bof - national operations 2020 vision - onrsr · national operations 2020 vision program. ......
TRANSCRIPT
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 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