Our plan for 2012-13 - Activities table - April 2012 · 2014-02-17 · Lead directorates RPP/RME/RS...

Our plan for 2012-13

Activities table

April 2012

Office of Rail Regulation | May 2012 | Our planned activities for 2012-13 2

Summary of our key activities for 2012-13

Priority: Reducing the industry’s costs

We will test our success in 2012-13 by whether the following outcomes are achieved:

Network Rail successfully delivers its CP4 efficiencies with benefits to funders, customers and tax payers.

An agreed and improved approach for calculating and reporting efficiencies is in place, providing stakeholders with greater transparency and confidence, and ensuring Network Rail is held to account.

Network Rail is driving towards best practice in asset management, including asset condition data.

Building blocks in place with Network Rail on a potential infrastructure concession in CP5.

More partnership working and alliances between Network Rail and TOCs, with appropriate safeguards in particular on transparency and without discrimination.

The sector is held increasingly to account by the publication of more industry data on costs, and the publication of benchmarking reports.

The PR13 programme plan is delivered, laying the foundations for CP5 cost reductions.

This work supports the delivery of the following strategic themes:

Theme 1: Focus on Passengers and freight customers now and in the future.

Theme 3: Excellence in asset management.

Theme 4: Improved industry planning and timely and efficient delivery of major projects.

Theme 5: Efficient use of capacity on the mainline network.


Activities to deliver this priority

Purpose of activity Key outputs of activity/project Target Date

Monitoring Network Rail’s delivery of its regulated CP4 outputs Lead directorate RPP

To review efficiency of Network Rail‟s expenditure.

Assess Network Rail‟s efficient delivery of maintenance, renewals and enhancements in 2011-12.

September 2012

Review a sample of projects to check that they are carried out to appropriate standards; and ensure delivery of whole-life cost efficiency as well as short term outputs.

December 2012

Carry out an efficiency review of a selection of schemes from the enhancement funds.

December 2012

Assess requests for additions to the Regulated Asset Base for projects not funded in the last periodic review, in accordance with the investment framework.

As required

PR13 programme and the development of the Strategic Business Plan

Lead directorates RPP/RME/RS

To effectively manage the PR13 programme. Monitor progress and provide constructive challenge against the development by Network Rail and the Industry of the Strategic Business Plan.

Ensure that the PR13 plan milestones are delivered on time and to the required quality.

To the agreed programme timescales

Publish the framework for setting Network Rail‟s funding through PR13.

April 2012

Work with Department for Transport/Transport Scotland and the industry on the development of the High Level Output Specifications (HLOSs) and Statement of Funds available (SoFAs) through to publication.

Period up to July 2012

Consult on Network Rail‟s required outputs, business enablers and monitoring KPIs.

August 2012

Review response on proposed outputs and consider/address any issues arising (including health and safety) engaging with Network Rail to inform the development of its Strategic Business Plan.

December 2012


Monitor Network Rail‟s progress towards producing a robust Strategic Business Plan, according to the milestones in the requirements letter. Where progress is inadequate, carry out specific analysis as required.

Period up to January 2013

Assess Network Rail‟s Strategic Business Plan and asset policies to ensure that they are robust, efficient and sustainable. Finalise drafting for inclusion in our draft determination.

January to March 2013

PR13 financial framework Lead directorate RME

To develop an effective PR13 financial framework.

We will also monitor Network Rail‟s financial performance against our determination to inform our determination for CP5.

Provide input into the development of the PR13 financial framework. This includes:

Corporate financial incentives - approach to cost of capital and incentives.

Corporate finance - allowed return, debt and financeability.

Detailed approach to amortisation, RAB and corporation tax.

Detailed approach to risk and uncertainty - indexation, duration, financial ring-fence, input prices and non-controllable costs.

April 2012 to November 2012

Ensure that the Regulatory accounts for 2011-12 are delivered according to the reporting requirements including sufficient audit and analysis of Network Rail's related data submissions.

July 2012

Produce and publish an annual financial performance and efficiency review for 2011-12.

September 2012

Review accounting guidelines and make any necessary changes following experience with the publication of the regulatory accounts to the new requirements.

December 2012

Review Network Rail‟s progressive assurance information and Network Rail‟s expenditure and efficiency issues

December 2012

Produce and publish whole-industry accounting information.

January 2013


Assess the Strategic Business Plan. This includes assessing support costs, non-controllable Opex, other renewals (including IT and corporate accommodation), other income and financial assumptions.

March 2013

Undertake monitoring of financial market conditions and other financial monitoring of Network Rail against the PR08 determination.

Ongoing

Engage with funders, including Department for Transport and Transport Scotland – including on-going explanation/discussion of Network Rail financial performance and projections.

Ongoing

Hold regular financial monitoring meetings with Network Rail.

Ongoing

PR13 Efficiency Benchmarking (Cost efficiency analysis of Network Rail and Train Operating

Companies) Lead directorate RME

To carry out cost efficiency benchmarking of Network Rail and Train Operating Companies so comparators are identified and further efficiencies achieved.

Produce updated econometric benchmarking based on international regional data.

September 2012

Produce a Train Operating Company cost efficiency benchmarking report (also linked to our work on Transparency).

September 2012

Determine data that will be required for domestic benchmarking and put collection procedures in place to ensure necessary data is collected from 2013-14 onwards.

October 2012

Produce second report on whole-industry costs (also linked to our work on transparency).

February 2013

Monitor and engage with other GB regulators through the Joint Regulators Group.

Ongoing

Use the Economic Regulation Advisory Panel to inform and challenge our thinking.

Ongoing


PR13 incentives Lead directorate RME

Undertake reviews of the incentives mechanisms to ensure that the correct incentives for PR13 are in place.

Publish our „Setting the financial and incentive framework for CP5‟ document, following our consultations in 2011.

April 2012

Finalise main policy decisions and recalibration of schedules 4 and 8.

September 2012 – March 2013

Develop our work on charges, including route-level disaggregation, traction electricity charges, scarcity charges and the volume incentive, the fixed charge.

April 2012 – March 2013

Keeping markets under review Lead directorate RME

and others as appropriate

To discharge our responsibilities for keeping markets under review with a programme of market studies that support our key strategic priority for driving down costs.

Carry out Market Studies to inform our understanding of the drivers of Network Rail‟s costs around procurement and asset protection policies.

March 2013

Carry out Market Studies in support of industry reform such as to inform our understanding of the implications for our regulatory framework of new market structures.

March 2013

Asset management Lead directorate RPP

To promote good practice asset management across the industry; and to ensure Network Rail adopts a sustainable and efficient approach to managing assets.

Assess Network Rail‟s progress towards excellent asset management via the „Asset Management Roadmap‟; and ensure a Reporter‟s assessment is provided.

Ongoing

December 2012

Monitor Network Rail‟s delivery of asset management trajectories.

Ongoing

Monitor and assess Network Rail‟s asset information strategy, development and capability.

Ongoing

Ensure effective development of an industry technical strategy.

Ongoing

Monitor Network Rail‟s delivery of its Building and Civils Asset Management (BCAM) Improvement Programme.

Ongoing


Access policy and casework including the Network Code Lead directorate RME

To deliver our statutory requirements whilst ensuring that the industry takes a greater responsibility for the efficient delivery and robustness of contractual arrangements, and that our processes are streamlined and simplified. Ensure that decisions on capacity allocation take full account of the impact on passenger and freight customers.

Finalise and implement changes to the station access contractual regime.

December 2012

Consider the development of an access right available to open access operators on the basis of a cost-benefit test (rather than the Not Primarily Abstractive test) which would attract some fixed charge.

March 2013

Continue to work with Department for Transport, Network Rail and ATOC to establish and implement arrangements for a different approach to responsibilities at stations.

In line with DfT‟s franchise re-letting timetable

Focus on the following areas:

Process and decide casework in line with published policies and procedures and within published timescales.

Process all appeals within two months of receipt of all relevant information.

Process closure cases within published timescales.

Maintain an up to date public register and ensure information on the website is up-to-date.

Review casework and administrative processes, including timescales.

Ongoing

Contribute to the review of Route Utilisation Strategies.

Ongoing

Undertake residual work from the implementation of the new Part J of the Network Code and monitor its effectiveness.

Ongoing

Monitor the outputs from the National Stations Improvement Programme.

Ongoing

Monitor and review the Control Period 4 regulated outputs for stations and depots.

Ongoing

Regulation of High Speed One Lead directorate RME

To satisfy our statutory role of balancing our duties when considering approval of new and amended agreements for access to HS1 Limited railway facilities.

Carry out a review of the criteria and procedures on the approval of framework agreements for High Speed 1 and take account of the new freight access regime.

To be undertaken once the template freight access agreement is complete.


Monitoring operational performance of HS1 against its regulatory targets.

Identify and deliver changes to the High Speed 1 Network Code, including processing Proposals for Change.

Ongoing

Continue to review the criteria and procedures, model contracts/application forms and website content to ensure that they remain fit for purpose.

Ongoing

Undertake benchmarking on access charges. Ongoing

Undertake a review of the operational performance of High Speed 1.

Ongoing

Carry out a review of the accuracy and reliability of High Speed 1‟s data.

As required

Investigate any failing/shortcoming to meet relevant obligations and take action, as necessary.

As required

Shaping Industry Reform Lead directorates RME/RPP/RS

To effectively contribute to the delivery of industry reform.

To publish conclusions/action plan on the streamlining of our contractual and consultation processes to support industry reform and value for money.

May 2012

To work with Network Rail on a potential infrastructure concession in CP5 and explain how we would regulate a network concession.

January 2013

Ensure that in delivering industry reform health and safety is not compromised, improved where possible and delivered.

Monitored through RS inspection plans

Effectively set out how we will deliver any changes in responsibility that transfers from DfT to ORR

To timescales agreed with DfT

Establish a regulatory framework for CP5 that will facilitate and encourage industry reforms (such as devolution, alliancing and concessions) while providing appropriate safeguards.

Ongoing

Support the development of the Network Rail/South West Trains (SWT) alliance and provide help and advice to further alliance proposals, while ensuring that adequate safeguards are in place (for example securing transparency and non-discrimination).

Ongoing


Performance Indicators

(a) 100% delivery of regulatory financial milestones.

(b) 100% of Network Rail enhancement projects are completed in accordance with its CP4 delivery plan

obligations.

(c) 100% delivery of milestones for regulatory framework and preparation for periodic review (PR13).

(d) Robust efficiency assessments and reports produced to time.

(e) S18 and 22 station and depot access agreements determined within 6 weeks of receipt of relevant

information (100%).

(f) S17, 18 and 22 track access agreements determined within 6 to 12 weeks depending on complexity –

in line with published Criteria and Procedures.


Priority: A sharper focus on customers


Network Rail successfully delivers its CP4 output obligations, including performance, capacity and reducing disruption to passengers from engineering work, delivering benefits to funders, customers and taxpayers.

Passengers benefit from more timely, appropriate and accurate information so that they can plan their journeys with a reasonable degree of assurance.

Passengers can hold their service providers increasingly to account by having access to more information and data including about what other passengers are complaining about; how their train operator is performing at a service group level; and how fares and taxpayer money is spent in running services.

We have an industry that demonstrates increased responsiveness to its customers including passengers with reduced mobility and other groups with special needs.

There is a continued increase in overall passenger and freight customer satisfaction.

Our stakeholders understand how the decisions and actions we have taken have benefited customers and taxpayers.

Freight customers continue to benefit from a competitive freight market.

Zero industry-caused passenger fatalities and an ever decreasing overall safety risk.


Theme 1: Focus on Passengers and freight customers now and in the future.

Theme 2: Excellence in health and safety culture and risk control.

Theme 7: High quality data and information for key decisions.




Monitoring Network Rail’s delivery of its regulated CP4 outputs and the industry’s delivery of

passenger information

Lead directorate RPP

To ensure the industry takes the necessary action to meet their obligations and accommodate the needs of passenger and freight customers.

Undertake a review of the progress made on enhancement projects and programme funds, with a focus on delivery risks.

Quarterly

Establish processes to monitor and enforce passenger information obligations and review progress of industry plans for delivering better passenger information.

As required depending on the initial review of local delivery plans

Assess requests for changes to the Enhancements Delivery Plan in a timely and transparent manner, ensuring Network Rail has consulted operators and Passenger Focus where relevant.

As required

Holding Network Rail to account against its licence Lead directorate RPP

To ensure Network Rail is held to account for delivery of licence obligations in the interests of its customers, passengers, freight users and funders.

Undertake regular reviews of Network Rail‟s delivery of regulatory outputs and commitments.

Monthly

Ensure appropriate action is taken to address any concerns with Network Rail delivery, including areas where economic and safety issues overlap, and including whether the licence is the most appropriate means of addressing the concern.

As required

Publish clear, balanced assessments of Network Rail delivery, including an annual summary with a financial and safety performance review.

Quarterly

Monitor and review the Control Period 4 regulated outputs for stations and depots.

Ongoing

Ensuring credible plans are in place to meet the longer term challenges the industry faces

Lead directorate RPP

To monitor the production of industry plans to ensure that ORR is equipped and

Undertake a review of ORR‟s approach to sustainable development (this links with our work on evaluating ORR‟s effectiveness).

July 2012


ready to carry out successful periodic reviews.

Work with the industry to define and implement a new long term planning framework that will replace the Route Utilisation Strategy process.

Ongoing

Shaping Industry Reform – customers Lead directorates RPP/RS

To secure industry reform changes to the benefit of passengers and freight customers.

Determine the appropriate scope for increased contestability.

September 2012

Update the licencing framework to reflect agreed reforms, including published guidance and interface arrangements with funders.

December 2012

Review our economic enforcement policy to address industry reform.

December 2012

Review our land disposal policy to address industry reform.

December 2012

Establish processes to monitor and enforce TOC delivery of station stewardship obligations.

As required for each franchise

Ensure that Network Rail devolution, infrastructure concessions, alliancing and long-term station leases do not compromise health and safety, clear responsibilities are maintained and opportunities for improving health and safety are adopted.

Monitored through RS inspection plans

Consumer policy and case work Lead directorate RME

To discharge ORR‟s responsibilities as a consumer authority under Part 8 of the Enterprise Act 2002 and as an appeals body under the PRO by ensuring train operators comply with their legal obligations and that consumer harm is identified and remedied.

Report on passengers perceptions of ticket complexity – working with the industry in the design and implementation of solutions.

May 2012 report on the findings of our 2011-12 research study

Explore consumer awareness of current refund rights and compensation arrangements (and the extent to which consumers exercise their rights), to assess the incentive effect on the industry of the current regime. Publish a report of our findings together with recommendations, (also links to our work on performance and possessions in PR13).

October 2012

Commission research on the impact that railways have on passengers‟ quality of life perceptions (also linked to our work on evaluating ORR‟s effectiveness).

March 2013


Pursue an active programme of engagement with the industry, getting a better understanding of how, in practice, they deliver to their customers. Report on our findings and identify best practice.

March 2013

Continue to contribute advice and guidance to the industry and Department for Transport on matters which impact on the consumer in particular to contribute to DfT‟s fares and ticketing review.

In line with timescales

Increase our understanding of consumer issues and passenger needs by continued participation in concurrency working groups and engaging with passenger groups and consumer groups more broadly. Use this to highlight issues and inform our priorities.

Ongoing

Continue to participate in discussions with Europe on making the Passengers‟ Rights and Obligations Regulation obligations work in practice.

Ongoing

Use our Consumer Expert Panel to inform and challenge our thinking on consumer issues.

Ongoing

Competition policy and case work Lead directorate RME

To discharge ORR‟s responsibilities as a competition authority under the Competition Act 1998 (CA08), and the Enterprise Act (EA02) consistently (where relevant) with other concurrent competition authorities.

Through PR13, push forward contestability and the effectiveness of competition in rail markets to drive better value for money (also links to our work on cost efficiency).

April 2012 – March 2013

Ensure case work is delivered within published timescales and internal targets.

In accordance with published timescales

Review the effectiveness of the remedies put in place by the Competition Commission following their Rolling Stock Companies (ROSCO) investigation.

March 2013

Provide timely contributions and information to OFT and the Competition Commission in relation to railway mergers, as required.

Within the timescales of the merger authorities

Use our powers under CA08 and EA02 as appropriate to address exploitative or anti- competitive behaviour in the rail industry, or to identify and address features of the market that may have an adverse effect on competition.

As appropriate


Actively engage in and influence the developments of railway policy, agreements and practice to ensure consistency with competition principles. Continue to engage with Government as it implements its proposals for making changes to the competition landscape. Work within the Joint Regulators Group to identify and publish a common set of factors that regulators apply to their choice of regulatory or competition tools.

Ongoing

Influence the development of railway policy, agreements and practice to ensure consistency with competition principles.

Ongoing

Provide advice on the application of competition law to the railways and where necessary, publish guidance.

Ongoing

Customer-facing market studies Lead directorate RME

To discharge our responsibilities for keeping markets under review with a programme of market studies that support our key strategic priority for a sharper focus on customers.

Undertake a freight customer survey. May/June 2012 Publish findings August/ September 2012

Evaluate responses to our conclusions paper on the effectiveness of the Code of Practice on real time train information and to consider next steps.

Publish conclusions August 2012

Monitor and evaluate the success of remedies put in place to address issues identified in our 2011-12 freight sites market review.

Publish report November 2012

Data collection, analysis and publication Lead directorate RPP

To identify and ensure that accurate, reliable and informative data and analysis is provided for stakeholders and to enable us to perform our functions.

Build on the understanding of passenger data needs (established in 2010-11 and 2011-12) and ensure that this is made available to passengers and stakeholders through the most appropriate channel.

Add additional data where relevant throughout the year Review and publish the findings of the SWT research by end of June 2012

Continue to work with the UK statistics authority (UKSA) to establish what we would need to do to meet the standard required for National Statistic accreditation of our official statistics held on the data portal. Investigate whether the recommendations they make are in line with our business needs.

June 2012


Continue to develop our understanding of passenger satisfaction so that it can be benchmarked against other operators/countries.

September 2012

Ensure that Network Rail implements a process for measuring its level of customer service maturity and that it clearly understands where it is now and what it can reasonably achieve in Control Period 5.

September 2012

Ensure the quality of Network Rail and High Speed 1‟s data is assured.

Specify requirements for the 2013 Annual Return.

September 2012 December 2012

Ensure that the necessary data is sourced to enable us to monitor performance of Network Rail‟s routes.

Regularly review the Memorandum Of Understandings with data suppliers to ensure they are up to date and fit for purpose.

Ongoing

Ensure our commitments for data publication are met. Continuously improve accuracy, reliability and relevance of all data (internal and published).

Ongoing

Ensure that adequate and appropriate data is collected to support performance investigations.

Ongoing

Ensure availability and performance of the data portal and that it evolves to meet user needs efficiently (as identified by the passenger priorities work and stakeholder engagement).

Ongoing

Transparency work Lead directorate RME/RPP

To advance and promote transparency within our sector for the purpose of delivering better industry performance through increased accountability, and

Consult on ORR‟s approach to transparency. May/June 2012

Publish report on TOC benchmarking (also links to our work on cost efficiency). Publish our second report on whole industry cost (also links to our work on cost efficiency).

September 2012

February 2013


reputational incentive. Publish right time data and more disaggregated complaints data.

October 2012 (Subject to industry discussions)

Commission an evaluation of the benefits and risks of delivering greater transparency in the sector.

March 2013

Europe Lead directorates RME/RPP/RS

To inform, influence the development and implementation of the European economic, interoperability and safety regulatory regime.

Support the implementation of COTIF and relevant appendices, and provide input to developing policies. Publish with DfT guidance document

September 2012

Monitor and support implementation of RailNet Europe (RNE) initiatives and provide input to developing policies. Sign Memorandum of Understanding on cooperation

December 2012

Assist the Department for Transport in developing a targeted influencing strategy in Europe that helps achieve the benefits of harmonisation and market opening and that it is consistent with ORR‟s corporate strategy and objectives.

Subject to EU/DfT timescales

Targeted, effective influencing of European economic and safety regulatory policy developments.

Ongoing

Develop, engage and strengthen relationships with EU industry bodies, MEPs, international rail organisations and domestic industry, other regulatory bodies, RSSB and other Member States to enhance UK influence, promote ORR‟s position and exchange best practice.

Ongoing

Support ORR vice-chairmanship (2012) and chairmanship (2013) of IRG-Rail.

Ongoing

To ensure that our legislation, guidance and liaison helps the industry to comply with European requirements and to engage effectively in the development of initiatives.

Ongoing

Performance Indicators:

(a) 100% of advice requests from competition authorities on relevant mergers responded to within

agreed timescales enabling them to meet their statutory deadlines

(b) 95% of enquiries relating to completion and/or consumer law responded to within 20 working days

after receipt by ORR


(c) Ensure that our regular statistical outputs are produced to time and are compliant with the UKSA

code of practise.

(d) Ensure that regular monitoring publications are produced to time and to required quality.


Priority: Excellence in safety culture and management across the industry


Passenger Safety

A 5% reduction over the year in train accident risk to passengers in terms of fatalities and weighted injuries on the mainline railway as measured by the Precursor Indicator Model; and 5% improvement in fatalities and weighted injuries per passenger journey on London Underground.

Reduced passenger harm at the platform –train interface on the mainline railway as measured by Fatality and Weighted Injury index per passenger journey.

Workforce safety

Across the whole industry the workforce‟s safety improves by 5% as measured by FWI per 1,000,000 hours worked per year.

Public safety

The risk to the public at level crossings is reduced by 7% as measured by the precursor indicator for fatalities and weighted injuries to the public.

Industry’s Management Maturity

For at least 5 significant dutyholders that cover all parts of the industry e.g (a part of Network

Rail, LUL, train and freight operators) over a period of either one or two years we see a

noticeable improvement in their overall position in the Railway Management Maturity Model‟s 26

elements.

Major incidents

No major incident occurs that can be attributed to management failures of the industry.


Theme 2: Excellence in health and Safety

Theme 3: Excellence in asset management

Theme 6: Development by the industry of the capabilities of its people




Health and safety management systems and the maturity of management systems programme

Lead directorate RS

Health and safety management systems and the maturity of management systems.

Carry out an audit inspection on Network Rail‟s management of risk assessment and control of risk at level crossings.

March 2013

Carry out an audit inspection on Network Rail‟s management and use of risk assessment to improve safety during design and build of new schemes or major renewals.

March 2013

Focus on the management system elements from the Railway Management Maturity Model that merit most attention to secure improvement.

Embedded in RS planning processes and timescales.

Continue the account holder‟s forum and focus on the use of the maturity model.

At least once in the year.

Undertake an evaluation of health and safety management system maturity of key duty-holders by judging evidence obtained through all our planned and reactive activities.

Ongoing with a formal review in March 2013

Undertake inspection of high-risk duty-holders to check their management of fatigue and carry out a programme that involves reviewing and comparing fatigue risk models and tools.

Ongoing

Embed the use of the Railway Management Maturity Model as a self-assurance tool for duty-holders.

Ongoing

The industry’s Management of Change programme Lead directorate RS

To ensure that the industry has the procedures and methods in place to identify and manage health and safety risks associated to changes within the industry.

Undertake inspection and audit of the introduction and implementation of changes made by London Underground to introduce Nightly Engineering Protection Arrangements (NEPA).

December 2012

Undertake an Audit/inspection of South West Trains, Network Rail Wessex Alliance using the Management of Change Inspection Toolkit and assessment using the Railway Management Maturity Model criteria to make sure that the management of the devolved change happens effectively.

March 2013


Carry out an Inspection of the move to nine new signalling centres.

March 2013

Seek assurance from Network Rail‟s transformation project, looking at structures, that will deliver tangible safety benefits and be managed effectively through a robust change management process.

March 2013

Undertake an audit/inspection of all Network Rail‟s devolved routes to determine whether the change from a centralised structure to a devolved one has followed recognised change management protocols in accordance with the centrally laid down process.

Ongoing

Participate in industry national operational liaison groups considering policy or technical “change” (e.g. dangerous goods enforcing authority liaison group).

Ongoing

Industry management of interface system safety Lead directorate RS

To ensure that the industry is identifying and managing the significant interface risks across the railway system through effective collaboration with dutyholders and evidence that proper implementation of systems have taken place.

Challenge TOCs on decision to fit/not fit enhancements to Train Protection Warning System (TPWS).

April 2012

In respect of low adhesion, we will follow up on lessons learned during the autumn low adhesion peak period 2011, check train operators‟ readiness for the autumn season 2012, and track the industry's response to the Curly report.

August 2012

In respect of Level Crossings, carry out the following:

Undertake an audit (using techniques for

the evaluation of management systems

Safety Management System process) of

Network Rail‟s management of risk

assessment and control of risk at level

crossings.

Carry out inspections to check the commitments made by Network Rail to improve risk control at level crossings in the remainder of Control Period 4.

Inspect level crossing risk assessment on Heritage Railways.

January 2013

January 2013

January 2013


In respect of Light rail and trams, we will look at the following:

Interfaces between tram/pedestrian and tram/road vehicle; and

Wheel rail interface and derailment risk.

March 2013

In respect of Transport for London, we will look at the following:

Passenger safety

o Train/station crowding.

o Platform-train interface – over-carried passengers.

o Wrong-side door opening.

o Signals passed at danger (SPADS).

March 2013

Ensure compliance with Rail Vehicle Accessibility Regulations and the Persons of Reduced Mobility Technical Specification for Interoperability on rolling stock.

As required

We will investigate platform train interface incidents and ensure dutyholders address specific concerns.

As required

Industry workforce safety programme Lead directorate RS

To maintain and further develop and improve workforce safety and welfare. The work will support dutyholders in achieving a progressive reduction in the workforce injuries and accident rate.

Further develop our vision for workforce safety for each railway sector.

February 2013

Conduct inspections, carry out enforcement and report on the industry‟s work to reduce risk from:

Workers struck by service trains.

Road rail vehicles and construction sites, including lift planning.

Road risk – fatigue.

Shunting.

Slips and trips.

Competency and workshop safety issues in the Heritage sector.

Tram depot traction current isolation.

Electrical safety.


Industry Occupational Health programme Lead directorate RS

To implement our occupational health programme, we will promote and deliver our vision of a rail industry that consistently achieves best practice in occupational health.

Secure improvements in the gathering and use of good data on occupational health within the industry.

February 2013

Support the rail industry‟s development of an adequate information system for gathering analysis and reporting data on occupational health.

February 2013

Carry out inspection activity to secure legal compliance and promote excellence in the management of health by targeting: hand arm vibration, hazardous substances, especially silica in ballast dust; biohazards; and asbestos.

March 2013

Drive towards excellence in the management of occupational health risk through inspection and liaison activities with dutyholders and their contractors to promote a better understanding of legal requirements.

March 2013

Promote excellence in leadership and management of occupational health risks.

Ongoing

Safe management of construction programme Lead directorate RS

To ensure that the industry continues to improve its ability to deliver construction projects safely and manages key risks effectively particularly in relation to design and maintainability.

Undertake a series of projects starting at the design stage to ensure that safety risks are being effectively designed out at source.

Use the Railway Management Maturity Model framework to check construction assurance and safety aspects of 5 to 10 investments projects.

Inspect Network Rail‟s management of asset renewals (in Wales, Western & Wessex Routes) and ensure Network Rail deliver infrastructure projects safely.

Monitor Network Rail‟s implementation of Grayrigg RAIB recommendation 1, which requires a new design of stretcher bar for use in switches and crossings.

Monitor Network Rail‟s installation of overhead line and other electrical equipment to ensure it is designed and installed in accordance with legal requirements and best practice.

February 2013


Use the Railway Management Maturity Model and audit contractors to ensure proper arrangements are in place for the Management of Temporary Works.

February 2013

Use our approach on projects to press the industry on innovation for design and working practices.

February 2013

Management of assets to ensure safety Lead directorate RS

To ensure the industry maintains and continuously improves the railway assets, to reduce catastrophic risk precursors and worker risk resulting from asset condition and where necessary ensure compliance with health and safety law.

Ensure through inspection that a selected number of train operating companies are maintaining their leased rolling stock and stations.

February 2013

Ensure visits to depots with Network Rail inspection and maintenance staff and ensure track access arrangements are robust.

March 2013

Ensure through inspections that commitments made in safety certificates/authorisations are delivered in practice.

March 2013

Ensure Network Rail‟s information strategy is progressing to plan.

Ongoing

Industry staff competence and capability Lead directorate RS

To promote, encourage and support industry's ability to maintain, develop and improve the competence and cost-effectiveness of its “people” resource.

Work with all of the industry to ensure that it understands the skills and resources required. Review the National Skill‟s Academy for Railway Engineering (NSARE) forecasting and Railway Industry Skills Forum outputs. Liaise with NSARE to ensure a robust picture of future demand and the reasons for any gaps in current and future capability are identified.

December 2012


When looking at Competence, undertake the following:

Undertake a series of audit inspections of the CMS of selected duty holders and in particular the CMS of principal dutyholders in line with principles of RSP1 publication.

Incorporate findings of inspections and audits into dutyholder RM3 evaluations.

Liaise with Network Rail, LUL, and other principal dutyholders to monitor proposed changes in approach to risk based management and the implications for competence.

Audit inspections completed by January 2013 RM3 evaluations completed by March 2013

Use the results of our work into Safety Management Systems to review the effectiveness of the assessment in the line process of Network Rail.

Target date as per SMS target

Development of Statutory work Lead directorate RS

To deliver our statutory obligations to the industry relating to the processing and issue of orders, approvals, certificates and authorisations in an efficient manner and within agreed timescales.

Review the one-stop shop permissioning arrangements, identify and agree any cross office improvements.

December 2012

Ensure ROGS certificates and authorisations issued on time.

As demanded and within any statutory period

Process applications for Level Crossing Orders. As required

Assess and process applications for certification of Entities in charge of maintenance.

As required

Ensure that actions arising from coroners inquests and other public enquiries are considered and delivered in a timely manner.

As required

Ensure that RAIB recommendations are processed and handled. Ensure assurance processes are managed and completed in accordance with ORR procedures and timescales.

Ongoing


Channel Tunnel Intergovernmental Commission and Safety Authority (IGC and CTSA)

Lead directorate RS

To support members of the UK delegations to the IGC and CTSA so that they might fulfil their duties as regulatory body and safety authority for the Channel Tunnel.

Ensure effective Delivery of IGC‟s functions as economic “regulatory body” including:

Ensuring charging regime for the Tunnel is transparent and fair through a better understanding of Eurotunnel‟s cost structure and the Rail Usage Contract with existing operators.

Drive improvements to Eurotunnel‟s network statement for 2014.

Delivery of proactive market monitoring of rail services through the Tunnel.

Ongoing September 2012 December 2012 June 2012

Ensure effective delivery of the IGC‟s functions as “national safety authority” including :

Safety certification of operators and authorisation of new rolling stock; safety authorisation of Eurotunnel;

Development and maintenance of the safety regulatory framework; including transposition of revised safety and interoperability Directives; and

Proportionate supervision and inspection, including gathering and reporting of safety data.

As required March 2013 Ongoing

Ensure delivery of IGC and CTSA by co-ordination of meetings/secretariat functions.

Ongoing

Engage on security matters relating to the operations of the tunnel.

As required

Reactive work Lead directorate RS

To ensure compliance with health and safety legislation and discharge our regulatory obligations consistent with the corporate strategy.

Ensure timely and efficient investigation of selected accidents, incidents and complaints in accordance with our established processes, including regular reviews to ensure investigations are on-course for close-out or enforcement, as appropriate.

As required

Undertake appropriate enforcement action that meets our enforcement policy and is in line with our enforcement processes and the enforcement management model.

As required


Rail safety policy and central regulation Lead directorate RS

Ensure that railway specific health and safety legislation is fit for purpose and can be complied with and enforced.

To deliver our strategy for excellence on health and safety and maintain an oversight on general health and safety law, and provide input to HSE as appropriate.

To deliver ORR‟s responsibilities for research.

To maintain and enhance our relationships with relevant stakeholders.

Undertake a Review and revision of Railway Safety Regulations and Miscellaneous Provisions Regulations.

June - September 2012

Ensure the Law Commission‟s draft Bill and regulations for level crossings reform meet ORR aspirations.

September 2012

Ensure that the industry is aware of changed provisions on risk assessment and that it has processes in place to deliver these.

September 2012

Review and report on enforcement regime for Rail Vehicles Accessibility Regulations/Persons with reduced mobility TSI.

December 2012

Ensure ORR has the necessary processes in place to comply with the CSM on supervision.

December 2012

Provide input to the Sentencing Council‟ guidelines for level crossing offences – to secure better alignment between sentences and the risks to the railways.

December 2012

Ensure that amendments are made to ROGS (to implement Directive changes and improve outcomes)

March 2013

Conduct a review of the health and safety (Enforcing Authority Railways and other guided transport systems) Regulations 2006 and subsequent amendments to the Memorandum of Understanding with the Health and Safety Executive (HSE).

March 2013

Ensure that we take a holistic view of intelligence from Rail Accident Investigation Branch (RAIB) recommendations and consider any implications for our own strategies.

March 2013

Progress the recommendations for changes to the statutory framework arising from the rail-specific and general health and safety Red Tape Challenges and Löfstedt reviews.

To timetable agreed with DfT and HSE

Review and report on the effectiveness of RAIB recommendation handling process.

As required

Review ORR‟s position on train protection in the light of increased longevity of TPWS and Government strategy for roll-out of European Rail Traffic Management System (ERTMS).

As required


Europe Lead directorate RS

To inform, influence the development and implementation of the European economic, interoperability and safety regulatory regime.

Ensure effective processes are in place for the new regime of certification for entities in charge of maintenance (ECMs).

May 2012

Publish ORR annual safety report to ERA. September 2012

Targeted, effective influencing of European railway safety policy developments:

Future role of the European Rail Agency (ERA).

Cross audit programme to improve national safety authority co-ordination and capability.

Practicable proposals for revised CSM on risk assessment.

Input to ERA‟s Joint Network Secretariat on strategic safety issues.

December 2012 ORR audit in September 2012

September 2012

Ongoing

Ensure processes for train driver licensing are in place and operate effectively.

Ongoing

Ensure compliant implementation of EU railway specific legislation and technical interoperability specifications.

Ongoing

Liaise with industry groups and duty-holders to review the proposed revised guidance and approach taken for fatigue management to meet compliance with ROGS Regulation 25.

Ongoing

Arrange liaison meetings with stakeholders such as Rail Safety and Standards Board (RSSB), HSE and British Transport Police (BTP) to align ourselves appropriately.

Ongoing

ORR will maintain its links with the Olympic authorities, and continue to monitor the industry‟s preparations, in advance of the Olympic and Paralympic games.

Ongoing


Shaping Industry Reform – health and safety Lead directorate: RS

To ensure that health and safety is not compromised in delivering industry reform. To ensure that the industry takes the opportunities to further improve its management of health and safety.

(Also links to other shaping industry reform work).

Ensure that Network Rail devolution does not compromise health and safety.

To agreed timescales

Ensure that any infrastructure concessions do not compromise health and safety.


Ensure that alliancing between train operators and Network Rail routes do not compromise safety.


Ensure that health and safety responsibility/risk is appropriately addressed through long term station leases.


Undertake work to establish a Rail Systems Agency.

Ongoing

Performance Indicators (a) 100% ROGS certificate/authorisation applications determined by the due date.

(b) 50% operational inspectors‟ time spent on proactive work.

(c) Prosecution approvals all delivered within a year of the incident when not delayed by either an

inquest, BTP or a RAIB investigation.

(d) Response to RAIB reports is made within the established timescales in 95% of instances.

(e) The majority of duty holders have a competence management system in accordance with guidance.

Put processes in place that facilitates cross-border traffic while ensuring no diminution of safety levels.

Ongoing

Interoperability Lead directorate: RPP

To apply technical and professional engineering expertise to ensure that risks arising from the operation of infrastructure and rail vehicles are reduced.

Effectively contribute to the new regulations. In line with wider legal timescales

Assist DfT with policy development. Ongoing

Engage with and analyse European Rail Agency proposals.

Ongoing


Corporate business functions

We will test our success in 2012-13 by whether the following outcomes are achieved

Corporate Services

Successful roll out and implementation of ORR‟s new Information system – Mosaic.

Corporate Services transactional processes and procedures are reviewed and improved.

Successful support to the organisation in addressing the findings of the Capability Review.

External Affairs

Continue to build ORR‟s profile and influence as an effective, confident and professional regulator in our current safety and economic roles.

Ensure delivery of effective stakeholder management in support of PR13 and other major programmes.

Legal Services

The provision of timely and high quality legal advice on the office‟s main priorities.

Programme/activities to deliver this priority


Corporate Services

To ensure our core business functions are delivered effectively to enable the business to deliver its objectives.

Manage and develop our organisational development work throughout the year (including workforce planning, succession planning, management capabilities and addressing any capability gaps).

Continuous throughout the period

Successfully deliver our new information management system (MOSAIC) to ensure better information and collaboration.


Manage and develop our core statutory business functions and services (including finance, business planning, corporate governance, human resources, information systems, information management and facilities) to effectively meet corporate business needs.



External Affairs

To continuously improve communication and engagement with our external stakeholders in support of our corporate objectives with the aim of ensuring that we are seen as a credible, professional, proportionate and confident regulator by our stakeholders, the industry, the media and the wider public.

Maintain the effectiveness of our key relationships and ensure that we have a full understanding of our stakeholders‟ views.


Continue to take account of customers‟ views through the consumer experts forum.


Ensure that we use the media effectively to communicate how we are delivering effective regulation.


Continue to improve the effectiveness of our website as a key media channel.


Ensure that we continue to deal with all correspondence and enquiries effectively and within agreed deadlines.


Legal Services

To ensure legal advice is efficiently provided to enable the business to meet its objectives.

Provide timely high quality legal advice to enable the organisation to deliver its functions and objectives (including policy casework, prosecutions, health and safety enforcement work and corporate issues).


Strategy Unit

To ensure that ORR has exemplary policy and strategy functions.

Develop ORR‟s new corporate strategy.


Establish a methodology for the evaluation of ORR‟s effectiveness and publish the findings.

March 2013

Review, and update if necessary, our use of regulatory impact assessment and our guidance.


In accordance with the Equality Act 2010, publish Equality objectives. Throughout 2012-13 we will be working towards these objectives and will continue to embed the principles of the Equality Act 2010 in all aspects of our work.


Performance Indicators

(a) Increase awareness and understanding of our role amongst Westminster MPs to bring in line with

other regulators. (1 survey a year - Ipso Mori winter survey of MPs).

(b) Maintain positive and balanced media coverage at more than 50% of total coverage each quarter.


(c) At least 35-40% of media coverage each quarter to be influenced by proactive media activity.

(d) Monthly visits to website to average 25,000 across the year.

(e) General correspondence and complaints Target 95% cleared within 20 working days of receipt.

(f) FoI/EIR/Civil Disclosure cases. Target 90% cleared within 20 working days of receipt.

(g) Parliamentary Questions, draft contributions returned to DfT within their specified deadline.

(h) Achievement of internal performance indicators set for our core business support and legal services.

© Crown copyright 2012

You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the

Open Government Licence. To view this licence, visit www.nationalarchives.gov.uk/doc/open-government-licence/

or email: [email protected]

Where we have identified any third party copyright information you will need to obtain permission from the copyright

holders concerned.

Date post:	14-Feb-2020
Category:	Documents
Upload:	others
View:	0 times
Download:	0 times

Our plan for 2012-13 - Activities table - April 2012 · 2014-02-17 · Lead directorates RPP/RME/RS...

Documents