2018

Accountability and the Legal Perspective

Structure 1. Update of recent ORR Prosecutions. 2. Overview of ORR 2017 Health and Safety Report.

Sentencing Regime Sentencing Guidelines introduced on 1 February 2016. Core Concepts: Harm, Culpability and Organisation Turnover. 9 Steps. Emphasis on Turnover is the ‘innovation’. Micro – not exceeding £2million Small – between £2m and £10 million Medium – between £10 and £50million Large – exceeding £50million

ORR’s Enforcement in 2017 and 2018 Relatively small number of cases prosecuted (compared to HSE). 2016 - 5 Prosecutions. 2018 - 6 Prosecutions concluded so far. Largest fine to date? ORR v Network Rail fined £4 million on 22nd September 2016 - In relation to a fatality at the Gipsy Lane Crossing Suffolk in August 2011.

Enforcement Notices 2017 – No Prohibition Notices 2017 – 13 Improvement Notices. Examples of Notices: Insufficient Fencing at railway sidings and railway depots. Poor Management of operating level crossings. Deficiencies managing Respirable Crystalline Silica (RCS) Dust. Insufficient arrangements to demonstrates staff competence. Lack of Suitable and Sufficient risk assessment for lone working.

Office of Rail and Road ORR health and safety enforcement continues to reflect broad safety risks. It’s not simply track and lineside focused. ORR v Network Rail - 15 March 2018 - Derailment ORR v Kier - 2 July 2018 - Bridge Construction ORR v DB Cargo - 5 October 2018 - Trespassers

Network Rail – Incident: October 2013 Partial Derailment of a freight train near Gloucester Station. Collision with the facing points caused container to dislodge and fall down embankment. ORR submitted that an ongoing track defect had been identified previously but repairs ineffective Fine £733,000

Kier – Incident: 15 August 2015 Construction of Maerdy Bridge, Cardiff. Kier, Principal Contractor. Concrete units being moved, worker crushed, suffering life-changing leg injuries Fine £600,000

DB Cargo – Incident: 14 June 2014 4 children access Tyne Yard, a regional freight yard. They climbed on top of a wagon train. 2 of the children made contact with the live current. 1 child suffered serious injuries. ORR submitted that trespassers, particularly children visiting a disused signal box, were a known risk. Not yet sentenced.

ORR Annual Health and Safety Report – July 2018 “The work of our inspectors is targeted at those areas of greatest risk with the aim of proactively reducing it”.

General Observations Improvement in the management of aging assets. Improvements in the management of change. Wider use of the Risk Management Maturity Model (RM3).

Work-Force Safety Level Crossings Trespassers No worker fatalities in 2017. Network Rail’s corporate vision ‘Everyone Home Safe’ is an appropriate objective driven approach. 6 fatalities in 2017. Fatalities at level crossings are in a downward trend over 10yrs. To meet ‘so far as reasonably practicable’ need for specific safety solutions at level crossings rather than ‘off-the shelf’. 36 fatalities in 2017. Higher that 2016 (27) but overall a downward trend over 10yrs. Need for all railway duty holders to play their part in preventing and deterring trespass through security and deterrence measures.

Occupational Health Reduction seen in the number of disease related RIDDORs. Particularly in respect to HAVS (2017, 21 RIDDORs). ORR supportive of HSE’s ‘Go Home Healthy’ campaign (Sept 17) in respect to occupational lung disease, musculoskeletal disorders and work-related stress.

Three to Five Year challenges facing the industry Three Key Challenges Supporting our People - Often the last defence again preventing major failure. How to support their occupational healthcare, particularly mental health. Pressure on the System - Given increased train frequency and other pressures need to be managed and risk controlled. Technology - Developments improve safety but must still take human factors into account.

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