rta metro and railways certifications

Safe and Smooth Transport for all

تنقل آمن و سهل للجميع

Lessons Learned from the

Railway Certification / Accident

Investigation Model Adopted by the Dubai RTA

Eur. Ing. Amair Saleem

Carl Wilson

Safety, Risk, Regulation and Planning Department (SRRPD)

Strategy and Corporate Governance (SCG) Sector

Roads and Transport Authority (RTA)

22nd October 2014

SCG/SRP/PRE/30142/REG Rev 1.00



Contents

1. Best Practice

2. Regulation Development

3. Accident Investigation:

Lessons Learned



1. Best Practice



Best Practice: Concept

Certification

• Control Risks Pre-Operation

Regulation

• Control Risks Post-Operation

Safe Railway



Best Practice Approach: Integration



Best Practice: Standard

The “V” Representation from EN50126

Concept

1

System Definition &

Application Conditions

2

Risk Analysis

3

System Requirements

4

Apportionment of System

Requirements

5

Design and

Implementation

6

Manufacture

7

Installation

8

System Validation

(incl. Safety Acceptance and

Commissioning)

9

Trial Operation &

System Acceptance

10

Operation and

Maintenance

11

Decommissioning

And Disposal

14

Modification and

Retrofit

13

Performance

Monitoring

12

Delivery Safety Certificate

(Engineering Safety Case)

Operational Safety Certificate

(Operation Safety Case)

Evaluate Risks / Hazards

Design / Build to Standards

Evaluate Risks / Hazards

Design / Build to Standards



Best Practice: Safety Case

Step 1: Operator Pre-Qualification (competent and

credible)

• No Objection to Trading Licence (Railway Supervisory Authority)

Step 2: Physical Assets “fit for

purpose”

• Department of Civil Defence Approves all Facilities

• Delivery Safety Certificate Issued To Owner (Railway Safety Regulation Authority)

Step 3: Operator’s Safety Management System “acceptable”

• Operation Safety Certificate Issued To Operator (Railway Safety Regulation Authority)



Best Practice: Delivery

Project Check

Owner Check

Final Check The Regulator Delivery Safety

Certificate

Traffic and Roads Agency (inc. ITS -

Intelligent Transport Systems)

The Rail Agency Delivery Safety

Certificate Application

The Consultant Taking Over Certificate

Independent Safety Assessor

Approval

Contractor Engineering Safety

Case

Dubai Civil Defence (Fire Life

Safety Certificates)



Best Practice: Operations

Project Check

Operations Check

Final Check The Regulator

Operations Safety Certificate

Traffic and Roads Agency (inc. ITS -

Intelligent Transport Systems

The Operator Operations Safety

Certificate Application

Operational Readiness / Trial Running Results

Independent Safety Assessor

Approval

Operations Safety Case

Dubai Police / Emergency

Services Integration Group



Best Practice: Safety Regulation Authority

Perform safety due diligence on behalf of the State.

Does not follow nor is limited by any contract or stakeholder vested interest.

Takes into account safety arguments of all Parties (Contractor / Consultant / Owner / Operator / ISA) for full safety system overview.

Makes final check to “certify” railway prior to operational service.

Provides on-going Regulation to ensure provisions of Safety Certificates are maintained.

To incentivize and facilitate continuous safety innovation / improvement.



2. Regulation Development



Rail-Tram Legislation “Big Picture”

Agencies

RTA

The Executive Council

Ruler’s Court Federal Traffic Law 17

Tram Resolution 1(2014)

Administrative Decision (2014)

Traffic Control Devices Manual

(TRA)

Drivers Handbook (LA)

Tram ROW Code of Practice (RA)

Addendum

Rail Regulation 5(2009) & Unified Fare Reg. 3 (2009)

Administrative Decision 68(2010)

Rail ROW Code of Practice

Federal Traffic Law



Dubai Railway Regulation No. 5/2009

RTA

Planning, development, certification, regulation and accident investigation for all surface transport networks

and systems

Railway Supervisory Authority (Rail Agency)

Approving planning, development and use of

railways in Dubai.

Specifying performance and technical requirements and standards for railways in the

Emirate of Dubai.

Protecting Rail Right Of Way

Railway Safety Regulation Authority (Safety, Risk

Regulation and Planning Department)

Issue of Delivery Safety Certificates for new or

modified Railway Infrastructure and Vehicles

Issue of Operation Safety Certificates to permit the

operation of railways

Investigate Accidents, Inspect & Monitor Safety.



Dubai Tram Law: Regulation No 1(2014)

Safety Hazards / Issues?

How should these be controlled?

What does the Law currently

say?

Requirements addressed

anywhere else?

What are the Gaps?



Hazards to Tram from Third Parties

Gaps Law Measure Hazard

3rd Party

Tram has Priority

Traffic Laws

Fines & Penalties

Traffic & Licencing Laws

Road Signals, Markings,

Signage Traffic Laws

Awareness / Insurance

ROW NoC Reg 5(2009)

Driver Licencing

Licencing Law

Define ROW

3rd Party

Insurance

Priority for

Blue Light

Services

Priority for

Blind/

Disabled

Accident /

Incident

Response

Awareness

Campaign

Collisions

Adjacent

Works

Service

Disruption

Fire

Suicide

Vandalism

Tram has

no Priority



Key Tram Law - Principles

Regulation will apply to Dubai and Free Zones

Defines ‘Tram’, ‘Tram Right of Way’, & ‘Shared Spaces’

Tram a ‘Vehicle’ under Federal Law

Tram Driver Licensing and Tram Vehicle Identification

Duties on Owner, Operator, and Maintainer

Defines Tram ROW as a Special Lane

Tram has priority and obstructing Tram ROW is an offence



Example: Tram Priority

Priority to Police Vehicles, Ambulances, other Emergency Vehicles and Military convoys

Tram drivers to stop when asked by the Police and follow Police’s directions

Police intervene where traffic signals fail and direct all road users in shared spaces

Offence to obstruct / block Tram ROW

Tram operator and maintainer to have unobstructed access to Tram ROW

NOC system for restricted works in the vicinity of Tram ROW



Example: New Offences and Fines

Obstructing the Tram ROW

Entering areas on the Tram system marked as prohibited or fenced off

Crossing the Tram ROW other than where permitted

Police to enforce breaches



Accident Investigation

Reporting of Accidents and Incidents by

Operator

Securing The Site And Protecting

Evidence

Accident Investigations by

Inspectors

Identifying root causes and weaknesses

Investigation Reports

Established

Does not apportion blame

or liability



Inspector Powers

General Inspection & Investigation Powers

• For Safety Regulation Inspectors

• To support Certification, Regulation and Accident Investigation

Powers to:

• Enter Premises

• Direct others

• Secure a Site (e.g. of Accident)

• Seize & Secure Evidence

• Issue Improvement & Prohibition Notices



3. Accident Investigation: Lessons Learned



Example: Transport Infrastructure

Disruption and Impact

Part of Integrated National Infra-

structure

Fundamental to Communication

Fundamental to Commerce

Can have Major Public Safety

Consequences

Can cause Major Service Disruption

to National Services

National Reputation



Accident Cost

Visible and Hidden Investigation

Medical costs

Damage to equipment

Legal costs

Administration Time

Productivity loss

Revenue loss

Replacement of staff

Clean up

Business interruption

Loss of contracts

Reputational damage

Public claims



Rail Systems: Accident Causes

ACCIDENT

Systems

Others e.g

Software Operations

Human Factors



Human Factors

Communications – language, clarity and diction

Training, assessment, competence and re-training and quality of ongoing assessments

Lifestyle

Risk tolerance



Systems

Complexity of the system

Reliability of the system

Safety systems

Maintenance and availability of ‘Engineering hours’.

Novelty/uniqueness of the system

System modifications

Aging of the system

Availability of spares

Climatic issues



Operations

Document quality and control

Lack of fundamental understanding of the design performance of equipment or systems

Passenger behavior

Novelty of the system (passenger learning curve)

Passenger behavior

Increase in passenger numbers

Timetable/headway changes

Rail/road traffic interaction

Passenger, road and pedestrian awareness (particularly with the reference to the tram)

Special events



Other Factors

Understanding of fundamental root cause analysis

Risk assessment procedures and realistic mitigation processes

Software

Etc.



Summary: Accident Investigation

Accidents will happen with Mobile Infrastructure

Accidents must be investigated to prevent recurrence and implement lessons learned

• Selection of evidence (perishable and vulnerable)

• Preservation of evidence

• Continuity of evidence

• Quality of an investigation

Responsible Parties must be held accountable

Regulations are fundamental to ensure powers for investigation and evidence gathering, above any contract requirements

Accident Investigation should be integrated into larger Corporate Risk Management picture



Questions?

rta metro and railways certifications

Engineering

safety acceptance

smooth transport

safety casestep

monitor safety

safety system overview

life safety certificates

safety hazards issues

account safety arguments