New Approach to the Rule Book 

Introduction

Under the leadership of RSSB the industry is embarking on an ambitious project to transform the content and presentation of the rules currently published in the Rule Book (GE/RT8000). The project is entitled the “New Approach” and the programme to systematically review and revise all modules that make up the current version of the Rule Book is scheduled to take four years.

Background

Rules have been used to help control operational risk on the railway for over 170 years. During this time the rules have evolved gradually as we have learned lessons from accidents and our understanding of risk has developed. The “New Approach” represents the next major evolution in the history of the Rule Book and is the biggest comprehensive review of the rules since the current Modular Rule Book was introduced in 2003.

The Current Rule Book

The current Modular Rule Book was the culmination of a six year project to make the Rule Book easier to navigate and the rules more accessible. This involved a complete rewrite of the 13 Personalised Rule Books and significant changes to structure, format and language as follows:

• The rules are now written in the 2nd rather than 3rd person form
• Use of responsibility indicators to clearly identify which roles are responsible for carrying out which rules.
• Use of  less colour to improve the effectiveness of colour as a means of highlighting key points
• Greater use of diagrams to illustrate how certain rules are applied
• Use of a language style that meets Plain English campaign requirements
• Use of human factors experts from the Occupational Psychology Centre to trial the changes.

Why Change?

Although the current Modular Rule Book improved upon its predecessor our experience of using it has highlighted opportunities for improving the document and a need for our rules to align more closely with the many technological and organisational changes the industry has experienced since its introduction.  

The “New Approach” has been established to tackle these issues which are reflected in the following comments expressed by a range of people in the industry:

• “the rules no longer let you think”
• “the rules are too complicated”
• “the rules are not suitable for today’s railway”
• “the volume of instructions issued exceeds what the
   average person can mentally retain”
• “the rules are becoming encrusted with bullet points”
• “the rules do not clearly explain the inter-relationship between the arrangements and roles defined in the different modules”
• “there are now too many rules”………….

Aims

The primary purpose of the New Approach is to review and revise the current Modular Rule Book with the aim of significantly rationalising its content and restructuring the document so that it is more accurately targeted at the skill sets of end users and clearly aligned with operational principles.

The objectives of rationalisation and restructuring are to:

• reduce rules based errors, violations and misapplication;

• enable end users to exercise greater judgement and discretion in resolving operational issues

• reduce the need for and the costs of future rules changes; and

• support industry goals for competence management and performance improvement.

End User Engagement

The project is also taking a “New Approach” to the way in which it engages stakeholders to participate in the development of rules. In a significant departure from previous major Rule Book change projects it is intended that end users of the rules should have an opportunity to contribute to the creation of revised rules and rules based processes before final drafts are circulated for general stakeholder consultation.

This engagement process will primarily take the form of a series of end user workshops arranged at various locations around the country where sample groups of end users will get the chance to see rules at an early stage in their development. At these workshops end users will be invited to express their views about which features of the “New Approach” they find helpful, which elements are difficult to understand or unhelpful, and which aspects of the current Modular Rule Book they would wish to see discarded or perpetuated. 

The primary purpose behind engaging end users in this way, and at a much earlier stage than would normally be the case, is to validate whether the first products of the “New Approach” are consistent with its stated principles from an end user perspective. It is also recognised that traditional stakeholder consultation methods do not always reliably engage end users due to constraints of time and limitations in the consultation cascade within duty holder organisations.

What’s New?

The New Approach will provide:

• Targeted publications related to skill sets.
  • Recognising that there are different audiences for the rules.
  • Rules contained in a mix of modules, handbooks and procedures to make the Rule Book more portable for those working in an outdoor environment.

• Rationalisation
  • A significant reduction in the quantity of rules by removing those rules that are legislative requirements, have no national application, are company specific, are training/guidance material, or are unnecessarily duplicated.
  • Remaining rules to be clear, concise and precise
  • Future rules will address key interfaces between end users and will be contained in fewer separate publications to make the rules for a particular role easier to navigate, learn, remember and refer to when undertaking operational safety tasks.

• A clear link between rules and principles.
  • A proposed rule is only included if it is needed to deliver the operational principles.
  • A future rule will need to be agreed as essential to system safety.

Programme Content

All 48 modules of the current Rule Book have been divided into 12 tranches:

• Tranche 1 Basic Competencies for Going on the Railway (G1, G2, T5, T6, T8)
  • Link to Tranche 1 disposition statements
• Tranche 2 Setting Up Safe Systems of Work (T2, T7, T10, T12)

• Tranche 3 Possessions and Control of Rail Movements (T3, T4, T9, T11, OTP, OTM)

• Tranche 4 Electrified Lines (AC, DC)

• Tranche 5 Level Crossings (TS9, TW8)

• Tranche 6 Emergencies (P1, P2, TW7, M1, M2, M4, M5)

• Tranche 7 Signalling Regulations (TS1, TS2, TS3, TS4, TS5, TS7)

• Tranche 8 One Train Working (TS8, TW8)

• Tranche 9 Train Working (TW1, TW2, TW3, SS1, SS2)

• Tranche 10 Signals & Indicators (S1, S2, S4, S5, SP)

• Tranche 11 Defective Trains (TW5)

• Tranche 12 Signalling Failures (S3, T1A, T1B)

Traffic Operation and Management Standards Committee (TOMSC) have approved work to be undertaken on the first four tranches.

Implementation Dates

In response to feedback from the industry when the Modular Rule Book was introduced, with all modules implemented on the same date, we will be adopting a phased introduction of “New Approach” changes as follows:

Tranche 01	June 2010
Tranche 02	December 2010
Tranche 03	June 2011
Tranche 04 & 05	December 2011
Tranche 06	June 2012
Tranche 07 & 08	December 2012
Tranche 09 & 10	June 2013
Tranche 11 & 12	December 2013

Project Organisation

Strategic governance of the programme which includes funding authorisation comes under the RSSB Board where industry interests are represented by senior managers from the duty holder organisations who make up the membership of RSSB.

Tactical level governance has been delegated by the RSSB Board to the Traffic Operation and Management (TOM) Standards Committee where industry interests are represented by experienced and senior operational specialists from RSSB member companies.

Day to day project management is undertaken by the RSSB Rules and National Publications department.

The programme is funded from the RSSB budget which is financed by its members in accordance with the RSSB constitution agreement through an annual levy on each member.

To support the programme the project team also includes employees seconded from RSSB member companies to assist RSSB with project development, facilitation, engagement and communication activities.

Post Tranche 1 - Information relating to the Operational Impacts, Safety Impacts & Safety Benefits 

Industry consultation

RSSB undertakes industry consultation via the Consultation and Stakeholder Register. Details of consultation for the New Approach (tranche specific) can be found at the following web address: http://www.consultation.rssb.co.uk/.

 

Questions about the 'New Approach' to the Rule Book

If you have a question related to the New Approach to the Rule Book, you should contact the RSSB enquiry desk who will deal with your enquiry in liaison with Operations Specialists within the Traffic Operation and Management Delivery Unit. The RSSB enquiry desk can be contacted on 020 3142 5400 or enquirydesk@rssb.co.uk.