1 strategy for risk based health and safety regulation richard price irsc conference
TRANSCRIPT
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Strategy for risk based health and safety regulation
Richard Price
IRSC Conference
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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
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A reminder of the GB rail industry landscape….
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• 3.25 million journeys each day
• 28 billion tonne km of freight
• 40,000 bridges, tunnels and viaducts
• 20,000 miles of track• 2,517 Stations• 8.200 properties
Scale of GB mainline rail
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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
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Our strategic priorities as an integrated regulator ….
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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
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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.
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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.
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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.
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Our strategy’s goal is reduced harm…
Annual Health and Safety Report 2011-2012
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
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And this is what one industry model tells us about safety performance over time…
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But bad events are still happening because industry management is not excellent …
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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...”
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Our strategy for health and safety regulation is built on understanding the risk landscape and our focus on management improvement…
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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
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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
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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 about It is not about
Balance Too 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 evidence Targeted by whim
Right skilled and confident people Poorly trained people who lack courage
Covering the country Areas left alone
Knowing the skills you need Work determined by the skills we happen to have to hand
Letting the duty-holder control risks Man-marking the duty-holder for no good reason
Principles for how we decide on resources and build our business plan…
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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
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Delivering our strategy’s focus on management enablers…
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We check safety is being managed properly from top to bottom in rail businesses….….
11Ad hoc Managed
Governance
Policy
Written SMS
Organisational Structure
Allocation of Responsibilities
Management and Supervisory
Internal Communications
System Safety and Interface
Organisational Culture
Record Keeping
Competence Management
Worker Involvement
Risk Management
Target Setting
Workload Planning
Safe Systems
Asset Management
Change Management
Control of Contractors
Emergency Planning
Proactive Monitoring
Audit
Incident Investigation
Management Review
Corrective Action
RM3
Standardised Predictable Excellent
Leadership
Achievement levels
RM3 Main Categories
Policy
Organising for Control and Communication
Securing Cooperation and Competence
Planning and Implementation
Monitoring, Audit and Review
Key
Dutyholder assessment 2010
Dutyholder Target by end 2012/13
Railway Management Maturity Model
Inspection
Investigation
Audit
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Sharpening our own capability to deliver our strategy…
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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.
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In summary
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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