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Railway safety regulatory function ind ii Presentation Transcript

  • 1. Railway Safety Regulatory FunctionA Scoping StudyThe Inception Report - December 2012
  • 2. BackgroundThe Indonesian economy is projected to growpositively (6-7% pa) in the foreseeable futureRoad constitutes the predominant transport mode(90%) – this imposes an impediment to growthRail transport provides less than 10% - significant andlikely potential for improvementThe Railway Law and other regulations provide thefoundation for this modal shift to occurIndonesia’s railways are deteriorating and requirereinvestment and greater regulation to provide safeand efficient operations 2
  • 3. BackgroundThe Railway Law removes the present monopoly andprovides for private investmentNational Railway Master Plan 2030 – 12,000 km inter-urban tracks, 3,660 km urban rails in 12 cities, 4,800 locomotives, 67,615 inter-urban railcars, and 6,016 urban railcarsRailway safety is seen to be lagging and acomprehensive rail safety regime and regulatoryfunction is lackingIt is proposed that Indonesia contemplate a long-termvision for rail safety within this changing context andimplement a consistent safety management regimeand regulatory function. 3
  • 4. Objective of the Scoping Study Proposed to establish the role and function of a Rail Safety Regulator within the Directorate of Railway Safety – Directorate General of Railway – Ministry of Transport, tasked with – 1. Ensuring safe and efficient rail operations, through 2. The development of an effective Railway Safety Regime. 4
  • 5. Railway Regulatory Regime The Railway Law No. 23/2007 19 Chapters, 218 Articles, and requires 28 Government Regulations Government Regulation No. 56/2009 Government Regulation No. 72/2009 10 Chapters, 406 Articles, and 10 Chapters, 188 Articles, and elucidation by 39 MoT Regulations elucidation by 40 MoT Regulations Presidential 41 Minister of Transport Regulation No. Regulations have been 53/2012 on issued so far PSO-IMO-TAC The substances of the 2 GRS (with 594 articles all together) have probably covered a majority of covenants mandated by the Law (with reference to the above 28 GRs) No stipulation on Safety Management System and Safety Regulatory Function Effective implementation of the covenants would probably sufficient enough by now for laying the platform for a Rail Safety Management System and its associated Railway Safety Regulatory Function to be working These two streams – Safety Management and Regulatory Function – will serve the safe railway operation and provide a more certain railway business environment. 5
  • 6. The Proposed Structure An enhanced function of portfolios within the DGR portfolio current organization of DGR/DRS to ensure that delegated to Railway Safety Guideline of the making of RSMS is fully DRS Regulatory complied with and its implementation is Function appropriately and effectively implemented. The RSRF end goal is to ascertain that much safer railway operation can be achieved. A guideline contains all the necessary Across the requirements , standards, models, and DRS sub- Guidance on operation manual of Railway Safety directorates Railway Safety Management System. Such guideline must be Management based on the current legal and regulatory System frameworks of railway safety and related safety G-RSMS operation manual The RSMS would serve the railway sector in PT KAI and ensuring a much safer rail operation in the other Railway Safety country. It will serve both the existing and future forthcoming Management railway systems and will apply to both passenger new System and freight rail services. operators RSMS 6
  • 7. RSMS in the making Directorate Guideline on General of MOU DGR & ARA Railway Safety Railway Management System MOU KAI & ARA Railway Safety PT Kereta Api Management Indonesia System These two streams of activities are now proceeding in the same time. It is presumed that the two streams have conversations and communication one to another and that in the end they will merge as “two in one” concept that is workable, effective, and able to deliver a safer railway operation. But when it comes to safety, it is a public concern at large and whatever the concept is, there is a need for public awareness, information, and participation. Government and SOEs alike is to be more communicative with the society and the users 7
  • 8. Roles and Function of theRail Safety Regulator Railway Safety Management System (RSMS) can be defined as a formal framework for integrating safety into day-to-day railway operations and includes safety goals and performance targets, risk assessments, responsibilities and authorities, rules and procedures, and monitoring and evaluation processes. The objectives of the SMS regulations are to ensure that safety is given management time and corporate resources and that it is subject to performance measurement and monitoring on par with corporate financial and production goals. Railway Safety Management System Guide February 2001 (TP 13548). Rail Safety, Transport Canada. http://www.tc.gc.ca/media/documents/railsafety/smsguide.pdf 8
  • 9. Learning from Australia The Government Inter Governmental Federal Government + 7 State Agreement Governments Harmonized National Ministries of Transport Legislation Federal Government + 7 State Governments National Rail Safety Regulator Independent National Rail Safety Investigator The Railway Industry Rail Safety Management Accident Infrastructure, Owners, Operators, System, Audit & Compliance, Investigation Manufacturers, Service providers, suppliers Accreditation, Licensing and vendors Australasian Railway Industry Fees Association (ARA) Rail Industry Safety and Funding 50% by industry, 50% by Standard Board (RISSB) government Australia’s Rail Safety Regulatory Function Source: ARA, 2011 9
  • 10. Learning from otherRegulated Railways What Indonesia can learn from other Regulated Railways – what down-falls to avoid Lessons learned from railways and rail industries similar to Indonesia – hence, a mix of Heavy Haul, Freight, and Passenger Railways The Final Report will include a comparative review of other Regimes, and other similar rail industries We agree that Indonesia cannot simply adopt another regime – it must be developed to suit the Indonesia rail industry Indonesia should look to take on the best – and most appropriate aspects and elements – from other relevant rail regimes 10
  • 11. Learning from Australia Policy & Legislation Support Corporate Services Legal Adviser Accreditation & Audit Safety Rail Safety Intelligence Regulatory Compliance Function Inspection Safety Advice & Compliance Safety Promotion Investigation Communication & Regulatory Public Relation Response Experts & Specialist Support Essential Functions of Rail Safety Regulatory Function Source: ITSR, NSW, 2011 slightly modified for Indonesia 11
  • 12. The Essential Functions No. Functions Task Performed Policy & Legislation Policy development, regulatory framework, Consultation with legislators + the railway 1. Support industry on safety regulation, consultation with DGR and DRS Legal advice with respect to interpretation of legislation, rules of evidence, and 2. Legal Adviser prosecution Capture rail safety and operational data, develop and maintain database, and technology 3. Safety Intelligence related to rail safety, undertake trend analysis, risk analysis, liaise with other rail regulators on benchmarking Safety Advice & Publication, guidelines, forums, papers, workshops, and other promotion actions on 4. Promotion railway safety 5. Corporate Services Performance measurement, reporting, knowledge management, human resources, ITC Accreditation & Initiate Accreditation for Rail Managers and Operators, audit of suitability of proposed Rail 6. Audit Safety Management System Compliance Audit and compliance of Accredited Railway Managers and Operators to their Approved 7. Inspection Safety Management Systems, inspection Compliance Accident + Near Miss + Benchmark investigation, more detailed investigation on matters 8. Investigation arising from a Compliance Inspection Expert & Specialist Support to the rail industry on the impact of proposed change, and to consider on-going 9. Support best-practice development of the Indonesian Rail industry Formal response to Accredited Railway Managers and Operators, accreditation actions, Regulatory 10. penalty system, variation, suspension, and cancellation, prosecution, prohibition, and Response improvement of accreditation Communication with Accredited Railway Managers and Operators, consultation with Communication & stakeholders affected by adjacent railway operations, media contact, media liaison 11. Public Relation through railway safety statistics and advice, consultation with the public on changes to Railway Management and Operations 12
  • 13. Enhanced DRS Functions DRS Sub Current Functions Proposed Function Directorate 1. Compliance audits on rail infrastructure and rolling 1. Compliance audits on rail stock including procurement, development, infrastructure and rolling stock operation, and maintenance including procurement, 2. Compliance audits on railway operation development, operation, and 3. Consistency of Railway Safety goals and objectives maintenance 4. Coordination of efforts to improve railway safety 2. Compliance audits on railway (for example, at crossings)Safety Audit & operation 5. Shared/common specialist technical support in railImprovement 3. Consistency of Railway Safety engineering, asset management, and human goals and objectives system to enhance safety audit and safety 4. Coordination of efforts to improve improvement railway safety (for example, at 6. Shared/common purpose through promotion and crossings) by publishing papers, guidelines, conducting safety forums and workshops, and other necessary publications 1. Accident analysis, accident 1. Development and benchmarking of the Data Base, reporting, and coordination with technology, trend analysis, and risk exposure related parties on rail safety and analysisAccident rail accident analysis 2. Accident analysis, accident report, andAnalysis & 2. Identification of accident and coordination with related parties on rail safety andManagement disaster prone areas – “root cause rail accident analysis analysis” 3. Identification of accident and disaster prone areas 3. Ensuring the consistency of the 4. Developing emergency response system emergency response regime 13
  • 14. Enhanced DRS Functions DRS Sub Directorate Current Functions Proposed Function 1. Accreditation/Certification of testers, auditors, inspectors, train 1. Accreditation/Certification of testers, auditors, drivers, rail infrastructure operators, inspectors, train drivers, rail infrastructure rolling stock and infrastructure operators, rolling stock and infrastructure examiners, and maintenance officers examiners, and maintenance officersInstitutional 2. Accrediting legal entities or testing 2. Accrediting legal entities or testing agencies andAccreditation & agencies and railway education railway education institutionsCertification institutions 3. Arranging formation plan of human resources of 3. Arranging formation plan of human testing agencies resources of testing agencies 4. Technical training and refreshment courses for 4. Technical training and refreshment regulator, testers, inspectors, and auditors courses for regulator, testers, 5. Technical training for railway accident investigators inspectors, and auditors 1. Legislative advice, provision of evidence, and support to prosecutors 2. Ensuring compliance with passenger/trespasser 1. Technical training for railway safety on or about rolling stock investigators 3. Ensuring compliance with buildings and structures 2. Controlling passengers in driver which might have an adverse impact upon rail cabin, on-top of train roof, and safety locomotives 4. Investigation of violation of the Railway Law andLegislative 3. Controlling illegal building and other coordination with related parties to secure lawEnforcement obstacles interfering with train enforcement visibility 5. Developing a “whole of industry” role in support of 4. Investigation of violation of the infrastructure owners and operator in the safe Railway Law and coordination with provision of rail services - performance related parties to secure law measurement, knowledge management, etc enforcement 6. Developing a dialogue with the media for community development and public relation undertakings 14
  • 15. Final configuration Railway Safety The Directorate of Regulatory Railway Safety Function PT KAI PT KCJ Other Operators Operators Railway Safety The System Management System Both the RSRF and RSMS must be effectively in operation for safe railway operation. But the systems do not replace the current railway regulations. Violation against the good conducts of railway safety could be examined by the DRS and recommendations are conveyed to the DGR /MOT as the ultimate regulator 15
  • 16. Short-Term Next Steps Scoping Initiation 2012 2013 2014Review laws, regulations, institutions, and programs of railway safety in IndonesiaDevelopment and submission of Railway Safety Regulation ReportConsultation with Director of Railway Safety, MOT and PT KAIDevelopment/Adoption of Model Railway SafetyManagement System and Regime - Ongoing consultationwith ARACommence development of National Railway SafetyMaster Plan to contemplate the enhanced role of theRSR IndonesiaIdentify resources and training necessary to provide theenhanced Functions of the RSR (Indonesia) under theNational Rail Safety Master PlanIdentify Performance Targets for the RSR (Indonesia) forinclusion in the Draft National Rail Safety Master Plan 16
  • 17. Longer-Term Steps Scoping Initiation Implementation 2012 2013 2014 2015 2016 2017 2018 2019Enactment of the National Railway Safety MasterPlan and the responsibility of the RSR IndonesiaAppointment of Resources to provide functions of theenhanced role of the RSR (Indonesia) under theNational Railway Safety Master PlanEstablishment of formalised Rail Standards RegimeInitiate Liaison/Benchmarking with other Rail SafetyRegulatorsThe Rail Safety Regulator (Indonesia) delegated underthe provisions of the National Rail Safety MasterAccreditation Regime for Rail Managers andOperators put in place under the Rail Safety RegulatorFirst Compliance Audits by the Rail Safety Regulator(Indonesia)First Annual Report by the Rail Safety Regulator(Indonesia) - reporting against defined PerformanceIndependent Review of the Role and Effectiveness ofthe RSR RegimeOngoing Development of Rail Safety RegimeOngoing Consultation with MOT and RailwayManagers and Operators 17
  • 18. National RailwaySafety Master Plan Scoping Initiation Implementation 2012 2013 2014 2015 2016 2017 2018 2019Development/Adoption of Model Railway Safety Management System andRegime - Ongoing consultation with ARACommence development of National Railway Safety Master Plan tocontemplate the enhanced role of the RSR Indonesia Development of the ARA’s Model Railway Safety Management System provides an excellent foundation We acknowledge that this MOU extends until 2014 Alongside this activity we propose to commence development of the National Railway Safety Master Plan Consistent with the strategy adopted for the National Road Safety Master Plan 2011-2035 Proposed to commence this in 2013, Seeking input and consultation with Director of Railway Safety, MOT and PT KAI 18
  • 19. National RailwaySafety Master Plan Scoping Initiation Implementation 2012 2013 2014 2015 2016 2017 2018 2019Identify resources and training necessary to provide the enhanced Functionsof the RSR (Indonesia) under the National Rail Safety Master PlanIdentify Performance Targets for the RSR (Indonesia) for inclusion in the DraftNational Rail Safety Master PlanSubmit National Railway Safety Master Plan and the responsibility of the RSRIndonesia to Director of Railway Safety, MOT Development of the National Railway Safety Master Plan would subsequently lead to – A study to identify the resources and training necessary to fulfill the enhanced Functions and Role of the Rail Safety Regulator (Indonesia) Identification of the Performance Targets which the RSR Indonesia would be tasked to meet With the National Railway Safety Master Plan subsequently better defined and scoped, the Plan would be submitted to the Director of Railway Safety, MOT 19
  • 20. National Railway Safety Master Plan Scoping Initiation Implementation 2012 2013 2014 2015 2016 2017 2018 2019Appointment of Resources to provide functions of the enhanced role of theRSR (Indonesia) under the National Railway Safety Master PlanEstablishment of formalised Rail Standards RegimeInitiate Liaison/Benchmarking with other Rail Safety RegulatorsThe Rail Safety Regulator (Indonesia) delegated under the provisions of theNational Rail Safety Master Plan This would lead to appointment of resources under the National Railway Safety Master Plan who would be tasked to – Establish and maintain the formalised Rail Standards Regime, Undertake “Base Case” audits Initiate benchmarking with other Rail Safety Regulators based upon statistical and accident data which has been captured and analysed The Role of the Rail Safety Regulator (Indonesia) would be appointed under the provisions of the National Railway Safety Master Plan 20
  • 21. National RailwaySafety Master Plan Scoping Initiation Implementation 2012 2013 2014 2015 2016 2017 2018 2019Accreditation Regime for Rail Managers and Operators put in place under theRail Safety Regulator (Indonesia)First Compliance Audits by the Rail Safety Regulator (Indonesia)First Annual Report by the Rail Safety Regulator (Indonesia) - reportingagainst defined Performance TargetsIndependent Review of the Role and Effectiveness of the RSR Regime A target might be to have an enhanced Accreditation Regime in place 2016 to 2018 With the first Compliance Audits by the Rail Safety Regulator in 2018 And the first Annual Report by the Rail Safety Regulator (Indonesia) in 2018 It might be that the National Railway Safety Master Plan would contemplate Independent Review of the effectiveness of the Rail Safety Regulator (Indonesia) in 2019 21
  • 22. Terima Kasih 22