annual performance plan 2018/2019 - pmg · dr nz qunta date: 26/02/2018 official sign-off it is...

1 RSR Annual Performance Plan 2018/2019

ANNUAL PERFORMANCE PLAN2018/2019


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


__________________________

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.


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


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


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


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


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


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)


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


• 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.


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


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.


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.


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


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


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


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


• 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


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.


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


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


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


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


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


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


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


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


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

1st

2nd

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)

1st

2nd

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


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

annual performance plan 2018/2019 - pmg · dr nz qunta date: 26/02/2018 official sign-off it is...

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