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Program Overview Derek Heneker 6 December 2016 National Operations 2020 Vision Program

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Program OverviewDerek Heneker6 December 2016

National Operations 2020 Vision Program

Office of the National Rail Safety Regulator 2

> Background of the Program> Objective of the Program> What to Expect

National Operations 2020 Vision Program

Office of the National Rail Safety Regulator 3

ONRSR DevelopmentSince commencement ONRSR has been:> delivering regulatory services day-to-day

AND

> developing its practice as a national regulator building: a risk-based approach data systems to support decisions

> Still have initiatives, practices and approaches built on the regulatory approaches adopted from the former regulators

> 2020 Vision Program focuses on delivering “the ONRSR way”

Office of the National Rail Safety Regulator 4

2020 Vision Program> Focus on the business undertaken

by National Operations Division

> Within National Operations there recognition of the need to question the traditional approaches

> Acknowledging ONRSR’s journey to now has been successful but need to look forward

> BUT need to ensure we are clear of what the long term vision is

Office of the National Rail Safety Regulator 5

2020 Vision ProgramProgram aiming to:

> Define the future state of how National Operations operates: The 2020 Vision

> Examine business processes to align to the future state and address capability gaps

> Coordinate range of current and new projects focusing on the regulatory business

6

The Vision – a Start> We are clear what our role is

the role of ONRSR vs. regulated parties is clearly described

> The way we work is established establishment of a truly national, risk-based

regulator that is “greater than the sum of its parts” has been realised

> We are truly risk based our regulatory decisions are underpinned by the

right information to be risk-based our collection and use of information is justified

> Regulatory burden is minimised Our interactions are relevant and efficient we only collect the information needed

> We are forward looking and leading Utilising technology is integral to our collection,

exchange and use of information

Office of the National Rail Safety Regulator 6

Office of the National Rail Safety Regulator 7

The 2020 Vision> The detail that clearly articulates

how we go about our business> Internally expressed as an

Operating Model roles, accountabilities and

processes> Broadly expressed in a ‘go to’

document for staff and industry This will say what we deliver

against the RSNL AND how we go about doing that

Office of the National Rail Safety Regulator 8

2020 Vision> Enhanced definition of

what we do

> Explain why we do activities

> Explain expectations of ONRSR and regulated parties

> Available: Q1 2017

Office of the National Rail Safety Regulator 9

Regulatory Activities - DefinitionRegulatory Activity Notification Required

No adverse findings(minimum requirement)

Intelligence for further activity Observation

Non‐conformance Report (NCR) Improvement Notice Prohibition Notice Infringement Notice Vary Accred. Condition

Prosecution& Higher Order Enforcement**

Education

Mon

itoring

Enforcem

ent Discussion with an operator (or other person) 

on any matter relating to a compliance, safety issue or accreditation status that should be captured.

File Note recording discussion

Update to relevant RegIS record*

Creation of a RegIS record for fol low‐up action

Education

Mon

itoring

Enforcem

ent

Meeting arranged by either party for any purpose, including> familiarisation, meet and greet> progress fol low‐up on corrective actions> education visit to address compliance and/or safety matters> 'health check', safety management system review to provide education approach> accreditation or variation matters

Mutual  agreement with operator

Email  confirmation of meeting purpose and arrangements

File Note recording discussion

Update to relevant RegIS record*

Creation of a RegIS record for fol low‐up action

Email  or letter summarising finding and Observation for the operator's consideration

Mon

itorin

g

Preliminary Enquiry in relation to:> notifiable occurrence> safety issueFor the purpose of obtaining:> additional  facts on an occurrence or issue> information on the operator's responseTo assist in determining any and what action is required from ONRSR

Initiating this activity is notification in itself

File Note summarising findings  of enquiry and reason for no action

[future] Update to RegIS occurrence record

Creation of a RegIS record for fol low‐up action e.g.:> request for report> issue s.122> follow‐up enquiry> operational  or compliance investigation

Announced ‐ mutual  agreement with operator where relevant

Email  confirmation of site visit purpose and arrangements

Unannounced ‐ Report entry to premises on arrival  and explain purpose of Site Visit

Announced ‐ Letter of confirmation of inspection containing inspection scope

Unannounced ‐ Report entry to premises on arrival  and explain purpose of Inspection

Mon

itoring

Enforcem

ent

Audit involving a formal  review of al l  or part of a rail  transport operator’s safety management system  including supporting systems, programs  or workplace practices to:> confirm the SMS complies  with the RSNL> confirm the SMS is  implemented and being used> review whether the SMS is effective in addressing safety

Audit scope is typically presented in terms of the SMS elements to be examined.

Mutual  agreement with operator

Letter of confirmation of audit with documented scope

RegIS record of activity (Audit)

Audit Report prepared for operator, including the provision of a preliminary report for comment (factual  errors)

Creation of a RegIS record for fol low‐up action

Audit Report setting out findings  of the audit and  the Observation for the operator's consideration

Audit Report  setting out the  findings  of the audit and the justification for raising the NCR

Improvement Notice issued as separate document, may be referenced in Audit Report.

Note ‐ likely to be in context with operator's SMS not being compliance with the RSNL

Process for initiating a  regulator change to condition or restriction of accreditation

Mon

itorin

gEnforcem

ent

Follow‐up Enquiry ‐ systematic capture and analysis  of facts and other information to enable a more detai led examination into a:> notifiable occurrence> safety issueFor the purpose of:> confirming the circumstances of the occurrence/issue> the adequacy of the operator's response and actions  in regard to the occurrence/issue> further supporting the decision for additional  action by the Regulator

Initiating this activity is notification in itself

[future] RegIS record of activity

Internal  report on findings  of the enquiry with reasons why no adverse findings

Internal  report on findings  of the enquiry with reasons for further activity being recommended, e.g.:> operational  investigation> compliance investigation> inspection or audit

Enquiry observations  prepared for operator as  a letter

Cover Letter from Branch Director

Enquiry Report [content l imited to supporting the NCR ‐ similar to investigation report]  prepared for the operator setting out the findings  of the enquiry and justi fication for raising the NCR

Improvement Notice issued as separate document, may be referenced in Enquiry Report to the operator, i f issued.

Enforcem

ent

Operational Investigation being a  detai led and systematic review of an operator's  actions  and operations  in response to an occurrence or a  safety issue to better inform the Regulator of the effective management of safety and/or technical  issues  contributing to the occurrence or issue.

Announced ‐ Letter advising of the investigation and investigation scope

ONRSR prepared Terms  of Reference prepared

Activity endorsed by EDNO

[future] Regis  record of activity

Internal  Report for the Regulator with reasons for no adverse findings

The form of close‐out with the operator (e.g. letter or report) is  as set‐out in the Terms of Reference

Internal  Report for the Regulator with reasons why further activity is recommended

Creation of a RegIS record for fol low‐up action

Investigation observations  prepared for operator as a letter

Cover Letter from Branch Director

Improvement Notice issued as separate document, may be referenced in letter to the operator, if issued

Enforcem

ent

Compliance Investigation being a  formal  investigation to determine whether a  breach of the RSNL has occurred.

May be initiated by incident response and wil l  be formalised via  letter advising of Investigation.

Internal  Investigation Report prepared for Regulator with reasons why no adverse findings

Creation of a  RegIS record that identifies  scope of investigation with no adverse findings  against the scope

Internal  Investigation Report prepared for Regulator with reasons why further activity is recommended

Creation of a RegIS record for fol low‐up action

Investigation observations  prepared for operator as a letter

Cover Letter from Branch Director

Improvement Notice issued as separate document, may be referenced in any letter sent to Operator, if issued

Process for initiating a  regulator change to condition or restriction of accreditation

Process for initiating a  higher order enforcement action (prosecution)

Treatment

Inspection involves attendance at railway premises  to:> confirm the practices of an operator in conducting its  railway operations  are compliant with its  processes and procedures (set out in the SMS)> review whether the practices, processes and/or procedures  of the rai l  operator are effective in addressing safety

The Inspection Scope is  typically expressed in terms of the rai lway activity, function and/or location to be inspected

Site Visit to rai lway premises that will , or is likely to involve, presence on or around track and/or roll ing stock or entry to a maintenance workshop or construction site to:> observe and gather information about a  rail  transport operators rai lway operations> seek clarification about the nature of an incident or potential  safety issue> raise of awareness for ONRSR staff to the operator and its  railway operations

RegIS record of activity (Site Visit)

Verbal  or email  confirmation with operator that site visit conducted and provide feedback  (if not final ised on site)

Creation of a RegIS record for fol low‐up action

Letter to operator setting out findings  of the Site Visit and  the Observation for the operator's consideration

RegIS record of activity (Inspection)

Letter to operator summarising scope and advising of no adverse findings  (multiple inspections  may be grouped)ORIf unannounced inspection is minor in nature, a  verbal  or email  advice to the operator

Notice Issued in relation to immeadiate 

risk to safety

Managed separately from the activity being 

undertaken

Notice Issued in relation to immeadiate 

risk to safety

Managed separately from the activity being 

undertaken

Creation of a RegIS record for fol low‐up action

Letter to operator setting out findings  of the Inspection and  the Observation for the operator's consideration

Inspection Report [slimmed‐down from current template] prepared setting out the findings  of the Inspection and the justifications  for raising the NCRs

Improvement Notice issued as separate document, may be referenced in Investigation Report.

Note: likely to be in context with operator not following its own SMS

Purpose

Education

Mon

itoring

Mon

itorin

gEnforcem

ent

Covers:> Discussions> Meetings> Preliminary Enquiries> Site Visits> Inspections> Audits> Follow-up Enquiries> Operational

Investigations> Compliance

Investigations

Office of the National Rail Safety Regulator 10

Operating Model> Defines accountabilities and

responsibilities within function areas Identifies core business processes

undertaken in each function area Defines accountabilities for each

business process

Office of the National Rail Safety Regulator 11

National Operations - Operating ModelExecutive Director

BranchesNational Office

Central NSW Vic QldWA

Comp. Invest.

Branches:• Accountable for being across rail safety issues within the Branch• Responsible for the directly delivery of regulatory functions 

(interaction with rail transport operators) within the Branch’s geographical area

• Responsible for the delivery of functions in accordance with ONRSR policies, processes and procedures

Office of the National Rail Safety Regulator 12

National Operations - Operating Model

Function Streams

Executive Director

BranchesNational Office

Central NSW Vic QldWA

Accreditation

Education and advice

Comp. Invest.

Compliance Monitoring

Data & Reporting

Risk & Intelligence

Compliance Investigations

Function Streams are to establish the ONRSR approach and to drive consistency of approach across the Branches.Functional Stream Heads are responsible for:• Setting common systems, processes and work 

instructions;• Monitoring and facilitating Branch delivery of these 

systems, processes etc.• Reviewing and updating, as required, the above.

Office of the National Rail Safety Regulator 13

Foundation Projects

Office of the National Rail Safety Regulator 14

2020 Vision Foundation Projects

The National Operations Way(How we work)

Business Process Capability Reviews

Data Needs& Management

Intelligence

Online Channel

National Ops People Strategy

Nat Ops Communications 

Strategy

Common Business 

Architecture

Office of the National Rail Safety Regulator 15

2020 Vision Foundation Projects

The National Operations Way(How we work)

Business Process Capability Reviews

Data Needs& Management

Intelligence

Online Channel

National Ops People Strategy

Nat Ops Communications 

Strategy

Common Business 

Architecture

Data Capture Data Validation Raw Data

Data Classification & Ranking

Processed Data as 

Information

Data Analysis & Modelling

Application of Data

Office of the National Rail Safety Regulator 16

> Data is needed for Intelligence or Reporting Product

> Drive a focus on the “intelligence” projects > Backwards define what data is needed

How we use data = how much effort managing it No need for data = we don’t ask for it

Projects: Intelligence

Data Capture Data Validation Raw Data

Data Classification & Ranking

Processed Data as 

Information

Data Analysis & Modelling

Application of Data

Office of the National Rail Safety Regulator 17

Projects: Data Needs & Intelligence

Extraction of Data for analysis

Classification and Ranking 

Rules

Information from data analysis

Risk modelling and data analysis

Use of intelligence for decision making

Receipt of data Data Validation

Raw Data Management

Classification and Ranking 

Rules

Processing of Data into 

Information

Reporting of Data and 

Information

Data Management

Data Analysis into Intelligence

Office of the National Rail Safety Regulator 18

Project: Online Channel

Fully functional 

online channel for 

information exchange between ONRSR and regulated parties and stakeholders

Build the Vision for the Product

AccreditationDirect update of  contact & organisation 

details

Notifiable Occurrence Reporting

Accreditation Application submissions 

online

Online tracking and management of NCRs & Notices

Build the strategy to delivery the Product

Minimum Viable Product

Office of the National Rail Safety Regulator 19

Stage End = Completion of Program Target> Individual projects start and finish at any time

Program Stages

Stage 1Vision 2020 Blueprinting• How we will work• Common Architecture

• Intelligence Strategy

• People Strategy

Stage2Base capability delivery “bronze pack”• RAM Stage 2• Occurrence Processing

• Phase 1 Portal• D&A management

Stage 3Business Process Capability Reviews• mapping on business processes to identify capability build projects

Stage 4+Delivery of Capability Projects• Project from the higher order projects identified in Tranche 1

• Project from Business Process Capability Reviews

Office of the National Rail Safety Regulator 20

Questions?