Dane Newton - ONRSR

Click here to load reader

  • date post

    05-Apr-2017
  • Category

    Automotive

  • view

    64
  • download

    2

Embed Size (px)

Transcript of Dane Newton - ONRSR

  • 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,Goal1Maintainandimproverailsafetythrougharisk-basedapproachto

    regulation

    ONRSRRegulatoryActivities&Decisions

    NationalONRSRFrameworkforRisk-basedRegulation

  • Office of the National Rail Safety Regulator 3

    What is risk-based regulation?Theapplicationofa

    systematicframeworkthatprioritisesregulatoryactivitiesanddeploymentofregulatorsresourcesonan

    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

    ONRSRs Approach to Risk-based Regulation

    > Developed based on research of good practice> Designed to fit ONRSRs 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

    ONRSRs Model for Risk-based Regulation

  • Office of the National Rail Safety Regulator 8

    A model for risk-based regulation

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    Risk-baseddecisionmaking

    ONRSRactivities

    1.Gatherregulatoryintelligence

    2.Considerriskstorail

    safety

    3.Makeregulatorydecisions

    4.Undertakeregulatoryactivities

    Operatorsactivities

  • Office of the National Rail Safety Regulator 9

    A model for risk-based regulation

    1.Gatherregulatoryintelligence

    2.Considerriskstorail

    safety

    3.Makeregulatorydecisions

    4.Undertakeregulatoryactivities

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    Risk-baseddecisionmakingIntelligence Decisions ActivitiesRisks

    Risk-basedRegulation

    ONRSRactivities

    Operatorsactivities

  • Office of the National Rail Safety Regulator 10

    Gather Regulatory Intelligence

    Intelligence1.Gatherregulatoryintelligence

    Risks2.Considerriskstorail

    safety

    3.Makeregulatorydecisions

    Decisions Activities4.Undertakeregulatoryactivities

    Risks

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    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.Considerriskstorail

    safety

    3.Makeregulatorydecisions

    Decisions

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    Activities4.Undertakeregulatoryactivities

    Risks

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    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 431Risks

    Risks2.Considerriskstorail

    safety

    3.Makeregulatorydecisions

    Decisions

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    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 431Risks

    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 431Risks

    RisksRisks2.Consider

    riskstorailsafety

    3.Makeregulatorydecisions

    Decisions

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    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

    Operatorsriskmanagementactivities

    Operatorssafetyperformance

    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 431Decisions

    Tier3Decisions

    Tier2Decisions

    Tier1Decisions

    PrincipalFocusofRisk-basedRegulation

    Decision-specificrequirementsapply E.g.Decisiontoaccreditarailoperator

    SecondaryFocusofRisk-basedRegulation

    Genericrequirementsapply E.g.Decisiontodevelopnewsafety

    guideline

    NoRisk-basedRegulationRequirementsApply

    Involvesdecisionsofacorporatenature

    E.g.Selectingapublishingserviceproviderforcorporatereports

  • Office of the National Rail Safety Regulator 18

    Risk-based to what degree? 2 431Decisions

    Decisionswhere: ThereislittlepotentialimpacttoONRSRsabilitytomaintainand

    improverailsafety Takingarisk-basedapproachaddsnovalue Theconsequenceofnottakingarisk-basedapproachisnegligible Thecostoftakingarisk-basedapproachoutweighsthebenefitgained

    Decisionswhere: ThereisasignificantpotentialimpactonONRSRsabilitytomaintain

    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 431Decisions

    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 in