1 Strategy for risk based health and safety regulation Richard Price IRSC Conference

2 My messages are…. A safe industry is an efficient industry Key to both is excellent management and leadership Our work…. Pushes the industry towards excellence in management Highlights their responsibility to manage risks properly Based on… Our strategy for health and safety regulation, which focuses our resources in a proportionate way on the risks

3 A reminder of the GB rail industry landscape….

million journeys each day 28 billion tonne km of freight 40,000 bridges, tunnels and viaducts 20,000 miles of track 2,517 Stations properties Scale of GB mainline rail

5 GB mainline regulatory landscape…. Growth 1.4 billion passenger journeys in 2010/11. This was an 8% increase over previous year. (RSSB figures) Complexity Train operators, Freight operators, Infrastructure managers, Metros, Entities in charge of Maintenance, Rolling stock leasing companies, contractors, suppliers, open access etc, Monopoly Ownership of infrastructure

6 Our strategic priorities as an integrated regulator ….

7 Our strategic priorities as an integrated regulator are… Reducing the industry’s costs (McNulty review) A sharper focus on customers Excellence in health and safety culture and management across the industry

8 Our strategy for health and safety regulation aims to reduce harm… Zero fatalities and ever-deceasing health and safety risk Excellence In asset management and operations In health and safety management and culture Result Better management capability Reduction in risks Reduction in harm Reduced likelihood of multiple-fatality incident.

9 We check compliance and push excellence in management… Checking legal compliance control of risks every day by businesses. Pushing for excellence in management by businesses because excellent management means more likelihood of compliance every day. more likelihood of control of risks every day.

10 Why excellence in management? …because managers control risks day in, day out. Managers’ performance varies. If they are already high performing (“excellent”), then greater likelihood that their dips in performance will still be above the legal minimum and risks will be adequately controlled. If they are only poorly performing (“ad hoc”), then greater likelihood that their normal performance (and any dips) are below the legal minimum and risks are uncontrolled. Management maturity model helps us evaluate the capability of managers to control risks.

11 Our strategy’s goal is reduced harm… Annual Health and Safety Report Overall rate of harm decreased by 12% No workforce and industry caused passenger fatalities on: London Underground, London Overground, Docklands Light Railway Recorded harm at level crossings reduced

12 And this is what one industry model tells us about safety performance over time…

13 But bad events are still happening because industry management is not excellent …

14 Management is not excellent….. Numbers of bad events: Downward trend, but they still happen. Inspection & audit findings looking at management We most often judge management aspects as being “standardised”. This means (for example), we find: …”Leadership is still largely viewed as a senior management role” Rather than “excellent” leadership when.. …”Leaders at all levels…show shared values directed at continually meeting the business objectives safely...”

15 Our strategy for health and safety regulation is built on understanding the risk landscape and our focus on management improvement…

16 Understanding the risk landscape…. Accident and incident data Risk models used by the industry London Underground’s Quantitative Risk assessment Model RSSB’s Safety Risk Model for the mainline Intelligence from our own inspections, investigations and enforcement activities over the years RAIB investigation findings Informed specialist views Intelligence from European and international developments

17 After analysis, our priorities for regulation focus on… Risk priorities Level crossings Interface system safety Infrastructure safety Rolling stock Workforce safety Occupational health Enablers (management): Health & safety management systems Competency of people & human factors Change management

18 Our strategy builds into our business plan… The risk priorities and enablers: Are analysed and described in our document: “Strategy for health and safety regulation” Match our work programmes Resources are proportionate: allocated to the programmes Guided by the approach set out in the strategic document for each To the principles explained in the next slide.

It is aboutIt is not about BalanceToo much in any area: too little or none in another Proportionate to risk and focused on risk reduction Proportionate to safety levy payment. The levy is linked to turnover, not risk Targeted by evidenceTargeted by whim Right skilled and confident peoplePoorly trained people who lack courage Covering the countryAreas left alone Knowing the skills you needWork determined by the skills we happen to have to hand Letting the duty-holder control risksMan-marking the duty-holder for no good reason Principles for how we decide on resources and build our business plan…

20 So…. For each sector Mainline Transport for London Trams & light railways Heritage We know Our risk priorities Our programmes of work Our planned activities in each programme

21 Delivering our strategy’s focus on management enablers…

22 We check safety is being managed properly from top to bottom in rail businesses….….

23 Sharpening our own capability to deliver our strategy…

24 We are sharpening up on strategy and impact… the match of our work programmes to our strategy. keeping strategy under regular review Identifying potential impact of our activities in reducing the likelihood of multi-fatality events using the industry risk models Sharpening up our own management of safety regulation Using the ERA cross-audit results to help us do this. Inspection quality: performance of least capable Inspectors comes closer to the practice of our best Regulatory decision-making being more clearly in line with our policies.

25 In summary

26 My messages are…. A safe industry is an efficient industry Key to both is excellent management and leadership Our work…. Pushes the industry towards excellence in management Highlights their responsibility to manage risks properly Based on… Our strategy for health and safety regulation, which focuses our resources in a proportionate way on the risks

27 3.5m passengers per day Each tube train travels 114,500 miles a year – enough to go round the equator 4.5 times 57,000 people through Waterloo – during the morning peak Multi-billion pound investment programme Scale of London Underground…

28 We’re working as an integrated regulator on electrification… Manchester – Liverpool Design of overhead line system… To meet legal requirements on isolation Means subsequent maintenance can be more efficiently delivered as well as more safely delivered because Isolation arrangements will be easier, quicker and surer to use The overhead lines can be isolated in smaller sections than now, so less disruption needed for maintenance under the overheads.

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