railway safety regulatory function ind ii

Railway Safety Regulatory Function A Scoping Study

The Inception Report - December 2012

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The Indonesian economy is projected to grow positively (6-7% pa) in the foreseeable future Road constitutes the predominant transport mode (90%) – this imposes an impediment to growth Rail transport provides less than 10% - significant and likely potential for improvement The Railway Law and other regulations provide the foundation for this modal shift to occur Indonesia’s railways are deteriorating and require reinvestment and greater regulation to provide safe and efficient operations

Background

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The Railway Law removes the present monopoly and provides for private investment National Railway Master Plan 2030 –

12,000 km inter-urban tracks, 3,660 km urban rails in 12 cities, 4,800 locomotives, 67,615 inter-urban railcars, and 6,016 urban railcars

Railway safety is seen to be lagging and a comprehensive rail safety regime and regulatory function is lacking It is proposed that Indonesia contemplate a long-term vision for rail safety within this changing context and implement a consistent safety management regime and regulatory function.

Background

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Objective of the Scoping Study

Proposed to establish the role and function of a Rail Safety Regulator within the Directorate of Railway Safety – Directorate General of Railway – Ministry of Transport, tasked with – 1. Ensuring safe and efficient rail operations,

through 2. The development of an effective Railway

Safety Regime.

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Railway Regulatory Regime

The Railway Law No. 23/2007 19 Chapters, 218 Articles,

and requires 28 Government Regulations

Government Regulation No. 56/2009 10 Chapters, 406 Articles, and

elucidation by 39 MoT Regulations

Government Regulation No. 72/2009 10 Chapters, 188 Articles, and

elucidation by 40 MoT Regulations

41 Minister of Transport Regulations have been

issued so far

The substances of the 2 GRS (with 594 articles all together) have probably covered a majority of covenants mandated by the Law (with reference to the above 28 GRs) No stipulation on Safety Management System and Safety Regulatory Function Effective implementation of the covenants would probably sufficient enough by now for laying the platform for a Rail Safety Management System and its associated Railway Safety Regulatory Function to be working These two streams – Safety Management and Regulatory Function – will serve the safe railway operation and provide a more certain railway business environment.

Presidential Regulation No.

53/2012 on PSO-IMO-TAC

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The Proposed Structure

An enhanced function of portfolios within the current organization of DGR/DRS to ensure that Guideline of the making of RSMS is fully complied with and its implementation is appropriately and effectively implemented. The end goal is to ascertain that much safer railway operation can be achieved.

DGR portfolio delegated to DRS

A guideline contains all the necessary requirements , standards, models, and operation manual of Railway Safety Management System. Such guideline must be based on the current legal and regulatory frameworks of railway safety and related safety operation manual

Across the DRS sub-directorates

The RSMS would serve the railway sector in ensuring a much safer rail operation in the country. It will serve both the existing and future railway systems and will apply to both passenger and freight rail services.

PT KAI and other forthcoming new operators

Railway Safety Regulatory Function

RSRF

Guidance on Railway Safety Management

System G-RSMS

Railway Safety Management

System RSMS

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RSMS in the making

Directorate General of

Railway

Guideline on Railway Safety Management

System

PT Kereta Api Indonesia

Railway Safety Management

System

MOU DGR & ARA

MOU KAI & ARA

These two streams of activities are now proceeding in the same time. It is presumed that the two streams have conversations and communication one to another and that in the end they will merge as “two in one” concept that is workable, effective, and able to deliver a safer railway operation. But when it comes to safety, it is a public concern at large and whatever the concept is, there is a need for public awareness, information, and participation. Government and SOEs alike is to be more communicative with the society and the users

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Roles and Function of the Rail Safety Regulator

Railway Safety Management System (RSMS) can be defined as a formal framework for integrating safety into day-to-day railway operations and includes safety goals and performance targets, risk assessments, responsibilities and authorities, rules and procedures, and monitoring and evaluation processes. The objectives of the SMS regulations are to ensure that safety is given management time and corporate resources and that it is subject to performance measurement and monitoring on par with corporate financial and production goals. Railway Safety Management System Guide February 2001 (TP 13548). Rail Safety, Transport Canada. http://www.tc.gc.ca/media/documents/railsafety/smsguide.pdf

http://www.tc.gc.ca/media/documents/railsafety/smsguide.pdf

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The Government Federal Government + 7 State

Governments

Ministries of Transport Federal Government + 7 State

Governments

National Rail Safety Regulator Independent National Rail Safety Investigator

The Railway Industry Infrastructure, Owners, Operators,

Manufacturers, Service providers, suppliers and vendors

Rail Safety Management System, Audit & Compliance,

Accreditation, Licensing

Accident Investigation

Australasian Railway Association (ARA)

Rail Industry Safety and Standard Board (RISSB)

Industry Fees

Funding 50% by industry, 50% by government

Inter Governmental Agreement

Harmonized National Legislation

Australia’s Rail Safety Regulatory Function Source: ARA, 2011

Learning from Australia

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Learning from other Regulated Railways

What Indonesia can learn from other Regulated Railways – what down-falls to avoid Lessons learned from railways and rail industries similar to Indonesia – hence, a mix of Heavy Haul, Freight, and Passenger Railways The Final Report will include a comparative review of other Regimes, and other similar rail industries We agree that Indonesia cannot simply adopt another regime – it must be developed to suit the Indonesia rail industry Indonesia should look to take on the best – and most appropriate aspects and elements – from other relevant rail regimes

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Learning from Australia

Policy & Legislation Support

Corporate Services

Accreditation & Audit

Compliance Inspection

Compliance Investigation

Regulatory Response

Legal Adviser

Safety Intelligence

Safety Advice & Safety Promotion

Communication & Public Relation

Experts & Specialist Support

Essential Functions of Rail Safety Regulatory Function Source: ITSR, NSW, 2011 slightly modified for Indonesia

Rail Safety Regulatory Function

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The Essential Functions

No. Functions Task Performed

1. Policy & Legislation Support

Policy development, regulatory framework, Consultation with legislators + the railway industry on safety regulation, consultation with DGR and DRS

2. Legal Adviser Legal advice with respect to interpretation of legislation, rules of evidence, and prosecution

3. Safety Intelligence Capture rail safety and operational data, develop and maintain database, and technology related to rail safety, undertake trend analysis, risk analysis, liaise with other rail regulators on benchmarking

4. Safety Advice & Promotion

Publication, guidelines, forums, papers, workshops, and other promotion actions on railway safety

5. Corporate Services Performance measurement, reporting, knowledge management, human resources, ITC

6. Accreditation & Audit

Initiate Accreditation for Rail Managers and Operators, audit of suitability of proposed Rail Safety Management System

7. Compliance Inspection

Audit and compliance of Accredited Railway Managers and Operators to their Approved Safety Management Systems, inspection

8. Compliance Investigation

Accident + Near Miss + Benchmark investigation, more detailed investigation on matters arising from a Compliance Inspection

9. Expert & Specialist Support

Support to the rail industry on the impact of proposed change, and to consider on-going best-practice development of the Indonesian Rail industry

10. Regulatory Response

Formal response to Accredited Railway Managers and Operators, accreditation actions, penalty system, variation, suspension, and cancellation, prosecution, prohibition, and improvement of accreditation

11. Communication & Public Relation

Communication with Accredited Railway Managers and Operators, consultation with stakeholders affected by adjacent railway operations, media contact, media liaison through railway safety statistics and advice, consultation with the public on changes to Railway Management and Operations

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Enhanced DRS Functions

DRS Sub Directorate

Current Functions Proposed Function

Safety Audit & Improvement

1. Compliance audits on rail infrastructure and rolling stock including procurement, development, operation, and maintenance

2. Compliance audits on railway operation

3. Consistency of Railway Safety goals and objectives

4. Coordination of efforts to improve railway safety (for example, at crossings)

1. Compliance audits on rail infrastructure and rolling stock including procurement, development, operation, and maintenance

2. Compliance audits on railway operation 3. Consistency of Railway Safety goals and objectives 4. Coordination of efforts to improve railway safety

(for example, at crossings) 5. Shared/common specialist technical support in rail

engineering, asset management, and human system to enhance safety audit and safety improvement

6. Shared/common purpose through promotion and by publishing papers, guidelines, conducting safety forums and workshops, and other necessary publications

Accident Analysis & Management

1. Accident analysis, accident reporting, and coordination with related parties on rail safety and rail accident analysis

2. Identification of accident and disaster prone areas – “root cause analysis”

3. Ensuring the consistency of the emergency response regime

1. Development and benchmarking of the Data Base, technology, trend analysis, and risk exposure analysis

2. Accident analysis, accident report, and coordination with related parties on rail safety and rail accident analysis

3. Identification of accident and disaster prone areas 4. Developing emergency response system

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Enhanced DRS Functions

DRS Sub Directorate Current Functions Proposed Function

Institutional Accreditation & Certification

1. Accreditation/Certification of testers, auditors, inspectors, train drivers, rail infrastructure operators, rolling stock and infrastructure examiners, and maintenance officers

2. Accrediting legal entities or testing agencies and railway education institutions

3. Arranging formation plan of human resources of testing agencies

4. Technical training and refreshment courses for regulator, testers, inspectors, and auditors

1. Accreditation/Certification of testers, auditors, inspectors, train drivers, rail infrastructure operators, rolling stock and infrastructure examiners, and maintenance officers

2. Accrediting legal entities or testing agencies and railway education institutions

3. Arranging formation plan of human resources of testing agencies

4. Technical training and refreshment courses for regulator, testers, inspectors, and auditors

5. Technical training for railway accident investigators

Legislative Enforcement

1. Technical training for railway investigators

2. Controlling passengers in driver cabin, on-top of train roof, and locomotives

3. Controlling illegal building and other obstacles interfering with train visibility

4. Investigation of violation of the Railway Law and coordination with related parties to secure law enforcement

1. Legislative advice, provision of evidence, and support to prosecutors

2. Ensuring compliance with passenger/trespasser safety on or about rolling stock

3. Ensuring compliance with buildings and structures which might have an adverse impact upon rail safety

4. Investigation of violation of the Railway Law and coordination with related parties to secure law enforcement

5. Developing a “whole of industry” role in support of infrastructure owners and operator in the safe provision of rail services - performance measurement, knowledge management, etc

6. Developing a dialogue with the media for community development and public relation undertakings

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Final configuration

The System

Operators

The Directorate of Railway Safety

Railway Safety Regulatory Function

PT KAI

Railway Safety Management System

PT KCJ Other Operators

Both the RSRF and RSMS must be effectively in operation for safe railway operation. But the systems do not replace the current railway regulations. Violation against the good conducts of railway safety could be examined by the DRS and recommendations are conveyed to the DGR /MOT as the ultimate regulator

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Scoping

2012 2013 2014

Review laws, regulations, institutions, and programs of

railway safety in Indonesia

Development and submission of Railway Safety

Regulation Report

Consultation with Director of Railway Safety, MOT and

PT KAI

Development/Adoption of Model Railway Safety

Management System and Regime - Ongoing consultation

with ARA

Commence development of National Railway Safety

Master Plan to contemplate the enhanced role of the

RSR Indonesia

Identify resources and training necessary to provide the

enhanced Functions of the RSR (Indonesia) under the

National Rail Safety Master Plan

Identify Performance Targets for the RSR (Indonesia) for

inclusion in the Draft National Rail Safety Master Plan

Initiation

Short-Term Next Steps

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Longer-Term Steps Scoping

2012 2013 2014 2015 2016 2017 2018 2019

Enactment of the National Railway Safety Master

Plan and the responsibility of the RSR Indonesia

Appointment of Resources to provide functions of the

enhanced role of the RSR (Indonesia) under the

National Railway Safety Master Plan

Establishment of formalised Rail Standards Regime

Initiate Liaison/Benchmarking with other Rail Safety

Regulators

The Rail Safety Regulator (Indonesia) delegated under

the provisions of the National Rail Safety Master

Accreditation Regime for Rail Managers and

Operators put in place under the Rail Safety Regulator

First Compliance Audits by the Rail Safety Regulator

(Indonesia)

First Annual Report by the Rail Safety Regulator

(Indonesia) - reporting against defined Performance

Independent Review of the Role and Effectiveness of

the RSR Regime

Ongoing Development of Rail Safety Regime

Ongoing Consultation with MOT and Railway

Managers and Operators

ImplementationInitiation

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Scoping

2012 2013 2014 2015 2016 2017 2018 2019

Development/Adoption of Model Railway Safety Management System and

Regime - Ongoing consultation with ARA

Commence development of National Railway Safety Master Plan to

contemplate the enhanced role of the RSR Indonesia


Development of the ARA’s Model Railway Safety Management System provides an excellent foundation

We acknowledge that this MOU extends until 2014

Alongside this activity we propose to commence development of the National Railway Safety Master Plan

Consistent with the strategy adopted for the National Road Safety Master Plan 2011-2035 Proposed to commence this in 2013, Seeking input and consultation with Director of Railway Safety, MOT and PT KAI

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Development of the National Railway Safety Master Plan would subsequently lead to –

A study to identify the resources and training necessary to fulfill the enhanced Functions and Role of the Rail Safety Regulator (Indonesia) Identification of the Performance Targets which the RSR Indonesia would be tasked to meet

With the National Railway Safety Master Plan subsequently better defined and scoped, the Plan would be submitted to the Director of Railway Safety, MOT

Scoping

2012 2013 2014 2015 2016 2017 2018 2019

Identify resources and training necessary to provide the enhanced Functions

of the RSR (Indonesia) under the National Rail Safety Master Plan

Identify Performance Targets for the RSR (Indonesia) for inclusion in the Draft


Submit National Railway Safety Master Plan and the responsibility of the RSR

Indonesia to Director of Railway Safety, MOT


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This would lead to appointment of resources under the National Railway Safety Master Plan who would be tasked to –

Establish and maintain the formalised Rail Standards Regime, Undertake “Base Case” audits Initiate benchmarking with other Rail Safety Regulators based upon statistical and accident data which has been captured and analysed

The Role of the Rail Safety Regulator (Indonesia) would be appointed under the provisions of the National Railway Safety Master Plan

Scoping

2012 2013 2014 2015 2016 2017 2018 2019

Appointment of Resources to provide functions of the enhanced role of the

RSR (Indonesia) under the National Railway Safety Master Plan

Establishment of formalised Rail Standards Regime

Initiate Liaison/Benchmarking with other Rail Safety Regulators

The Rail Safety Regulator (Indonesia) delegated under the provisions of the



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A target might be to have an enhanced Accreditation Regime in place 2016 to 2018 With the first Compliance Audits by the Rail Safety Regulator in 2018 And the first Annual Report by the Rail Safety Regulator (Indonesia) in 2018 It might be that the National Railway Safety Master Plan would contemplate Independent Review of the effectiveness of the Rail Safety Regulator (Indonesia) in 2019

Scoping

2012 2013 2014 2015 2016 2017 2018 2019

Accreditation Regime for Rail Managers and Operators put in place under the

Rail Safety Regulator (Indonesia)

First Compliance Audits by the Rail Safety Regulator (Indonesia)

First Annual Report by the Rail Safety Regulator (Indonesia) - reporting

against defined Performance Targets

Independent Review of the Role and Effectiveness of the RSR Regime


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Terima Kasih

railway safety regulatory function ind ii

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