1. 1 Railway Safety Regulator Strategic Plan 2008/09 – 2010/11 Presentation to the Portfolio Committee on Transport 11 March 2008

2. 2 STRATEGIC PLAN OUTLINE Foreword by Chairperson Strategy Overview and Key Developments Mandate, Vision and Mission Legislative Mandate Service Delivery Environment Strategic Priorities Budget Information Organisational Environment Planned Quality Improvement Measures Employment Equity Materiality and Significance Framework

3. Strategic Priorities Consolidate the Safety Regulatory Regime Consolidate the Safety Regulatory Regime Developing a sustainable safety compliance regime Developing a sustainable safety compliance regime Monitoring and evaluation of safety performance Monitoring and evaluation of safety performance Appropriate responses to key initiatives Appropriate responses to key initiatives Regional harmonisation of safety standards and international cooperation. Regional harmonisation of safety standards and international cooperation. Stakeholder partnerships to improve safety Stakeholder partnerships to improve safety Sustainable institutional capacity and management. Sustainable institutional capacity and management. 3

4. 4 Strengthening the Regulatory Framework Finalise the NRSR Amendment Bill. Finalise the NRSR Amendment Bill. March 2009 March 2009 Issue Safety Permits for new Permit Cycle Issue Safety Permits for new Permit Cycle March 2009 (200 permits issued). March 2009 (200 permits issued). Develop the following Regulations. Develop the following Regulations. Permit Fee Structure Regulations:September 2008 Permit Fee Structure Regulations:September 2008 Level Crossing Regulations:March 2009 Level Crossing Regulations:March 2009 Amended SMS Regulations:March 2009 Amended SMS Regulations:March 2009 Design, Construction and Design, Construction and Commissioning Regulations:March 2009 Issue Guidance Notices:March 2009 Issue Guidance Notices:March 2009

5. 5 Strengthening the Regulatory Framework Develop the following Standards. Develop the following Standards. Transportation of Dangerous Goods:March 2009 Transportation of Dangerous Goods:March 2009 SANS 3000-2-1 (General Technical):Sep 2008 SANS 3000-2-1 (General Technical):Sep 2008 SANS 3000-2-2 SANS 3000-2-2 (Track, Civil & Electrical)Sep 2008 SANS 3000-2-3 (Rolling Stock) Sep 2008 SANS 3000-2-3 (Rolling Stock) Sep 2008 SANS 3000-2-4 to 6 March 2010 SANS 3000-2-4 to 6 March 2010 SANS 3000-3 (Human Factors)March 2010 SANS 3000-3 (Human Factors)March 2010

6. 6 Develop a Sustainable Safety Compliance Regime. Safety Audits and Inspections. Safety Audits and Inspections. March 2009 March 2009 Conduct Safety Management System Audits conducted: Conduct Safety Management System Audits conducted: Conduct Technical Audits on Transnet Freight Rail’s Coal Link, Iron Ore and NATCOR lines Conduct Technical Audits on Transnet Freight Rail’s Coal Link, Iron Ore and NATCOR lines Conduct Ad-hoc Technical Inspections Conduct Ad-hoc Technical Inspections Conduct Adequacy Audits on the transportation of dangerous goods by rail. Conduct Adequacy Audits on the transportation of dangerous goods by rail. Conduct Safety Assessments on revitalised branchlines. Conduct Safety Assessments on revitalised branchlines.

7. 7 Develop a Sustainable Safety Compliance Regime. Passenger Rail Interventions Passenger Rail Interventions March 2010 March 2010 Targeted audits on rolling stock to ensure passenger safety Targeted audits on rolling stock to ensure passenger safety Conduct train control systems audits Conduct train control systems audits Monitor roll-out of capital investment programmes with specific emphasis on safety improvement Monitor roll-out of capital investment programmes with specific emphasis on safety improvement Conduct targeted infrastructure audits Conduct targeted infrastructure audits Compliance audits on Safety Management Systems implementation Compliance audits on Safety Management Systems implementation Monitor implementation of SARCC Safety Plan against set targets Monitor implementation of SARCC Safety Plan against set targets

8. 8 Develop a Sustainable Safety Compliance Regime. Passenger Rail Interventions Passenger Rail Interventions March 2010 March 2010 Develop appropriate platform design standards; Develop appropriate platform design standards; Support Government Security Regulator in development of security standards for railways; Support Government Security Regulator in development of security standards for railways; Address railway security through National Rail Crime Combating Forum Address railway security through National Rail Crime Combating Forum

9. 9 Monitoring and Evaluation of Safety Performance. Conduct Occurrence Investigations. Conduct Occurrence Investigations. March 2009 March 2009 Analysis of safety performance trends measured against operator safety plans. Analysis of safety performance trends measured against operator safety plans. March 2009 March 2009 Evaluation and Assessment of New Works Evaluation and Assessment of New Works March 2009 March 2009 Develop and Publish the Annual Railway State of Safety Report Develop and Publish the Annual Railway State of Safety Report March 2009. March 2009.

10. 10 Appropriate Responses to key Initiatives. Gautrain Rapid Rail Project. Gautrain Rapid Rail Project. Issue Construction and Testing Permits:March 2009 Issue Construction and Testing Permits:March 2009 Conduct reviews/asessments of Gautrain standards:March 2009 Conduct reviews/asessments of Gautrain standards:March 2009 Accept internationally developed Gautrain standards:March 2009 Accept internationally developed Gautrain standards:March 2009 Issue Safety Permit for Gautrain:March 2010 Issue Safety Permit for Gautrain:March 2010 Undertake technical assessments and reviews on New Rail Works including ensuring the undertaking of line quality assessments on revitalised branch-lines. Undertake technical assessments and reviews on New Rail Works including ensuring the undertaking of line quality assessments on revitalised branch-lines. March 2009 March 2009 Undertake reviews and assessments on operational and technological modifications by TFR and SARCC. Undertake reviews and assessments on operational and technological modifications by TFR and SARCC. March 2009 March 2009

11. 11 Appropriate Responses to key Initiatives. 2010 FIFA WORLD CUP TM 2010 FIFA WORLD CUP TM Ensure development of relevant standards and regulations’ Ensure development of relevant standards and regulations’ Improve Inspectorate capacity to improve response times to incidents, conduct regular audits and inspections March 2010 Improve Inspectorate capacity to improve response times to incidents, conduct regular audits and inspections March 2010 Collaborate with and analyse lessons learnt by institutions with similar mandates to RSR in countries that have hosted the FIFA World Cup TM March 2010 Collaborate with and analyse lessons learnt by institutions with similar mandates to RSR in countries that have hosted the FIFA World Cup TM March 2010 Ensure operators augment their Safety Management Systems by incorporating detailed action plans to step up safety management during the staging of the FIFA World Cup TM March 2010 Ensure operators augment their Safety Management Systems by incorporating detailed action plans to step up safety management during the staging of the FIFA World Cup TM March 2010 Closer collaboration with law enforcement agencies to synergise approaches & standards to safety & security in the railways March 2009 Closer collaboration with law enforcement agencies to synergise approaches & standards to safety & security in the railways March 2009

12. 12 Regional Harmonisation of Railway Safety Standards and International Co-operation. Advance the following projects @ the Southern African Railways Association. Advance the following projects @ the Southern African Railways Association. Regional Standards for Interoperability: March 2010 Regional Standards for Interoperability: March 2010 SADC Manual for the Transportation of Dangerous Goods by Rail: March 2011 SADC Manual for the Transportation of Dangerous Goods by Rail: March 2011 Regional Railway Safety Policy: March 2010 Regional Railway Safety Policy: March 2010 Co-operate with international bodies on research, benchmarking and capacity development. Co-operate with international bodies on research, benchmarking and capacity development. March 2009 March 2009

13. 13 Consolidate Stakeholder partnerships to improve safety. Cooperative Agreements with relevant state entities. Cooperative Agreements with relevant state entities. Department of Minerals and Energy:March 2009 Department of Minerals and Energy:March 2009 Disaster Management Center:March 2010 Disaster Management Center:March 2010 Effect current cooperative agreements through Standard Effect current cooperative agreements through Standard Operating Procedures:March 2009 Conduct Public Awareness Programmes in collaboration with major operators and key stakeholders. Conduct Public Awareness Programmes in collaboration with major operators and key stakeholders. March 2009 March 2009 Active Participation in the National Railway Crime Combating Forum Active Participation in the National Railway Crime Combating Forum March 2009. March 2009.

14. 14 Sustainable Institutional Capacity and Management. Sound Organisational Management. Sound Organisational Management. Review Organisational policies (HR, Finance and Supply Chain) March 2009 Review Organisational policies (HR, Finance and Supply Chain) March 2009 Develop Organisation-wide Risk Profile March 2009 Develop Organisation-wide Risk Profile March 2009 Review and refine institutional corporate governance instruments March 2009 Review and refine institutional corporate governance instruments March 2009 Undertake Capacity Development Programmes March 2009 Undertake Capacity Development Programmes March 2009 Implement the Master Systems Plan: March 2009 Implement the Master Systems Plan: March 2009 Implement the Performance Management System March 2009 Implement the Performance Management System March 2009 Develop NIMS (subject to financial support by operators) Develop NIMS (subject to financial support by operators) Organisational sustainability Organisational sustainability Implement Permit Fee Model April 2008 Implement Permit Fee Model April 2008 Revenue Generation Plan (To be implemented once the RSR Act Revenue Generation Plan (To be implemented once the RSR Act has been amended) March 2009

15. 15 Consolidate Stakeholder partnerships to improve safety. Cooperative Agreements with relevant state entities. Cooperative Agreements with relevant state entities. Department of Minerals and Energy:March 2009 Department of Minerals and Energy:March 2009 Disaster Management Center:March 2010 Disaster Management Center:March 2010 Effect current cooperative agreements through Standard Effect current cooperative agreements through Standard Operating Procedures: March 2009 Conduct Public Awareness Programmes in collaboration with major operators and key stakeholders. Conduct Public Awareness Programmes in collaboration with major operators and key stakeholders. March 2009 March 2009 Active Participation in the National Railway Crime Combating Forum Active Participation in the National Railway Crime Combating Forum March 2009. March 2009.

16. 16 SUMMARY OF REVENUE FOR THE MTEF 2008/09 TO 2010/11 2008/092009/102010/11 R’ thousand R’ thousand Baseline Allocation 33,361 33,36134,52330,994 Projected Interest 200210190 Safety Permit Processing Fees 4,0004,0004,000 TOTAL REVENUE 37,561 37,56138,733 35,184 35,184

17. 17 REQUESTED ADJUSTMENT TO BASELINE FOR 2008/09 TO 2010/11 2008/092009/102010/11 R’ thousand R’ thousand Baseline Allocation 85,91782,04090,780 TOTAL REVENUE 85,917 85,91782,04090,780

18. 18 ALLOCATION PER DEPARTMENT (actual figures)

19. ALLOCATION PER DEPARTMENT (percentage spread) 19

20. 20 ALLOCATION PER ECONOMIC CLASSIFICATION

21. Impact of Budgetary Constraints Current baseline allocation inadequate Current baseline allocation inadequate resulting in number of projects to depend on joint funding with operators, e.g. NIMS, Standards resulting in number of projects to depend on joint funding with operators, e.g. NIMS, Standards RSR is unable to increase the number of inspectors RSR is unable to increase the number of inspectors Capacity to undertake extensive audit and inspection drive severely restricted, hence focus on targeted audits Capacity to undertake extensive audit and inspection drive severely restricted, hence focus on targeted audits Ability to undertake occurrence investigations severely limited Ability to undertake occurrence investigations severely limited Capacity to urgently finalise regulatory framework in terms of regulations and standard is limited Capacity to urgently finalise regulatory framework in terms of regulations and standard is limited Inability to make decisive interventions in respect of non-compliance Inability to make decisive interventions in respect of non-compliance There is a need to revisit the MTEF baseline allocation to enable RSR to fulfil its mandate There is a need to revisit the MTEF baseline allocation to enable RSR to fulfil its mandate 21