Date post: | 05-Apr-2017 |
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Automotive |
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Dane NewtonSenior Manager, Risk & Analysis
4 April 2017
Enhancing Rail Safety through Risk-based Regulation
Office of the National Rail Safety Regulator 2
ONRSR is a risk-based regulator
ONRSRRegulatoryApproachKeyprinciple–
Risk-basedregulation
CorporatePlan2016-19,Goal1‘Maintainandimproverailsafetythrougharisk-basedapproachto
regulation’
ONRSRRegulatoryActivities&Decisions
NationalONRSRFrameworkforRisk-basedRegulation
Office of the National Rail Safety Regulator 3
What is risk-based regulation?Theapplicationofa
systematicframeworkthatprioritisesregulatoryactivitiesanddeploymentofregulators’resourcesonan
evidence-basedassessmentofrisk
Baldwin&Black2007;Black2010
Whileregulatorshavealwaysmaderegulatorydesign,implementationandallocationchoices,partlytomanagelimitedresource,risk-basedregulationformalises
andprovidesconsistentstructuretothedecisionmakingprocess
Sparrow2000
Office of the National Rail Safety Regulator 4
> Better targeted and more efficient use of resource
> Greater consistency of regulatory decisions
> Increased objectivity, clarity and transparency of regulatory decisions
> Decision making that will stand up to greater scrutiny
Why be risk-based?
Office of the National Rail Safety Regulator 5
We Administer a Risk-based Law
Office of the National Rail Safety Regulator 6
ONRSR’s Approach to Risk-based Regulation
> Developed based on research of good practice> Designed to fit ONRSR’s role as set out by law> Built recognising the co-regulatory framework
Focuses on the decisions ONRSR makes and what risk-based requirements should be applied
Office of the National Rail Safety Regulator 7
ONRSR’s Model for Risk-based Regulation
Office of the National Rail Safety Regulator 8
A model for risk-based regulation
Operators’riskmanagementactivities
Operators’safetyperformance
Risk-baseddecisionmaking
ONRSRactivities
1.Gatherregulatoryintelligence
2.Considerriskstorailsafety
3.Makeregulatorydecisions
4.Undertakeregulatoryactivities
Operators’activities
Office of the National Rail Safety Regulator 9
A model for risk-based regulation
1.Gatherregulatoryintelligence
2.Considerriskstorailsafety
3.Makeregulatorydecisions
4.Undertakeregulatoryactivities
Operators’riskmanagementactivities
Operators’safetyperformance
Risk-baseddecisionmakingIntelligence Decisions ActivitiesRisks
Risk-basedRegulation
ONRSRactivities
Operators’activities
Office of the National Rail Safety Regulator 10
Gather Regulatory Intelligence
Intelligence1.Gatherregulatoryintelligence
Risks2.Considerriskstorailsafety
3.Makeregulatorydecisions
Decisions Activities4.Undertakeregulatoryactivities
Risks
Operators’riskmanagementactivities
Operators’safetyperformance
2 431
Intelligence
Office of the National Rail Safety Regulator 11
Gather Regulatory Intelligence
• Notifiable occurrences• Monthly returns• Safety performance reports• Annual activity statements• Operator investigation reports
• ATSB investigation reports• Confidential reports (REPCON)• Coroner reports• Overseas investigation reports• Overseas intelligence reports
• Findings from audits• Findings from inspections• Findings from operational /
compliance investigations• Findings from field trips
OperatorReports
Accreditationactivities
Thirdpartyreports
Complianceactivities• Assessing applications for
accreditation / registration• Assessing applications for variation
of accreditation / registration• Reviewing Notifications of Change
Externalreporting
Findingsfromregulatoryactivities
2 431
Intelligence
Office of the National Rail Safety Regulator 12
Gather Regulatory Intelligence2 431
Intelligence
Intelligence1.Gatherregulatoryintelligence
ExternalReports
Rail OperatorReporting
ATSBReports Occurrences
REPCON PeriodicData
CoronerReports
SPRs/AASs
InvestigationReports
1.Gatherregulatoryintelligence
Risks2.Considerriskstorailsafety
3.Makeregulatorydecisions
Decisions
Operators’riskmanagementactivities
Operators’safetyperformance
Activities4.Undertakeregulatoryactivities
Risks
Operators’riskmanagementactivities
Operators’safetyperformance
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. ofchange
Investigations
Applications FieldTrips
Office of the National Rail Safety Regulator 13
Consider risks to rail safety 2 431
Risks
Risks2.Considerriskstorailsafety
3.Makeregulatorydecisions
Decisions
Operators’riskmanagementactivities
Operators’safetyperformance
ExternalReports
Rail OperatorReporting
ATSBReports Occurrences
REPCON PeriodicData
CoronerReports
SPRs/AASs
InvestigationReports
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. ofchange
Investigations
Applications FieldTrips
1.Gatherregulatoryintelligence
Activities4.Undertakeregulatoryactivities
Risks
Office of the National Rail Safety Regulator 14
Consider risks to rail safety 2 431
Risks
Harmtopeople
Riskofoperators
Riskofactivities
Operatorriskfactors• Compliancehistory• Responsiveness• SMSmaturity• Size&scopeof
operationsHazardousEvents
• Derailment• Collision• Trackworker
struck• Passenger
falls
Riskofchanges
Riskofassets
Riskofrailsafetyworkers
Riskofoccurrences
Changeriskfactors• Novelty• Complexity• Interfaces• Consultation
Assetriskfactors• Age• Condition• Criticality
Office of the National Rail Safety Regulator 15
Consider risks to rail safety 2 431
Risks
RisksRisks2.Consider
riskstorailsafety
3.Makeregulatorydecisions
Decisions
Operators’riskmanagementactivities
Operators’safetyperformance
ExternalReports
Rail OperatorReporting
ATSBReports Occurrences
REPCON PeriodicData
CoronerReports
SPRs/AASs
InvestigationReports
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. ofchange
Investigations
Applications FieldTrips
1.Gatherregulatoryintelligence
2.Considerriskstorail
safety
OperatorRiskFactors
RailSafetyWorkerRiskFactors
ChangeRiskFactors
AssetRiskFactors
Activities4.Undertakeregulatoryactivities
Office of the National Rail Safety Regulator 16
Make regulatory decisions
3.Makeregulatorydecisions
Decisions
Operators’riskmanagementactivities
Operators’safetyperformance
ExternalReports
Rail OperatorReporting
ATSBReports Occurrences
REPCON PeriodicData
CoronerReports
SPRs/AASs
InvestigationReports
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. ofchange
Investigations
Applications FieldTrips
1.Gatherregulatoryintelligence
2.Considerriskstorail
safety
OperatorRiskFactors
RailSafetyWorkerRiskFactors
ChangeRiskFactors
AssetRiskFactors
Activities4.Undertakeregulatoryactivities
2 431
Decisions
Office of the National Rail Safety Regulator 17
Make regulatory decisions 2 431
Decisions
Tier3Decisions
Tier2Decisions
Tier1Decisions
PrincipalFocusofRisk-basedRegulation
• Decision-specificrequirementsapply
• E.g.Decisiontoaccreditarailoperator
SecondaryFocusofRisk-basedRegulation
• Genericrequirementsapply
• E.g.Decisiontodevelopnewsafetyguideline
NoRisk-basedRegulationRequirementsApply
• Involvesdecisionsofacorporatenature
• E.g.Selectingapublishingserviceproviderforcorporatereports
Office of the National Rail Safety Regulator 18
Risk-based to what degree? 2 431
Decisions
Decisionswhere:• ThereislittlepotentialimpacttoONRSR’sabilitytomaintainand
improverailsafety• Takingarisk-basedapproachaddsnovalue• Theconsequenceofnottakingarisk-basedapproachisnegligible• Thecostoftakingarisk-basedapproachoutweighsthebenefitgained
Decisionswhere:• ThereisasignificantpotentialimpactonONRSR’sabilitytomaintain
andimproverailsafety• Takingarisk-basedapproachaddssignificantvalue• Theconsequenceofnottakingarisk-basedapproachcouldbe
catastrophicforrailsafety• Thebenefitgainedbytakingarisk-basedapproachoutweighsthecost
NotRisk-based
VeryRisk-based
Office of the National Rail Safety Regulator 19
Risk-based to what degree? 2 431
Decisions
NotRisk-based
VeryRisk-based
RiskConsiderationLevels
RCL-0 The decision does not need to be informed by consideration of risks to rail safety
RCL-1 The decision will be informed by an implicit consideration of risks to rail safety
RCL-2 The decision will be informed by implicit consideration of a pre-determined set of rail safety risk factors.
RCL-3 The decision will be informed by explicit consideration of a
pre-determined set of rail safety risk factors.
RCL-4 The decision will be informed by an explicit, qualitative assessment of risks to rail safety.
RCL-5 The decision will be informed by an explicit, quantitative assessment of risks to rail safety.
RCL-0 The decision does not need to be informed by consideration of risks to rail safety
RCL-1 The decision will be informed by an implicit consideration of risks to rail safety
RCL-2 The decision will be informed by implicit consideration of a pre-determined set of rail safety risk factors.
RCL-0 The decision does not need to be informed by consideration of risks to rail safety
RCL-1 The decision will be informed by an implicit consideration of risks to rail safety
RCL-2 The decision will be informed by implicit consideration of a pre-determined set of rail safety risk factors.
RCL-3 The decision will be informed by explicit consideration of a pre-determined set of rail safety risk factors.
RCL-4 The decision will be informed by an explicit, qualitative assessment of risks to rail safety.
RCL-5 The decision will be informed by an explicit, quantitative assessment of risks to rail safety.
RCL-3 The decision will be informed by explicit consideration of a pre-determined set of rail safety risk factors.
RCL-4 The decision will be informed by an explicit, qualitative assessment of risks to rail safety.
RCL-5 The decision will be informed by an explicit, quantitative assessment of risks to rail safety.
Office of the National Rail Safety Regulator 20
Make regulatory decisions 2 431
Decisions
3.Makeregulatorydecisions
Decisions
Operators’riskmanagementactivities
Operators’safetyperformance
ExternalReports
Rail OperatorReporting
ATSBReports Occurrences
REPCON PeriodicData
CoronerReports
SPRs/AASs
InvestigationReports
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. ofchange
Investigations
Applications FieldTrips
1.Gatherregulatoryintelligence
2.Considerriskstorail
safety
OperatorRiskFactors
RailSafetyWorkerRiskFactors
ChangeRiskFactors
AssetRiskFactors
Activities4.Undertakeregulatoryactivities
Decisions
3.Makeregulatorydecisions
Tier3Decisions
Tier2Decisions
Tier1Decisions
RCL-0
RCL-3 RCL-4 RCL-5
RCL-2RCL-1
Office of the National Rail Safety Regulator 21
Undertake regulatory activities
Activities4.Undertakeregulatoryactivities
Operators’riskmanagementactivities
Operators’safetyperformance
ExternalReports
Rail OperatorReporting
ATSBReports Occurrences
REPCON PeriodicData
CoronerReports
SPRs/AASs
InvestigationReports
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. ofchange
Investigations
Applications FieldTrips
1.Gatherregulatoryintelligence
2.Considerriskstorail
safety
OperatorRiskFactors
RailSafetyWorkerRiskFactors
ChangeRiskFactors
AssetRiskFactors
Decisions
3.Makeregulatorydecisions
Tier3Decisions
Tier2Decisions
Tier1Decisions
RCL-0
RCL-3 RCL-4 RCL-5
RCL-2RCL-1
2 431
Activities
Office of the National Rail Safety Regulator 22
Regulatory activities2 431
Activities
• Cancellations / suspensions• Prosecutions• Statutory notices• Non-conformances• Education / safety improvement
projects
• Compliance audits• Compliance inspections• Operational / compliance
investigations• Field trips
Accreditationactivities Complianceactivities• Assessing applications for
accreditation / registration• Assessing applications for variation
of accreditation / registration• Reviewing Notifications of Change
• Rail safety report• Safety policies• Safety guidelines• Safety alerts• Enguage / Safety bulletins• External presentations
Enforcementactions ONRSRPublications
Office of the National Rail Safety Regulator 23
Undertake regulatory activities2 431
Activities
EnforcementActions
Publications
Cancellations /Suspensions
Policies
Prosecutions Guidelines
StatutoryNotices
SafetyBulletins
Non-conformance
SafetyAlerts
Education RailSafetyReport
4.Undertakeregulatoryactivities
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. change Investigations
Applications FieldTrips
Activities
ExternalReports
Rail OperatorReporting
ATSBReports Occurrences
REPCON PeriodicData
CoronerReports
SPRs/AASs
InvestigationReports
AccreditationActivities
ComplianceActivities
Variations Audits
Conditions Inspections
Not. ofchange
Investigations
Applications FieldTrips
1.Gatherregulatoryintelligence
2.Considerriskstorail
safety
OperatorRiskFactors
RailSafetyWorkerRiskFactors
ChangeRiskFactors
AssetRiskFactors
Decisions
3.Makeregulatorydecisions
Tier3Decisions
Tier2Decisions
Tier1Decisions
RCL-0
RCL-3 RCL-4 RCL-5
RCL-2RCL-1
4.Undertakeregulatoryactivities
Operators’riskmanagementactivities
Operators’safetyperformance
Office of the National Rail Safety Regulator 24
Example risk-based decision:Setting minimum interaction levels
25
Minimum Interaction Levels
Office of the National Rail Safety Regulator
TheminimumfrequencieswithwhichONRSRundertakesauditandinspectionactivitiesonaccreditedoperatorsareknownas
MinimumInteractionLevels
ONRSRRailSafetyReport2015-2016
TheselevelsaresetannuallyaspartofthedevelopmentoftheNationalAudit&ComplianceWorkProgram
ONRSRRailSafetyReport2015-2016
Generalprinciple
Thegreaterthelevelofsafetyriskanoperatorexposesthecommunityto,thegreaterthatoperator’sMinimum
InteractionLevelwillbe
26
Setting Minimum Interaction Levels
Office of the National Rail Safety Regulator
Risk-based Regulation Requirements1. A semi-quantitative, explicit risk assessment will be undertaken to
inform Minimum Interaction Levels2. Scores will be assigned to operators to reflect the relative level of rail
safety risk they expose the Australian community to.3. Operators will be assessed against a range of risk factors covering:
§ Size, scope, complexity and diversity of operations§ Exposure to operational, organisational and asset-related change§ Responsiveness to regulatory intervention§ Safety performance§ Compliance history
4. ONRSR operational stakeholders will be involved throughout the assessment process
5. Operator Minimum Interaction Levels will be set based on the results of the risk assessment and the capacity of operational staff.
RCL-4
INPUTSMonthlyReturns
SMEInput
Notifiable Occurrences
Audit&InspectionFindings
ALCAMdata
SafetyPerformanceReports
Applications
Investigation Reports
NotificationsofChange
27
Setting Minimum Interaction Levels
Office of the National Rail Safety Regulator
PrioritisedsetofOperators
MinimumInteraction
Levelsassigned
OUTPUTSNational Audit&
ComplianceProgram
Branch Audit&CompliancePrograms
1.Gatherregulatoryintelligence
2.Assessoperators
againsteachriskfactor
InherentRiskFactors
DynamicRiskFactors
OccurrenceRiskFactors
ComplianceRiskFactors
3.SetMILsbasedonresultsofassessment
2.Considerriskstorailsafety
4.Undertakeregulatoryactivities
1.Gatherregulatoryintelligence
Intelligence Risks3.Makeregulatorydecisions
Decisions Activities
Applymixofqualitativeandquantitative
scoringcriteriatoeachoperator
(RCL-4)
4.DevelopAudit&CompliancePrograms
basedonMILs
Office of the National Rail Safety Regulator 28
Benefits of risk-based regulation
Office of the National Rail Safety Regulator 29
BenefitsUltimately about improving rail safety> Better alignment between
regulatory activity and rail safety risk
> Making the best use of limited resources
> Increased transparency and better alignment between ONRSR and industry’s safety priorities
Questions?
Thank you