United Kingdom Statutory Instruments

(a) if it is notifiable under regulation 4(1);

(b) if the object was an animal; or

(c) where the obstruction was caused by an obvious act of vandalism.

     2. An accident resulting in the serious injury of one person only except if it is notifiable under regulation 4(1).

     3. An obstruction of, or damage to, track, caused by a road vehicle encroaching onto a running line, except when the obstruction or damage occurs on a part of a tramway track laid along a carriageway.

     4. Any unintended division of a train or a tramcar.

     5. The failure of rolling stock on the track caused by—

(a) the failure of an axle;

(b) the failure of a wheel or tyre, including a tyre loose on its wheel; or

(c) a fire or severe electrical arcing or fusing, whether or not extinguished by a fire-fighting service.

     6. The failure of a cable or the fastening thereof of the winding plant or other equipment involved in working a railway operated by a cable haulage system.

(a) other rolling stock;

(b) an object capable of causing damage to or derailment of the rolling stock; or

(c) a buffer stop.

     4. An accident that causes extensive damage to rolling stock, the infrastructure or environment.

     5. A collision on a level crossing involving a vehicle or pedestrian and rolling stock, whether or not a person suffers death or injury.

     6. An accident involving the release or combustion of dangerous goods that necessitates the evacuation of a tunnel or part of the terminal.

     7. Fire necessitating evacuation of passengers from one part of a train to another part of the same train or intervention of the fire brigade.

     8. An accident or incident leading to the evacuation of passengers from a train.

     9. Unauthorised passing of a closed marker or signal.

     10. Runaway train on a line.

     11. An accident or incident which, under slightly different conditions might have led to serious injuries or extensive damage to rolling stock, the infrastructure or the environment.

(a) the failure or seizing of an axle;

(b) the failure of a wheel or tyre, including a tyre loose on its wheel;

(c) the failure of brakes on a train; or

(d) a fire or severe electrical arcing or fusing on rolling stock, whether or not extinguished by a fire-fighting service.

     date, exact time and location of the occurrence;

     description of the events and the accident site including the efforts of the rescue and emergency services;

     the decision to establish an investigation, the composition of the team of investigators and the conduct of the investigation.

    (2) The background to the occurrence—

     staff and contractors involved and other parties and witnesses;

     the trains and their composition including the registration numbers of the items of rolling stock involved;

     the description of the infrastructure and signalling system - track types, switches, interlocking, signals, train protection;

     means of communication;

     works carried out at or in the vicinity of the site;

     trigger of the railway emergency plan and its chain of events;

     trigger of the emergency plan of the public rescue services, the police and the medical services and its chain of events.

    (3) Fatalities, injuries and material damage—

     passengers and third parties, staff, including contractors;

     cargo, luggage and other property;

     rolling stock, infrastructure and the environment.

    (4) External circumstances—

     weather conditions and geographical references.

Record of investigations and inquiries
     3. —(1) Summary of testimonies (subject to the protection of identity of the persons)—

     railway staff, including contractors;

     other witnesses.

    (2) The safety management system—

     the framework organisation and how orders are given and carried out;

     requirements on staff and how they are enforced;

     routines for internal checks and audits and their results;

     interface between different actors involved with the infrastructure.

    (3) Rules and regulations—

     relevant Community and national rules and regulations;

     other rules such as operating rules, local instructions, staff requirements, maintenance prescriptions and applicable standards.

    (4) Functioning of rolling stock and technical installations—

     signalling and control command system, including registration from automatic data recorders;

     infrastructure;

     communications equipment;

     rolling stock, including registration from automatic data recorders.

    (5) Documentation on the operating system—

     measures taken by staff for traffic control and signalling;

     exchange of verbal messages in connection with the occurrence, including documentation from recordings;

     measures taken to protect and safeguard the site of the occurrence.

    (6) Man-machine-organisation interface—

     working time applied to the staff involved;

     medical and personal circumstances with influence on the occurrence, including existence of physical or psychological stress;

     design of equipment with impact on man-machine interface.

    (7) Previous occurrences of a similar character.

Analysis and conclusions
     4. —(1) Final account of the event chain—

     establishing the conclusions on the occurrence, based on the facts established in paragraph 3.

    (2) Discussion—

     analysis of the facts established in paragraph 3 with the aim of drawing conclusions as to the causes of the occurrence and the performance of the rescue services.

    (3) Conclusions—

     direct and immediate causes of the occurrence including contributory factors relating to actions taken by persons involved or the condition of rolling stock or technical installations;

     underlying causes relating to skills, procedures and maintenance;

     root causes relating to the regulatory framework conditions and application of the safety management system.

    (4) Additional observations—

     deficiencies and shortcomings established during the investigation, but without relevance to the conclusions on causes.

    (5) Measures that have been taken—

     Record of measures already taken or adopted as a consequence of the occurrence.

    (6) Recommendations.

(a) contain a list of definitions the purposes of the Regulations (regulation 2);

(b) provide for an accident or incident occurring on a railway of a type described in regulation 3 not to be treated as an accident or incident for the purposes of Part 1 of the 2003 Act (regulation 3);

(c) require railway industry bodies (as defined in regulation 2(1)) to notify to the Branch the accidents and incidents listed in schedules 1 to 5 within the prescribed time limits, to provide the Branch with such information about the accident or incident listed in regulation 4(7) as the railway industry body is reasonably able to provide at the time of the notification and to provide further information subsequently (regulation 4);

(d) require the Branch to conduct its investigations in a manner that will not undermine its independence from the persons listed in the regulations, describe the manner in which the Branch will determine whether to investigate an accident or incident, when it is to involve other member States in its investigations and empower it to determine the extent and procedure to be followed in carrying out an investigation (regulation 5);

(e) provide for the appointment of persons to conduct or participate in an investigation by the Branch, and for persons to provide assistance to the Branch (regulation 6);

(f) prohibit access to the site of an accident or incident, or the removal of anything from the site of an accident or incident, except for the limited purposes described and provided the Branch is notified of such action (regulation 7);

(g) require evidence relating to an accident or incident to be preserved and confer a right for the inspector carrying out an investigation to require an immediate listing of evidence (regulation 8);

(h) restrict the movement or use of evidence relating to an accident or incident, provide for the testing or analysis by the Branch of certain evidence to be carried out with the knowledge and in the presence of others, and provide for the disposal of evidence no longer required by the Branch or another investigator (regulation 9);

(i) permit or require the disclosure of certain evidence or information and prohibit the disclosure of certain evidence unless disclosure is ordered by a court (regulation 10);

(j) provide for the making and publication of a report into an accident or incident and for certain reports to include the information described in Schedule 6 (regulation 11);

(k) require a person to whom recommendations made by the Branch are addressed to ensure that these are considered and, where appropriate, acted on (regulation 12);

(l) require the Branch to consider representations by persons affected by the accident or incident (regulation 13);

(m) provide for the publication of an annual report on the activities of the Branch (regulation 14);

(n) permit the Branch to conduct studies into, monitor and analyse any matter it considers may be relevant to the effective investigation of accidents and incidents, publish information and advice that is relevant to its general aims and require the Branch to actively exchange information with the investigation bodies established in other member States (regulation 15); and

(o) create offences and penalties (regulation 16, as read with regulations 4(12), 6(7), 7(6), 8(7), 9(13) to (16), 10(9), 12(5) and 13(6)).

(p) disapply certain provisions in Scotland (regulation 17).

A full regulatory impact assessment of the effect that this instrument will have on the costs of business is available from the Rail Accident Investigation Branch, The Wharf, Stores Road, Derby, DE21 4BA.