AGENDA ITEM: C1
MEETING:
RSSB Board Meeting
DATE:
03 July 2014
SUBJECT:
Confidential Incident Reporting & Analysis System (CIRAS)
2013/14 Stewardship Report and appointment of Chairman
SPONSOR:
Chris Fenton
AUTHOR:
John Abbott
1.
Purpose
1.1
This paper is the 2013/14 stewardship report from the CIRAS Committee. It
reviews progress with the scheme and identifies challenges and opportunities. It
also seeks approval for the reappointment of David Morris as CIRAS chair for a
second term.
2.
About CIRAS
2.1
CIRAS is the confidential, but not anonymous, safety reporting system for GB
mainline rail companies and is open to all their employees and suppliers. It is also
the confidential safety reporting system for London Underground, Edinburgh
Trams and DB Regio Tyne & Wear. The system complements but does not
replace other channels for accident and incident reporting - company systems and
trade union safety representatives.
2.2
As part of its new five year strategy CIRAS is also exploring providing the service,
when there may be benefit to the scheme and its members, to other transport
modes. It is currently engaged in a trial with multi-mode service provider Serco
with regard to some of their aviation and marine contracts.
2.3
The scheme is delivered by RSSB and overseen by the CIRAS Committee.
3.
Major developments
3.1
The business review undertaken in 2012/13 identified the need for a long term
strategy, governance review, improved stakeholder engagements and enhanced
scheme procedures. The 2013/14 business plan was then developed to address
and headline progress is reported in table 1.
Key Developments
Status
Strategy
Approved and implemented April
2014
Governance review
Review completed and revised
Terms of Reference and
Governance/ RACI approved
and implemented
RSSB Board Meeting Final: 03 July 2014
Commentary
Reappointment of the Chair and
appointment of new Committee
members now required
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AGENDA ITEM: C1
Stakeholder engagement
Stakeholder engagement
programme planned including
survey. Stakeholder database
now in place
Enhanced scheme procedures
Scheme procedures reviewed
and amended now complete and
implemented May 2014
Risk management
Major scheme risk review
undertaken with key players from
the Committee and Head of
CIRAS. A comprehensive risk
register has been developed and
implemented March 2014. This
is now reviewed quarterly by the
Committee.
New resource to strengthen
relationships in Scotland and
North of England to be in place
by September
Table 1: Key areas of improvement / Business plan
3.2
Following completion of the governance review, there is a need to appoint the
independent chair of the CIRAS Committee for the next three year term. At 6 June
2014 meeting the CIRAS Committee unanimously the reappointment of David
Morris and the board are invited to APPROVE this appointment.
2010
2011
2012
2013
45
43
40
40
Subscribing (Paying)
members
2014
317
Increase/decrease
Non-subscribing
members
(Not paying)
256
266
270
270
0
2015
projected
2016
projected
1000
1200
+215%
+20%
0
0
Table 2: Membership volume
3.3
A key facet of the new strategy is to improve employer engagement with the
scheme through the introduction of a new fair and transparent subscription
formula. Following the examination of options, the Committee authorised a new
levy formula based upon company rail turnover and the staged application to all
relevant members. Stage 1 was implemented from April 2014 and saw the
number of paying subscribing members increase from 40 to 317. To date 92% of
our revenue target has already been achieved.
3.4
Working closely with Network Rail, TfL, and contractor associations, it is planned
to further extend membership through the levy in 2015. Table 2 charts the actual
and planned increase in paying members from 2010 – 2016.
3.5
The Serco trial continues. CIRAS has been engaged in briefing exercises in many
of their aviation and marine establishments. Serco accepts that its organisation is
going through difficult times regarding corporate governance, with several high
profile incidents making the news. Their internal governance reviews are
RSSB Board Meeting Final: 03 July 2014
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AGENDA ITEM: C1
examining all aspects of whistle blowing and confidential reporting schemes. It is
hoped that Serco will extend their trial for a further period so that the scheme’s
benefits can be fully appreciated. However it is possible that they may decide to
leave CIRAS and adopt a much wider “one stop shop “solution that would cover
their non-transport services.
4.
Operational performance
4.1
The scheme received a total of 978 contacts from reporters. Once an
understanding has been secured, some 660 were redirected for action by
alternative channels, 102 were not processed for reasons such as risk to reporter’s
confidentiality or the matter reported was already resolved and 216 were
processed to conclusion as formal reports. In all cases feedback was provided to
the original reporter. A full analysis of reports is detailed in Annex A.
4.2
Currently our analysis shows that the most common reason for workers reporting a
safety concern to CIRAS is because they feel an issue has been left unresolved.
In most cases (81%), their safety concern had already been reported internally but
the employer’s response was perceived as unsatisfactory in some way.
Reporters’ perceptions of the response they have received when using their
internal reporting channels tells us that 28% of reporters felt that whilst it was
adequate it failed to meet the full concern or risk. More worryingly 59% felt that
the responses to their safety concerns were inadequate. This year we intend to
expand the categories for classifying why staff use a confidential reporting system
- for example, interpersonal conflict, culture, and poor industrial relations at work
may all feature in the decision to approach CIRAS. Notably 13% of staff claim that
their safety or health concern had received no response.
4.3
Key themes of progressed reports are detailed in Annex A.
4.4
Further information on the nature of redirected or non-processed is detailed in
Annex A. Further work is planned to better understand this data in 2014.
4.5
Workshops are also planned in summer of 2014 to further develop and understand
the safety defences and their relation to confidential reports. Classification of
safety and reputational risk severity is also being enhanced.
5.
Opportunities and priorities 2014/15
5.1
During 2013 the CIRAS brand was refreshed and re-launched, and the scheme
newsletter was significantly updated. To date CIRAS has received excellent
feedback on the newsletter’s improvement.
A second dedicated “Trackside2
newsletter is being launched in 2014 as a result of the growing contractor
membership and in response to stakeholder requests.
5.2
CIRAS is also working with Network Rail and TfL looking at unifying multiple
reporting systems such as CIRAS, Close Call and Speak Out. All three parties
have agreed to work together during summer 2014 to help inform a business case
that will appraise the ‘pros and cons’ of doing this. One obvious benefit is that
from a user perspective, one number and single call makes reporting such reports
much easier.
Another much larger benefit is the potential for ‘smarter’
understanding and routing of reporters concerns to the appropriate channel plus
the availability of greater safety intelligence. The business case is in progress.
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AGENDA ITEM: C1
5.3
Another priority for the scheme is improving the outputs and understanding of the
data that CIRAS currently handles and how this can bring more added value in the
form of safety intelligence. The scheme is looking to enhance its data
management and analysis by working more closely with other experts within
industry and in particular RSSB, Network Rail, Industry contractors, London
Underground and Train Operators. Understanding why staff feel the need to use
alternative reporting channels is important to the entire industry. We intend to do
major analysis on this and have started database improvements to ensure we
capture and share such intelligence.
5.4
Further work is taking place with Network Rail, London Underground, TfL and
contractor associations on levy levels for 2015/16 and as mentioned in 3.4 and
table 2, by associating contractor membership with the rail industry link up scheme
the number of paying CIRAS members will increase significantly. This has the
positive impact that we will be in a position to reduce the levy subscription level for
all CIRAS members and we expect this will in place for the beginning of April
2015.
5.5
CIRAS continues to work with stakeholders with regard to our engagement
programme. We are undertaking a number of planned awareness campaigns
amongst various sectors and continue to have a presence in the rail media with
recent articles featuring in such magazines as Rail Staff, Rail Professional as well
as Trade Union publications. This engagement work is critical to the success of
the scheme and is an on-going activity.
6.
Recommendations
6.1
The board is asked to:

NOTE the contents of this report

AGREE the CIRAS Committee recommendation to reappoint David Morris as
Chair of the CIRAS Committee for a second three year term.
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AGENDA ITEM: C1
Annex A: Annual report figures
Period
1
2
3
4
5
6
7
8
9
10
11
12
13
Contacts
77
75
60
59
77
90
104
80
57
36
83
101
79
Processed*
14
20
10
17
18
24
18
15
14
13
17
19
17
Redirected
54
50
47
35
53
56
73
56
33
17
60
70
56
Table 1: Period data up to April 2014
*Note 1 - Of the 216 processed reports CIRAS received in 2013/14, the three most
predominant causes that were raised related to practices and procedures, work environment
and equipment issues.
Of the 97 reports classified as practice and procedure issues, 43 related to the TOC sector.
Issues raised include staff ignoring procedures for example, not wearing PPE at night,
documentation not being completed correctly, safety checks being omitted and equipment
not being used. Other issues raised related to impractical practices and procedures. Concerns
were raised that changes to work rosters and a reduction in the number of staff undertaking
dispatch duties have resulted in the procedures not being followed correctly and are also
resulting in staff feeling fatigued. 24 of the reports related to the Network Rail Supplier
community and issues raised included staff ignoring procedures by working double shifts,
engaging in other work they are not supposed to creating a distraction risk and not following
procedures correctly. Other practice and procedure issues raised in this sector included staff
working more than the recommended 14 hours and concerns over long travel times creating a
fatigue issue for staff. Similar issues were raised within the 17 reports relating to Network Rail.
However, the issue of inappropriate protection not being provided was also raised for this
sector.
Of the 83 reports classified as work environment issues the Train Operating Companies
received 40 reports. This is followed by Network Rail, who received 22 and London
Underground and their sub-contractors received the smallest proportion, receiving just 4 and 3
respectively. Work environment covers a wide range of issues. The most reported issues
between periods 1-13 were slip, trip and fall hazards, which include worksite/lineside slips,
trips and falls and station/platform slips, trips and falls, inadequate lighting and inadequate
hygiene/mess facilities. Other reoccurring issues throughout the year include asbestos,
occupational health hazards, and temperature problems.
Of the 49 reports classified as equipment issues, again the TOC sector had the highest
proportion with 27. These included issues such as poor design of equipment, insufficient
provision, defective equipment and the equipment being inappropriate for the task. This
included communication equipment such as radios, cab equipment such as brakes and door
and work equipment such as DOO mirrors and boards. Network Rail received 12 reports, with
issues such as poor design of signal and lineside equipment, poor positioning of signal and
lineside equipment and defective equipment being raised.
To facilitate and align to the Rail industry, CIRAS classifies the information received using the
widely accepted Network Rail Coding Factors. The 10 factors allow for a broad classification of
the issues raised and CIRAS is considering implementing the more detailed second layer of
classification that has been developed by Network Rail. CIRAS will also moving forward be
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AGENDA ITEM: C1
looking to help align our data with the industry wide data provide in SMIS on monthly basis, to
help provided a broader overview of any trends that may be present in the CIRAS data.
Periods 1 to 13
Totals
Contacts
Processed
978
216
100%
22%
Redirected
660
68%
Not processed*
102
10%
By sector
TOC
FOC
NR
LUL
Supplier
Reasons
Drugs & alcohol
Low safety/Not safety related*
Identifies individuals
Real-time safety
Personal grievance
Use internal channels first
Member of public
Anonymous report
%
43
6
23
7
21
%
4
61
20
5
2
5
2
1
Table 2: By Sector including redirects
*Note 2 - Not processed reports are report types that cannot be accepted because there is a
high risk of confidentiality being compromised. Another example can be when the reporter
themselves finds that the issue reported has subsequently been resolved.
*Note 3 - Breakdown of low safety/ not safety related contacts that were redirected in period 1- 13
Referred to Network Rail helpline or whistle blower
(including Speak Out and Close Call)
Referred to LUL
(LUL internal helpline)
Referred to other (excluding Sentinel Helpline)
(including Trade Unions, HSE concern helpline and the Office of Rail Regulation)
Referred to Sentinel Helpline
Total 403
25
3
25
339
Referred to own company channels
(Line Managers, H&S reps and local Union reps)
10
Issue not deemed a safety risk
1
Table 3: Redirected breakdown of low safety/ not safety related contacts – 2013/14
*Note 4 - All the 403 issues that have been redirected in periods 1 – 13 are those where the
safety risk is either low or not present. Issues that have been redirected to Network Rail Speak
Out, LUL and other channels include bullying, fraud, personal grievances and pay enquiries.
Issues redirected to the sentinel helpline include lost or stolen cards, changes to sponsors, pay
enquiries, competency and sponsor queries.
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