ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the futureGB heritage railway at a level crossing

## Orr / Hra Rm3 2019 Seminars

ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Ian Skinner Assistant Chief Inspector of Railways Office of Rail and Road

## Safety Management Systems Why? Orr'S Vision For Gb'S Railways Zero Workforce And Industry-Caused Passenger Fatalities, With An Ever Decreasing Overall Safety Risk

■*My perception* on passenger's expectations: 
- '1953 experience' with 21st century levels of safety and service
■A management system will help achieve this.
- Stop and think
- Improve - Record
Purpose of a management system
■
What is the number one objective of a heritage railway organisation?
–
Preserve & enjoy - members and visitors
–
Helping visitors understand rail based history
–
More track, locos, carriages?
–
Make money?

## Delivery Of Something That 'The Market' Needs

•
Management system help deliver a solution to the identified market need.  
•
Good management systems do that:
•
Repeatedly;
•
Efficiently; 
•
Responsively; and

## !!!Safely!!! Why Do 'Heritage' Need Management Systems? Low Speed        Little Risk

Think of the energy:
moving vehicles - kinetic energy
gravity - potential energy
steam boiler, braking systems - stored energy
Think of the controls:
the hardware role of the paid workers & unpaid volunteers and passengers

## The Management System Principles

■Know your operation / asset ■Know your risks ■Know your controls 
- And gaps
■Put in place:
- Planning - Organisation - Monitoring - Review
■And demonstrate it

'If you can't describe what 
you're doing as a system you 
don't know what you are 
doing'

W Edwards Denning ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future and the five maturity levels Ian Skinner Assistant Chief Inspector of Railways Office of Rail and Road An introduction to RM3

## Isk Rm3 Management M

aturity odel

## The Rm3 Model

Local groups are organised to ensure repeatable performance BUT each work group performs similar tasks differently Ad hoc and uncoordinated

## The 5 Maturity Levels

Proactive/continual improvement Delivery can be predicted by the management system Variation and change is controlled Good practice synthesised into standard processes 

## Why Does Risk Control Need To Get Better? …Because Essentially It Is People That Control Risks Day In, Day Out And Human Performance Varies.

If they are already high performing ("excellent"), then greater likelihood that any dips in performance will still be above the legal minimum and risks will be adequately controlled…
…If they are only poorly performing ("ad hoc"), then greater likelihood that their normal performance (and any dips) are below the legal minimum and risks are uncontrolled. 

## Ad Hoc Excellent Getting Better In Risk Control …..The Legal Bit The Railways And Other Guided Transport Systems (Safety) Regulations 2006

schedule 1 looks for the safety management system to show how continuous improvement of the safety management system is ensured.

## And, More Generally The Management Of Health And Safety At Work Regulations 1999

looks for continuous improvement through risk assessment and control through the principles of prevention (the 'risk control hierarchy') and the requirement to review arrangements.

So what about the risks?... … what is ORR's focus?

- Health and safety 
management systems

## Our Strategy For Regulating Risks …

- Industry staff competence 
and human failure
# … Is Set Out In Our 14 Strategic Risk Chapters

- Management of change
- Level crossings - Interface system safety - Track - Civil engineering assets - Rolling stock asset 
management
- Occupational Health
- Worker safety - Management of train 
movements and signalling
- Health and safety by 
design
- Leadership and culture
- Tramways

## The Rm3 Journey 2011 2017Rm3 Front Cover 2017 2019 - Version 3 Published On 1St Aprilrm3 Front Cover General Layout For Criteria, Maturity Levels And Evidence Factors Oc6 - Organisational Culture Collation How Will Orr Use Rm3 Going Forward ?

We are going to be more consistent and  use RM3 with all our dutyholders ?

We will engage with you and discuss our findings and yours before reporting on assessment levels

## Rm3 Process In Our Quality Management System

Moderation of RM3 
assessments in all sectors We will apply these fundamental principles CONSISTENCY
QUANTITY 
QUALITY
CURRENCY
We will support you in using RM3
Our assessments will be evidence based There will be refresher training for our inspectors  

# Orr'S Annual Health And Safety Report

## Rm3 And Network Rail We Want You To Use Rm3 To Improve Your Success And Demonstrate Your Capability To Manage Risks:

•
internally, and with your ORR inspectors, discuss the evidence found through all assessment work; to 
•
determine the good things, and not so good things, about your arrangements to control risks; and
•
identify what you need to do to improve these arrangements and share your success with other railways
We have designed  this new edition of RM3 to be more readily accessible to those just starting out with RM3 .…
…. we have thought about the needs of the heritage sector…..

….but the model also pushes boundaries of excellence for experienced users. 

SHARING  OUR AUDIT EXPERIENCE
LIZ PARKES, HEAD OF OPERATIONS & SAFETY NYMR logoheritage railway workers REGULATORY 
FRAMEWORK & STANDARDS
ROGS: competence, safety management systems,  risk assessment, management of engineering change, ( use of common safety methods and safety verification for non-mainline and light rail operators ) Environmental legislation BS/EN/ISO 14001: 2015heritage railway workers

- Organisation - scope, interfaces, description, 
policy safety management, planning, management accountability, workforce involvement, monitoring
- Management of change - Risk assessment and risk control - Competence - Provision of information - Incidents - Emergency planning - Audit - Co-operation 

## Meeting Safety Requirements

Railways and other guided transport systems (Safety Regulations) 2006 
MEETING ENVIRONMENTAL REQUIREMENTS 
BS/EN/ISO 14001: 2015 Environmental Protection Act 1990 and regulations under the act

## Common Concerns

Show stoppers: fire, collision, derailment

Platform train  interfaces Shunting Heritage stock - sub optimum ergonomics Signalling systems Rail/road  vehicle  and pedestrian interfaces Congestion
Noise and vibration, water, land and air pollution avoidance Accessibilityheritage railway workers

## How Are We Doing ?

1. Ad hoc ? 2. Managed ? 3. Standardised ? 4. Predictable ? 5. Excellent ?
| OC7     | Record keeping         | 3       |
|---------|------------------------|---------|
| OP1     | Worker involvement     | 3       |
| OP2     | Competence management  | 3       |
| P13     | Workload planning      | 4       |
| RCS1    | Safe systems of work   | 3       |
| RCS2    | Asset management       | 3 large |
| 2 small |                        |         |
| RCS3    | Change management      | 2       |
| RCS4    | Control of contractors | 3       |

## Traction & Rolling Stock Audit 2019

SHARING OUR EXPERIENCES 
HOW DO WE BEST  LEARN FROM EACH OTHER ?NYMR logoheritage railway workers ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Ian Skinner Assistant Chief Inspector of Railways Office of Rail and RoadRM3 front cover RM3*2019* for the Heritage Sector

## Rm3 Topic Sets ■Rm3 Topic Sets

- To provide focused assessment of key risk management areas
- E.g. Occupational Health, Infrastructure management
- Support the RM3 approach in a targeted manner

## ■Potential To Support Rm3 Introduction Into The Heritage Sector

- Accessible - Meaningful - Useful

## Rm3 Topic Set - Heritage Railways

■Nine criteria over the 5 themes
■Retain the 5 maturity steps - ad-hoc thro' excellence ■Meaningful descriptors for each maturity level
- Plus governance descriptors 
■Under development
- Ready to test first draft - Asking for your help and input

## The Nine Criteria Testing The Approach

■Draft Topic set produced
■Use in practical applications ■Provide feedback
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the futureRM3 front cover

## What Evidence? Assessing Principles Example Company: Mid-Fens Heritage Railway

■The Mid-Fens Heritage railway runs on 8 miles of single track 
between Outwell and Whittlesey; 
■Operates a mixed fleet with steam locomotives and mk1 stock, 1 
DMU and 1 DEMU; 
■Outwell is a two track station with a headshunt
■Whittlesey is a single track terminus with run-round facilities
■There is an island platform within a passing loop at the 
intermediate station at Elm Drove; and some level crossings.
■There are workshops and stabling at Outwell, where restoration is 
also a major activity.
■Staffing includes
- 35 full-time employees
- 400 regular working volunteers

## Scenario ■You Are To Carry Out An Assessment Of The Mid-Fens Heritage Railway Management System Using The Rm3 Heritage Topic Set;

■You have a number of different sources of evidence;
- Train dispatch monitoring report; 
- Station masters report; - Email with ISO 45001 accreditation; - Email about performance monitoring workshop; - ORR inspector's contact notes re: complaint from member of the public; - Copy of email from Safety Rep to Health and Safety Manager; - Safety Reps' inspection report 

## Instructions ■For Each Piece Of Information;

- Identify the relevant RM3 Criteria;
- Determine the level of achievement using 
the RM3 guidance; 
- Have you got any culture evidence? …..and 
what is the maturity level??
- Record the results and plot on the RM3 
graph;

## ■Remember That There May Be Different Levels Of Performance For Different Pieces Of Evidence.

ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the futureGB Heritage railway at a level crossing SEVERN VALLEY RAILWAY 03 December 2019

## Orr / Hra Rm3 2019 Seminars

ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Steve Turner HM Principal Inspector of Railways Office of Rail and Road ORR's approach and 'an inspector calls'

## Orr'S Vision For Gb'S Railways

■Zero workforce and industry-caused passenger fatalities, with an ever 
decreasing overall safety risk
■*ORR perception* on heritage passenger's expectations: 
- '1950's experience' with 2019 levels of safety and service
■Increasing ORR's capability in the heritage sector
- Supervision - greater presence on the ground
- *RM3 type* support tool
- Approach to supervision
A bit of credibility: my class 47 at GCRN on a Santa train 10/12/17my class 47 at GCRN on a Santa train 10/12/17

## Austerity 'Whiston' On The 26Th May 2019Austerity 'Whiston' On The 26Thmay 2019 Some Comparisons

| Year       | Worker    |
|------------|-----------|
| fatalities |           |
| Suicide    | Trespass  |
| mainline   |           |
| Nr of Pass |           |
| LUL        |           |
| Pass +     |           |
| public     |           |
| fatalities |           |
| 1874       | 788       |
| 1983       | 28        |
| 1993       | 11        |
| 2015       | 4         |
| 2018-19    | 2         |

No passenger fatalities as a result of a train accident since 2007 (Grayrigg)                            
No heritage railway fatalities since 2012 when a guard was crushed whilst shunting

## To Put Into 19Th Century Perspective (1)

■The honourable Gentleman the Member for Belfast 
mentioned the relative risk of life between railway-men 
and soldiers. I have this comparison to make; that there were 29 British soldiers killed at the battle of Khartoum, and that there were 501 railway-men killed on our railways last year. There were 148 killed in the Balaclava charge, and there are considerably more shunters and 
brakesmen killed every year in the industry of our railways. It seems to me to be a curious fact that the man who is paid for getting killed rarely gets killed. In 15 years, from 1872 to 1886, out of 1,407,000 troops liable to be engaged in battle, there were only 1,396 killed in action, and in that same period of 15 years there were 8,400 men killed on our railways, and a total of 6,500 civilian workmen killed in the same period. 

## To Put Into 19Th Century Perspective (2)

■We cannot permit this wanton sacrifice of human life to 
go on. Officers in the Army and Navy, to their credit be it said, look after the protection of their men, and do everything in their power to prevent the needless slaughter of those who are placed under their command.
■
Unfortunately, we have not, in relation to our railwaymen, officers who take up the same position with regard to the railway industry as a Colonel of a regiment does with the soldiers under his command. The nearest substitute to that kind of a man in the railway world is the President of the Board of Trade. 

## To Put Into 19Th Century Perspective (3)

■
Every year in this industry there are 500 men killed, and 67,000 more or less injured. They are killed by the neglect of the most elementary causes, and through the lack of administrative control which the right, honourable Gentleman himself can provide, and I would respectfully suggest to him that instead of allowing Colonels of the Royal Engineers to be present at a 
coroner's inquest after a railway accident has happened he should appoint sub-inspectors and Chief Inspectors of railways to examine lines and to make suggestions, and their advice should be forced upon our railway companies, and if he does that I am sure that the 50s per cent. diminution of accidents in America which we have witnessed will be followed by a remarkable diminution in the number of men injured and killed in this country.
■
John Burns MP for Battersea ( in 1899 on a debate about automatic 
couplers for railways ) 

## Heritage Railway Numbers: Source Hra

■200 plus heritage railways
■2016 HRA figures (2/3): 9.6m passengers, 562m of line, 460 
stations, 11.7m visitors resulting in revenue of £130m
■2,867 full time employees; 21,659 working volunteers
■790 steam locomotives
■1021 diesel locomotives ■268 DMU ■2176 carriages and 3950 wagons ■HST power car and six Mk3 carriages at GCRN (as below)! 41001  
returning to NRM and two production power cars donated by ROSCO

## Any Latin Scholars ■Sales Populi Suprema Lex Esto

■"Let the good (or safety) of the people be the supreme (or highest 
law)"
■Marcus Tullius Cicero (106 BC to 43BC) - Roman Politician and 
lawyer
■So good health and safety is nothing new!

## Origins Of Modern Safety Legislation

■Industrial revolution: first Factory Inspector in 1833, £1000 pa.
■Dark satanic mills, children and women in the mines, bad 
conditions in most of industry - notable exceptions such as Titus 
Salt at Saltaire, Joseph Rowntree of York or Cadbury's in Bourneville, Birmingham: "model villages".
■Various Factories Acts / Regulations throughout history to date.
■HSWA 1974 following Robens Report 
http://www.hse.gov.uk/aboutus/40/robens-report.htm
■21st October 1966: Aberfan (116 children, 28 adults died) 
https://en.wikipedia.org/wiki/Aberfan_disaster
■Edwards v NCB  All ER 743 CA 
https://en.wikipedia.org/wiki/Edwards_v_National_Coal_Board
■Risk assessment

## Perhaps A Reason For Safety Inspectors?

■
"We do not believe any group of men adequate enough or wise enough to operate without scrutiny or without criticism. We know that the only way to avoid error is to detect it, that the only way to detect it is to be free to inquire. We know that in secrecy error undetected will flourish and subvert." 

## - J Robert Oppenhiemer 1904-67 - Father Of The Atomic Bomb

■
There's an old saying that if you think safety is expensive, try an accident. Accidents cost a lot of money. And, not only in damage to plant and in claims for injury, but also in the loss of the company's reputation."

## - Professor Trevor Kletz Requirements

■HSWA 1974 Sections 2(1), 3(1), 4, 6, 7, 36 and 37
■Powers of Inspectors (IN, PN, Legal Proceedings - triable either 
way) 
■Penalties
■Regulations such as ■Railways and Other Guided Transport Systems (Safety) 
Regulations 2006. Heritage based on 25mph, SMS (RB, 
Competence, Maintenance and Risk Assessment)  
■PSSR 2000, PUWER 2008, WAH 2006, LOLER 1998, EAW 1989, 
COSHH 2002, CAW 2012, CLAW 2002, NAW 2005

## Recent Events

■Two trains in one section running towards one another. 
Staff and ticket system broke down: Abermule 26/01/21 –
17 died. Happened quite a few years ago on another heritage railway!

## In Summary: A Ticket Could Be Issued Without Staff Present

No clear understanding between Signaller and Trainee Stationmaster as to what movements were planned Trainee not qualified in staff and ticket working and prepared a ticket without staff in his possession - staff on train coming towards him

## Recent Events

■
Driver accepted ticket without seeing the staff
Station master did not adequately supervise the trainee

https://www.gov.uk/government/publications/safety-digest-082019-romneysands/serious-operating-irregularity-at-romney-sands-28-august-2019
■
(OP2 Competence Management System)

Droplight windows: young man died on the mainline when his head hit a 
close structure. A number of fatalities since 1999 including Clayton 
Tunnel and Denmark Hill plus near misses. TOC fined £1m plus £52k 
costs on 17/07/19. 
https://orr.gov.uk/news-and-blogs/press-releases/2019/gtr-fined-after-
man-killed-on-the-gatwick-express

Letter to HRA and about forty heritage railways. Risk Assessment and necessary actions. Including moving nearby structures, vegetation clearance, train announcements, improved droplight door signage, ticket information, window bars as a last resort. 

Bash Mash Kevin https://www.youtube.com/watch?v=pSQzSs56jVE and The Bashers https://www.youtube.com/watch?v=VUFm2rWn41g

## Droplight Windows Continued

Some adverse comments from enthusiasts as believed no fatalities since 1960 on heritage railways! Some that come to mind follow:

## No Names But:

Guard crushed to death between two carriages whilst shunting Guard caught between two buckeye connection Passenger run over by train when he was running for train and slipped Farmer in collision with a train on a crossing on a standard gauge line Three died in separate incidents on a narrow gauge line Fireman hit his head on a bridge whilst in tender shovelling coal forwards Surveyor crushed by jib of crane whilst undertaking LOLER inspection Fragile elderly lady died some months later after falling under a train Mark 1 corrosion: not just Mk1s 30 year life, now double. 

Standards such as CMS 123, BR10906/7 don't consider corrosion. 

Heritage railways must inspect and invasively if necessary.

## Sms Requirements Including Subsidiary Documents

Development of suitable maintenance standards and records: each carriage needs its own folder / record! Need for own wheel profile and buckeye gauges (or borrowed). 

HOPS or other digital recording system. Some paper records very poor or sketchy. If records are poor what does that imply re the rolling stock. Days of heavy general repaints are over. (RCS2 Management of Assets, OC7 Record keeping, document control and Knowledge information)

## Some Non Fatal And Other Incidents (1)

■Gas main strike ■Volunteer tripped over steel plate # hip / another fell & fractured 
shoulder
■Passenger tripped at toilet entrance on platform # hip ■Dropped fusible plugs (OP2 Competence Management System)
■Signals Passed at Danger (lots) (OP2 Competence Management 
System)
■Passenger train buffer fell off due to broken shaft - others examined 
and had potential problems (RCS2 Management of Assets) 
■Derailments for a variety of reasons - latest only last week ■Platform despatch incidents: some on CCTV - quite useful! ■Falls from height: # broken sternum  / # shoulder blade (RCS1 SSoW)

## Some More Incidents (2)

■
Collapsing  large 'A' frame in course of movement (OP2 Competence)
■
Near crane overturn: no lift plan, weight of load unknown, outriggers and springs stops not deployed, non functioning ASLI, operator unable to show competence, outside wheels lifted off rails, CCTV. If gone over would have resulted in possible prosecution (OP2 Competence)
■
SPAD and subsequent collision resulting in PN being served (RCS1 Safe System of Work)
■
Light engine runaway, trolley, ECS, brake van runaway (RCS2 Management of Asset, RCS3 
Change Management) 
■
Collision between car and passenger train on Open Crossing
■
Other AOCL collisions
■
Child fell from moving train as door was opened
■
Low speed light engine and stock collision during station move (OP2 Competence)
■
Plant shed burned to the ground

## Some More Incidents In 2018 / 19 (3)

■
Locomotive failures of varying kinds: eg top water cock handle blew out, piston failure, gauge glass and frame 
failure (RCS2 Management of Assets) 
■
Permanent Way issues in general (RCS2 Management of Assets) 
■
Operational incidents: lots of SPADS, two trains in section, trains in section without staff etc
■
Near blinding of volunteer from flying ballast chip (RCS1 Safe System of Work)
■
Locomotive running into MPD and damaging other locos (OP2 Competence Management System)
■
Near misses at level crossings - particularly AOCL 
■
Passenger train division in 2019 - four in 2017 (RCS2 Management of Assets & OP2 Competence)
■
Excessive speed - in forties on passenger trains! (OC2 Management and Supervisory Accountability)

## Other Issues

■
Safety critical components: rivets, tubes, C107 copper etc
■
Health: done work with lead, asbestos, effluent discharge etc
■
Work with LAs - noise and smoke etc
■
Statutory Inspection: eg Level Crossing Orders
■
Complaints and Inspections: complaints are many and varied - just about 
anything you can think of 
■
Extra resource: Simon Smith joined the heritage team on a permanent basis in April 2019 (26 years as an Inspector) and looks after SE and SW England. Revolving six month secondments for trainees into heritage: as from 21/10/19 Andrew Clapp. This will allow for proactive inspections to occur inc RM3!

## Common Themes (1)

■Primary control for H&S is the SMS: Bell curve or normal 
distribution: Improvement Notices served down the years (SP4 Written SMS)
■Competence or sometimes inability to demonstrate: 
couple of railways as at Nov 2019 not running at present - one with PN (OP2 Competence Management.)
■Age / medical fitness:  self assessment questionaires / 
formal medicals for footplate staff (OP2 Competence Management)

## Common Themes (2) Assessment / Reassessment (Open V Closed Book And Periodicity Of Same) (Op2 Competence Management System)

Maintenance: T&RS, p'way, structures, signalling. One railway currently non operational partly due to inability to show proper maintenance. OC7 Record keeping, document control and knowledge management & RCS2 Management of Assets Need to assess those undertaking maintenance work, inspection (eg track patrolling or FTR) etc Don't forget workshop competence! (OP2 Competence Management System)

## Common Themes (3)

■
Standards for maintenance sometimes poor or not available! Make use of internet: eg Locomotive Manufacturers Handbook 1949 @ 
https://www.martynbane.co.uk/tech/steam-tech.html (OC7 Record keeping, 
document control and knowledge management, RCS2 Management of Assets and OP2 Competence Management)
■
and MT 276 examination schedule on the internet @ 
http://www.tonysimons.me.uk/bestt/ewExternalFiles/MT276.pdf Boiler Code of 
Practice @ https://www.hra.uk.com/guidance-notes
■
Rolling stock standards on internet and HRA website 
https://www.hra.uk.com/br-maintenance-specs
■
Work with other railways to determine common standards: too much reinventing the wheel (OC5 System safety and interface arrangements) 

## Common Themes (4)

Records: again like the proverbial "curates egg" . Very important to allow a railway to demonstrate say maintenance or competence etc. Many railways are exemplary but some are woeful. As above the normal distribution describes many aspects of heritage railways (OC7 Record Keeping, document control and knowledge management) Move to digital record keeping where possible: standards / procedures / rostering / boiler washouts / mech exams etc (OC7 Record Keeping, document control and knowledge management) Corporate Governance and Leadership: not always adequate (Self evident which criteria)

## Some Of My Prosecutions

■
2002:  commuter train derailment in South London due to gauge spread. Prosecuted both the IC and IMC (RCS2 Asset Management & OC7 Record 
Keeping)
■
Nov 2004: IC and IMC were fined a total of £285,000 following death of an 
eight year old girl who was electrocuted by third rail. (RCS2 Asset Management)
■
March 2006: an employee lost part of his hand whilst fitting new pads to brake discs of Mk 3 rake in the depot. (Two non connected workstreams
underway on a rake plus loco at same time (RCS1 SSoW & SP4 Safety 
Management System)
■
June 2007: employee received a 25kv electric shock whilst working on top of a class 86 in a depot. He was lucky to survive. £30,000 (RCS1 SSoW & 
SP4 Safety Management System)
■
July 2012: 450kg rail dropped on to a volunteer on a heritage railway: severe leg injuries. £5,000 fine imposed (RCS1 SSoW & SP4 Safety 
Management System)

## More Prosecutions

■
May 2010: boiler inspector fined following inadequate boiler inspection of a standard gauge steam locomotive. (OP2 Competence)
■
2011 - overgrown UWC with missing gate and other tied back: train / car 
collision. £4000 fine (RCS2 Asset Management)
■
June 2016: TOC and driver fined total of £200,000 following significant SPAD at Wootton Bassett. Brake safety system isolated. (OC2 Management 
and Supervisory Accountability)
■
May 2018: missing floor in Mk1 - child fell onto bogie: £40k fine plus £13k 
costs (RCS2 Asset Management)
■
July 2019: mainline TOC fined £1m plus £52k costs re death of a passenger at a droplight (PI1 Risk Assessment & Management)

## Some Improvement And Prohibition Notices

■Lots (around 14) to do with inadequate safety management 
systems:  all complied with (SP4 Written Safety Management 
System)
■Condition of level crossing (RCS2 Management of Assets & 
SP1 Leadership)
■Many month closure of a heritage railway due to condition of 
track, lack of competence of staff and very poor operating practices (SP1 Leadership, OC6 Organisational Culture, OP2 Competence Management, RCS1 SSoW and RCS2 
Management of Assets)
■Voluntary cessation of operations for many months on 
another railway due to similar problems (As above)
■PN re all operations: (OP2 Competence Management, 0C7 
Record Keeping, document control and knowledge management), and RCS2 Management of Assets)

## Going Forwards

■Increased resource in heritage team: plan of work to include  
proactive inspections
■Risk based approached to plan of work targeting a number of 
higher priority dutyholders
■Criteria for risk includes: passenger numbers, route miles, 
numbers of staff / working volunteers. Level crossings, t&rs, 
previous history 
■All based on lower risk than the mainline due to maximum speed of 
25mph (not average as once believed by members of one railway)!
■That said trains are sometimes heavier and most assets and staff 
are certainly older than the big railway 

## Key Areas For Inspection

■
Safety Management System - bedrock
■
Governance and leadership
■
Asset management including p'way, structures, t&rs, level crossings, workshops
■
Competence management
■
Occupational health to include asbestos, lead, welding fume etc
■
We will be using RM3 ourselves but using just third of the criteria: individual railways can use more or less at a periodicity of their choosing.
■
Opportunity to compare dutyholders and HMRI evaluations over time
■
RM3 could lend itself to other issues: finance or commercial activites

## Selected Criteria For Our Inspection Work (1)

■SP1 Leadership and SP3 Governance: key to the successful 
management of health and safety risk is effective Leadership and Governance : former to set and communicate a clear direction and required standards, and act in a consistent manner to reinforce the required behaviours; the latter to make sure the organisation is accountable for the management of risk, and has effective arrangements in place.. 
■SP4 written SMS arrangements: to help understand the 
capability of the written safety management system, and identify areas for development.
■OP2 Competence management; Essential that all heritage 
railways can have arrangements that can demonstrate 
competence in all safety critical functions.
■OC7 Record Keeping; dovetails with OP2 & RCS2 to allow 
dutyholders to demonstrate competence (and maintenance, 
operations etc) 

## Selected Criteria For Our Inspection Work (2)

■PI1: Risk Management - simple risk matrices to demonstrate 
that risk have been identified, mitigations identified and prioritised for action.
■RCS2 Asset Management; how railways inspect and maintain 
their assets; be it traction and rolling stock maintenance, 
permanent way and structures. The SMS should determine scope, standards and periodicity and records must be readily available. (Similar to competence).
■MRA2 Audit: some internal auditing would be very useful to 
dutyholders. An area for development in most operators.
■MRA3 Incident investigation:  Such investigations need to be 
robust with correct conclusions, pertinent recommendations and importantly follow up to ensure they are implemented. 

## Questions And Possible Answers

Forbidden questions include:
■Brexit and forthcoming general election (SP1 Leadership and SP3 
Governance)
■Will my beloved Stoke get back into the Premier League or for that 
matter stay in the Championship (RCS2 Asset Management, OC3 Organisational Structure, SP3 Board Governance, OC2 Management, PI2 Objective / target Setting) etc etc
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Steve Oates Heritage Railway Association Standards and guidance What's available? 

Heritage Railway Association RM3 Seminars November/Dcember 2019

## Guidance Notes & Standards …

Boiler Code of Practice Standards for carriage maintenance Infrastructure standards Employment guidance Governance Operating & safety guidance

## Www.Hra.Uk.Com

www.hra.uk.com/guidance-noteswww.hra.uk.com/guidance-notes

# Www.Hra.Uk.Com/Guidance-Notes

## Boiler Code Of Practice …

TUBING OF LOCOMOTIVE BOILERS
BOILER STAYS
SUPERHEATERS BOILER MOUNTINGS PIPEWORK & FITTINGS FUSIBLE PLUGS WASHOUT PLUGS SAFETY 
VALVES
MUDHOLE DOORS
PLATEWORK INNER FIREBOX REPAIR AND RENEWAL THERMIC SYPHONS & ARCH TUBES STEEL RIVETS & RIVETING WELDING PROCEDURES & PROCESSES PATCH SCREWS SMOKEBOXES STEAM HEATING APPARATUS BOILER WATER TREATMENT PREPARATION OPERATION & DISPOSAL FROST & CORROSION PROTECTION
MATERIALS & NON-DESTRUCTIVE TESTING
WASHOUT & EXAMINATION EXAMINATION IN SERVICE
# Reviews, Revisions And Updates Input From You

Establishing new standards Maintenance and Fitness to Run Standards for Heritage Carriages

## Ccop - Carriages Code Of Practice - 11 Modules

1. Introductory Module
2. Policies and 
Procedures
6. Bogies and wheelsets 7. Braking systems 8. Underframes and 
drawgear
3. Asbestos and 
Hazardous Materials
9. Bodywork and 
structure
4. Fitness to Run 
Examinations
10.Ancillary systems –
toilets, water, electrics
5. Facilities and T
ooling 
Requirements
11.Wooden bodywork 
and structures

## Guidance Notes & Standards …

Boiler Code of Practice Standards for carriage maintenance Infrastructure standards Employment guidance Governance Operating & safety guidance

## Workshops, Seminars & Conferences

"The guidance notes are excellent … They should be mandatory to institute" "The HRA keep a keen eye on legislation and provides protection - this is really good"

## Heritage Rail Safety & Standards Board

- Establish a members forum for the discussion of common 
safety issues and the exchange of experiences
- Manage the provision, development and production of a 
sharable set of standards, guidance and competencies to 
support HRA member heritage railways
- Gather industry and safety data and statistics, and monitor and 
report on the sector's safety performance
- Circulate, publish and share safety information, experiences, 
relevant data and best practice to members
- Establish and provide a mechanism to publish urgent safety 
information and notices to members
- Assistance with creating and auditing SMS's
Stronger T
ogether

Supporting the UK's Heritage and T
                                 ourist 
Railways, Tramways, Museums and Related 
             Organisations

ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future What more would you like?

## More Safety Support - Discuss

■The 'going forwards' bit (strategy)
■Future requirements ■Current gaps in support
■Working in groups, 
- have a think about what further training, information and guidance you want, 
- that you don't get
……. how can the gap be filled?
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Summary of the day