and investigations.arising out of audits, inspections and investigations.

An assessment of measures undertaken to address investment backlogs – to deal with An assessment of measures undertaken to address investment backlogs – to deal with issues of capacity/(commuter rail system) – safety assessment of new technologies.issues of capacity/(commuter rail system) – safety assessment of new technologies.

An assessment of the extent to which sufficient measures are taken to ensure that the An assessment of the extent to which sufficient measures are taken to ensure that the current assets continue to be used in a safe manner whilst renewal programmes are being current assets continue to be used in a safe manner whilst renewal programmes are being introduced.introduced.

An analysis of the measures that are in place to ensure the safety and security of railway An analysis of the measures that are in place to ensure the safety and security of railway

assets, passengers and the public within the railway reserve and surrounding assets, passengers and the public within the railway reserve and surrounding environment.environment.

An interrogation of measures that are in place to ensure sustainable capacity for railway An interrogation of measures that are in place to ensure sustainable capacity for railway operations.operations.

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Key Institutional Key Institutional

ChallengesChallenges FundingFunding Constraints Constraintso Limited Inspectorate capacity.(13 Inspectors – Limited Inspectorate capacity.(13 Inspectors –

minimum required 35) (e.g. TFR has 22 000 km rail minimum required 35) (e.g. TFR has 22 000 km rail network, PRASA 2400km)network, PRASA 2400km)

o Limited overall staff complement in other critical Limited overall staff complement in other critical functions of the organisation. Limited resources to functions of the organisation. Limited resources to undertake other critical safety activities such safety undertake other critical safety activities such safety standards development, outreach/safety awareness standards development, outreach/safety awareness programmes.programmes.

o Inability to develop an appropriate information Inability to develop an appropriate information management system / inadequate investment in IT.management system / inadequate investment in IT.

o Lack of an appropriate compliance monitoring Lack of an appropriate compliance monitoring system.system.

o Increased “New Rail Works/Projects” will place Increased “New Rail Works/Projects” will place additional pressure on RSR’s limited capacity.additional pressure on RSR’s limited capacity.

o Limited Research capacityLimited Research capacity..o Alternative funding mechanisms Alternative funding mechanisms General shortage of technical skills in the railway General shortage of technical skills in the railway

industry.industry. Need to strengthen the enforcement regime – Need to strengthen the enforcement regime –

penalty system underway.penalty system underway. Funding Challenges confronting railway operators Funding Challenges confronting railway operators

(mainly the commuter rail services).(mainly the commuter rail services).

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ConclusionConclusion

We hope that RSR We hope that RSR interventions will interventions will contribute in;contribute in;

Enhancing a safety Enhancing a safety management culture management culture railways.railways.

Reducing accidents & Reducing accidents & costs associated with costs associated with railway occurrences. railway occurrences. (transport costs)(transport costs)

Promoting rail as a Promoting rail as a preferred mode of preferred mode of transporttransport