1. Railway Safety Regulatory Function
A Scoping Study
The Inception Report - December 2012

2. Background
The Indonesian economy is projected to grow
positively (6-7% pa) in the foreseeable future
Road constitutes the predominant transport mode
(90%) – this imposes an impediment to growth
Rail transport provides less than 10% - significant and
likely potential for improvement
The Railway Law and other regulations provide the
foundation for this modal shift to occur
Indonesia’s railways are deteriorating and require
reinvestment and greater regulation to provide safe
and efficient operations
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3. Background
The Railway Law removes the present monopoly and
provides for private investment
National Railway Master Plan 2030 –
12,000 km inter-urban tracks,
3,660 km urban rails in 12 cities,
4,800 locomotives,
67,615 inter-urban railcars, and
6,016 urban railcars
Railway safety is seen to be lagging and a
comprehensive rail safety regime and regulatory
function is lacking
It is proposed that Indonesia contemplate a long-term
vision for rail safety within this changing context and
implement a consistent safety management regime
and regulatory function.
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4. Objective of the Scoping Study
Proposed to establish the role and function of a
Rail Safety Regulator within the Directorate of
Railway Safety – Directorate General of Railway –
Ministry of Transport, tasked with –
1. Ensuring safe and efficient rail operations,
through
2. The development of an effective Railway
Safety Regime.
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5. Railway Regulatory Regime
The Railway Law No. 23/2007
19 Chapters, 218 Articles,
and requires 28 Government Regulations
Government Regulation No. 56/2009 Government Regulation No. 72/2009
10 Chapters, 406 Articles, and 10 Chapters, 188 Articles, and
elucidation by 39 MoT Regulations elucidation by 40 MoT Regulations
Presidential 41 Minister of Transport
Regulation No. Regulations have been
53/2012 on issued so far
PSO-IMO-TAC
The substances of the 2 GRS (with 594 articles all together) have probably covered a
majority of covenants mandated by the Law (with reference to the above 28 GRs)
No stipulation on Safety Management System and Safety Regulatory Function
Effective implementation of the covenants would probably sufficient enough by
now for laying the platform for a Rail Safety Management System and its associated
Railway Safety Regulatory Function to be working
These two streams – Safety Management and Regulatory Function – will serve the
safe railway operation and provide a more certain railway business environment.
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6. The Proposed Structure
An enhanced function of portfolios within the DGR portfolio
current organization of DGR/DRS to ensure that delegated to
Railway Safety Guideline of the making of RSMS is fully DRS
Regulatory complied with and its implementation is
Function appropriately and effectively implemented. The
RSRF end goal is to ascertain that much safer railway
operation can be achieved.
A guideline contains all the necessary Across the
requirements , standards, models, and DRS sub-
Guidance on operation manual of Railway Safety directorates
Railway Safety Management System. Such guideline must be
Management based on the current legal and regulatory
System frameworks of railway safety and related safety
G-RSMS operation manual
The RSMS would serve the railway sector in PT KAI and
ensuring a much safer rail operation in the other
Railway Safety country. It will serve both the existing and future forthcoming
Management railway systems and will apply to both passenger new
System and freight rail services. operators
RSMS
6

7. RSMS in the making
Directorate Guideline on
General of MOU DGR & ARA Railway Safety
Railway Management
System
MOU KAI & ARA Railway Safety
PT Kereta Api Management
Indonesia System
These two streams of activities are now proceeding in the same time. It is
presumed that the two streams have conversations and communication one
to another and that in the end they will merge as “two in one” concept that is
workable, effective, and able to deliver a safer railway operation.
But when it comes to safety, it is a public concern at large and whatever the
concept is, there is a need for public awareness, information, and participation.
Government and SOEs alike is to be more communicative with the society and
the users
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8. Roles and Function of the
Rail Safety Regulator
Railway Safety Management System (RSMS) can be defined as a formal framework for integrating safety into day-to-day railway
operations and includes safety goals and performance targets, risk assessments, responsibilities and authorities, rules and
procedures, and monitoring and evaluation processes. The objectives of the SMS regulations are to ensure that safety is given
management time and corporate resources and that it is subject to performance measurement and monitoring on par with corporate
financial and production goals.
Railway Safety Management System Guide February 2001 (TP 13548). Rail Safety, Transport Canada.
http://www.tc.gc.ca/media/documents/railsafety/smsguide.pdf
8

9. Learning from Australia
The Government
Inter Governmental Federal Government + 7 State
Agreement Governments
Harmonized National Ministries of Transport
Legislation Federal Government + 7 State
Governments
National Rail Safety Regulator Independent National Rail
Safety Investigator
The Railway Industry
Rail Safety Management Accident
Infrastructure, Owners, Operators,
System, Audit & Compliance, Investigation
Manufacturers, Service providers, suppliers
Accreditation, Licensing
and vendors
Australasian Railway Industry Fees
Association (ARA)
Rail Industry Safety and Funding 50% by industry, 50% by
Standard Board (RISSB) government
Australia’s Rail Safety Regulatory Function
Source: ARA, 2011
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10. Learning from other
Regulated Railways
What Indonesia can learn from other Regulated
Railways – what down-falls to avoid
Lessons learned from railways and rail industries
similar to Indonesia – hence, a mix of Heavy Haul,
Freight, and Passenger Railways
The Final Report will include a comparative review
of other Regimes, and other similar rail industries
We agree that Indonesia cannot simply adopt
another regime – it must be developed to suit the
Indonesia rail industry
Indonesia should look to take on the best – and
most appropriate aspects and elements – from
other relevant rail regimes
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11. Learning from Australia
Policy & Legislation
Support
Corporate
Services
Legal
Adviser
Accreditation &
Audit
Safety Rail Safety
Intelligence Regulatory Compliance
Function Inspection
Safety Advice & Compliance
Safety Promotion Investigation
Communication & Regulatory
Public Relation Response
Experts & Specialist
Support
Essential Functions of Rail Safety Regulatory Function
Source: ITSR, NSW, 2011 slightly modified for Indonesia
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12. The Essential Functions
No. Functions Task Performed
Policy & Legislation Policy development, regulatory framework, Consultation with legislators + the railway
1.
Support industry on safety regulation, consultation with DGR and DRS
Legal advice with respect to interpretation of legislation, rules of evidence, and
2. Legal Adviser
prosecution
Capture rail safety and operational data, develop and maintain database, and technology
3. Safety Intelligence related to rail safety, undertake trend analysis, risk analysis, liaise with other rail
regulators on benchmarking
Safety Advice & Publication, guidelines, forums, papers, workshops, and other promotion actions on
4.
Promotion railway safety
5. Corporate Services Performance measurement, reporting, knowledge management, human resources, ITC
Accreditation & Initiate Accreditation for Rail Managers and Operators, audit of suitability of proposed Rail
6.
Audit Safety Management System
Compliance Audit and compliance of Accredited Railway Managers and Operators to their Approved
7.
Inspection Safety Management Systems, inspection
Compliance Accident + Near Miss + Benchmark investigation, more detailed investigation on matters
8.
Investigation arising from a Compliance Inspection
Expert & Specialist Support to the rail industry on the impact of proposed change, and to consider on-going
9.
Support best-practice development of the Indonesian Rail industry
Formal response to Accredited Railway Managers and Operators, accreditation actions,
Regulatory
10. penalty system, variation, suspension, and cancellation, prosecution, prohibition, and
Response
improvement of accreditation
Communication with Accredited Railway Managers and Operators, consultation with
Communication & stakeholders affected by adjacent railway operations, media contact, media liaison
11.
Public Relation through railway safety statistics and advice, consultation with the public on changes to
Railway Management and Operations
12

13. Enhanced DRS Functions
DRS Sub
Current Functions Proposed Function
Directorate
1. Compliance audits on rail infrastructure and rolling
1. Compliance audits on rail stock including procurement, development,
infrastructure and rolling stock operation, and maintenance
including procurement, 2. Compliance audits on railway operation
development, operation, and 3. Consistency of Railway Safety goals and objectives
maintenance 4. Coordination of efforts to improve railway safety
2. Compliance audits on railway (for example, at crossings)
Safety Audit &
operation 5. Shared/common specialist technical support in rail
Improvement
3. Consistency of Railway Safety engineering, asset management, and human
goals and objectives system to enhance safety audit and safety
4. Coordination of efforts to improve improvement
railway safety (for example, at 6. Shared/common purpose through promotion and
crossings) by publishing papers, guidelines, conducting safety
forums and workshops, and other necessary
publications
1. Accident analysis, accident
1. Development and benchmarking of the Data Base,
reporting, and coordination with
technology, trend analysis, and risk exposure
related parties on rail safety and
analysis
Accident rail accident analysis
2. Accident analysis, accident report, and
Analysis & 2. Identification of accident and
coordination with related parties on rail safety and
Management disaster prone areas – “root cause
rail accident analysis
analysis”
3. Identification of accident and disaster prone areas
3. Ensuring the consistency of the
4. Developing emergency response system
emergency response regime
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14. Enhanced DRS Functions
DRS Sub Directorate Current Functions Proposed Function
1. Accreditation/Certification of
testers, auditors, inspectors, train 1. Accreditation/Certification of testers, auditors,
drivers, rail infrastructure operators, inspectors, train drivers, rail infrastructure
rolling stock and infrastructure operators, rolling stock and infrastructure
examiners, and maintenance officers examiners, and maintenance officers
Institutional 2. Accrediting legal entities or testing 2. Accrediting legal entities or testing agencies and
Accreditation & agencies and railway education railway education institutions
Certification institutions 3. Arranging formation plan of human resources of
3. Arranging formation plan of human testing agencies
resources of testing agencies 4. Technical training and refreshment courses for
4. Technical training and refreshment regulator, testers, inspectors, and auditors
courses for regulator, testers, 5. Technical training for railway accident investigators
inspectors, and auditors
1. Legislative advice, provision of evidence, and
support to prosecutors
2. Ensuring compliance with passenger/trespasser
1. Technical training for railway
safety on or about rolling stock
investigators
3. Ensuring compliance with buildings and structures
2. Controlling passengers in driver
which might have an adverse impact upon rail
cabin, on-top of train roof, and
safety
locomotives
4. Investigation of violation of the Railway Law and
Legislative 3. Controlling illegal building and other
coordination with related parties to secure law
Enforcement obstacles interfering with train
enforcement
visibility
5. Developing a “whole of industry” role in support of
4. Investigation of violation of the
infrastructure owners and operator in the safe
Railway Law and coordination with
provision of rail services - performance
related parties to secure law
measurement, knowledge management, etc
enforcement
6. Developing a dialogue with the media for
community development and public relation
undertakings
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15. Final configuration
Railway Safety
The Directorate of
Regulatory
Railway Safety Function
PT KAI PT KCJ Other
Operators Operators
Railway Safety
The System Management System
Both the RSRF and RSMS must be effectively in operation for safe
railway operation. But the systems do not replace the current
railway regulations. Violation against the good conducts of
railway safety could be examined by the DRS and
recommendations are conveyed to the DGR /MOT as the ultimate
regulator
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16. Short-Term Next Steps
Scoping Initiation
2012 2013 2014
Review laws, regulations, institutions, and programs of

railway safety in Indonesia
Development and submission of Railway Safety

Regulation Report
Consultation with Director of Railway Safety, MOT and

PT KAI
Development/Adoption of Model Railway Safety
Management System and Regime - Ongoing consultation
with ARA
Commence development of National Railway Safety
Master Plan to contemplate the enhanced role of the
RSR Indonesia
Identify resources and training necessary to provide the
enhanced Functions of the RSR (Indonesia) under the
National Rail Safety Master Plan
Identify Performance Targets for the RSR (Indonesia) for
inclusion in the Draft National Rail Safety Master Plan
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17. Longer-Term Steps
Scoping Initiation Implementation
2012 2013 2014 2015 2016 2017 2018 2019
Enactment of the National Railway Safety Master
Plan and the responsibility of the RSR Indonesia
Appointment of Resources to provide functions of the
enhanced role of the RSR (Indonesia) under the
National Railway Safety Master Plan
Establishment of formalised Rail Standards Regime
Initiate Liaison/Benchmarking with other Rail Safety
Regulators
The Rail Safety Regulator (Indonesia) delegated under
the provisions of the National Rail Safety Master
Accreditation Regime for Rail Managers and
Operators put in place under the Rail Safety Regulator
First Compliance Audits by the Rail Safety Regulator
(Indonesia)
First Annual Report by the Rail Safety Regulator
(Indonesia) - reporting against defined Performance
Independent Review of the Role and Effectiveness of
the RSR Regime
Ongoing Development of Rail Safety Regime
Ongoing Consultation with MOT and Railway
Managers and Operators
17

18. National Railway
Safety Master Plan
Scoping Initiation Implementation
2012 2013 2014 2015 2016 2017 2018 2019
Development/Adoption of Model Railway Safety Management System and
Regime - Ongoing consultation with ARA
Commence development of National Railway Safety Master Plan to
contemplate the enhanced role of the RSR Indonesia
Development of the ARA’s Model Railway Safety
Management System provides an excellent foundation
We acknowledge that this MOU extends until 2014
Alongside this activity we propose to commence
development of the National Railway Safety Master
Plan
Consistent with the strategy adopted for the
National Road Safety Master Plan 2011-2035
Proposed to commence this in 2013,
Seeking input and consultation with Director of
Railway Safety, MOT and PT KAI
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19. National Railway
Safety Master Plan
Scoping Initiation Implementation
2012 2013 2014 2015 2016 2017 2018 2019
Identify resources and training necessary to provide the enhanced Functions
of the RSR (Indonesia) under the National Rail Safety Master Plan
Identify Performance Targets for the RSR (Indonesia) for inclusion in the Draft
National Rail Safety Master Plan
Submit National Railway Safety Master Plan and the responsibility of the RSR
Indonesia to Director of Railway Safety, MOT
Development of the National Railway Safety Master
Plan would subsequently lead to –
A study to identify the resources and training
necessary to fulfill the enhanced Functions and
Role of the Rail Safety Regulator (Indonesia)
Identification of the Performance Targets which
the RSR Indonesia would be tasked to meet
With the National Railway Safety Master Plan
subsequently better defined and scoped, the Plan
would be submitted to the Director of Railway Safety,
MOT
19

20. National Railway
Safety Master Plan
Scoping Initiation Implementation
2012 2013 2014 2015 2016 2017 2018 2019
Appointment of Resources to provide functions of the enhanced role of the
RSR (Indonesia) under the National Railway Safety Master Plan
Establishment of formalised Rail Standards Regime
Initiate Liaison/Benchmarking with other Rail Safety Regulators
The Rail Safety Regulator (Indonesia) delegated under the provisions of the
National Rail Safety Master Plan
This would lead to appointment of resources under the
National Railway Safety Master Plan who would be
tasked to –
Establish and maintain the formalised Rail
Standards Regime,
Undertake “Base Case” audits
Initiate benchmarking with other Rail Safety
Regulators based upon statistical and accident data
which has been captured and analysed
The Role of the Rail Safety Regulator (Indonesia) would
be appointed under the provisions of the National
Railway Safety Master Plan 20

21. National Railway
Safety Master Plan
Scoping Initiation Implementation
2012 2013 2014 2015 2016 2017 2018 2019
Accreditation Regime for Rail Managers and Operators put in place under the
Rail Safety Regulator (Indonesia)
First Compliance Audits by the Rail Safety Regulator (Indonesia)
First Annual Report by the Rail Safety Regulator (Indonesia) - reporting
against defined Performance Targets
Independent Review of the Role and Effectiveness of the RSR Regime
A target might be to have an enhanced Accreditation
Regime in place 2016 to 2018
With the first Compliance Audits by the Rail Safety
Regulator in 2018
And the first Annual Report by the Rail Safety
Regulator (Indonesia) in 2018
It might be that the National Railway Safety Master
Plan would contemplate Independent Review of the
effectiveness of the Rail Safety Regulator (Indonesia)
in 2019
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22. Terima Kasih
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