The Railways (Safety Management)

Gn. No. 404 (Contd.)

GOVERNMENT NOTICE NO. 404 Published on 10-8-2018

THE RAILWAYS (SAFETY MANAGEMENT) REGULATIONS, 2018

ARRANGEMENT OF REGULATIONS

Regulation Title

PART I
PRELIMINARY PROVISIONS

1. Citation.
2. Interpretation.

PART II
RAILWAY SAFETY MANAGEMENT SYSTEM

3. Components of Safety Management System.

4. Processes of Safety Management System.
5. Submissions of safety management system to Regulator.
6. Safety performance assessment.
7. Periodical Reporting Requirements.
8. Revision of Safety Management System.
9. Index and Contents.
10. Appointment of Officer In-charge of Safety.
11. Safety policy and annual review.
12. List of instruments.
13. Procedure for updating list of instruments.
14. Procedure for reporting occurrences.
15. Analyses and procedure.
16. Procedure, plan and methods for risk identification.
17. Risk assessment.
18. Remedial action, evaluation and implementation.
19. Targets and initiatives.
20. Internal reporting.
21. Principles and methods of managing fatigue.
22. Monitoring, implementation and reporting.
23. Scope of audit and plan.
24. Approval of action plan.
25. Review, analysis and evaluation.
26. Specified documents.

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PART III
OFFENCES AND PENALTIES

27. Offences and penalties.

28. Compound of offences.

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GOVERNMENT NOTICE NO. 402 Published on 10-8-2018

THE RAILWAYS ACT

(ACT NO.10, 2017)
__________

REGULATIONS
__________

(Made under section 95)

__________

THE RAILWAYS (SAFETY MANAGEMENT) REGULATIONS, 2018

PART I
PRELIMINARY PROVISIONS

Citation 1. These Regulations may be cited as the Railways

(Safety Management) Regulations, 2018.

Interpretation 2.-(1) In these Regulations, unless the context otherwise

requires:
“accident” means an unwanted or unintended sudden event or
specific chain of events which have harmful
consequences to railway operations;
Act No. 10 of 2017 “Act” means The Railways Act;
“Corporation” means the Tanzania Railways Corporation
established under section 4 of the Act;
“death” means death that has recently occured from the accident
if it occurs instantaneously or as a result of an injury
arising from the accident upon proof by qualified
medical practitioner;
“Director General” means the Chief Executive Officer of the
Corporation appointed under section 20 of the Act;
“human factors” means applying human psychological, social,
physical and biological characteristics in the design,
operation or use of products or systems;
“Minister” means the Minister responsible for railways;
“occurrence” means an accident or incident that is reportable
under these regulations;
“rail transport services” means a service for the transport of
freight, passengers or both by rail;

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“safety initiative” means a proposed plan, project or course of

action designed to achieve a specific safety target;
“safety management system” means a comprehensive
management system designed to manage safety elements
in the work place;
“safety plan” means a document prepared by the Corporation
describing the components of its safety management
system;
“serious accident” means an accident which has an obvious
impact on railway safety and includes such an accident
that results in-
(a) the death of a person;
(b) serious injuries to one or more persons;
(c) extensive damage to rolling stock, the infrastructure or
the environment;
(d) extensive damage or loss of cargo; or
(e) interruption of communication for more than twenty
four hours; and
“train” means a locomotive with a vehicle attached or a light
locomotive or motor trolleys which is designated as a
train.

PART II
RAILWAY SAFETY MANAGEMENT SYSTEM

Components of 3. The Corporation shall implement and maintain a

safety management
system safety management system that includes the following
components:
(a) the Corporation safety policy, annual safety
performance targets and the associated safety
initiatives to achieve the targets approved by the
Director General and communicated to employees;
(b) clear authorities, responsibilities and
accountabilities for safety at all levels in the
Corporation;
(c) a system for involving employees and their
representatives in the development and
implementation of the Corporation’s safety
management system;
(d) systems for identifying applicable-
(i) railway safety regulations, rules, standards and
orders, and the procedures for demonstrating

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compliance with them, and

(ii) exemptions and the procedures for
demonstrating compliance with the terms or
conditions specified in the notice of exemption;
(e) a process for-
(i) identifying safety issues and concerns, including
those associated with human factors, third-
parties and significant changes to railway
operations, and;
(ii) evaluating and classifying risks by means of a
risk assessment;
(f) risk control strategies;
(g) systems for accident and incident reporting,
investigation, analysis and corrective action;
(h) systems for ensuring that employees and any other
persons to whom the Corporation grants access to its
property, have appropriate skills and training and
adequate supervision to ensure that they comply
with all safety requirements;
(i) procedures for the collection and analysis of data for
assessing the safety performance of the Corporation;
(j) procedures for periodic internal safety audits,
reviews by management, monitoring and evaluations
of the safety management system;
(k) systems for monitoring management-approved
corrective actions resulting from the systems and
processes required under these Regulations; and
(l) consolidated documentation describing the systems
for each component of the safety management
system.

Processes of safety 4. The Corporation shall implement and maintain a

management
system comprehensive safety management system that includes:
(a) process for accountability;
(b) process with respect to a safety policy;
(c) process for compliance with regulations, rules and
other instruments;
(d) process for managing railway occurrences;
(e) process for identifying safety concerns;
(f) risk assessment process;
(g) process for implementing and evaluating remedial

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action;
(h) process for establishing targets and developing
initiatives;
(i) process for reporting contraventions and safety
hazards;
(j) process for succession plan; and
(k) continual improvement of the safety management
system.

Submissions of 5.-(1) The Corporation shall submit to the Regulator the

safety management
system to following information in respect of safety management system;
Regulator (a) name, address and position of a person responsible
for the Safety Management System;
(b) a description of the Corporation’s operations and
rail network;
(c) Corporation’s safety policy;
(d) annual safety performance targets and the associated
safety initiatives to achieve targets for the calendar
year in which submission is made;
(e) information showing reporting structure and safety
relationship of positions and departments in the
Corporation, including organization charts;
(f) a list of the applicable railway safety rules,
standards, orders and exemptions;
(g) a description of the Corporation’s risk management
process and risk control strategies;
(h) a list of the Corporation’s training and qualification
programs, including those of external sources;
(i) list of data collected by the Corporation for the
purpose of assessing its performance;
(j) a description of the Corporation’s internal safety
audit program; and
(k) a list of titles and dates of all documents in the
Corporation’s safety management that describe how
the Corporation is meeting its obligations with
respect to each safety management component.
(2) The Corporation shall initially submit safety
management system to the Regulator within sixty days prior to
the commencement of implementation.

Safety 6. For the purpose of assessing the performance of

performance

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assessment Corporation’s Safety Management System, the Corporation shall

collect, maintain and submit to the Regulator the following
information:
(a) accident and incident investigation reports and a
description of corrective actions taken for accidents
and incidents that meet reporting criteria.
(b) accident rates expressed as follows:
(i) employee deaths, serious injuries and minor
injuries, per 200,000 hours worked by the
employees of the Corporation;
(ii) passenger deaths, serious injuries per million
passenger-kilometer; and
(iii) train and level crossing accidents that meet the
reporting criteria, per million train-kilometer
or per ten billion ton-kilometer.
(c) any other performance data requested by Regulator.
Periodical 7.-(1) The Corporation shall periodically report to the
reporting
requirements Regulator the following information:
(a) any revisions made to the safety management
system referred to in regulation 5;
(b) its safety performance relative to its safety targets;
and
(c) its accident rates;
(2) The Corporation shall include in the report its safety
targets for the financial year in which the submission is made.
(3) The report periods and deadlines for submitting the
respective reports shall be:
(a) for each of the quarter years, July to September,
October to December and January to March where
the report shall be submitted within forty days after
the last day of the quarter;
(b) for the year commencing from July to June and the
quarter year April to June of the same year the
reports shall be submitted by 1st September of the
following year.

Review of safety 8. The safety management system shall be reviewed in

managements
system circumstances where:
(a) the Regulator issues a notice in writing to the
Corporation to do so;

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(b) new infrastructure works or new rolling stock are

accepted by the Regulator;
(c) the Corporation considers it appropriate to do so;
(d) the Corporation transfers its business activities to
another organization.

Index and contents 9.-(1) The Corporation shall keep an up-to-date index of
all the processes referred to in regulation 4 that it has
implemented.
(2) The index shall indicate the date of the last revision
of the Corporation’s safety policy and shall indicate for each
process the procedures, plans and methods required by this Part
that are associated with the process, and the date of their last
revision.

Designation of 10.-(1) The Corporation shall designate an officer who

officer in-charge of
safety shall be responsible for the operations and activities of the
Corporation and shall be accountable to the Corporation for the
safety management system and its effectiveness in achieving the
highest level of safety in its railway operations.
(2) The officer in-charge shall, within forty five days
upon his designation, provides the Director General with a
signed declaration accepting accountability for the extent to
which the requirements of the Safety Management System have
been met.
(3) The Director General shall, as soon as practicable
upon receipt of declaration made under sub-regulation (2)
provide the Regulator and Minister with the name and
declaration of the officer in-charge of safety.
(4) The Corporation may, in its safety management
system, permit the officer in-charge of safety to designate one or
more persons to develop and implement one or more of the
processes required by this Part.
(5) A person to be designated as officer in-charge shall
be in management position within the Corporation.
(6) Where the officer in-charge of safety designates a
person under this regulation, he shall ensure that the person
reports to him, on quarterly basis, with respect to:
(a) the effectiveness of the procedures, plans and
methods in contributing to the improvement of the
safety of the railway company’s operations; and
(b) any challenge following the procedures or

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implementing the plans and methods, and the

manner in which those challenges have been or are
being resolved or, if applicable, the reasons why
they have not been or are not being resolved.

Safety policy and 11.-(1) The Corporation shall include, in its safety
annual review
management system, a written safety policy that reflects the
railway company’s commitment to promoting railway safety.
(2) The policy shall be approved and signed by the
Director General.
(3) The Corporation shall-
(a) ensure that its safety policy is reviewed annually;
and
(b) communicate its safety policy, and any changes of
the policy, to its employees.

List of instruments 12.-(1) The Corporation shall include, in its safety

management system, a list of the following instruments relating
to railway safety:
(a) any subsidiary legislation made under the Act that
apply to the Corporation and that are in force;
(b) any engineering standards approved by the Minister
and the date of approval;
(c) any exemptions granted by the Minister that apply to
the Corporation and that are in effect;
(d) any notice that relates to safety management system
that has been issued to the Corporation by the
Minister; and
(e) in the case of an engineering standard or a rule, the
date on which it was approved or established.
(2) The Corporation shall keep the list of instruments
under these regulations up to date and shall indicate the date of
its last revision.

Procedure for 13. The Corporation shall include, in its safety

updating list of
instruments management system, procedure for-
(a) reviewing and updating the list of instruments
referred to in regulation 12(1); and
(b) verifying compliance with-
(i) the requirements of the regulations,
engineering standards, rules, and notices
and documents referred to in the list of

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instruments; and
(ii) the terms of the exemptions referred to in
the list of instruments.

Procedure for 14.-(1) The Corporation shall include, in its safety

reporting
occurrences management system, a procedure for-
(a) reporting railway occurrence to the Corporation’s
management; and
(b) reviewing a railway occurrence.
(2) The Corporation shall communicate to its employees
the procedure for reporting railway occurrences.

Analyses and 15.-(1) The Corporation shall, on a continual basis,

procedure
conduct analysis of its railway operations to identify safety
concerns, including trends, emerging trends or repetitive
situations.
(2) The analysis prescribed under sub-regulation (1)
shall, at a minimum, be based on-
(a) any reports of railway occurrences;
(b) any internal documentation relating to railway
occurrences;
(c) any reports of injuries;
(d) the results of any inspections conducted by the
Corporation or by the Regulator;
(e) any reports of contraventions or safety hazards that
are received by the Corporation from its employees;
(f) any complaints relating to safety that are received by
the Corporation;
(g) any data from safety monitoring technologies;
(h) the conclusions of previous annual report; and
(i) the findings of any safety audit reports.
(3) The Corporation shall include, in its Safety
Management System, a procedure for conducting the analysis
referred to under this regulation.

Procedure, plan 16. The Corporation shall include, in its safety

and methods for
risk identification management system,
(a) a procedure for identifying the risks that require
remedial action, taking into account, for each risk,
the likelihood that the risk will occur and the
severity of its consequences;

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(b) a method for evaluating the level of risk, taking into

account the likelihood that a risk will occur and the
severity of its consequences.

Risk assessment 17.-(1) The Corporation shall conduct a risk assessment

in the following circumstances:
(a) when identifying a safety concern in its railway
operations as a result of the analysis conducted
under regulation 15;
(b) when it intends to transport dangerous goods; or
(c) when a proposed change to its Corporation, a
change that may affect the safety of the public or
personnel or the protection of property or the
environment in the following:
(i) the introduction or elimination of a
technology, or a change of technology;
(ii) the addition or elimination of a railway
work, or a change to a railway work;
(iii) an increase in the volume of dangerous
goods it transport;
(iv) a change to the route on which dangerous
goods are transported; or
(v) a change affecting personnel, including an
increase or decrease in the number of
employees or a change in their
responsibilities or duties.
(2) The risk assessment shall-
(a) describe the circumstances that triggered the
requirement to conduct the risk assessment;
(b) identify and describe the risks associated with those
circumstances;
(c) identify the factors taken into account in the risk
assessment, including the persons who may be
affected and whether property or the environment is
affected;
(d) indicate, for each risk, the likelihood that the risk
will occur and the severity of its consequences; and
(e) identify the risks that require remedial action and its
remedied action.

Remedial action, 18.-(1) The Corporation shall implement remedial action

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evaluation and with respect to the risks that requires remedial action as
implementation
identified in its risk assessment.
(2) The Corporation shall evaluate the effectiveness of
the remedial action in reducing or eliminating the risks.

Targets and 19.-(1) The Corporation shall, for each financial year-
initiatives
(a) establish targets designed to improve the safety of
its operations; and
(b) develop initiatives to achieve each target.
(2) The targets under this regulation shall be based on
the analysis conducted and shall take into account the results of
any previous analysis.

Internal reporting 20.-(1) The Corporation shall include, in its safety

management system, a procedure that enables its employees to
report, without fear of reprisal, a contravention of the Act or of
any regulations, rules, orders or emergency directives made
under the Act in relation to safety, or a safety hazard.
(2) The Corporation shall include, in its safety
management system, a policy for protecting its employees from
reprisals for reporting a contravention or safety hazard.
(3) The Corporation shall when developing the
procedure and the policy under this regulation-
(a) collaborate with its employees or a representative
selected by its employees; and
(b) communicate the procedure and the policy to its
employees.

Principles and 21.-(1) The Corporation shall apply the principles of

methods of
managing fatigue managing fatigue when scheduling the work to the employees
including the principal that-
(a) human fatigue is governed by physiology;
(b) human alertness is affected by circadian rhythms;
(c) human performance degrades in relation to hours of
wakefulness and accumulated sleep debt; and
(d) human has baseline minimum physiological sleep
needs.
(2) The Corporation shall include, in its safety
management system, a method for applying the principles of
managing fatigue when scheduling the work of an employee
who is required to work according to a schedule that-

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(a) is not communicated to the employee at least twelve

hours in advance;
(b) requires the employee to work beyond his normal
work schedule; or
(c) requires the employee to work between midnight
and 6:00 a.m.
(3) Notwithstanding sub-regulation (1) and (2); this
regulation shall not apply when scheduling the work of
employees during an emergency.

Monitoring, 22.-(1) The Corporation shall, on a continuous basis,

implementation
and reporting monitor the implementation of its safety management system to
verify-
(a) whether the employees or a representative of
employees are being involved in the processes as
required by this Part;
(b) whether the targets established by the Corporation
are being achieved; and
(c) whether the procedures required by this Part are
complied with;
(2) Monitoring under this regulation shall, where
applicable include inquiry into-
(a) the cause of any deficiencies in the implementation
of the Corporation’s Safety Management System
and any actions being taken to remedy those
deficiencies; and
(b) the reasons for not achieving targets.
(3) The Corporation shall prepare an annual report
setting out the conclusions of its monitoring activities.
(4) The Corporation shall ensure that the conclusion of
the annual report is submitted to the Regulator.

Scope of audit and 23.-(1) The Corporation shall conduct an audit of its
plan
Safety Management System annually to evaluate-
(a) the extent to which the requirements related to each
process have been implemented; and
(b) the extent to which the policy, procedures, plans and
methods developed by the Corporation are effective
in improving the level of safety of its railway
operations.
(2) The Corporation shall include, in its safety

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management system, an audit plan that

(a) defines the scope of each audit;
(b) indicates the evaluation criteria to be applied;
(c) specifies the method to be used in conducting each
evaluation; and
(d) sets out the schedule for evaluating each process.
(3) The Corporation shall, annually submit to the
Regulator safety audit report referred under this regulation.

Approval of action 24.-(1) The Corporation shall prepare an action plan

plan
setting out the action to be taken to address each finding in the
audit report that it identifies as a deficiency in its safety
management system.
(2) The Director General shall approve action plan
prepared under this regulation.

Review, analysis 25. The Corporation shall keep a record of the factors
and evaluation
taken into account in, and the results of-
(a) the annual review of its safety policy;
(b) each analysis conducted; and
(c) each evaluation conducted.
Specified 26. The Corporation shall keep the following records:
documents
(a) risk register and other documentation relating to
each risk assessment conducted;
(b) written description and written explanations that
relates to Safety Management System;
(c) annual reports;
(d) audit plans;
(e) signed audit reports; and
(f) approved action plans.

PART III
OFFENCES AND PENALTIES
Offences and 27. A person who:
penalties
(a) furnishes any return, report, written information or
explanation containing any particulars which to his
knowledge are false or incorrect; or
(b) hinders the Regulator or any person appointed under
these regulations from carrying out his duties;
(c) fails to rectify any condition or to stop any activity

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when ordered to do so by the Regulator; or

(d) acts in contravention of any provisions of these
regulations,
commits an offence and shall, on conviction be liable to a fine of
not less than five million shillings and not exceeding ten million
shillings or to imprisonment for a term of not less than two years
and not exceeding five years or to both.

Compound of 28.-(1) Notwithstanding the provisions of this Act relating

offence
to penalties, where a person admits in writing that he has
committed an offence under these Regulations, the Director
General or any other person authorised by him in writing may, at
any time prior to the commencement of the proceedings by a
court of competent jurisdiction compound such offence and
order such person to pay sums of money, not exceeding one half
of the amount of the fine to which such person would otherwise
have been liable to pay if he had been convicted of such offence.
(2) Where an offence is compounded in accordance with
subsection (1) and proceedings are brought against the offender
for the same offence, it shall be a good defence for the offender
to prove to the satisfaction of the court that the offence with
which the offender is charged has been compounded under
subsection (1).
(3) Where the person fails to comply with the
compounding order issued under this section within the
prescribed period, the Director General or any other person
authorized by him in writing may-
(a) in addition to the sum ordered, require the person to
pay an interest at the rate prescribed in the
regulations; and
(b) enforce the compounding order in the same manner
as a decree of a court for the payment of the amount
stated in the order.

Dodoma, ISACK A. KAMWELWE

30 July, 2018 Minister for Works, Transport and Communication

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