rta metro and railways certifications
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Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Lessons Learned from the
Railway Certification / Accident
Investigation Model Adopted by the Dubai RTA
Eur. Ing. Amair Saleem
Carl Wilson
Safety, Risk, Regulation and Planning Department (SRRPD)
Strategy and Corporate Governance (SCG) Sector
Roads and Transport Authority (RTA)
22nd October 2014
SCG/SRP/PRE/30142/REG Rev 1.00
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Contents
1. Best Practice
2. Regulation Development
3. Accident Investigation:
Lessons Learned
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
1. Best Practice
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Best Practice: Concept
Certification
• Control Risks Pre-Operation
Regulation
• Control Risks Post-Operation
Safe Railway
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Best Practice Approach: Integration
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Best Practice: Standard
The “V” Representation from EN50126
Concept
1
System Definition &
Application Conditions
2
Risk Analysis
3
System Requirements
4
Apportionment of System
Requirements
5
Design and
Implementation
6
Manufacture
7
Installation
8
System Validation
(incl. Safety Acceptance and
Commissioning)
9
Trial Operation &
System Acceptance
10
Operation and
Maintenance
11
Decommissioning
And Disposal
14
Modification and
Retrofit
13
Performance
Monitoring
12
Delivery Safety Certificate
(Engineering Safety Case)
Operational Safety Certificate
(Operation Safety Case)
Evaluate Risks / Hazards
Design / Build to Standards
Evaluate Risks / Hazards
Design / Build to Standards
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Best Practice: Safety Case
Step 1: Operator Pre-Qualification (competent and
credible)
• No Objection to Trading Licence (Railway Supervisory Authority)
Step 2: Physical Assets “fit for
purpose”
• Department of Civil Defence Approves all Facilities
• Delivery Safety Certificate Issued To Owner (Railway Safety Regulation Authority)
Step 3: Operator’s Safety Management System “acceptable”
• Operation Safety Certificate Issued To Operator (Railway Safety Regulation Authority)
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Best Practice: Delivery
Project Check
Owner Check
Final Check The Regulator Delivery Safety
Certificate
Traffic and Roads Agency (inc. ITS -
Intelligent Transport Systems)
The Rail Agency Delivery Safety
Certificate Application
The Consultant Taking Over Certificate
Independent Safety Assessor
Approval
Contractor Engineering Safety
Case
Dubai Civil Defence (Fire Life
Safety Certificates)
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Best Practice: Operations
Project Check
Operations Check
Final Check The Regulator
Operations Safety Certificate
Traffic and Roads Agency (inc. ITS -
Intelligent Transport Systems
The Operator Operations Safety
Certificate Application
Operational Readiness / Trial Running Results
Independent Safety Assessor
Approval
Operations Safety Case
Dubai Police / Emergency
Services Integration Group
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Best Practice: Safety Regulation Authority
Perform safety due diligence on behalf of the State.
Does not follow nor is limited by any contract or stakeholder vested interest.
Takes into account safety arguments of all Parties (Contractor / Consultant / Owner / Operator / ISA) for full safety system overview.
Makes final check to “certify” railway prior to operational service.
Provides on-going Regulation to ensure provisions of Safety Certificates are maintained.
To incentivize and facilitate continuous safety innovation / improvement.
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
2. Regulation Development
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Rail-Tram Legislation “Big Picture”
Agencies
RTA
The Executive Council
Ruler’s Court Federal Traffic Law 17
Tram Resolution 1(2014)
Administrative Decision (2014)
Traffic Control Devices Manual
(TRA)
Drivers Handbook (LA)
Tram ROW Code of Practice (RA)
Addendum
Rail Regulation 5(2009) & Unified Fare Reg. 3 (2009)
Administrative Decision 68(2010)
Rail ROW Code of Practice
Federal Traffic Law
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Dubai Railway Regulation No. 5/2009
RTA
Planning, development, certification, regulation and accident investigation for all surface transport networks
and systems
Railway Supervisory Authority (Rail Agency)
Approving planning, development and use of
railways in Dubai.
Specifying performance and technical requirements and standards for railways in the
Emirate of Dubai.
Protecting Rail Right Of Way
Railway Safety Regulation Authority (Safety, Risk
Regulation and Planning Department)
Issue of Delivery Safety Certificates for new or
modified Railway Infrastructure and Vehicles
Issue of Operation Safety Certificates to permit the
operation of railways
Investigate Accidents, Inspect & Monitor Safety.
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Dubai Tram Law: Regulation No 1(2014)
Safety Hazards / Issues?
How should these be controlled?
What does the Law currently
say?
Requirements addressed
anywhere else?
What are the Gaps?
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Hazards to Tram from Third Parties
Gaps Law Measure Hazard
3rd Party
Tram has Priority
Traffic Laws
Fines & Penalties
Traffic & Licencing Laws
Road Signals, Markings,
Signage Traffic Laws
Awareness / Insurance
ROW NoC Reg 5(2009)
Driver Licencing
Licencing Law
Define ROW
3rd Party
Insurance
Priority for
Blue Light
Services
Priority for
Blind/
Disabled
Accident /
Incident
Response
Awareness
Campaign
Collisions
Adjacent
Works
Service
Disruption
Fire
Suicide
Vandalism
Tram has
no Priority
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Key Tram Law - Principles
Regulation will apply to Dubai and Free Zones
Defines ‘Tram’, ‘Tram Right of Way’, & ‘Shared Spaces’
Tram a ‘Vehicle’ under Federal Law
Tram Driver Licensing and Tram Vehicle Identification
Duties on Owner, Operator, and Maintainer
Defines Tram ROW as a Special Lane
Tram has priority and obstructing Tram ROW is an offence
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Example: Tram Priority
Priority to Police Vehicles, Ambulances, other Emergency Vehicles and Military convoys
Tram drivers to stop when asked by the Police and follow Police’s directions
Police intervene where traffic signals fail and direct all road users in shared spaces
Offence to obstruct / block Tram ROW
Tram operator and maintainer to have unobstructed access to Tram ROW
NOC system for restricted works in the vicinity of Tram ROW
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Example: New Offences and Fines
Obstructing the Tram ROW
Entering areas on the Tram system marked as prohibited or fenced off
Crossing the Tram ROW other than where permitted
Police to enforce breaches
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Accident Investigation
Reporting of Accidents and Incidents by
Operator
Securing The Site And Protecting
Evidence
Accident Investigations by
Inspectors
Identifying root causes and weaknesses
Investigation Reports
Established
Does not apportion blame
or liability
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Inspector Powers
General Inspection & Investigation Powers
• For Safety Regulation Inspectors
• To support Certification, Regulation and Accident Investigation
Powers to:
• Enter Premises
• Direct others
• Secure a Site (e.g. of Accident)
• Seize & Secure Evidence
• Issue Improvement & Prohibition Notices
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
3. Accident Investigation: Lessons Learned
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Example: Transport Infrastructure
Disruption and Impact
Part of Integrated National Infra-
structure
Fundamental to Communication
Fundamental to Commerce
Can have Major Public Safety
Consequences
Can cause Major Service Disruption
to National Services
National Reputation
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Accident Cost
Visible and Hidden Investigation
Medical costs
Damage to equipment
Legal costs
Administration Time
Productivity loss
Revenue loss
Replacement of staff
Clean up
Business interruption
Loss of contracts
Reputational damage
Public claims
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Rail Systems: Accident Causes
ACCIDENT
Systems
Others e.g
Software Operations
Human Factors
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Human Factors
Communications – language, clarity and diction
Training, assessment, competence and re-training and quality of ongoing assessments
Lifestyle
Risk tolerance
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Systems
Complexity of the system
Reliability of the system
Safety systems
Maintenance and availability of ‘Engineering hours’.
Novelty/uniqueness of the system
System modifications
Aging of the system
Availability of spares
Climatic issues
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Operations
Document quality and control
Lack of fundamental understanding of the design performance of equipment or systems
Passenger behavior
Novelty of the system (passenger learning curve)
Passenger behavior
Increase in passenger numbers
Timetable/headway changes
Rail/road traffic interaction
Passenger, road and pedestrian awareness (particularly with the reference to the tram)
Special events
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Other Factors
Understanding of fundamental root cause analysis
Risk assessment procedures and realistic mitigation processes
Software
Etc.
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Summary: Accident Investigation
Accidents will happen with Mobile Infrastructure
Accidents must be investigated to prevent recurrence and implement lessons learned
• Selection of evidence (perishable and vulnerable)
• Preservation of evidence
• Continuity of evidence
• Quality of an investigation
Responsible Parties must be held accountable
Regulations are fundamental to ensure powers for investigation and evidence gathering, above any contract requirements
Accident Investigation should be integrated into larger Corporate Risk Management picture
Safe and Smooth Transport for all
تنقل آمن و سهل للجميع
Questions?
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