MEETING: RSSB Board Meeting DATE: 12 November 2015 SUBJECT: An industry strategy for standards, 2016 ‐ 2019 SPONSOR: Mark Phillips AUTHOR: Vaibhav Puri AGENDA ITEM: B3 1.
Purpose of the paper 1.1
This paper seeks RSSB’s board approval for the industry wide strategy for standards for the period 2016 to 2019, as endorsed and recommended by the Industry Standards Coordination Committee (ISCC). 2.
Background 2.1
Basic assumptions 2.1.1
A set of basic assumptions to inform the strategy was agreed with ISCC members and Standards Committee Chairmen: The strategy for standards should address railway‐specific standards over which the industry has some control, either directly or indirectly The types of standards we have, and their applicability should be taken as a given The strategy should cover the period up to the end of Control Period 5, aligning it with the industry’s wider planning cycle. The period is sufficiently long to implement real change where it is needed A ‘strategy module’ should be developed for each type of standard, and an overarching document that sets the modules in context, and establishes the links between them RSSB board approval should constitute a mandate on RSSB and Standards Committees to deliver the strategy, so far as it lies within their power to do so 3.
The future development of railway standards 3.1
The ultimate role of railway standards 3.1.1
The ultimate role of railway standards is to open the market for railway products and services, so reducing costs and making the railway more competitive and sustainable. 3.2
Removing virtuous barriers 3.2.1
Standards open markets by removing ‘virtuous barriers’, rules put in place with good intention but which can then be misused to prevent new entrants to markets. ‘Safety’ is the most significant of these virtuous barriers, and Europe has moved to dismantle these barriers by agreeing common safety targets, processes and rules. 3.3
Moving from domestic standards to European and international standards 3.3.1
As a consequence of the desire to open markets, there is a natural economic pressure to move from domestic standards, to European standards (a move that is given additional impetus by regulation), and ultimately international standards (although the railway industry is only in the very early stages of this move). The wider the geographical scope of standards, the larger the markets they open. RSSB Board Meeting Final: 12 November 2015 Page 1 of 3 AGENDA ITEM: B3 3.3.2
The standards strategy has been developed on the basis that this move away from domestic standards should be encouraged and not resisted. Extensive consultation was carried out (Annex A) in the development of this strategy including relevant Standards Committees, the ORR, the DfT, ATOC and Network Rail. 3.3.3
The biggest implication of this move away from domestic standards is that the industry must learn to let go of Railway Group Standards (RGSs) as the default go‐to suite of standards. A role for RGSs as national technical rules (and possibly, in rare cases, as national safety rules) remains – but it is reduced. 4.
The Proposal 4.1
The standards strategy 4.1.1
Seven standards strategy modules have been developed which collectively make up the strategy, they reflect the direction of travel set out in section 3. The key recommendations and the changes are set out below: Strategy Module 1: Railway Group Standards as national technical rules: Continue to work towards reviewing RGSs so that they only set out requirements that are in scope of national technical rules (NTRs). The strategy proposes adopting a more systematic approach to revise RGSs and align with EU legislation, which should speed up this process. Strategy Module 2: Railway Group Standards as national safety rules: Systematically review existing national safety rules to ensure that they do not duplicate EU legislation. The strategy proposes that standards identified as duplicating EU legislation should be reviewed to assess if they are to be maintained as Railway Industry Standards (RISs), to provide additional detail and a GB industry context; Rail Industry Guidance Notes; or withdrawn. Strategy Module 3: National operational publications: Reclassify the Rule Book and other operating rules documents as ‐ rules required by the OPE TSI thereby not requiring the status of RGSs to gain legal force. This is to be underpinned by effective industry communication to explain that NOPs produced by RSSB should continue to be used and developed using existing mechanisms. The key benefit is that NOPs in their new capacity would not be constrained by the scope of RGSs, offering more flexibility and control to the industry. Strategy Module 4: Rail Industry Standards (RIS) and Guidance Notes (GN): Promote the use of RISs and ensure that there is an acknowledgement that they are as important as an RGS, helping industry members to meet their legal obligations. RISs have the advantage of not being constrained by the scope of RSGs, giving the industry greater control and flexibility. This category of standards will continue to grow and it puts increased emphasis on the quality and usefulness of standards developed by RSSB. Strategy Module 5: Technical specifications for interoperability: Measures are recommended to improve GB influence and coordination on the development of TSIs at all levels; national up to European. Strategy Module 6: European and international standards: Continue to provide GB coordination on the development of European Standards and International Standards; recommending the extension of the RSSB agreement with BSI to provide project management and secretarial services for the BSI National Railway Committees. RSSB Board Meeting Final: 12 November 2015 Page 2 of 3 AGENDA ITEM: B3 Strategy Module 7: Company and Project Standards: RSSB to provide small‐scale advice and support to projects and companies on application of standards, and incorporation into project or company standards. Continue to develop RSSB’s requirements management database to deliver requirements digitally and facilitate integration with member company systems. 5.
Key points for discussion 5.1
The proposal to reclassify the Rule Book as ‘rules required by the OPE TSI (which is the law)’ thereby not requiring the status of RGSs to gain legal force might be considered a big change. However, the strategy highlights that the law directly requires Infrastructure Managers and Railway Undertakings to have a Rule Book which is complete and accurate and developed in consultation with other affected parties. The strategy proposes that the industry’s Rule Book will meet the legal obligation using the tried and tested collective industry standards committee mechanism. The board will need to be prepared to support this proposal to RSSB’s members. 5.2
The strategy also highlights the possibility of transferring the management of the NTRs for High Speed 1 (HS1) to RSSB and it is proposed to explore this with HS1, the DfT and the ORR. The objective would be to eventually converge the two suites of NTRs, so moving in the direction of harmonisation expected by the European Commission. 5.2
Implementation 5.2.1
A detailed implementation plan has been developed (overview of key activities is provided in Annex B) setting out key the activities to support the implementation. Standards Committee Chairs and ISCC members have supported it. Effective and successful implementation of the strategy will require a commitment by ISCC and RSSB board members to actively support delivery. 5.3
Communication 5.3.1
A communications plan has been developed (details of the approach taken is provided in Annex C) which has been supported by SC Chairs, ISCC members and relevant standards committees. It explains the implications of the shift from domestic standards towards European and International standards; the benefits of linking the National Operations Publications to the OPE TSI; and the how Rail Industry Standards (RISs) are a very powerful mechanism available to the industry. 5.3.2
RSSB has worked and will continue to work closely with relevant standards committees and constituent/company representatives to ensure that industry needs are catered for. 6.
Recommendations 6.1
The RSSB board is asked to: APPROVE the standards strategy set out in section 4.1 of this paper SUPPORT the implementation and communication of the strategy noting the comments in section 5.2 and 5.3 of this paper
RSSB Board Meeting Final: 12 November 2015 Page 3 of 3 AGENDA ITEM: B3 Annex A: Consultation a)
To facilitate the development of the thinking around a strategy for standards, ISCC members (ATOC, Network Rail, ROSCOs and FOCs representatives), Standards Committee Chairmen, DfT, ORR and relevant RSSB professional heads were invited to take part in a one day industry workshop at RSSB on 20 March 2015. The workshop was chaired by RSSB’s Director of Research and Standards and facilitated by the Head of Standards Policy. b)
The workshop agreed the scope and approach associated with the development of the strategy (key elements covered in section 2.1). It was also agreed that the strategy will be steered by an industry sub‐group which would steer and endorse the strategy before it was presented to ISCC. The steering group comprised of representatives from the following constituent areas: ROSCO, TOCs, Infrastructure Managers (Network Rail), ORR, DfT. The standards committees were represented by SC chairmen and the group was chaired by the Head of Standards Policy. It was also agreed that where necessary the support of relevant standards committees would also be sought. c)
The approach to the development of the strategy was presented to ISCC at 14 May 2015 to gain approval. ISCC supported the approach. d)
The steering group met regularly and endorsed all the seven strategy modules. e)
For the strategy modules associated with RGSs as National Safety Rules (NSRs) and National Operations Publications (NOPs), where the most significant change was being proposed, the endorsement and support from Traffic Operation and Management Standards Committee (TOM SC) was sought. TOM SC includes representatives from TOCs, FOCs, Network Rail, Suppliers, Contractors, ORR as well as Trade Unions (ASLEF and RMT). The strategy and the specific modules associated with NOPs and RGSs and NSRs were supported by TOM SC on the 31 March 2015. f)
Specific bilateral discussions were also held with key ATOC and Network Rail representatives such as the Network Rail’s Professional Head of Operations and ATOC’s Head of Engineering to gather views and gain support for the strategy. Discussions were also held with the ORR as well as ISCC representatives for the freight and supplier communities to ensure support from all parts of the industry. g)
The strategy was presented to ISCC on the 12 August 2015 where it was supported for recommendation to the board. Additionally, the strategy implementation and communications plan were presented to ISCC in the 09 September 2015 to provide further assurance and input. Further discussions have been held individually with all ISCC and TOM SC representatives to get further input and confirm confidence in the plans.
RSSB Board Meeting Final: 12 November 2015 Page 1 of 1 AGENDA ITEM: B3 Annex B: Implementation plan overview – key activities for year 1 – December 2015 to December 2016 a)
All seven strategy modules have their own detailed implementation plans which are too extensive to be included as part of this paper. However, key activities and immediate dates of interest for each module are set out below. Please note they are subject to change depending on the steer from the relevant industry body. b)
RSSB’s internal project review group overseen by the Director of Research and Standards, will review progress against the plan every four weeks. While ISCC as the RSSB boards’ governance body for the project will review progress every quarter. The board will be updated annually on progress against the plan. c)
Strategy Module 1: Railway Group Standards as national technical rules: 
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d)
Strategy Module 2: Railway Group Standards as national safety rules: 
e)
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Develop a programme of how industry awareness and understanding of RISs will be improved – July 2016. Strategy Module 5: Technical specifications for interoperability: 
h)
Support from relevant SC –July 2015 (Complete). Discuss communications with the TOM SC to gain further commitment and identify provisional target date for reclassification ‐ September 2015 (Complete). Create a list of key groups and areas/individuals (based on TOM SC and ISCC input) that must be informed before any action to change status is taken‐ December 2015. Reclassification of NOPs ‐ June 2016 (this will be subject to any revisions depending on how the communication programme is delivered. This has been aligned with the planned changes to NOPs for the June publication cycle). Strategy Module 4: Rail Industry Standards (RIS) and Guidance Notes (GN): 
g)
Systematically review existing national safety rules to ensure that they do not duplicate EU legislation‐ May 2016. Strategy Module 3: National operational publications: 
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f)
Assess timescales, resources and priorities for addressing identified RGSs – February 2016. Report and get endorsement from relevant decision making groups and SCs – March 2016 (subject to change depending on each SC’s meeting cycle). SCs to demonstrate how open points will be addressed through the development of the Strategic Directions for TSIs and reflect this in SC strategic plans – December 2016. Strategy Module 6: European and international standards: 
Extension of the RSSB agreement with BSI to provide project management and secretarial services for the BSI National Railway Committees – March 2016. RSSB Board Meeting Final: 12 November 2015 Page 1 of 2 i)
AGENDA ITEM: B3 Strategy Module 7: Company and Project Standards: 
Use the briefing sessions, updates to RSSB website and briefing material to inform industry that RSSB is available to provide small‐scale advice to the members on developing the standards they need and advice to projects about standards and regulations– June 2016 RSSB Board Meeting Final: 12 November 2015 Page 2 of 2 AGENDA ITEM: B3 Annex C: Communications plan approach a)
The communications plan has been developed to inform the industry about the current standards landscape (including the Railway Regulatory Framework) and how it will evolve with the implementation of the Standards Strategy. b)
The communication plan is in two parts: 
Part 1: Briefings to industry groups ‐ SCs, RSSB facilitated groups and other key industry groups. These will be scheduled through the chair of the meetings and is estimated to be completed by the end of the first quarter of 2016. 
c)
Part 2: Briefings to sector areas – The delivery schedule for this is being developed with the identified constituent and company representatives and tailored to their needs. A matrix has been developed which cross references the different audience types (Leaders, Senior Managers/Directors, Managers, Practitioners and End‐users), the likely impact levels each strategy module may have (No impact, minor impact, major impact), together with the appropriate engagement tools for delivering the message (13 different communication mediums/formats have been identified). These have been plotted against 8 industry sectors (ROSCOs, TOCs, FOCs, IMs, Suppliers, Manufacturers, Unions and DfT/ORR). This has been done for each strategy module, together with the key messages. In each area, the communication plan will change/evolve in line with the steps set out below: 
Step 1: Develop a base plan and material (toolkit) to support communication of the strategy and specific modules with some key general messages, and identify an initial set of industry groups to brief (This step is complete). RSSB Board Meeting Final: 12 November 2015 Page 1 of 2 AGENDA ITEM: B3 
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Step 2: Discuss each constituent area and refine messages and approaches with input from relevant people at ISCC, SCs and other key groups. (Individual discussions are currently underway). Update plan accordingly. Step 3: Organise relevant briefings and communications delivery 
Step 4: Update plan accordingly with specific dates and new groups/contacts as necessary 
Step 5: Deliver briefings and communication actions 
Step 6: Review effectiveness 
Step 7: On‐going communication (for example awareness of the purpose of RISs and general regulatory understanding) d)
ISCC and individual ISCC members have been consulted on the communications plan to get their input and have supported the approach put forward. RSSB Board Meeting Final: 12 November 2015 Page 2 of 2