annual performance plan...
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1 RSR Annual Performance Plan 2018/2019
ANNUAL PERFORMANCE PLAN2018/2019
2 RSR Annual Performance Plan 2018/2019
3 RSR Annual Performance Plan 2018/2019
Minister’s Foreword
This year South Africa, together with the rest of the world celebrates the centenary of Nelson Mandela, our statesman who became a global icon through his
unfailing humility, abiding compassion and unquestionable integrity. As we celebrate this giant of history, we need to emulate his spirit of resilience despite the challenges that confront us in our areas of operation.
The National Development Plan (NDP) 2030 and the National Transport Master Plan (NATMAP) 2050 recognise the need for South Africa to maintain and expand its transport infrastructure to continue supporting its economic growth and social development goals. NATMAP further states that rail is an essential long-term component of freight and passenger transport networks in the country.
With over 3 180km of suburban rail networks, commuters continue to receive passenger rail service in the metropolitan areas of the Eastern Cape, Gauteng and KwaZulu-Natal and Western Cape at an affordable price. In tandem, Gauteng boasts the state-of-the-art Gautrain, which comprises two links: one between Tshwane and Johannesburg and another between OR Tambo International Airport and Sandton. Using the standard gauge lines, the train operates at a maximum speed of 160km/h. This is an unprecedented milestone in the history of South African rail and has assisted in significantly alleviating traffic from our roads.
Our freight network, consisting of 31 000 track kilometres and 22 500 route kilometres, is also well-developed to connect to the strategic rail lines of landlocked neighbouring countries. The use of the Cape gauge allows interconnectivity and the mutual use of rolling stock and traction between neighbouring countries without any infrastructure complications. However, due to speed limitations inherent in the Cape gauge, it was resolved by the African Union and the Union of African Railways that the standard gauge should be adopted for all new railways lines in the continent.
It was further expressed that South Africa should, on existing lines, slowly transform to a standard gauge network using a step-by-step process to introduce new standard gauge lines on a master plan basis and not by a general conversion of the existing network. Continuous investment and maintenance is
underway on the existing network, together with a constant lookout for opportunities to migrate portions to standard gauge network where sensible.
While I am delighted by the transformation of our rail environment, I cannot accentuate enough that with every development, come new risks that needs to be responded to through an equally developed and robust regulatory regime. The Railway Safety Regulator (RSR), therefore, plays a pivotal role in ensuring that safety remains the bedrock of South African railway operations.
I have interrogated the RSR’s Annual Performance Plan 2018/19 and I am confident that guided by its Strategic Outcomes, the Regulator together with the operators, will portray Madiba’s resilience in addressing the safety concerns in the rail environment.
___________________
MINISTER OF TRANSPORT
Dr BE Nzimande
4 RSR Annual Performance Plan 2018/2019
__________________________
ACTING CHIEF EXECUTIVE OFFICER
Ms T Kgare
Date: 02/03/2018
__________________________
ACTING GENERAL MANAGER: STRATEGY AND BUSINESS DEVELOPMENT
Dr C Malan
Date: 02/03/2018
________________________
MINISTER OF TRANSPORT
DR BE Nzimande
Date: 07/03/2018
__________________________
CHIEF FINANCIAL OFFICER
Mr R Gouws
Date: 02/03/2018
__________________________
CHAIRPERSON: RSR BOARD
Dr NZ Qunta
Date: 26/02/2018
Official Sign-off
It is hereby certified that this Annual Performance Plan for the period 2018-2019 was developed by the management of the Railway Safety Regulator under the guidance of the Department of Transport and the RSR Board. It considers all the relevant policies, legislation and other mandates for which the Railway Safety Regulator is responsible. The Annual Performance Plan accurately reflects the strategic outcome oriented goals and objectives which the Railway Safety Regulator will endeavour to achieve over the period 2018/19.
5 RSR Annual Performance Plan 2018/2019
Chairperson’s Overview
It is my pleasure to present the Annual Performance Plan of the Railway Safety Regulator for the 2018/2019 Financial Year. It is the Regulator’s vision to have an APP that is aligned to and
reflects the industry’s safety goals so that there is a common vision for railway safety in South Africa. We are still a long way off that vision, but this APP along with the Strategic Plan on which it is based are the first step towards the whole industry aligning itself towards a common goal in achieving a shared vision for railway safety.
As the custodian of rail safety in South Africa, the RSR is committed to enhancing safety in the rail industry, not only for the benefit of the countless passengers who rely on rail as a mode of transport, but also for the economic benefit of the country.
The economic benefits of a robust rail network are extensive. Significant investment is being made in rolling stock, signalling equipment, infrastructure and in improving processes and efficiencies. These investments are long overdue and will strongly impact economic growth and drastically improve safety within the industry. The investment into the rail network is not only essential, but is likely to boost the South African economy.
The most recent State of Safety Report indicates that during the 2016/17 Financial Year, 98% of operators complied with the reporting requirements in line with RSR guidelines. It is encouraging to note that compliance from operators is increasing year on year. This is a step in the right direction and an indication of operators’ commitment to ensuring that we do things right. This achievement did not happen overnight; it required an extensive effort from the Regulator to demonstrate how reporting compliance is an integral part of safety compliance.
Safety is everyone’s responsibility and only when everyone takes collective responsibility, can we actively and positively impact safety within our sector. Only when we are all willing to promote safe, reliable transport will we be able to address and
resolve the current rail challenges and reposition the rail sector as the preferred mode of land transport.
I am confident that the APP 2018/2019 will enable the RSR to discharge its legislative responsibilities and decisively reduce occurrences in the five priority areas of the RSR. I, therefore, want to encourage all stakeholders to support the APP and to work earnestly to achieve the vision of the RSR.
__________________________
Dr NZ Qunta
CHAIRPERSON: RSR BOARD
6 RSR Annual Performance Plan 2018/2019
7 RSR Annual Performance Plan 2018/2019
GLOSSARY OF TERMS 8
DEFINITIONS 9
PART A: STRATEGIC OVERVIEW 10
SITUATIONAL ANALYSIS 10
PERFORMANCE DELIVERY ENVIRONMENT 12
ORGANISATIONAL ENVIRONMENT 17
PART B: PROGRAMME AND SUB-PROGRAMME PLANS 24
STRATEGIC OUTCOME 1: RAILWAYS ARE SAFER 24
STRATEGIC OUTCOME 2: SUSTAINABLE INSTITUTIONAL GROWTH AND DEVELOPMENT 28
STRATEGIC OUTCOME 3: IMPROVED STAKEHOLDER SERVICE 30
BUDGET INFORMATION 53
ANNEXURE A: TECHNICAL INDICATOR DESCRIPTIONS
Contents
8 RSR Annual Performance Plan 2018/2019
BOI Board of Inquiry
CEO Chief Executive Officer
COGTA Department of Cooperative Governance
DoT Department of Transport
DPE Department of Public Enterprise
EXCO Executive Committee
FY Financial Year
HFM Human Factor Management
HR Human Resources
ICT Information, Communication and Technology
IDP International Development Plan
IMS Information Management System
KPI Key Performance Indicator
MANCO Management Committee
MOU Memorandum of Understanding
MTSF Medium Term Strategic Framework
NATMAP National Transport Management Plan
NDP National Development Plan
NIMS National Information Monitoring System
NRSR National Railway Safety Regulator
PRASA Passenger Rail Agency of South Africa
RSR Railway Safety Regulator
SADC Southern African Development Community
SDIX Service Delivery Index
“THE ACT’ National Railway Safety Regulator Act (2002)
TFR Transnet Freight Rail
Glossary of Terms
9 RSR Annual Performance Plan 2018/2019
CSM–CA Common Safety Method for Conformity Assessment is applied by railway safety inspectors in the assessment of the adequacy of an operator’s Safety Management System (SMS). It is also used by the operator to ensure that their application conforms to the minimum requirements of the RSR.
CSM-RA Common Safety Method for Risk Assessment gives a harmonised framework for the risk assessment process through the prescription of Hazard Identification, Risk Analysis and Risk Evaluation. This CSM gives a broad framework for the use of risk assessment methodologies to assess changes to the railway system.
RM3 Railway Management Maturity Model is a tool for assessing and managing a railway operator’s ability to control safety risks, to help identify areas for improvement and provide a benchmark for year-on-year comparison. The RM3 helps to guide rail operators towards excellence in safety risk management.
SMS Safety Management System is a formal framework for integrating safety into day-to-day railway operations and includes safety goals and performance targets, risk assessment, responsibilities and authorities, rules and procedures, monitoring and evaluation processes and any matter as prescribed.
SRM Safety Risk Model consists of a series of fault tree and event tree models representing a large number of hazardous events (HEs) that collectively define the overall level of risk on the railway. It provides a structured representation of the causes and consequences of potential accidents arising from railway operations and maintenance.
Note: At the core of a Safety Permit lies the Safety Management System of an operator. All the above-mentioned acronyms (CSM-CA; CSM-RA; RM3) deal with ensuring that an operator’s SMS is robust enough to mitigate risks arising from railway operations, which will ensure continuous safety improvement and the achievement of excellence in railway operations.
The SRM will provide the RSR and the industry a holistic view of the industry’s collective and individual risks and will serve as a decision-making tool for the RSR and operators for risk control measures to be implemented.
Definitions
10 RSR Annual Performance Plan 2018/2019
Situ
atio
nal
an
alys
is
PEST
LE A
NALY
SIS
POLI
TICA
LEC
ONOM
ICSO
CIAL
TECH
NOLO
GYLE
GAL
ENVI
RONM
ENT
STRA
TEGY
Stra
ined e
cono
my;
Labo
ur un
rest;
Decli
ne in
loca
l ra
il inv
estm
ent
prog
ramm
es;
Relax
ation
of tr
ade
barri
ers w
hich w
ill co
ntribu
te to
grow
th in
inter
natio
nal
rail i
nves
tmen
t pr
ogra
mmes
;Ro
ad co
nges
tion w
ill be
the
catal
yst fo
r a po
licy
and/o
r reg
ulatio
n to
enco
urag
e the
road
-to-
rail m
igrati
on fo
r fre
ight
Integ
rated
Tran
spor
t Pl
annin
g/Stra
tegy.
Incre
ase i
n urb
anisa
tion;
High
rate
of un
emplo
ymen
t.
New
rollin
g stoc
k; Ke
ep ab
reas
t of n
ew
techn
ologie
s (dig
ital, c
loud
base
d com
munic
ation
sy
stems
and i
nfras
tructu
re/
rollin
g stoc
k app
licati
ons,
pred
ictive
tech
nolog
ies tr
ain
contr
ol);
Conv
erge
nce o
f tec
hnolo
gies;
ICT
impr
ovem
ent.
Regu
lator
y fra
mewo
rk ex
pand
ed an
d re
engin
eere
d (po
licy,
regu
lation
s, re
vised
Ac
t, etc)
;Ac
credit
ation
as
Train
ing P
rovid
er.
Matur
ed ra
il ind
ustry
– qu
ality
and c
onten
t of
regu
lation
s will
be
more
risk-b
ased
for
a mo
re ef
ficien
t ap
proa
ch;
Priva
te 3r
d par
ty op
erato
rs;Re
giona
l clie
ntele
(SAD
C);
Fres
h foc
us on
pr
otecti
on of
the
envir
onme
nt.
STRU
CTUR
E St
ructu
ral
acco
untab
ility
rema
ins th
e sam
e (R
SR an
d ope
rator
s in
the pu
blic s
ector
).
Loca
l and
regio
nal
(SAD
C) ra
il and
oth
er in
frastr
uctur
e de
velop
ment.
Grea
ter de
mand
for s
afe,
relia
ble an
d affo
rdab
le pu
blic t
rans
port.
High
spee
d tra
ins;
Rollin
g stoc
k (tec
hnolo
gy
adva
ncem
ents)
;Es
tablis
hmen
t of lo
cal
maint
enan
ce de
pots
and
traini
ng an
d tes
ting c
entre
s
Regu
lator
y ser
vices
wi
ll be r
e-str
uctur
ed
in lin
e with
secto
rial
chan
ges
Confl
ict of
inter
est
(sing
le pa
rent
for
refer
ee an
d play
er)
Rollin
g stoc
k and
inf
rastr
uctur
e ex
pans
ion
PROC
ESS
Oper
ators
are r
enew
ing
their r
olling
stoc
k whic
h wi
ll give
oppo
rtunit
y to
new
ways
of co
nduc
ting
busin
ess.
Expa
nsion
s in t
he ra
il ind
ustry
will
see m
ore
role
playe
rs an
d safe
ty su
pplie
rs.
Best
prac
tice r
ailwa
y tec
hnolo
gy;
Big d
ata in
busin
ess
intell
igenc
e.
Stre
ngthe
ned
enfor
ceme
nt be
caus
e of e
xpan
ded
regu
lator
y fra
mewo
rk.
Deve
lopme
nt of
envir
onme
nt sp
ecific
stan
dard
s.
PART
A: S
trate
gic
Ove
rvie
w
11 RSR Annual Performance Plan 2018/2019
PEST
LE A
NALY
SIS
POLI
TICA
LEC
ONOM
ICSO
CIAL
TECH
NOLO
GYLE
GAL
ENVI
RONM
ENT
BRAN
D &
COMM
UNIC
ATIO
N Te
am S
outh
Afric
a (G
over
nmen
t, bus
iness
an
d lab
our).
Use o
f soc
ial m
edia
to ma
rket a
nd po
sition
the
RSR
(bra
nd pr
otecti
on).
Elec
tronic
med
ia – s
hift fr
om
tradit
ional
PR to
tech
-centr
ic ma
rketin
g;So
cial m
edia
will c
reate
an
incre
asing
chall
enge
and
comp
etitio
n.
SYST
EMS
Lack
of tr
iple-
helix
pa
rtner
ship
solut
ions
(relat
ionsh
ip bu
ilding
) wi
th go
vern
ment,
ind
ustry
and
orga
nised
labo
ur
withi
n the
railw
ay
envir
onme
nt.
Grea
ter in
volve
ment
of me
dia an
d com
munit
ies;
Partn
ersh
ips w
ith ot
her
regu
lator
s loc
ally (
e.g,
RTMC
, CAA
) and
int
erna
tiona
lly (e
.g, F
OT,
TSB,
ORR
, RSS
B, et
c.).
Elec
tronic
repo
rting (
State
of
Safet
y, Di
recti
ves);
Autom
ated A
udits
and
Inspe
ction
s;El
ectro
nic do
cume
nt ma
nage
ment;
Onlin
e rea
l-time
repo
rting
of ra
il occ
urre
nces
and
incide
nts.
Co-o
pera
tive
gove
rnan
ce A
ct (IG
R);
Prote
ction
of IP
and
softw
are.
Re-o
penin
g and
se
rvicin
g of b
ranc
h-lin
es.
FINA
NCIA
L SU
STAI
NABI
LITY
Limite
d fun
ding f
or
SOEs
;Re
struc
turing
of S
OEs.
Expa
nsion
of ra
il pr
ogra
mmes
.Co
nflict
of in
teres
t (si
ngle
pare
nt for
re
feree
and p
layer
).
New
entra
nts –
perm
it hold
ers.
PEOP
LE
Partn
ersh
ips w
ith
indep
ende
nt sa
fety
cons
ultan
ts.
High
rate
of un
emplo
ymen
t.So
cial d
iscon
tent.
Focu
s of s
afety
camp
aigns
an
d edu
catio
n on
comm
uters/
comm
unitie
s;
More
dive
rsifie
d rail
us
ers
KNOW
LEDG
E Mo
re ef
fectiv
e re
gulat
ory c
apac
ity
need
ed
Tech
nolog
y adv
ance
ment:
Pr
edict
ive te
chno
logies
;E-
learn
ing; M
ulti-s
killin
g.
Heigh
tened
focu
s on
: upg
radin
g of
statio
ns, c
ertifi
catio
n of
Safet
y Criti
cal
Grad
es an
d ac
credit
ation
of
third
partie
s (e.g
. su
pplie
rs an
d ma
nufac
turer
s)
12 RSR Annual Performance Plan 2018/2019
In executing its legislative oversight mandate, the RSR performs the following duties and functions:
• Issues and manages safety permits: The Safety Management System and concomitant Safety Permit provide the legal interface between the RSR and railway operators. This relationship enables, and promotes, continuous improvements in safe railway operations. Annually the RSR evaluates the Safety Improvement Plans and the Safety Management Systems Report submitted by operators outlining directives and/or interventions to improve safety in the operational environment.
• Conducts inspections and audits: the RSR is mandated to play an oversight safety role in the railway industry. This role is undertaken through various strategic initiatives such as conducting safety related audits and inspections of operators’ activities. The key objectives of safety audits and inspections are to critically assess safety systems and processes employed by operators. These assessments provide an in-depth knowledge and understanding of required interventions which the RSR provides to the operators to promote the attainment of safe rail operations.
• Conducts safety assessments: The RSR fulfils its safety oversight mandate on railway new works and technology developments by conducting safety assessment and providing approvals on all life cycle phases of railway projects to ensure that safety is not compromised in the revitalisation of the local rail industry. These regulatory safety assessments also aim to ensure that the impact of the intended changes
is considered within the immediate environment of its application and from a systemic perspective encompassing asset/operational system life cycle.
• Investigates railway occurrences: To achieve safety improvement and reduction of occurrences, the RSR conducts investigations of occurrences that have led to major loss including fatalities, injuries and major damage to property to identify the root cause and to prevent reoccurrences. Operators are obligated to report all occurrences to the RSR to ensure that analysis and review of incidences and the causes thereof are consolidated to assist the RSR in providing tools and strategic direction in addressing safe rail operations.
• Develops regulations, safety standards and regulatory prescripts: In terms of Section 29, 30 and 50 of the Act, the RSR is mandated to develop regulations, safety standards and related regulatory prescripts which form an integral part of the regulatory regime adopted for the oversight and enforcement of safe railway operations.
• Issues notices of non-conformance and non-compliance: The RSR issues operators with such notice to indicate conditions within the operators’ system that are deemed to be sub-standard or not in compliance with regulatory prescripts that ensure safe rail operations in terms of the adopted regulatory regime and, continues to impose penalties for non-compliance with the Act and safety standards adopted by the Board of Directors of the RSR.
Performance Delivery Environment
13 RSR Annual Performance Plan 2018/2019
• Supports and promotes occupational health and safety and security: To address occupational health and safety and security issues that impact on railway safety, the RSR conducts investigations, audits and inspections. Occupational health and safety legal requirements are included in the Human Factors Management Standard and are, therefore, continuously promoted during the technical workshops that are conducted by the RSR.
• Co-operates with relevant organs of state to improve safety performance and oversight functions: In compliance with the Act, the RSR must conclude appropriate co-operative agreements with relevant state organs to give effect to co-operative government and inter-governmental relations as contemplated in Chapter 3 of the Constitution. To this end, RSR has concluded 12 cooperative agreements, nine with various government departments and three with industry associations. The MoU’s with Government departments aim to eradicate duplication where there is dual jurisdiction, promoting collaboration, while the agreements with industry associations aim to share best practice with the industry and maintain an interactive approach in enforcing compliance in order to achieve an occurrence-free environment. All these 12 agreements focus on different issues, while the common denominator for all of them is ensuring rail safety.
• Plays a leading role in the alignment of the railway safety regime of South Africa with those of the Southern African Development Community: The RSR plays a significant role in harmonising the rail safety regime within
the SADC region. Through the Southern African Railways Association (SARA), the RSR workshops and facilitates its South African standards with the vision of adapting them at SADC level, once approved by the SARA Board.
• Conducts research: Promotes and facilitates research in areas related to the strategic goals of the RSR.
• Data management and analysis: This function is in support of Section 37 and Section 39 of the Act, which requires that all occurrences be reported to the RSR. The Act also requires the RSR to establish a National Information and Monitoring System (NIMS). In terms of risk identification and management as well as strategic and operational planning, it is imperative for the RSR to maintain an accurate data management system. The data must be reliable and analysed for risks on a regular basis. This enables the RSR to accurately identify major safety relevant risks that will require actions such as inspections, audits, investigations, awareness campaigns, etc, to increase the level of operational safety within the South African rail environment.
The State of Safety Report, which is tabled in Parliament annually, remains the highlight of the data management and analysis function, and provides insight into the current state of rail safety, areas of concern as well as RSR actions and activities towards addressing challenges and root causes of occurrences.
To achieve its objectives in terms of the Act, the RSR may conduct several other activities relating to safe railway operations. This provision affords the RSR the opportunity to go beyond that, which is expressly contained in the Act to achieve its objectives.
14 RSR Annual Performance Plan 2018/2019
Our Strategic Mandate
STRATEGIC PILLARS
STRATEGIC OUTCOMES
GOAL STATEMENT STRATEGIC OBJECTIVES
Triple E: Enforcement, Education and Engineering/ Human Factors
1. Safer railways To change from an adversarial industry approach towards a collaborative risk based approach in mitigating the risks of railway occurrences and thereby reducing the number of occurrences.
1.1 Establishment of a common platform for regular engagement between the RSR and high-risk operators to agree on minimum safety objectives to be achieved by individual operators to ensure that high risk railway operators meet or exceed their safety objectives.
1.2 Develop and implement a Safety Risk Model (SRM) representative of the overall risk estimate of the railway industry to support critical decision making.
1.3 Enhance the Safety Management System (SMS) by the development and implementation of a Determination for a Common Safety Method for Conformity Assessment (CSM CA) and a Common Method for Risk Assessment (CSM RA) for railway operators to ensure that operational risk exposures are identified, analysed, prioritised and appropriately mitigated.
1.4 Introducing and phasing in of Operational Excellence with the major operators through Railway Management Maturity Model (RM3). The RM3 will assist railway operator to achieve operational excellence through the effectiveness of their Safety Management Systems.
1.5 Roll-out of a Human Factors Management programme to all railway operators designed to:
• Standardise Competency Management Systems (CSM) in place with all operators.
• Determine acceptable vacancy rates within safety critical grades.
• Ensure effective workload planning for staff involved with safety critical work.
• Safe Systems of Work.
1.6 Develop and implement a Determination for Verbal Safety Critical Communications. This strategic initiative will ensure that the correct communications protocols to be observed between safety critical staff during train authorisations and which will reduce the risk of SPADS’s and Collisions during degraded mode
1.7 Establishment of an Industry Workgroup on Inter-operability and Interface Management. This strategic thrust must ensure safe inter-operability between operators on the common network and the review of all interface management agreements between operators addressing the operational risks at the common network and interface of railway operations
Strategic Outcome-Oriented goals of the RSR
15 RSR Annual Performance Plan 2018/2019
STRATEGIC PILLARS
STRATEGIC OUTCOMES
GOAL STATEMENT STRATEGIC OBJECTIVES
Excellence 2. Sustainable institutional growth and development
We strive for excellence by enriching our governance processes and procedures with applicable compliance frameworks and risk strategies.
2.1 To secure a sustainable operational financial base.
2.2 To ensure performance excellence.
2.3 Develop and implement an integrated Information Management System (IMS) which can enable the RSR to measure the effectiveness of the compliance monitoring initiatives.
Relevance 3. Improved stakeholder service
By providing a platform for collaboration with all stakeholders and interested parties, we will be recognised as a leading safety regulator by improving on the levels of awareness amongst operators, commuters and the public.
3.1 To promote safe railway behaviour.
3.2 Establishment of an Industry Stakeholder Interest Group on Infrastructure and Rolling Stock. This shall ensure that all stakeholders are kept abreast on the roll-out of new infrastructure and rolling stock technology and investment programmes; improved maintenance strategies and universal access to ensure that rail safety considerations play a major role.
3.3 Implement a platform for regular engagement with organised labour, stakeholders and affected parties to share on lessons learnt to further improve on railway safety.
16 RSR Annual Performance Plan 2018/2019
Organisational EnvironmentIn line with international best practices regarding railway safety management, the RSR must guide the railway industry towards excellence in railway safety management to reduce the operational risks in the railway environment to as low as reasonably practical (ALARP). The strategic aspirations of the RSR to achieve the reduction of risk are documented in the RSR Strategic Plan 2018/19 – 2022/23, which sets out the specific RSR strategic objectives to be achieved during this period.
While what we do is designed to protect the interests of rail users, we also strive to be transparent in our work so that we ourselves are accountable. Data and evidence must drive our decisions; clear processes and governance must set out how our work is delivered. While being the enforcing authority for safety legislation on South Africa’s railways, we also play an advisory and training role on various safety regulatory tools and techniques to other regulators and operators in the SADC region.
Figure 1: Railway Safety Oversight Operational Model
The RSR comprises seven functional departments, which in a collaborative and integrative manner, are accountable for the execution of the Strategic Plan. The specific strategic contributions are contained in Strategic Interventions and Projected Performance schedule.
17 RSR Annual Performance Plan 2018/2019
Core Operational
Office of the Chief Operations Officer
The Office of the Chief Operations Officer (OCOO) comprises the following four core operational departments: Technical Services, Regional Operations including Human Factors Management, Standards and Regulations, and Technical Skills Development. The portfolio includes Legal Services as a critical pillar to executing the OCOO mandate.
In line with the RSR’s strategic vision of “Zero Occurrences”, the mandate of the OCOO is to provide operations leadership in support of the organisation’s business objectives through the articulation, initiation and implementation of professional operations and ensuring operational compliance and control.
Technical Services
The Technical Services unit is the powerhouse of technical knowledge within the RSR. The unit has four functions namely, Perway and Civil Works; Electrical Signalling and Telecommunications; Rolling Stock, and Maintainer Regulation and are responsible for:
• Advising on and auditing new works and technology developments within the railway industry;
• Participating in the development of Regulations, Standards, safety protocols, guides and railway related manuals;
• Supporting the harmonisation of relevant standards in the SADC region by providing relevant expertise;
• Conducting technical studies to assist with technical expertise during technical awareness training;
• Providing assistance to the Occurrence Investigations department during Boards of Inquiry as well as safety compliance for inspections and audits;
• Monitoring the movement of dangerous goods by rail;
• Conducting research on railway safety related matters;
• Implementing a regulatory regime for the suppliers of safety critical services and components;
• Providing technical support on demand within the RSR as well as to operators;
• Providing assurance that safety critical components procured by operators do not compromise safety;
• Developing accreditation, certification criteria for suppliers; and
• Developing and maintain a database of certified suppliers.
Safety Compliance enforced through Regional Operations
The role of Safety Compliance is to monitor and enforce safety compliance in the rail sector by issuing safety permits and proactively conducting inspections and audits. The unit comprises five regional offices, which monitor and enforce safety compliance by issuing permits and proactively conducting inspections and audits. Safety Compliance is responsible for:
• Assessing the adequacy of Safety Management Systems Reports of railway operators against predetermined criteria to make informed decisions on the issuance of new Safety Permits;
• Assessing the adequacy of Safety Improvement Plans submitted by operators outlining their interventions to improve safety;
• Monitoring safety compliance through targeted safety audits of operators’ safety management systems and risk based inspections of railway operations;
• Enforcing regulatory instruments where non-compliances are detected;
• Following through on and the timely closure of all open directives;
• Enforcing and monitoring compliance with the Human Factors Management Strategy, including focused Human Factor Audit Reviews. The Human Factor Unit:
Ø oversees the licensing and reviews competency assessments of Safety Critical workers;
Ø provides technical information/inputs for technology reviews;
Ø provides consultancy/advisor services in Human Factors domains; and
Ø provides applied human factors training for the advancement of knowledge.
• Capacitating the industry to deliver safe railway operations through effective and timely communication and a consistent approach on interventions; and
• Conducting annual Permit Fee determinations and effecting
18 RSR Annual Performance Plan 2018/2019
the management and administration thereof.
Standards and Regulations
The Standards and Regulations unit was established to provide specialist and technical expertise through:
• The development of standards, protocols, guides and railway related manuals;
• Facilitating the implementation of applicable regulations;
• The provision of technical awareness workshops; and
• Supporting the engagement of the RSR with relevant organs of state through conclusion and execution of memoranda of understanding (MoU).
Technical Skills Development
The Technical Skills Development unit provides appropriate internal and external training courses, modules, railway technology and standards support; capacity development; and technical skills enhancement through:
• Technical Training (Internal): Ensure the provision of identified technical skills training (Internal);
• Technical Training (External): Ensure the provision of appropriate technical skills training (External);
• Mentoring: Ensure authoritative experience-based mentoring.
Legal Services
The Legal Services unit provides legal advice and guidance to the RSR. The unit’s mandate can be summarised as follows:
• Creating a regulatory environment that is in accordance with the applicable and relevant legislation;
• Managing a comprehensive, relevant, innovative and pro-active in-house legal service;
• Guarding the reputation of the RSR by ensuring that the organisation is not exposed to legal risks;
• Taking responsibility for providing managers and front-line staff with sufficient legal knowledge so that they are able to act in the interest of the organisation at all times; and
• Providing support and assistance with litigation matters.
Operational Intelligence And
Planning
The department is the entity’s nerve-centre and supports both the operational business units and the Strategic and Business Development department with essential business intelligence services. Given that the RSR is a data-driven and evidence-based organisation, the Operational Intelligence and Planning department is responsible for the collection, validation, analysis and dissemination of rail-safety data from across the rail industry. It provides commentary and interpretation of the trends across rail themes. The following provide an overview of the department’s key functions:
• Data collection, collation and management;
• Analyse relevant safety data trend analysis;
• Monitor and disseminate safety performance of the rail landscape
• Compilation of submission of the Annual State of Safety Report
• Conduct regulatory research;
• Applied scientific/engineering research and material testing and finite element assessments;
• Safety assurance through the continuous improvement of the SMS;
• Business plan and project plan reviews;
• Provide project management support and coordination and;
• Manage change in the organisation.
Occurrence Investigations
The Occurrence Investigations department investigates railway occurrences. The objectives of conducting these investigations are to determine the facts of the
19 RSR Annual Performance Plan 2018/2019
occurrences, determine the immediate and root causes and make recommendations to prevent or reduce the risk of recurrence. The department comprises three units, namely, Railway Security, Investigations, and Board of Inquiry. Their key functions are as follows:
• Investigations conducts investigations on occurrences;
• Board of Inquiry (BOI) is responsible for coordinating and facilitating all BOIs.
• Railway Security collaborates with relevant organs of State such as South African Police Service (SAPS) and railway police and with railway operators to ensure the security of staff, contractors, and rail users.
Finance The department, comprising Finance, Supply Chain Management and Enterprise-Wide Risk Management (ERM) Business Units, provides financial management leadership and endorses all financial information and risks submitted to EXCO, the Accounting Officer and the Accounting Authority. It maintains a healthy Supply Chain Management System that is effective, efficient, transparent, competitive and fair. The department also ensures that the RSR complies with external regulatory requirements (that is, King IV, Public Finance Management Act, Treasury Regulations, GRAP and any other relevant prescripts). It is responsible for ensuring that financial policies and guidelines are complied with and that the quality and timelines of financial information and reporting are assured. In addition, it develops and maintains an effective and efficient budget planning and monitoring system, which not only ensures compliance with government budget cycle, but also ensures qualitative improvement in how the RSR conducts its business by:
• Ensuring that the organisation optimally utilises its financial resources by partnering with Business Units and continuously improving its financial management processes;
• Establishing a climate that fosters good financial management practices;
• Promoting a service and risk aware culture across the organisation resulting in finance being the point of contact around business and finance matters;
• Enhancing the RSR’s investment decision-making
20 RSR Annual Performance Plan 2018/2019
competencies and capabilities;
• Anticipating and manage cash shortages and surplus;
• Facilitating, integrating and coordinating the RSR’s risk management activities; and
• Integrating risk in strategic and financial planning and decision making.
Corporate Affairs
The entity’s corporate functions find expression in the Corporate Affairs department. It is made up of the following department: Information and Communication Technology (ICT); Human Resources, Media and Communications and Facilities and Fleet Management.
Information and Communication Technology (ICT)
The Information and Communication Technology (ICT) department ensures that the RSR is electronically sound and on par with the latest technological developments. ICT’s main responsibilities include:• Managing the organisation’s hardware, software and
physical communication; • Providing guidance for technology issues for employees; • Maintaining information security, availability and
accessibility;• Providing guidance and perspective on information
technology initiatives.
Human Resources
The Human Resources department provides advice and support to the executive and line management on human resources issues. The department incorporates a full suite of human resources functions. Within this framework, the department has developed and implemented effective human resources management processes to develop leadership and create a learning organisation that values the importance of service delivery and empowering people for operational excellence. The following provide an overview of this Units core functions:
• Recruitment and Selection: To ensure the provision of suitably qualified and experienced employees in line with the business demands;
• Remunerations and Benefits: To ensure equitable remuneration and benefits in line with the market;
• Learning and Development: To provide development for employees to acquire competencies relevant for their roles, to enhance performance and delivery of business objectives;
• Performance and Organisational Development: To provide effective performance management system as well as strategic operational and technical leadership with regards to business process design or redesign, change management to support the organisation.
Facilities and Fleet Management
21 RSR Annual Performance Plan 2018/2019
• Facilities Management:
Ø To provide, oversee and manage adequate and response facilities that support the strategic objectives of the organisation to enable the organisation to function and perform at its most efficient and effective level within a conducive working environment.
Ø Achieves the above through a process of identifying and analysing appropriate facility resource needs and requirements for the organisation.
Ø To provide day-to-day management, maintenance and oversee of the RSR offices and provision of the conducive working environment.
• Fleet Management:
Ø To provide, oversee and manage and maintain comprehensive fleet that response and support the strategic objectives of the RSR.
• Security Management:
Ø To ensure the implementation of all security policy functions to ensure safety and security of people, assets, information (including ICT) and attainment of strategic objectives.
Media and Communications
The Media and Communications department provides a comprehensive communications service to the RSR. It is
responsible for developing and delivering clear and compelling communications messages and materials to key audiences, internally and externally. It drives the strategic management of the RSR’s reputation and builds a profile between the RSR, the media and the public.
Strategy and Business Development
The Strategy and Business Development department’s mandate is to build and secure the RSR’s social, reputational and financial capital (i.e. long-term value) while ensuring a stable and productive internal environment that is geared towards performance excellence by identifying and implementing appropriate and relevant enablers.
Strategy and Performance
This Business Unit provides advice and support to executive and line management on strategic and operational planning issues. In doing so, it ensures compliance to PFMA prescripts by:
• Facilitating the development and production of the RSR’s MTSF and APP;
• Overseeing and monitoring the implementation of the RSR’s MTSF and APP;
• Overseeing and managing organisational performance using the MQS and Balance Score Card approaches; and
• Overseeing the development of the RSR’s Annual Report.
Staff and EXCO meetings, therefore, constitute an important
22 RSR Annual Performance Plan 2018/2019
oversight function where the performance of the organisation and its strategic objectives are reported on, monitored and assessed to ensure that risks are identified and mitigated and that the requisite support can be provided for the organisation to achieve its desired objectives.
Business Development
This Business Unit’s activities span across the following domains: sales, marketing, product and vendor management, networking, negotiations, partnerships and cost-saving efforts.
• Sales: The Sales team is responsible for developing and implementing cutting-edge railway safety sales strategies that are tailored for specific markets and their respective clientele/customer base to achieve targeted revenue.
• Marketing: It involves the promotion and advertising aimed towards the successful sale of the RSR’s products/service offerings to the end-customers by using relevant technology, media, research and expertise to ensure correct market segmentation and messaging. This function plays a complementary role in achieving sales targets.
• Strategic Initiatives/Partnerships: This function identifies joint-venture opportunities with firms intending to or already
operating in targeted new market segments.
• Business Planning: This involves project, product and vendor management activities. This function is responsible for developing a thorough understanding of market needs, scoping the RSR’s service offerings and customising these to cater for expressed and unexpressed needs thereby ensuring the organisation’s competitiveness in the field. The project management function then takes over by designing the market capture and penetration strategy.
• Negotiations, networking and lobbying: To penetrate and capture new markets, networking, negotiations and/or lobbying with third parties such as suppliers, transport agencies, government authorities, and regulators is needed.
• Cost savings: Business development is not only about increasing our revenue base through market reach. Strategic decisions to improve the organisation’s bottom line include cost-cutting measures such as outsourcing non-core work, leveraging off joint-venture partnerships for market research/intelligence and penetration, etc.
23 RSR Annual Performance Plan 2018/2019
PART
B:
Prog
ram
me
and
Sub-
prog
ram
me
Plan
sS
trat
eg
ic O
utc
om
e 1
: R
ailw
ays
are
saf
er
Objec
tive s
tate
men
t: In
reco
gnisi
ng an
d ac
know
ledgi
ng th
at sa
fe ra
ilway
ope
ratio
ns ar
e fun
dam
enta
l to
the s
afet
y of a
ll per
sons
and
the e
nviro
nmen
t, th
e RSR
has
com
mitt
ed to
pr
ovid
e saf
ety a
ssur
ance
to al
l sec
tors
of s
ociet
y tha
t int
erac
t with
the c
ount
ry’s
natio
nal r
ailwa
y sys
tem
in a
man
ner c
onsis
tent
with
hum
an an
d ec
osys
tem
hea
lth an
d we
llbein
g.
Safe
ty as
sura
nce i
s ens
ured
by f
ocus
ing
and
repo
rting
on
the p
erfo
rman
ce an
d ov
erall
effe
ctive
ness
of o
pera
tors
’ est
ablis
hed
safe
ty ri
sk co
ntro
ls.
Stra
tegi
c ob
jectiv
e 1.1
Key
perfo
rman
ce
indi
cato
r
Audi
ted/
actu
al pe
rform
ance
Estim
ated
pe
rform
ance
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
To en
sure
that
high r
isk ra
ilway
op
erato
rs me
et or
exce
ed
their s
afety
objec
tives
Numb
er of
high
ris
k ope
rator
s for
whic
h safe
ty pe
rform
ance
tar
gets
are s
et
--
-Sa
fety
Perfo
rman
ce
Agre
emen
ts co
nclud
ed
with
10
Categ
ory A
op
erato
rs by
31 M
arch
20
18
1.1.1
Safet
y Per
forma
nce
Agre
emen
ts se
t for 1
5 Ca
tegor
y A op
erato
rs by
31
Mar
ch 20
19
Safet
y Per
forma
nce
Agre
emen
ts se
t for 2
0 Ca
tegor
y A op
erato
rs by
31
Mar
ch 20
20
Safet
y Per
forma
nce
Agre
emen
ts se
t for 2
5 Ca
tegor
y A op
erato
rs by
31
Mar
ch 20
21
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by i
dent
ifyin
g th
e ove
rall r
isk p
rofil
e of t
he ra
ilway
indu
stry
to su
ppor
t crit
ical r
isk m
itiga
tion
decis
ion
mak
ing
thro
ugh
the d
evelo
pmen
t of
an in
dust
ry sa
fety
risk
mod
el
Stra
tegi
c ob
jectiv
e 1.2
Key
perfo
rman
ce
indi
cato
r
Audi
ted/
actu
al pe
rform
ance
Estim
ated
pe
rform
ance
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
To de
velop
an
d imp
lemen
t a S
afety
Risk
Mo
del (S
RM)
repr
esen
tative
of
the ov
erall
risk
estim
ate of
the
railw
ay in
dustr
y
Safet
y Ri
sk M
odel
deve
loped
and
imple
mente
d
New
Indica
tor1.2
.1Sa
fety r
isk m
odel
frame
work
deve
loped
thr
ough
indu
stry
worki
ng co
mmitte
es by
31
Mar
ch 20
19
Gaze
tte on
Occ
urre
nce
Repo
rting P
ublis
hed b
y 31
Mar
ch 20
20
Valid
ate th
e haz
ard l
og by
31
Mar
ch 20
21
1.2.1.
1Dr
aft D
eterm
inatio
n for
Oc
curre
nce R
epor
ting
deve
loped
for p
ublic
co
mmen
ts by
31 M
arch
20
19
Indus
try w
ide ha
zard
log
comp
leted
by 31
Mar
ch
2020
24 RSR Annual Performance Plan 2018/2019
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by e
mbe
ddin
g Op
erat
iona
l Exc
ellen
ce w
ithin
the S
afet
y Man
agem
ent S
yste
ms o
f all t
he C
lass A
ope
rato
rs th
roug
h:•
A RS
R de
termi
natio
n on S
afety
Mana
geme
nt Sy
stems
• A
RSR
Deter
mina
tion o
n Com
mon S
afety
Metho
d on C
onfor
mity
Asse
ssme
nt•
A RS
R De
termi
natio
n on C
ommo
n Safe
ty Me
thod o
n Risk
Ass
essm
ents
• Th
e imp
lemen
tation
of a
Risk
Man
agem
ent M
aturity
asse
ssme
nt too
l
Stra
tegi
c ob
jectiv
e 1.3
Key
perfo
rman
ce
indi
cato
r
Audi
ted/
actu
al pe
rform
ance
Estim
ated
pe
rform
ance
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
Intro
duce
a ro
bust
Safet
y Ma
nage
ment
Syste
m ba
sed
on in
dustr
y-co
nsult
ed R
isk
Asse
ssme
nt To
ols an
d Me
thodo
logies
RSR
Deter
mina
tion
on S
MS
imple
mente
d
--
Rese
arch
and
deve
lopme
ntNe
w Ind
icator
1.3.1
Comm
on S
afety
Metho
d for
Con
formi
ty As
sess
ments
(CSM
CA
) imple
mente
d by
31 M
arch
2019
Comm
on S
afety
Metho
d for
Risk
As
sess
ments
(CSM
RA
) tes
ted w
ith 3
Clas
s A op
erato
rs by
31
Mar
ch 20
20
Comm
on S
afety
Metho
d for
Risk
Ass
essm
ents
(CSM
RA)
gaze
tted b
y 31
Mar
ch 20
21
1.3.1.
1Fr
amew
ork f
or C
SM
RA de
velop
ed by
31
March
2019
-Fr
amew
ork f
or C
ommo
n Sa
fety M
ethod
for
Supe
rvisio
n dev
elope
d by
31 M
arch
2021
Imple
menta
tion
of ra
ilway
ma
nage
ment
matur
ity
asse
ssme
nts
--
-Ne
w Ind
icator
1.3.2
Railw
ay M
anag
emen
t Ma
turity
asse
ssme
nt too
l ado
pted b
y 31
March
2019
Railw
ay M
anag
emen
t Ma
turity
Ass
essm
ent
Repo
rt for
Tran
snet
by
31 M
arch
2020
Railw
ay M
anag
emen
t Ma
turity
Ass
essm
ent
Repo
rts fo
r PRA
SA an
d BO
C by
31 M
arch
2021
25 RSR Annual Performance Plan 2018/2019
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by m
anag
ing
the r
isks a
ssoc
iated
with
Saf
ety R
elate
d Gr
ades
in ra
ilway
ope
ratio
ns. T
he p
rogr
amm
e is a
imed
at ad
dres
sing
the
iden
tified
risk
s ass
ociat
ed w
ith sa
fety
criti
cal w
ork a
t hig
h ris
k ope
rato
rs to
: •
Stan
dard
ise C
ompe
tenc
y Man
agem
ent S
yste
ms (
CSM)
in p
lace w
ith al
l ope
rato
rs•
Dete
rmin
e acc
epta
ble V
acan
cy ra
tes w
ithin
safe
ty cr
itica
l gra
des
• En
sure
effe
ctive
wor
kload
plan
ning
for s
taff
invo
lved
with
safe
ty cr
itica
l wor
k
Stra
tegi
c obj
ectiv
e 1.4
Key
perfo
rman
ce
indi
cato
r
Audi
ted/
actu
al pe
rform
ance
Estim
ated
pe
rform
ance
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
Deve
lop an
d co
nduc
t a
Huma
n Fac
tors
Mana
geme
nt Ca
pacit
y buil
ding
prog
ramm
e aim
ed
at:
1) S
tanda
rdisi
ng
Comp
etenc
y Ma
nage
ment
Syste
ms (C
SM)
2) D
eterm
ining
ac
cepta
ble V
acan
cy
rates
with
in sa
fety
critic
al gr
ades
3) E
nsur
ing ef
fectiv
e wo
rkloa
d plan
ning
for st
aff in
volve
d wi
th sa
fety c
ritica
l wo
rk
HFM
Capa
city
Build
ing
prog
ramm
e de
velop
ed an
d co
nduc
ted
for hi
gh ris
k op
erato
rs
New
Indica
tor1.4
.1Ind
ustry
acce
pted
frame
works
deve
loped
to
addr
ess:
• Co
mpete
ncy
Mana
geme
nt
• Sa
fety C
ritica
l va
canc
ies
• W
ork l
oad p
lannin
g
Deve
loped
by 31
Mar
ch
2019
Safet
y Criti
cal G
rade
s as
sess
ment
repo
rt by
31
March
2020
Comp
etenc
y stan
dard
s an
d agr
eed w
ork l
oad
plann
ing es
tablis
hed b
y 31
Mar
ch 20
20
Evalu
ation
repo
rt of
comp
etenc
y ma
nage
ment
by 31
Ma
rch 20
21
State
of co
mplia
nce
repo
rt on
im
pleme
ntatio
n of
work
load p
lans b
y 31
Mar
ch 20
21
26 RSR Annual Performance Plan 2018/2019
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by a
ddre
ssin
g th
e risk
s ass
ociat
ed w
ith tr
ain co
llisio
ns an
d sig
nal p
asse
d at
dan
ger w
hen
man
ual t
rain
auth
orisa
tions
take
plac
e in
degr
ade m
ode T
his w
ill en
sure
that
the c
orre
ct co
mm
unica
tions
pro
toco
ls to
be o
bser
ved
betw
een
safe
ty cr
itica
l sta
ff du
ring
train
auth
orisa
tions
and
prot
ocol
s whi
ch w
ill re
duce
the
risk o
f SPA
Ds an
d co
llisio
ns
Stra
tegi
c obj
ectiv
e 1.5
Key p
erfo
rman
ce
indi
cato
rAu
dite
d/ac
tual
perfo
rman
ceEs
timat
ed
perfo
rman
ce
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
Deve
loped
and
imple
mente
d De
termi
natio
n on
Verb
al Sa
fety C
ritica
l Co
mmun
icatio
ns
Verb
al Sa
fety
Comm
unica
tion
deter
mina
tion
deve
loped
--
-Ne
w Ind
icator
1.5.1
Draft
indu
stry n
ation
al pr
otoco
l for V
erba
l Safe
ty Cr
itical
Comm
unica
tion
publi
shed
for c
omme
nts by
31
Mar
ch 20
19
Verb
al Sa
fety C
ritica
l Co
mmun
icatio
n de
termi
natio
n pub
lishe
d by
31 M
arch
2020
Verifi
catio
n of in
dustr
y im
pleme
ntatio
n of th
e Ve
rbal
Safet
y Criti
cal
Comm
unica
tion
Proto
col b
y 31 M
arch
20
21
Objec
tive s
tate
men
t: To
miti
gate
risk
s of o
ccur
renc
es as
socia
ted
with
inte
r-ope
rabi
lity b
etwe
en o
pera
tors
on
the c
omm
on n
etwo
rk at
the i
nter
face
of r
ailwa
y ope
ratio
ns
Stra
tegi
c obj
ectiv
e 1.6
Key p
erfo
rman
ce
indi
cato
rAu
dite
d/ac
tual
perfo
rman
ceEs
timat
ed
perfo
rman
ce
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
Inter
-ope
rabil
ity
conc
erns
iden
tified
an
d all i
nterfa
ce
agre
emen
ts ali
gned
wi
th the
iden
tified
op
erati
onal
risk
expo
sure
s
Inter
face
agre
emen
ts ali
gned
wi
th op
erati
onal
risks
--
-Ne
w Ind
icator
1.6.1
Inter
face A
gree
ment
Fram
ewor
k dev
elope
d by 3
1 Ma
rch 20
19
Inter
face A
gree
ment
audit
repo
rt by
31
March
2020
Repo
rt on
the s
tate o
f int
er-o
pera
bility
by 31
Ma
rch 20
21
27 RSR Annual Performance Plan 2018/2019
Str
ate
gic
Ou
tco
me
2:
Su
stai
nab
le In
stitu
tion
al G
row
th A
nd
Dev
elo
pm
ent
Objec
tive s
tate
men
t: En
surin
g re
venu
e stre
ams t
hat a
llow
for t
he su
stain
ed an
d ef
fect
ive ex
ecut
ion
of o
ur le
gisla
tive a
nd st
rate
gic m
anda
tes
Stra
tegi
c ob
jectiv
e 2.1
Key
perfo
rman
ce
indi
cato
r
Audi
ted/
actu
al pe
rform
ance
Estim
ated
pe
rform
ance
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
To se
cure
an
adeq
uate
oper
ation
al fin
ancia
l bas
e
Prog
ress
ma
de in
re
vising
the
Per
mit
Fee M
odel
deve
loped
in
2014
/15
R79 7
09 89
6 ge
nera
ted fr
om
Perm
it Fee
s
R107
080 9
80
of Re
venu
e ge
nera
ted fr
om
Perm
it Fee
s
R123
500 0
00
of Re
venu
e ge
nera
ted fr
om
main
reve
nue
sour
ce
Perm
it Fee
Mod
el re
viewe
d by 3
1 Ma
rch 20
18
2.1.1
Revis
ed P
ermi
t Fee
Mo
del v
alida
ted
and fi
nalis
ed by
31
March
2019
Annu
al Pe
rmit F
ee
Mode
l gaz
etted
by
31 M
arch
2020
Annu
al Pe
rmit
Fee M
odel
gaze
tted b
y 31
March
2021
Objec
tive s
tate
men
t: Su
stain
ed p
erfo
rman
ce ca
n be
achi
eved
by t
he ef
fect
ive m
anag
emen
t of t
he o
rgan
isatio
n th
roug
h aw
aren
ess o
f the
org
anisa
tion’s
envir
onm
ent b
y lea
rnin
g an
d by
the a
ppro
priat
e app
licat
ion
of im
prov
emen
t and
/or i
nnov
atio
ns. T
his r
equi
res a
robu
st, in
tegr
ated
and
objec
tive p
erfo
rman
ce m
anag
emen
t sys
tem
, tha
t is,
a Man
agem
ent Q
ualit
y Sy
stem
(MQS
) tha
t can
evalu
ate t
he m
atur
ity le
vel o
f the
org
anisa
tion
– cov
erin
g its
lead
ersh
ip, s
trate
gy, m
anag
emen
t sys
tem
s, re
sour
ces a
nd co
re b
usin
ess p
roce
sses
– to
iden
tify
area
s of s
treng
ths a
nd w
eakn
esse
s and
opp
ortu
nitie
s for
impr
ovem
ent a
nd/o
r inn
ovat
ions
.
Stra
tegi
c ob
jectiv
e 2.2
Key
perfo
rman
ce
indi
cato
r
Audi
ted/
actu
al pe
rform
ance
Estim
ated
Pe
rform
ance
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
To en
sure
pe
rform
ance
ex
celle
nce
Year
-on-
year
Ser
vice
Deliv
ery I
ndex
(S
DIX)
grow
th
RSR
Servi
ce
Deliv
ery I
ndex
(S
DIX)
= 35
RSR
Servi
ce
Deliv
ery I
ndex
(S
DIX)
= 37
.7
RSR
Servi
ce
Deliv
ery I
ndex
(S
DIX)
= 46
RSR
Servi
ce
Deliv
ery I
ndex
(S
DIX)
=51
by 31
Ma
rch 20
18
2.2.1
RSR
Servi
ce
Deliv
ery I
ndex
(S
DIX)
=55
by 31
Ma
rch 20
19
RSR
Servi
ce
Deliv
ery I
ndex
(S
DIX)
= 58
by 31
Ma
rch 20
20
RSR
Servi
ce
Deliv
ery I
ndex
(S
DIX)
= 60
by 31
Ma
rch 20
21
Effec
tive
mana
geme
nt of
huma
n an
d fina
ncial
re
sour
ces
throu
gh
budg
etary
contr
ol an
d go
vern
ance
me
asur
es
--
-Ne
w Ind
icator
2.2.2
Annu
al Ex
pend
iture
va
rianc
e not
exce
eding
5% of
ap
prov
ed bu
dget
for 20
18/19
Annu
al Ex
pend
iture
va
rianc
e not
exce
eding
5% of
ap
prov
ed bu
dget
for 20
19/20
Annu
al Ex
pend
iture
va
rianc
e not
exce
eding
5% of
ap
prov
ed bu
dget
for 20
20/21
28 RSR Annual Performance Plan 2018/2019
Objec
tive
stat
emen
t: De
velo
pmen
t and
impl
emen
tatio
n of
an
RSR
Info
rmat
ion
Mana
gem
ent S
yste
m (I
MS) t
o de
liver
dat
a in
tegr
ity to
sup
port
oper
atio
nal i
ntell
igen
ce in
ass
urin
g th
e ef
fect
ivene
ss o
f the
RSR
’s co
mpl
iance
activ
ities
. Thi
s will
also
enab
le th
e RSR
to en
sure
that
all a
udits
, insp
ectio
ns an
d in
vest
igat
ions
are c
lose
d su
cces
sful
ly.
Stra
tegi
c ob
jectiv
e 2.3
Key p
erfo
rman
ce
indi
cato
rAu
dite
d/ac
tual
perfo
rman
ceEs
timat
ed
perfo
rman
ce
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
To de
velop
and
imple
ment
an
integ
rated
IMS
in pla
ce w
hich
can i
nform
the
effec
tiven
ess
of the
RSR
’s co
mplia
nce
monit
oring
ini
tiativ
es
IMS
imple
mente
d to
direc
t the
comp
lianc
e mo
nitor
ing
initia
tives
New
Indica
tor2.3
.1IM
S sc
ope c
omple
ted
by 3
1 Mar
ch 20
19IM
S de
velop
ed
and c
alibr
ated b
y 31
Mar
ch 20
20
IMS
data
integ
rity
and c
omple
tenes
s va
lidate
d
IMS
repo
rting
and m
onito
ring
cond
ucted
by 31
Ma
rch 20
21
29 RSR Annual Performance Plan 2018/2019
Str
ate
gic
Ou
tco
me
3:
Imp
rove
d S
take
ho
lde
r S
erv
ice
Objec
tive s
tate
men
t: A
ddre
ss th
e lac
k of a
ware
ness
rega
rdin
g ra
ilway
safe
ty th
roug
h ed
ucat
ion,
com
mun
icatio
n an
d tra
inin
g in
itiat
ives w
ithin
the c
omm
unity
and
amon
g op
erat
ors
Stra
tegi
c ob
jectiv
e 3.1
Key p
erfo
rman
ce
indi
cato
rAu
dite
d/ac
tual
perfo
rman
ceEs
timat
ed
perfo
rman
ce
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
To pr
omote
safe
railw
ay be
havio
urNu
mber
of
safet
y pro
motio
n ini
tiativ
es
cond
ucted
19 E
duca
tion
awar
enes
s ca
mpaig
ns
cond
ucted
on a
spec
ified t
opic
22 A
ware
ness
ca
mpaig
ns
cond
ucted
RSR
Profi
ling a
nd
Stak
ehold
er
Enga
geme
nt St
rateg
y de
velop
ed an
d im
pleme
nted
14 R
ailwa
y sa
fety p
romo
tion
initia
tives
co
nduc
ted by
31
March
2018
3.1.1
20 R
ailwa
y safe
ty pr
omoti
on in
itiativ
es
cond
ucted
by 31
Ma
rch 20
19
22 R
ailwa
y sa
fety p
romo
tion
initia
tives
co
nduc
ted by
31
March
2020
28 R
ailwa
y safe
ty pr
omoti
on in
itiativ
es
cond
ucted
by 31
Ma
rch 20
21
30 RSR Annual Performance Plan 2018/2019
Objec
tive s
tate
men
t: To
pro
mot
e saf
ety a
s a m
ajor d
ecid
ing
fact
or th
roug
h, b
ut n
ot lim
ited
to:
• In
vest
men
t in
railw
ay in
frast
ruct
ure a
nd ro
lling
stoc
k and
to st
ream
line t
he in
trodu
ctio
n of
new
tech
nolo
gy an
d ca
pita
l inve
stm
ent
• Im
prov
ed ra
ilway
main
tena
nce s
trate
gies
, and
• Im
prov
ed aw
aren
ess a
nd ac
cess
to ra
ilway
tran
spor
tatio
n fo
r peo
ple w
ith im
paire
d m
obilit
y
Stra
tegi
c obj
ectiv
e 3.2
Key p
erfo
rman
ce
indi
cato
rAu
dite
d/ac
tual
perfo
rman
ceEs
timat
ed
perfo
rman
ce
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
To ad
dres
s ide
ntifie
d sa
fety r
isks w
ith th
e int
rodu
ction
of ne
w tec
hnolo
gies,
includ
ing
maint
enan
ce st
rateg
ies
and t
o pro
mote
safet
y co
nside
ratio
n of u
niver
sal
acce
ss, b
y mea
ns of
an
nual
Indus
try S
afety
Inter
venti
ons w
hich w
ill foc
us on
selec
ted ra
ilway
sa
fety t
heme
s
Annu
al ind
ustry
sa
fety t
hema
tic
inter
venti
ons
cond
ucted
--
-Ne
w Ind
icator
3.2.1
Annu
al ind
ustry
safet
y the
matic
inter
venti
on
cond
ucted
by 31
Ma
rch 20
19
Annu
al ind
ustry
safet
y the
matic
inter
venti
on
cond
ucted
by 31
Mar
ch
2020
Annu
al ind
ustry
safet
y the
matic
inter
venti
on
cond
ucted
by 31
Mar
ch
2021
Objec
tive s
tate
men
t: E
ncou
rage
the c
ollab
orat
ion
and
parti
cipat
ion
of in
tere
sted
and
affe
cted
par
ties i
n im
prov
ing
railw
ay sa
fety
Stra
tegi
c obj
ectiv
e 3.3
Key p
erfo
rman
ce
indi
cato
rAu
dite
d/ac
tual
perfo
rman
ceEs
timat
ed
perfo
rman
ce
2017
/18
NoMe
dium
-term
targ
ets
2014
/1520
15/16
2016
/1720
18/19
2019
/2020
20/21
Regu
lar en
gage
ment
with
orga
nised
labo
ur
and i
ntere
sted p
artie
s to
enco
urag
e coll
abor
ation
tow
ards
impr
oved
ra
ilway
safet
y of
emplo
yees
, com
muter
s an
d the
publi
c
Indus
try-
discu
ssion
foru
m im
pleme
nted
--
-Ne
w Ind
icator
3.3.1
Indus
try-d
iscus
sion f
orum
es
tablis
hed b
y 31 M
arch
2019
4 Ind
ustry
foru
m dis
cuss
ions c
ondu
cted
by 31
Mar
ch 20
20
4 Ind
ustry
foru
m dis
cuss
ions
cond
ucted
by 31
Ma
rch 20
21
3.3.1.
13 I
ndus
try or
ganis
ed la
bour
for
ums d
iscus
sion c
ondu
cted b
y 31
Mar
ch 20
20
31 RSR Annual Performance Plan 2018/2019
Annu
al P
erfo
rman
ce P
lan
Str
ate
gic
Ou
tco
me
1:
Rai
lway
s ar
e s
afe
r
Stra
tegi
c obj
ectiv
e 1.1:
To
ensu
re th
at h
igh
risk r
ailwa
y ope
rato
rs m
eet o
r exc
eed
their
safe
ty o
bjec
tives
Objec
tive s
tate
men
t: In
reco
gnisi
ng an
d ac
know
ledgi
ng th
at sa
fe ra
ilway
ope
ratio
ns ar
e fun
dam
enta
l to
the s
afet
y of a
ll per
sons
and
the e
nviro
nmen
t, th
e RSR
has
com
mitt
ed to
pr
ovid
e saf
ety a
ssur
ance
to al
l sec
tors
of s
ociet
y tha
t int
erac
t with
the c
ount
ry’s
natio
nal r
ailwa
y sys
tem
in a
man
ner c
onsis
tent
with
hum
an an
d ec
osys
tem
hea
lth an
d we
llbein
g.
Safe
ty as
sura
nce i
s ens
ured
by f
ocus
ing
and
repo
rting
on
the p
erfo
rman
ce an
d ov
erall
effe
ctive
ness
of o
pera
tors
’ est
ablis
hed
safe
ty ri
sk co
ntro
ls.
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng
perio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
et
1st2nd
3rd
4th
Good
s and
se
rvice
s (Ra
nds)
Numb
er of
high
risk
oper
ators
for w
hich
safet
y per
forma
nce
targe
ts ar
e set
Quar
terly
1.1.1
Safet
y Per
forma
nce
Agre
emen
ts se
t for 1
5 Ca
tegor
y A O
pera
tors
by 31
Mar
ch 20
19
-3 S
afety
Perfo
rman
ce
Agre
emen
ts co
nclud
ed
7 Safe
ty Pe
rform
ance
Ag
reem
ents
conc
luded
5 Safe
ty Pe
rform
ance
Ag
reem
ents
conc
luded
R774
046
Stra
tegi
c obj
ectiv
e 1.2:
Indu
stry
safe
ty ri
sk p
rofil
ing
towa
rds i
ncre
ased
criti
cal r
isk m
itiga
tion
decis
ions
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by i
dent
ifyin
g th
e ove
rall r
isk p
rofil
e of t
he ra
ilway
indu
stry
to su
ppor
t crit
ical r
isk m
itiga
tion
decis
ion
mak
ing
thro
ugh
the
deve
lopm
ent o
f an
indu
stry
safe
ty ri
sk m
odel
Key
Perfo
rman
ce
Indi
cato
r
Repo
rting
pe
riod
NoAn
nual
targ
et
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (Ra
nds)
1st2nd
3rd
4th
Indus
try S
afety
Risk
Pro
file
deve
loped
Quar
terly
1.2.1
Safet
y risk
mod
el fra
mewo
rk de
velop
ed
by 31
Mar
ch 20
19
Indus
try w
orkin
g co
mmitte
e es
tablis
hed
--
Safet
y risk
mod
el fra
mewo
rk de
velop
edR8
74 04
6
1.2.1.
1Dr
aft D
eterm
inatio
n for
Occ
urre
nce
Repo
rting d
evelo
ped
for pu
blic c
omme
nts
by 31
Mar
ch 20
19
--
Socio
Eco
nomi
c Im
pact
Asse
ssme
nt stu
dy (S
EIAS
) co
mplet
ed
Draft
Dete
rmina
tion
for O
ccur
renc
e Re
portin
g dev
elope
d for
publi
c com
ments
R374
046
32 RSR Annual Performance Plan 2018/2019
Stra
tegi
c obj
ectiv
e 1.3:
Indu
stry
-con
sulte
d Ri
sk A
sses
smen
t Too
ls an
d Me
thod
olog
ies
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by e
mbe
ddin
g Op
erat
iona
l Exc
ellen
ce w
ithin
the S
afet
y Man
agem
ent S
yste
ms o
f all o
pera
tors
thro
ugh:
• A
RSR
deter
mina
tion o
n Safe
ty Ma
nage
ment
Syste
ms•
A RS
R De
termi
natio
n on C
ommo
n Safe
ty Me
thod o
n Con
formi
ty As
sess
ment
• A
RSR
Deter
mina
tion o
n Com
mon S
afety
Metho
d on R
isk A
sses
smen
ts•
The i
mplem
entat
ion of
a Ri
sk M
anag
emen
t Matu
rity as
sess
ment
tool
Key p
er-
form
ance
in
dica
tor
Repo
rting
pe
riod
NoAn
nual
targ
et
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (R
ands
)1st
2nd3rd
4th
RSR
Deter
mi-
natio
ns on
SMS
im
pleme
nted
Quar
terly
1.3.1
Comm
on S
afety
Metho
d for
Con
formi
ty As
sess
-me
nts (C
SM C
A) im
ple-
mente
d by 3
1 Mar
ch 20
19
CSM
CA ga
zette
d3 C
lass A
Per
mit a
p-pli
catio
ns as
sess
ed
with
CSM
CA cr
iteria
7 Clas
s A P
ermi
t ap
plica
tions
as-
sess
ed w
ith C
SM
CA C
riteria
5 Clas
s A P
ermi
t app
li-ca
tions
asse
ssed
with
CS
M CA
crite
ria
R374
046
1.3.1.
1Fr
amew
ork f
or C
SM R
A de
velop
ed by
31 M
arch
20
19
Rese
arch
comp
leted
an
d opti
ons d
evelo
ped
Indus
try co
nsult
a-tio
ns co
nduc
tedDr
aft C
SM R
A fra
mewo
rk de
velop
ed
Final
CSM
RA fr
ame-
work
deve
loped
R374
046
Imple
menta
tion
of Ra
ilway
ma
nage
ment
matur
ity
asse
ssme
nts
Quar
terly
1.3.2
Railw
ay M
anag
emen
t Ma
turity
asse
ssme
nt too
l ad
opted
by R
SR by
31
March
2019
Comp
arati
ve an
alysis
co
nduc
ted on
Rail
way
Matur
ity as
sess
ment
tools
Railw
ay M
aturity
Mo
del A
sses
smen
t Pr
opos
al fin
alise
d
Indus
try co
nsult
a-tio
ns co
nduc
tedRa
ilway
Man
agem
ent
Matur
ity as
sess
ment
tool a
dopte
d in R
SR
Train
ing of
all R
SR
inspe
ctors
on se
lected
ra
ilway
man
agem
ent
matur
ity as
sess
ment
tool c
omple
ted
R374
046
33 RSR Annual Performance Plan 2018/2019
Stra
tegi
c obj
ectiv
e 1.4:
Dev
elop
and
cond
uct a
Hum
an F
acto
rs M
anag
emen
t Cap
acity
bui
ldin
g pr
ogra
mm
e aim
ed at
addr
essin
g:
1) S
tand
ardi
se C
ompe
tenc
y Man
agem
ent S
yste
ms (
CSM)
2) D
eter
min
ing
acce
ptab
le Va
canc
y rat
es w
ithin
safe
ty cr
itica
l gra
des
3) E
nsur
e effe
ctive
wor
kload
plan
ning
for s
taff
invo
lved
with
safe
ty cr
itica
l wor
k
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by m
anag
ing
the r
isks a
ssoc
iated
with
Saf
ety R
elate
d Gr
ades
in ra
ilway
ope
ratio
ns. T
he p
rogr
amm
e is a
imed
at ad
dres
sing
the
iden
tified
risk
s ass
ociat
ed w
ith sa
fety
criti
cal w
ork a
t hig
h ris
k ope
rato
rs to
: •
Stan
dard
ise C
ompe
tenc
y Man
agem
ent S
yste
ms (
CSM)
in p
lace w
ith al
l ope
rato
rs•
Dete
rmin
e acc
epta
ble V
acan
cy ra
tes w
ithin
safe
ty cr
itica
l gra
des
• En
sure
effe
ctive
wor
kload
plan
ning
for s
taff
invo
lved
with
safe
ty cr
itica
l wor
k
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng p
erio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (Ra
nds)
1st2nd
3rd4th
HFM
Capa
city
Build
ing pr
ogra
mme
deve
loped
and
cond
ucted
at hi
gh
risk o
pera
tors
Quar
terly
1.4.1
Indus
try ac
cepte
d fra
mewo
rks de
velop
ed
to ad
dres
s:
• Co
mpete
ncy
Mana
geme
nt
• Sa
fety C
ritica
l va
canc
ies
• W
ork l
oad
plann
ing
Deve
loped
by 31
Ma
rch 20
19
Term
s of
Refer
ence
for
work
grou
ps
deve
loped
Data
analy
sis
comp
leted
First
draft
fra
mewo
rks
comp
leted
Indus
try ac
cepte
d fra
mewo
rks
deve
loped
to
addr
ess:
• Co
mpete
ncy
Mana
geme
nt
• Sa
fety C
ritica
l va
canc
ies
• W
ork l
oad
plann
ing
R1 27
4 046
34 RSR Annual Performance Plan 2018/2019
Stra
tegi
c obj
ectiv
e 1.5:
Dev
elope
d an
d im
plem
ente
d De
term
inat
ion
on V
erba
l Saf
ety C
ritica
l Com
mun
icatio
ns
Objec
tive s
tate
men
t: To
mak
e rail
ways
safe
r by a
ddre
ssin
g th
e risk
s ass
ociat
ed w
ith tr
ain co
llisio
ns an
d sig
nal p
asse
d at
dan
ger w
hen
man
ual t
rain
auth
orisa
tions
take
s plac
e in
degr
ade m
ode.
This
will e
nsur
e tha
t the
corre
ct co
mm
unica
tions
pro
toco
ls to
be o
bser
ved
betw
een
safe
ty cr
itica
l sta
ff du
ring
train
auth
orisa
tions
and
prot
ocol
s whi
ch w
ill re
duce
th
e risk
of S
PADS
’s an
d Co
llisio
ns
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng p
erio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (R
ands
)1st
2nd3rd
4th
Verb
al Sa
fety C
ritica
l Co
mmun
icatio
n de
termi
natio
n de
velop
ed
Quar
terly
1.5.1
Draft
indu
stry n
ation
al pr
otoco
l for V
erba
l Sa
fety C
ritica
l Co
mmun
icatio
n pu
blish
ed fo
r co
mmen
ts by
31
March
2019
Indus
try
work
grou
p es
tablis
hed
Stak
ehold
er
cons
ultati
ons
cond
ucted
Draft
Ver
bal
Safet
y Criti
cal
Comm
unica
tion
Proto
col fo
r indu
stry
comm
ents
comp
iled
Draft
Ver
bal
Safet
y Criti
cal
Comm
unica
tion
Proto
col p
ublis
hed
for in
dustr
y co
mmen
ts
R374
046
Stra
tegi
c obj
ectiv
e 1.6:
Int
er-o
pera
bilit
y con
cern
s ide
ntifi
ed an
d all
inte
rface
agre
emen
ts al
igne
d wi
th th
e ide
ntifi
ed o
pera
tiona
l risk
expo
sure
s
Objec
tive s
tate
men
t: To
miti
gate
risk
s of o
ccur
renc
es as
socia
ted
with
inte
r-ope
rabi
lity b
etwe
en o
pera
tors
on
the c
omm
on n
etwo
rk at
the i
nter
face
of r
ailwa
y ope
ratio
ns
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng p
erio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
Targ
ets
Good
s and
Se
rvice
s (R
ands
)1st
2nd3rd
4th
Inter
face a
gree
ments
ali
gned
with
op
erati
onal
risks
Quar
terly
1.6.1
Inter
face A
gree
ment
frame
work
deve
loped
by 31
Ma
rch 20
19
Term
s of R
efere
nce
for w
ork g
roup
s de
velop
ed
Data
analy
sis
comp
leted
First
Inter
face
Agre
emen
t dra
ft fra
mewo
rks
comp
leted
Inter
face
Agre
emen
t fra
mewo
rk de
velop
ed
R1 18
3 307
35 RSR Annual Performance Plan 2018/2019
Str
ate
gic
Ou
tco
me
2:
Su
stai
nab
le In
stitu
tion
al G
row
th A
nd
Dev
elo
pm
ent
Stra
tegi
c obj
ectiv
e 2.1:
To
secu
re an
adeq
uate
ope
ratio
nal fi
nanc
ial b
ase
Objec
tive s
tate
men
t: En
surin
g re
venu
e stre
ams t
hat a
llow
for t
he su
stain
ed an
d ef
fect
ive ex
ecut
ion
of o
ur le
gisla
tive a
nd st
rate
gic m
anda
tes
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng
perio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (R
ands
)1st
2nd3rd
4th
Prog
ress
mad
e in
revis
ing th
e Pe
rmit F
ee M
odel
deve
loped
in
2014
/15
Quar
terly
2.1.1
Revis
ed P
ermi
t Fe
e Mod
el va
lidate
d and
fin
alise
d by 3
1 Ma
rch 20
19
Actua
rial te
sting
repo
rt (va
lidati
on re
port)
Final
Perm
it Fee
Mo
del fi
nalis
edBo
ard a
ppro
val o
f Re
vised
Per
mit F
ee
Mode
l
-R3
74 04
6
Stra
tegi
c obj
ectiv
e 2.2:
To
ensu
re p
erfo
rman
ce ex
celle
nce
Objec
tive s
tate
men
t: Su
stain
ed p
erfo
rman
ce ca
n be
achi
eved
by t
he ef
fect
ive m
anag
emen
t of t
he o
rgan
isatio
n th
roug
h aw
aren
ess o
f the
org
anisa
tion’s
envir
onm
ent b
y lea
rnin
g an
d by
th
e app
ropr
iate a
pplic
atio
n of
impr
ovem
ent a
nd/o
r inn
ovat
ions
. Thi
s req
uire
s a ro
bust
, inte
grat
ed an
d ob
jectiv
e per
form
ance
man
agem
ent s
yste
m, t
hat i
s, a M
anag
emen
t Qua
lity S
yste
m
(MQS
) tha
t can
eva
luat
e th
e m
atur
ity le
vel o
f the
org
anisa
tion
– co
verin
g its
lead
ersh
ip, s
trate
gy, m
anag
emen
t sys
tem
s, re
sour
ces
and
core
bus
ines
s pr
oces
ses
– to
iden
tify
area
s of
st
reng
ths
and
weak
ness
es a
nd o
ppor
tuni
ties
for i
mpr
ovem
ent a
nd/ o
r inn
ovat
ions
. In
addi
tion,
stri
ct b
udge
tary
con
trol a
nd g
over
nanc
e m
easu
res
will
ensu
re e
ffect
ive a
nd e
fficie
nt
man
agem
ent o
f hum
an an
d fin
ancia
l res
ourc
es.
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng p
erio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
serv
ices
(Ran
ds)
1st2nd
3rd4th
Year
-on-
year
Se
rvice
Deli
very
Index
(SDI
X)
grow
th
Quar
terly
2.2.1
RSR
Servi
ce D
elive
ry Ind
ex (S
DIX)
=55
by 31
Ma
rch 20
19
--
-RS
R SD
IX
2018
/19
Asse
ssme
nt co
nduc
ted
R6 12
4 275
Effec
tive
mana
geme
nt of
huma
n and
fin
ancia
l reso
urce
s thr
ough
budg
etary
contr
ol an
d go
vern
ance
me
asur
es
Quar
terly
2.2.2
Annu
al Ex
pend
iture
va
rianc
e not
exce
eding
5%
of ap
prov
ed bu
dget
for 20
18/19
Quar
terly
Expe
nditu
re
varia
nce n
ot ex
ceed
ing 5%
of
appr
oved
budg
et for
2018
/19
Quar
ter 1
Quar
terly
Expe
nditu
re
varia
nce l
ess
than 5
% ag
ainst
appr
oved
budg
et for
2018
/19
Quar
ter 2
Quar
terly
Expe
nditu
re
varia
nce n
ot ex
ceed
ing 5%
of
appr
oved
budg
et for
20
18/19
Qua
rter 2
Annu
al Ex
pend
iture
va
rianc
e not
exce
eding
5% of
ap
prov
ed bu
dget
for 20
18/19
R67 2
33 95
3
36 RSR Annual Performance Plan 2018/2019
Stra
tegi
c obj
ectiv
e 2.3:
To
mon
itor a
nd tr
ack t
he ef
fect
ivene
ss o
f RSR
Com
plian
ce in
itiat
ivest
Objec
tive s
tate
men
t: De
velo
pmen
t and
impl
emen
tatio
n of
an R
SR IM
S to
deli
ver d
ata i
nteg
rity t
o su
ppor
t ope
ratio
nal in
tellig
ence
in as
surin
g th
e effe
ctive
ness
of t
he R
SR’s
com
plian
ce ac
tiviti
es an
d to
dire
ct it
towa
rds h
igh
risk a
reas
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng
perio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (R
ands
)1st
2nd3rd
4th
Integ
rated
Infor
matio
n Ma
nage
ment
Syste
m (IM
S)
Quar
terly
2.3.1
IMS
Scop
e com
pleted
by
31 M
arch
2019
IMS
requ
ireme
nts
deter
mine
dDa
ta Ga
p Ana
lysis
comp
leted
Draft
IMS
scop
e de
velop
edFin
al IM
S sc
ope
deve
loped
R5 55
4 190
37 RSR Annual Performance Plan 2018/2019
Stra
tegi
c obj
ectiv
e 2.3:
To
mon
itor a
nd tr
ack t
he ef
fect
ivene
ss o
f RSR
Com
plian
ce in
itiat
ivest
Objec
tive s
tate
men
t: De
velo
pmen
t and
impl
emen
tatio
n of
an R
SR IM
S to
deli
ver d
ata i
nteg
rity t
o su
ppor
t ope
ratio
nal in
tellig
ence
in as
surin
g th
e effe
ctive
ness
of t
he R
SR’s
com
plian
ce ac
tiviti
es an
d to
dire
ct it
towa
rds h
igh
risk a
reas
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng
perio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (R
ands
)1st
2nd3rd
4th
Integ
rated
Infor
matio
n Ma
nage
ment
Syste
m (IM
S)
Quar
terly
2.3.1
IMS
Scop
e com
pleted
by
31 M
arch
2019
IMS
requ
ireme
nts
deter
mine
dDa
ta Ga
p Ana
lysis
comp
leted
Draft
IMS
scop
e de
velop
edFin
al IM
S sc
ope
deve
loped
R5 55
4 190
Str
ate
gic
Ou
tco
me
3:
Imp
rove
d S
take
ho
lde
r S
erv
ice
Stra
tegi
c obj
ectiv
e 3.1:
To
prom
ote s
afe r
ailwa
y beh
avio
ur
Objec
tive s
tate
men
t: A
ddre
ss th
e lac
k of a
ware
ness
rega
rdin
g ra
ilway
safe
ty th
roug
h ed
ucat
ion,
com
mun
icatio
n an
d tra
inin
g in
itiat
ives w
ithin
the c
omm
unity
and
amon
g op
erat
ors
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng
perio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (Ra
nds)
1st2nd
3rd4th
Numb
er of
safet
y pr
omoti
on in
itiativ
es
cond
ucted
Quar
terly
3.1.1
20 R
ailwa
y safe
ty pr
omoti
on in
itiativ
es
cond
ucted
by 31
Ma
rch 20
19
4 Safe
ty pr
omoti
on
initia
tives
co
nduc
ted
8 Safe
ty pr
omoti
on
initia
tives
cond
ucted
6 Safe
ty pr
omoti
on
initia
tives
cond
ucted
2 Safe
ty pr
omoti
on
initia
tives
cond
ucted
R2 55
9 082
Stra
tegi
c obj
ectiv
e 3.2:
To
prom
ote s
afet
y con
sider
atio
n du
ring
new
inve
stm
ents
thro
ugh
annu
al In
dust
ry S
afet
y The
mat
ic In
terv
entio
ns
Objec
tive s
tate
men
t: To
pro
mot
e saf
ety a
s a m
ajor d
ecid
ing
fact
or th
roug
h, b
ut n
ot lim
ited
to:
• In
vest
men
t in
railw
ay in
frast
ruct
ure a
nd ro
lling
stoc
k and
to st
ream
line t
he in
trodu
ctio
n of
new
tech
nolo
gy an
d ca
pita
l inve
stm
ent
• Im
prov
ed ra
ilway
main
tena
nce s
trate
gies
, and
• Im
prov
ed aw
aren
ess a
nd ac
cess
to ra
ilway
tran
spor
tatio
n fo
r peo
ple w
ith im
paire
d m
obilit
y
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng
perio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
serv
ices
(Ran
ds)
1st2nd
3rd4th
Annu
al Ind
ustry
Safe
ty Th
emati
c Inte
rventi
ons
cond
ucted
Quar
terly
3.2.1
Annu
al ind
ustry
safet
y the
matic
int
erve
ntion
cond
ucted
by 31
Mar
ch
2019
--
Annu
al ind
ustry
sa
fety t
hema
tic
inter
venti
on
cond
ucted
-R6
69 08
2
38 RSR Annual Performance Plan 2018/2019
Stra
tegi
c obj
ectiv
e 3.3:
Reg
ular
enga
gem
ent w
ith o
rgan
ised
labou
r to
enco
urag
e col
labor
atio
n to
ward
s im
prov
ed ra
ilway
safe
ty o
f em
ploy
ees,
com
mut
ers a
nd th
e pub
lic
Objec
tive s
tate
men
t: E
ncou
rage
the c
ollab
orat
ion
and
parti
cipat
ion
of in
tere
sted
and
affe
cted
par
ties i
n im
prov
ing
railw
ay sa
fety
Key p
erfo
rman
ce
indi
cato
rRe
porti
ng
perio
dNo
Annu
al ta
rget
2018
/19
Quar
terly
targ
ets
Good
s and
se
rvice
s (R
ands
)1st
2nd3rd
4th
Regu
lar en
gage
ment
with
orga
nised
labo
ur
and i
ntere
sted p
artie
s to
enco
urag
e coll
abor
ation
tow
ards
impr
oved
ra
ilway
safet
y of
emplo
yees
, com
muter
s an
d the
publi
c
Quar
terly
3.3.1
3 Ind
ustry
-org
anise
d lab
our f
orum
dis
cuss
ions c
ondu
cted 3
1 Mar
ch
2019
Indus
try-o
rgan
ised
labou
r for
um
estab
lishe
d
1 Ind
ustry
-or
ganis
ed la
bour
for
um co
nduc
ted
1 Ind
ustry
-or
ganis
ed
labou
r for
um
cond
ucted
1 Ind
ustry
-or
ganis
ed
labou
r for
um
cond
ucted
R669
082
Budg
et P
er O
utco
me
Sum
mar
yDE
SCRI
PTIO
N C
OST
OF E
MPLO
YMEN
T G
OODS
AND
SER
VICE
S
TOT
AL
Outco
me 1
- Rail
ways
are s
afer
112 8
46 30
4 5
984
718
118 8
31 02
2
Outco
me 2
- Suta
inable
insti
tution
al gr
owth
and d
evelo
pmen
t
42 88
3 336
79
277 4
17
122 1
60 75
3
Outco
me 3
- Imp
rove
d stak
ehold
er se
rvice
8 78
5 312
3
897 2
46
12
682 5
58
Tota
l bud
get 2
018/1
9 16
4 514
952
89 15
9 381
25
3 674
333
39 RSR Annual Performance Plan 2018/2019
Budget Information
Revenue2018/19 2019/20 2020/21
R R R
Transfers - DoT Grant 63 018 000 66 547 000 70 207 000
Permit Fees 161 700 000 172 210 500 183 404 183
Permit Application Fee 6 127 500 6 587 063 7 081 092
Technology Audit * 12 300 000 7 500 000 7 500 000
Investment Income 1 755 833 1 889 888 2 022 180
Other Regulatory Fees 6 100 000 - -
Revenue from offensive stream - - -
Technical Workshops 2 673 000 2 822 688 2 977 936
TOTAL REVENUE 253 674 333 257 557 139 273 192 390
Compensation of Employees 164 514 952 175 342 566 185 847 083
Staff Costs 161 477 653 172 135 178 182 463 289
Directors’ Remuneration 3 037 300 3 207 388 3 383 795
Goods and Services 88 509 381 79 891 373 84 894 331
Office rentals 35 126 742 38 288 149 41 734 082
Vehicles rentals 4 052 969 4 279 935 4 515 332
Regulatory Audit Fees 2 200 000 2 323 200 2 450 976
Internal Audit Fees 780 000 823 680 868 982
Professional Fees 4 758 347 5 024 814 5 301 179
Other Admin & Operational costs 25 679 003 29 151 594 30 023 779
Accruals - 2017/18 15 912 320 - -
650 000 2 323 200 2 450 976
Capital expenditure 650 000 2 323 200 2 450 976
TOTAL EXPENDITURE 253 674 333 257 557 139 273 192 390
* Note - Revenue from Technology Audits currently in dispute by operators
40 RSR Annual Performance Plan 2018/2019
41 RSR Annual Performance Plan 2018/2019
Annexture A: Technical Indicator Descriptions1.1.1 Indicator title Number of high risk operators for which safety performance targets are set
Target title Safety Performance Agreements set for 15 Category A operators by 31 March 2019.
Short definition Safety assurance is provided by formalising operators’ focus on establishing risk controls for identified safety risks within their operations in a Safety Performance Agreement between the RSR and the operator, to ensure that risks are maintained at an acceptable level. Assurance is enhanced by regular risk evaluation activities to ensure that the agreed risk controls conform to operators’ expectations and improve overall safety control effectiveness.
Purpose/importance To align the safety objectives of identified high risk operators with that of the RSR.
Source/collection of data Formal interactions with identified high risk operators.
Method of calculation Simple count of number of agreements set per quarter.
Data limitations Level of cooperation from operators to agree to the elements of the Safety Performance Agreement.
Type of indicator Outputs.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator This indicator continues without change from the previous year.
Desired performance Aims to ensure full compliance by all identified operators.
Indicator responsibility Chief Operations Office – Regional Operations.
1.2.1 Indicator title Safety Risk Model developed and implemented
Target title Safety Risk Model framework developed by 31 March 2019.
Short definition To make railways safer by identifying the overall risk profile of the railway industry to support critical risk mitigation decision making through the development of an industry safety risk model.
Purpose/importance The Safety Risk Model will provide a structured representation of the causes and consequences of potential accidents arising from railway operations and maintenance to allow for the determination of a risk profile of operators for focused mitigation activities and controls.
Source/collection of data Analysis of operator occurrence reporting data, audit-, inspection-and investigation reports.
Method of calculation Quarterly deliverable achieved.
Data limitations Level of accuracy in reporting of occurrences by operators.
Type of Indicator Output.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator New indicator
Desired performance Safety Risk framework developed in collaboration with operators.
Indicator responsibility Operational Intelligence and Planning
42 RSR Annual Performance Plan 2018/2019
1.2.1.1 Indicator title Safety Risk Model developed and implemented
Target title Draft determination for Occurrence Reporting developed for public comments by 31 March 2019.
Short definition Providing a formal occurrence reporting framework to operators in support of the development of an industry safety risk model, which support critical risk mitigation decision making by operators and the RSR.
Purpose/importance The Occurrence Reporting Determination will provide for uniform, standardised and accurate reporting of all occurrences to the RSR.
Source/collection of data The data will be collected from the current guidelines on reporting as contained in the RSR Standard, occurrence reporting data, audit-inspection- and investigation reports as well as research.
Method of Calculation Quarterly deliverable achieved.
Data limitations Availability of reliable data as well as level of cooperation from operators during consultations
Type of Indicator Output.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator New indicator
Desired performance Comprehensive Draft Determination on Occurrence reporting made available for public comment.
Indicator responsibility Operational Intelligence and Planning
43 RSR Annual Performance Plan 2018/2019
1.3.1 Indicator title Common Safety Methods developed and implemented
Target title Common Safety Method for Conformity Assessments (CSM CA) implemented by 31 March 2019.
Short definition To make railways safer by embedding operational excellence within the Safety Management Systems of all operators through the implementation of a RSR Determination on Common Safety Method on Conformity Assessment.
Purpose/importance The Common Safety Method for Conformity Assessment will be applied by Railway Safety Inspectors in the assessment of the adequacy of an operator’s Safety Management System (SMS). It will also enable operators to ensure that their application conforms to the minimum requirements of the RSR.
Source/collection of data CSM CA audit reports.
Method of calculation Simple count of quarterly CSM CA assessments.
Data limitations Possible lack of cooperation from operators as well as level of CSM CA audit skills.
Type of Indicator Output.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator This indicator continues with changes from the previous year.
Desired performance Common Safety Method for Conformity Assessments (CSM CA) tested and implemented by the RSR.
Indicator responsibility Operational Intelligence and Planning
1.3.1.1 Indicator title Common Safety Methods developed and implemented
Target title Framework for CSM RA developed by 31 March 2019.Short definition To make railways safer by embedding operational excellence within the Safety Management
Systems of all operators through the development and implementation of the RSR Determination on Common Safety Method on Risk Assessments (CSM RA).
Purpose/importance The Common Safety Method for Risk Assessment will provide a harmonised framework for the risk assessment process through the prescription of hazard identification, risk analysis and risk evaluation. The CSM RA serves as a broad framework for the use of risk assessment methodologies to assess changes to the railway system.
Source/collection of data Research and industry benchmarking.Method of calculation Quarterly deliverables achieved.Data limitations Availability of reliable research data and information.Type of Indicator Output.Calculation type Cumulative.Reporting cycle Quarterly.New indicator New indicator.Desired performance CSM RA framework in consultation with industry operators developed.Indicator responsibility Operational Intelligence and Planning
44 RSR Annual Performance Plan 2018/2019
1.3.2 Indicator title Implementation of Railway Management Maturity assessments
Target title Railway Management Maturity assessment tool adopted by 31 March 2019.
Short definition To make railways safer by embedding operational excellence within the Safety Management Systems of all operators through the implementation of a Risk Management Maturity assessment tool.
Purpose/importance A Railway Management Maturity Model is a tool for assessing and managing a railway operator’s ability to control safety risks, to help identify areas for improvement and provide a benchmark for year-on-year comparison. The RM3 will enable the rail operator towards increased excellence in safety risk management.
Source/collection of data Research and industry benchmarking
Method of calculation Quarterly deliverables achieved.
Data limitations Possible lack of cooperation from operators as well as access to research and benchmark-ing information.
Type of Indicator Output.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator This indicator continues with changes from the previous year.
Desired performance Railway Management Maturity assessment tool adopted with fully trained RSR Inspectors.
Indicator responsibility Operational Intelligence and Planning
45 RSR Annual Performance Plan 2018/2019
1.4.1 Indicator title HFM Capacity Building Programme developed and conducted for high risk operators
Target title Industry accepted frameworks developed to address:
• Competency management
• Safety critical vacancies
• Work load planning developed by 31 March 2019
Short definition To make railways safer by managing the risks associated with Safety Related Grades in rail-way operations. The HFM capacity building programme is aimed at addressing the identified risks associated with safety critical work at high risk operators to:
• Standardise Competency Management Systems (CSM) in place with all operators.
• Determine acceptable vacancy rates within Safety Critical Grades.
• Ensure effective workload planning for staff involved with safety critical work.
Purpose/importance The HFM Capacity Building Program will enable operators to mitigate HFM risks within their operations.
Source/collection of data Research and benchmarking, HFM data provided by operators, analysis of HF Audit-, inspec-tion- and investigation reports.
Method of calculation Quarterly deliverables achieved.
Data limitations Level of cooperation from operators and availability of accurate and reliable data.
Type of indicator Outputs and outcomes.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator New Indicator.
Desired performance Industry accepted HFM Capacity Building frameworks developed to address HFM risks.
Indicator responsibility Chief Operations Office – Human Factors
46 RSR Annual Performance Plan 2018/2019
1.5.1 Indicator title Verbal Safety Communication determination developed
Target title Draft industry national protocol for Verbal Safety Critical Communication published for comments by 31 March 2019.
Short definition To make railways safer by addressing the risks associated with train collisions and signal passed at danger when manual train authorisations takes place in degrade mode.
Purpose/importance The Verbal Safety Communication determination will ensure that the correct communica-tions protocols to be observed between safety critical staff during train authorisations and protocols which will reduce the risk of SPADS’s and collisions.
Source/collection of Data Research and industry benchmarking.Method of calculation Quarterly deliverables achieved.Data limitations Possible lack of cooperation from operators could possible influence delivery against
timeframes.Type of indicator Outputs and outcomes.Calculation type Cumulative.Reporting cycle Quarterly.New indicator New indicator.Desired performance Draft Verbal Safety Critical Communication Protocol published for industry comment.Indicator responsibility Operational Intelligence and Planning
47 RSR Annual Performance Plan 2018/2019
1.6.1 Indicator title Interface Agreements aligned with operational risks
Target title Interface Agreement framework developed by 31 March 2019.
Short definition
Inter-operability concerns identified and all Interface Agreements aligned with the identified operational risk exposures.
Purpose/importance To mitigate risks of occurrences associated with inter-operability between operators on the common network at the interface of railway operations.
Source/collection of data Occurrence data as reported by operators and existing inter-operability agreements.
Method of calculation Quarterly deliverables achieved.
Data limitations Possible lack of cooperation from operators could influence delivery against timeframes.
Type of indicator Outputs and outcomes.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator New indicator.
Desired performance All Interface Agreements aligned with operational risks.
Indicator responsibility Operational Intelligence and Planning
2.1.1 Indicator title Progress made in revising the Permit Fee Model developed in 2014/15
Target title Revised Permit Fee Model validated and finalised by 31 March 2019.
Short definition Collaborative review of the current Permit Fee Model to address identified shortcomings towards implementing an agreed revised Permit Fee Model.
Purpose/importance Review the Permit Fee Model to address shortcomings of the current model.
Source/collection of data Research and benchmarking and industry consultations.
Method of calculation Quarterly deliverables achieved.
Data limitations Possible lack of cooperation from operators could influence delivery against timeframes.
Type of indicator Outcomes - measures progress towards revision of the Permit Fee Model.
Calculation type Identifies whether the reported performance is cumulative, or non-cumulative.
Reporting cycle Quarterly.
New indicator This indicator continues without change from the previous year.
Desired performance Finalisation of the revision of the Permit Fee Model as per the Strategic Plan.
Indicator responsibility Operational Intelligence and Planning
48 RSR Annual Performance Plan 2018/2019
2.2.1 Indicator title Year-on-year Service Delivery Index (SDIX) growth
Target title RSR Service Delivery Index (SDIX) = 55 by 31 March 2019.
Short definition Sustained performance can be achieved by the effective management of the organisation through awareness of the organisation’s environment by learning and by the appropriate application of improvement and/or innovations. This requires a robust, integrated and objective performance management system, that is, a Management Quality System (MQS) that can evaluate the maturity level of the organisation – covering its leadership, strategy, management systems, resources and core business processes – to identify areas of strengths and weaknesses and opportunities for improvement and/or innovations.
Purpose/importance Improved organisational performance and efficient service delivery.
Source/collection of data Annual Performance Assessments using the MQS system.
Method of calculation Statistical calculation of the annual SDIX score by means of the MQS system causality algorithm.
Data limitations Timely submission of performance assessments for inclusion in the annual assessment and SDIX score determination.
Type of indicator Measure the enabling environment as an input and expressing performance as an output by using an Index Methodology.
Calculation type Non-cumulative however it expresses the causal performance of the organisation.
Reporting cycle Annually.
New indicator This indicator continues with changes to the target score from the previous year.
Desired performance Improved business process and performance efficiencies.
Indicator responsibility Strategy and Performance Management
49 RSR Annual Performance Plan 2018/2019
2.2.2 Indicator title Effective management of human and financial resources through budgetary control and governance mea-sures
Target title Annual expenditure variance not exceeding 5% of approved budget for 2018/19.
Short definition Strict budgetary control and governance measures will ensure effective and efficient management of human and financial resources.
Purpose/importance
This indicator measures how effectively budgetary control and government measures contribute towards budgetary variance in expenditure.
Source/collection of data
Expenditure reports.
Method of calcu-lation
The following formula should be used to calculate the level of variance of actual expenditure versus budgeted expenditure as a percentage:
Actual expenditure – Budgeted expenditure
Budgeted expenditure X 100 = percentage variance
Data limitations None.
Type of Indicator This indicator measures financial efficiency.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator New indicator.
Desired performance
Effective expenditure management not exceeding 5% of allocated budget.
Indicator responsibility
Finance
2.3.1 Indicator title Integrated Information Management System (IMS) implemented to direct compliance monitoring initiatives
Target title IMS scope completed 31 March 2019.
Short definition Development and implementation of an RSR IMS to deliver data integrity to support oper-ational intelligence in assuring the effectiveness of the RSR’s compliance activities.
Purpose/importance This indicator aims to improve effective data management towards improved organisation-al efficiency.
Source/collection of data Data and system gap analysis reports.
Method of calculation Quarterly deliverables completed.
Data limitations Reliability of timely and accurate compliance activity data.
Type of Indicator Outputs.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator New indicator.
Desired performance Information management system scope developed.
Indicator responsibility Operational Intelligence and Planning
50 RSR Annual Performance Plan 2018/2019
3.1.1 Indicator title Number of safety promotion initiatives conducted
Target title 20 Railway safety promotion initiatives conducted by 31 March 2019.
Short definition To address the lack of awareness regarding railway safety through education, communi-cation and training initiatives within the community and among operators.
Purpose/importance The indicator will ensure that the level of railway safety awareness among members of the public is improved.
Source/collection of data Railway safety promotion initiative reports.
Method of calculation Simple count of number of actual railway safety promotion initiatives conducted.
Data limitations None.
Type of Indicator Outputs.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator This indicator continues with changes in targets from the previous year.
Desired performance Improved public rail safety awareness through rail safety initiatives.
Indicator responsibility Chief Operations Office – Education and Awareness
51 RSR Annual Performance Plan 2018/2019
3.2.1 Indicator title Annual industry safety thematic interventions conducted
Target title Annual Industry safety thematic intervention conducted by 31 March 2019.
Short definition To conduct an annual thematic intervention to promote safety as a major deciding factor during, but not limited to:
• Investment in railway infrastructure and rolling stock and to streamline the introduc-tion of new technology and capital investment;
• Improved railway maintenance strategies; and
• Improved awareness and access to railway transportation for people with impaired mobility.
Purpose/importance This indicator will provide a platform for increasing industry collaboration towards safer railway operations.
Source/collection of data Annual Industry safety thematic intervention programme.
Method of calculation Simple count of number of annual industry safety thematic interventions conducted.
Data limitations None.
Type of Indicator Outputs.
Calculation type Cumulative.
Reporting cycle Annually.
New indicator New indicator.
Desired performance Annual industry safety thematic intervention.
Indicator responsibility Media and Communications
3.3.1 Indicator title Industry-organised labour forums implemented
Target title 3 Industry-organised labour forums discussion conducted by 31 March 2019.
Short definition Conduct discussions on identified railway safety matters of mutual concern.
Purpose/importance Encourage the collaboration and participation of interested and affected parties in improving railway safety.
Source/collection of Data Minutes of industry discussion forum initiatives
Method of calculation Number of industry forum discussions concluded.
Data limitations Possible lack of cooperation from identified parties.
Type of indicator Outputs.
Calculation type Cumulative.
Reporting cycle Quarterly.
New indicator New.
Desired performance Improved collaboration between industry and organised labour towards increased railway safety.
Indicator responsibility Media and Communication
52 RSR Annual Performance Plan 2018/2019
Notes
53 RSR Annual Performance Plan 2018/2019
Notes
54 RSR Annual Performance Plan 2018/2019
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RP69/2018ISBN: 978-0-621-46167-1