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….

4. Scale of GB mainline rail
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

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
Complies with the forthcoming European law on “supervision”.
Conforms to the UK Government’s principles of regulation
It is therefore
Risk-based
Proportionate
Targeted
Transparent
Promotes consistency

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
Level crossings
Interface system safety
Infrastructure safety
Rolling stock
Workforce safety
Occupational health
Enablers
Health and safety management systems
Competency of people and human factors
Change management
Interface with Europe

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.

19. Principles for how we decide on resources and build our business plan…
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

20. So…. For each sector We know 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. Railway Management Maturity
Investigation
Inspection
We check safety is being managed properly from top to bottom in rail businesses….….
Railway Management Maturity
Model
Audit

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. Scale of London Underground…
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

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.