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TRANSCRIPT
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INTERNATIONAL RAILWAY SAFETY CONFERENCETOKYO 2002
SESSION THEME : MANAGEMENT FOR SAFETY
TITLE : RAILWAY SAFETY PROCESSMANAGEMENT IN SPOORNET
PRESENTER : HERMAN BRUWER
RISK MANAGEMENT(CORPORATE RAILWAY SAFETY OFFICE)SPOORNETSOUTH AFRICA
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CURRICULUM VITAE
HERMAN BRUWER
Herman Bruwer was born on 5 October 1955. He is married to Debbie, and theyhave two daughters, Sally and Wendy, and a son Mitch.
Herman is a B. Comm graduate from the University of South Africa. He started hiscareer with Spoornet in 1974 as a third generation railwayman. During this period hewas deployed in various positions within Spoornet whereby he gained practicalexperience in both the operational railway environment as well as the commercialfacets thereof.
In 1993 Herman was deployed to Risk Management (Spoornet) whereby he
undertook the following portfolios:
1993 1996 Railway Safety Legislation and Codes of Conduct
1996 2001 Operational Risk Processes
2001 to date Corporate Railway Safety Office
Herman was the convenor of the International Railway Safety Conference 1996 inCape Town. At the same conference held in 1997 at Lucerne Switzerland, Hermandelivered a paper entitled The social impact of the transportation of dangerousgoods by railway A Spoornet experience.
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10 September 2002Full Paper
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Synopsis
The anticipated introduction of a railway safety regulatory regime in South Africa, aswell as the possible restructuring of state owned assets, coupled with new operatorsentering the railway market, has necessitated Spoornet to examine existing safetypractices and to design a safety process for the management of railway operations.
This paper will address the rationale for introducing Railway Safety ProcessManagement (RSPM) in Spoornet and the selection, development andimplementation of Safety Management Systems and the establishment of aCorporate Railway Safety Office to address the corporate direction and managementof a Railway Safety Management System Standard for Spoornet.
Today, Spoornets Railway Safety Process Management reflects a hybrid systemincorporating international best practices for railway safety management.
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Presentation Outline
1. Introduction
2. The Challenge
3. Findings
4. Recommendations
5. Implementation:
5.1 Safety Management System
5.2 Corporate Railway Safety Office
6. Conclusion
Annexure 1: Acronyms
Annexure 2: Acknowledgements
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1. Introduction
In January 2000, the South African Government announced the process ofrestructuring state-owned assets. The process was to form part of the PolicyFramework for accelerating the restructuring state-owned assets. It was
envisaged that Transnet (a major public company) and its largest division,Spoornet, would be affected by the restructuring program.
The railway industry anticipated that during the restructuring process, theNational Department of Transport (NDoT) would establish both a RailwaySafety Regulator and an Economic Regulator to oversee the restructuredrailway industry.
The restructuring announcement brought about a radical change in thetraditional and historical accepted norms and practices for railway safetymanagement in South Africa. Following this announcement the die was cast
and a series of events took place, which, retrospectively, should havehappened a decade ago in South Africa.
Firstly, the National Department of Transport stated their firm intention toestablish an independent Railway Safety Regulator irrespective of whetherrestructuring took place or not. The National Department of Transport thenproceeded to establish a Task Group and invited the railway industry toparticipate in the development of the railway safety legislative framework.
Secondly, and more importantly , the announcement forced the railwayoperators to scrutinize existing railway safety practices and to identify those
areas needing safety improvement.
As a result of these announcements the railway industry has been in a raceagainst time.
Spoornet, as a major role player in the South African railway industry,established a Steering Committee to examine existing safety practices inSpoornet and to develop a strategic document, known as Railway SafetyProcess Management, to meet anticipated regulatory requirements.
This paper will attempt to outline the Spoornet processes in developing anappropriate safety organization, together with the supporting processes tomeet regulatory requirements.
2. The Challenge:
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2.1 Based on the scenario contained in my introductory remarks, Spoornetestablished a Steering Committee in 2000 to research various internationalrailway safety regulatory models. In addition, the Steering Committee had to
assess the adequacy of Spoornets existing safety practices measured againstthe regulatory requirements of those identified models, in order to determinethe level of congruence.
2.2 The regulatory model of each country was segmented into the followingcritical components for research purposes:
legislative framework;
industry framework;
corporate safety framework;
audit; and
enforcement
2.3 The following countries were chosen as benchmark partners for the RailwaySafety Process Management design process due to their Governments recent(1993 1999) initiatives regarding railway safety regulation in an environmentof railway corporatisation and open access:
Australia
New Zealand
United Kingdom
Canada
2.4 In order for the Steering Committee to make informed recommendations onthe process design, the following factors were considered:
Spoornets unique position with regard to its geographical location,technology, infrastructure, rolling stock and train operations;
Spoornets interface with other roleplayers in the railway industry(overborder operations) and the impact thereof on the design of theRSPM;
Spoornet as a learning organization; and
International best practices regarding railway safety management.
2.5 The basic point of departure for the RSPM Steering Committee was toestablish the following:
What makes Spoornet different from other international railways,
What are the similarities, and
What makes the South African railway industry unique.
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2.6 The gap analysis provided the Steering Committee with the necessary insightto design a Railway Safety Process Management which will ensure thefollowing strategic imperatives:
Integrated railway safety practices in Spoornet;
Compliance to anticipated railway regulatory legislation; Alignment with international best practices;
Sound corporate governance of safety in Spoornet;
Reduction in the cost of risk, and
Compliance to stakeholder requirements.
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3. Findings
3.1 Legislative Framework:
The railway industry in South Africa was historically state owned
and consequently self-regulatory, insofar as it managed safety as amatter of internal operations in terms of its own standards.
At present, an independent railway safety regulator does not exist in South Africa. The statute book contains limited reference to
sector specific legislation for railway safety.
The railway industry relies on the Occupational Health and SafetyAct (Act 85/1993) as the primary source of legislation for all aspectsof its railway safety management system.
3.2 National Industry Safety Framework:
The national safety framework in South Africa is ill defined insofaras the railway industry is self-regulatory in origin and nature andrather informally structured.
Safe railway operations at the interface of operations areaddressed in Business Agreements and Operating Agreementsbetween operators. There exists no formal mechanism for disputeresolution or recourse for an aggrieved party.
Spoornet, as the dominant role-player in the public railway industry, isperceived to be the lead agent in setting standards, rules anddirectives for safe railway operations. However, in a newrestructured railway industry it is perceived that the industry will set
railway standards for the operators to comply with.
3.3 Spoornets Corporate Railway Safety Program:
Spoornets Corporate Railway Safety Program is lagging farbehind international best practices.
Managing of the various elements comprising a formal railwaysafety management system in Spoornet is fragmented.There is no single manager in Spoornet to take full responsibility for thecorporate direction and management of a Safety Management
System for Spoornet.
3.4 Auditing Safety:
Due to the total absence of a railway safety legislative frameworkthe South African railway industry has never been subjected to anexternal audit program of the safety management process.
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3.5 Enforcement:
The only level of enforcement to which the South African railwayindustry is currently exposed to, is the Department of Labour
for contraventions of Act 85/1993.
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4. Recommendations
4.1 Based on the insights obtained from the requirements of the railway safetyregulatory models of the countries as mentioned in paragraph 2.2 as well asthe critical findings as described in paragraph 3.3, the RSPM SteeringCommittee advised Spoornet to develop and implement the followingrecommendations:
4.1.1 The introduction of formal Safety Management Systems as a corporateSafety Standard to provide Spoornet with a comprehensive management toolto ensure:
integrated safety practices
compliance to anticipated regulatory requirements
continuous improvement in railway safety process management
4.1.2 The introduction of a railway safety structure (Corporate Railway Safety Office)to accommodate the corporate direction and management of the railway safetystandard (SMS) based on the following key performance areas of railwaysafety process management.
Railway Safety Strategy and Planning
Railway Safety Standards
Railway Safety Assurances
Railway Safety Audits
5. Implementation:
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5.1 Incorporating Safety Management Systems:
5.1.1 Research regarding Safety Management Systems highlighted the followingvery important facts:
The objectives of the SMS are to ensure that railway safety is givenmanagement time and corporate resources and that it is subject toperformance measurement and monitoring on par with corporatefinancial and production goals.
A SMS will provide a more directed and focussed approach torailway safety.
It is anticipated that both increased management attention tosafety and an enhanced safety culture within the railway willreduce the public and employee fatalities and injuries, reduce
property damage resulting from railway incidents, and reduce theimpact of accidents on the environment.
A SMS will enable the railway to demonstrate in a concreteand visible manner their commitment to safety to ensurecompliance to regulatory requirements.
The basis of successful safety management is the implementationof effective systems aimed principally at the prevention ofaccidents, ill-health and other forms of incidents which result inloss to an organisation. Such systems should identify the
standards to be maintained and systems for monitoring andmeasuring performance in the achievement of these standards.
5.1.2 Based on the aforementioned facts and insight obtained from various SafetyManagement Systems as applied by railways internationally, Spoornet optedaccept and to introduce a Safety Management System comprising thefollowing 25 core program elements:
1. Management Policy and Structure
1.1 Railway Safety Policy Statement
1.2 Safety Organisation1.3 Authorities, Responsibilities and Accountabilities1.4 Employee and Representative involvement1.5 Communication1.6 Safety Documentation1.7 Setting of Standards1.8 Safety Plan and Objectives
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1.9 Compliance with legal requirements1.10 Document and data control1.11 Engineering and Change Management1.12 Safety Performance Monitoring1.13 Safety Audits
1.14 SMS Review
2. Operations Risk Processes
2.1 Risk Assessment processes2.2 Risk Control Strategies2.3 Occurrence Management2.4 Occurrence reporting and recording, safety data collection and
safety performance analysis2.5 Occurrence Investigation2.6 Corrective Action Procedures
3. Human Factors Management
3.1 Human Safety Standards3.2 Safety Critical Work
4. Procurement of Material and Services
5. Technical and Operational System Safety
6. Interface Management
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Figure 1: Spoornets Integrated SMS Matrix
P
olicy
Organising
Planning
and
Implementation
MeasuringPerform
ance
MonitorandRe
view
1. Corporate Railway Safety Policy Statement
2. Safety Organisation
3. Authorities, Responsibilities & Accountabilities4. Employee and Representative Involvement
5. Communication
6. Safety Documentation
7. Setting of Standards
8. Safety Plan and Objectives
9. Compliance with legal requirements
10.Document and data control
11.Engineering and SMS change
12.Safety Performance Monitoring
13.Safety Audits
14.SMS Review15.Risk Assessment Processes
16.Risk Control Strategies
17.Occurrence Management
18.Occurrence reporting and recording, safetydata collection and safety performanceanalysis
19.Occurrence Investigation
20.Corrective Action Procedures
21.Human Safety Standards
22.Safety Critical Work
23.Procurements of Material and Services24.Technical and Operational System Safety
25.Interface Management
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Spoornets
SafetyManagement
System
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5.2 The Corporate Railway Safety Office (CRSO)
5.2.1 The study further revealed that compliance to internationally aligned railway
safety standards requires a dedicated Management effort and a designatedmanager to take responsibility to manage a Railway Safety ManagementSystem.
5.2.2 Australian Standard 4292.1 (paragraph 2) states the following:The Organisation shall nominate a manager who, irrespective of otherresponsibilities, shall have defined authority and responsibility for ensuring thatthe requirements of the standard are implemented and maintained
5.2.3 A Canadian document The development and implementation of RailwaySafety Management Systems states the following: The SMS should include
the identification of a Senior Manager with overall responsibility for monitoringand implementation of the SMS.
5.2.4 In alignment with international best practices regarding railway safety whichrequires a dedicated management effort to take responsibility to develop andmanage a railway safety management system, Spoornet approved theestablishment of a Corporate Railway Safety Office within Risk Managementto provide the custodianship for the SMS Standard to ensure:
That Spoornet produces and maintains railway safety processescovering procedures in accordance with the standard;
That Spoornets safety controls are effective and that the controland accuracy of safety related processes within the organisationare properly monitored; and
That such processes are effectively documented, implementedand managed.
5.2.5 The Corporate Railway Safety Office is structured to manage the followingkey performance areas of railway safety process management in Spoornet:
Railway Safety Strategy and Planning
Railway Safety Standards
Rail Safety Assurances Railway Safety Liaison
Railway Safety Audits
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5.2.6 Spoornet produced a RACI output matrix (Responsibilities,Accountabilities, Consultation and Information) to define the inter-
relationship between the CRSO and the line management functions,regarding safety management. Figure 2 illustrates the role and function of theCRSO, as custodian of the safety process with respect to linemanagement who is responsible for delivery of safe railway operations.
5.2.7 Figure 3 depicts the cascading of railway safety objectives and targetsas well as the roles and accountabilities of the CRSO and linemanagement as measured on the Balanced Scorecard of Spoornet.
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National
RSR
Railway Safety Act
Railway SafetyRegulations
Railway SafetyStandards
Risk Criteria
PerformanceTargets
IncidentInvestigation
Inspections
Audits
RSR
Set the nationalsafety framework
Overseeing safety
CRSO
Custodian for the SMS
Safety Strategy & Planning:
Safety Policy
Safety Plan Employee Involvement
Safety Performance datacollection and analysis
Authorities, Responsibilities,Accountabilities
Safety Standards:Human Safety StandardsTechnical and Operational Standards
Safety Assurances:
Risk Management Process
Risk Control Strategies
Accident/Incident reporting andanalysis
Document control
Safety Audit and Evaluation
Compliance Monitoring
Corrective action development
CRSO
Custodian of the SMS
Support to line management repolicies and procedures
Nodal point of entry to the RSR
Spoornet Entities:
Line Management
Accountable for safe railway operations
Standardization/Compliance
Figure 2CRSO: Corporate Governance of Railway Safety in Spoornet
NationalRequirements
Orex
Coallink
GFB
Shosholoza
Meyl
Luxrail
H/R
Standardization/Compliance
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Figure 3
Cascading of Railway Safety in Spoornet
CRSO(Custodianship for
Standards andPolicies of the
System)
ENTITIES(Process Ownership)
CEOSPOORNET
BALANCED SCORECARD:RAILWAY SAFETY
TARGETS ANDOBJECTIVES
Develop the operationalstandard
Manage safety operations Ensure Performance
Tracking
Corrective ActionDevelopment andImplementation
Review/Evaluation
Sets the Compliance
Standard, Policy andObjectives
Monitor
Audit the effectiveness ofthe system
Ensure Sound CorporateGovernance of Safety
Delegated Authority Delegated Authority
Continuous feedback in leading and supporting the process
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6. Conclusion
6.1 To date Government has not made a final decision on the restructuring ofTransnet. However, NDoT has proceeded with the development of arailway safety regulatory institution. The National Railway SafetyRegulatory Act (RSR Act 16 of 2002) was passed by both Houses ofParliament this year and was promulgated on 5 August 2002.
6.2 The newly established South African Railway Regulatory framework isbased on international best practices regarding railway safetymanagement in that:
The RSR Act is modeled on the lines of the Canadian legislator;
The supporting safety Regulations is a hybrid of Canadian,Australian and New Zealand applications, and
The draft South African Railway Safety Standard isbased on the Australian Standard AS 4292.2/6.
6.3 The Spoornet is in the process of project managing the development,implementation and monitoring its first-ever integrated SafetyManagement System to meet regulatory requirements.
6.4 Spoornet Executive Committee (Exco) established a Railway SafetyCommittee at Exco level with a defined mandate to oversee theeffectiveness of Spoornets railway safety organisation to sustain safe
railway operations and to ensure compliance to RSR Act 16 of 2002.(See Figure 4)
6.5 The Railway Safety Committee mandated the nomination of SMScoordinators in line management and the establishment of a RailwaySafety Management Systems Committee to coordinate the developmentand implementation of Spoornets Safety Management System.
6.6 The Corporate Railway Safety Office has taken up its corporateleadership role and has produced the following Corporate publications:
Annual Railway Safety Plan 2001/02. Annual Railway Safety Performance Report 2001/02.
Annual Railway Safety Plan 2003/04.
Draft Safety Management System Standard and Guideline.
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Figure 4Spoornets Railway Safety Organisation
SpoornetCEO
SpoornetExco
Railway SafetyCommittee (RSC)
GMLevel
GMLevel
GMLevel
EM EM EMEMEMEMEM
SM SM SMSMSMSMSMSM
SABSRRARSR
Chairperson RSC
Chairperson RSMSC
GM SpecialProjects and
EM: RiskManagement
CoordinatorCRSO Railway
SafetyManageSystemCommitt(RSMSC
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ANNEXURE 1
Acronyms
CRSO - Corporate Railway Safety Office
GFB - General Freight Business
EM - Executive Manager
H/R - Human Resources
NDoT - National Department of Transport
RACI - Responsibilities, Accountabilities, Consulting, Informing
RRA - Railroad Association
RSPM - Railway Safety Process Management
RSR - Railway Safety Regulator
SC - System Coordinator
SMS - Safety Management System
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ANNEXURE 2
Acknowledgements
1. Australian Standard AS 4292.2/6 1995/1997: [Herman: I think that itshould read AS 4292.1/6]Railway Safety Management
2. Transport Canada: A Guide On The Development and ImplementationOf Railway Safety Management Systems (February, 2000)
3. The Steering Committee: A process design for Railway Safety ProcessManagement in Spoornet (October, 2000)
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