(a) written, electronic, photographic or other records;
(b) electronic or recording equipment;
(c) rolling stock, infrastructure, equipment and signalling systems;
(d) any personal, personnel, medical or other similar record or document; and
(e) anything else that an inspector identifies to—
(i) an owner of railway property;
(ii) a railway industry body; or
(iii) a manufacturer or supplier of equipment, components or services to an owner of railway property or to a railway industry body,
as being relevant to the accident or incident;
"extensive damage" means damage that can immediately be assessed by the Branch to cost at least 2 million Euros in total;
"incident" means a railway incident;
"infrastructure" means railway infrastructure;
"infrastructure manager" means any person who is responsible for establishing and maintaining infrastructure or a part thereof, which may also include the management of infrastructure control and safety systems, but does not include a maintainer;
"inspector" means a person appointed as an inspector of rail accidents under section 3(1) of the 2003 Act;
"Intergovernmental Commission" has the meaning given to those words by section 49 of the Channel Tunnel Act 1987;
"level crossing" means any place where a railway crosses on a level a highway or other road or passageway, whether or not there is public access to such land;
"maintainer" means a person who maintains, repairs or renews railway property or constructs new works in relation to railway property;
"motor vehicle" has the meaning given by section 185 of the Road Traffic Act 1988[9];
"railway" means a railway or tramway within the meaning given by section 67 of the Transport and Works Act 1992[10];
"railway accident" and "railway incident" have the meanings given in section 2(1) of the 2003 Act;
"railway industry body" means a person who is an infrastructure manager, a railway undertaking, a maintainer or an operator of rolling stock or railway assets;
"railway property" has the meaning given in section 1(1) of the 2003 Act;
"running line" means a railway line which is not a siding and is ordinarily used for the passage of trains or tramcars;
(a) in relation to Great Britain, excluding the Channel Tunnel system, means the Health and Safety Executive;
(b) in relation to Northern Ireland, means the Department for Regional Development; and
(c) in relation to the Channel Tunnel system, means the Intergovernmental Commission; and
"Safety Directive" means Directive 2004/49/EC of the European Parliament and the Council of 29th April 2004 on safety on the Community's railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification[11].
(2) The following words have the meaning given to them in section 83 of the Railways Act 1993[12] or the meaning which would be given to them by an equivalent definition in relation to a tramway—
(a) operator;
(b) railway asset;
(c) railway services;
(d) rolling stock;
(e) station;
(f) track; and
(g) train.
(3) "Serious accident" means an accident involving a derailment or collision of rolling stock which has an obvious impact on railway safety regulation or management of safety and includes such an accident that results in—
(a) the death of at least one person;
(b) serious injuries to five or more persons; or
(c) extensive damage to rolling stock, the infrastructure or the environment.
(4) "Serious injury" includes—
(a) a fracture other than to fingers, thumbs or toes;
(b) amputation;
(c) dislocation of the shoulder, hip, knee or spine;
(d) loss of sight, whether temporary or permanent, in one or both eyes;
(e) a chemical or hot metal burn or any penetrating injury to one or both eyes;
(f) an injury leading to hypothermia or heat-induced illness;
(g) an injury requiring resuscitation of the injured person;
(h) an injury requiring admittance to hospital for more than 24 hours;
(i) an injury directly leading to loss of consciousness; or
(j) an injury resulting from the absorption of a substance by inhalation, ingestion or through the skin that causes acute illness requiring medical treatment.
(5) Any expression used both in these Regulations and the Safety Directive and not otherwise defined in these Regulations has the same meaning for the purposes of these Regulations as it has for the purposes of the Safety Directive.
Accidents and incidents excluded from the application of Part 1 of the Railways and Transport Safety Act 2003
3.
—(1) An accident or incident that occurs within an industrial curtilage shall not be treated as an accident or incident for the purposes of Part 1 of the 2003 Act except where the accident or incident—
(2) An accident or incident that occurs on a railway which is operated by a cable haulage system and has a track of a length not exceeding 1 kilometre shall not be treated as an accident or incident for the purposes of Part 1 of the 2003 Act.
(3) Subject to paragraph (4), an accident or incident that occurs on a railway, no part of which crosses a carriageway (whether or not at the same level), shall not be treated as an accident or incident for the purposes of Part 1 of the 2003 Act.
(4) Paragraph (3) shall not apply to an accident or incident occurring on a railway operated by a cable haulage system that is not excluded under paragraph (2).
(5) In this regulation—
(a) "factory" means a factory within the meaning of section 175 of the Factories Act 1961[13] and premises to which section 123(1) or (2) or 125(1) of that Act apply unless such premises are used for the purposes of inspection, servicing, maintenance or repair (excluding construction or re-construction) of railway property;
(b) "industrial curtilage" means a curtilage of a harbour, freight terminal, mine, quarry or factory;
(c) "mine" has the same meaning as in section 180 of the Mines and Quarries Act 1954[14]; and
(d) "quarry" has the same meaning as in regulation 3 of the Quarries Regulations 1999[15].
Duty to notify the Rail Accident Investigation Branch of accidents and incidents
4.
—(1) Subject to paragraph (6), a railway industry body whose property or staff have been involved in an accident or incident of a type listed in Schedule 1 on a railway or on railway property other than within the Channel Tunnel system shall notify the Branch of its occurrence immediately it learns of the occurrence and by the quickest means available.
(2) Subject to paragraph (6), a railway industry body whose property or staff have been involved in an accident or incident of a type listed in Schedule 2 on a railway or railway property other than within the Channel Tunnel system shall notify the Branch of its occurrence as soon as is reasonably practicable and in any event within three working days of its occurrence.
(3) Where staff or property of a railway industry body have in any month been involved in an accident or incident of a type listed in Schedule 3 on a railway or railway property other than within the Channel Tunnel System, the body shall notify the Branch of every such occurrence during that month no later than 10 days after the end of the month and in accordance with paragraph (9).
(4) Subject to paragraph (6), a railway industry body whose property or staff have been involved in an accident or incident of a type listed in Schedule 4 within the Channel Tunnel system shall notify the Branch of its occurrence immediately it learns of the occurrence and by the quickest means available.
(5) Subject to paragraph (6), a railway industry body whose property or staff have been involved in an accident or incident of a type listed in Schedule 5 within the Channel Tunnel system shall notify the Branch of its occurrence as soon as is reasonably practicable and in any event within three working days of its occurrence.
(6) The duty in paragraphs (1), (2), (4) and (5) to notify the Branch of an accident or incident involving the death or serious injury of a person in circumstances described in Schedules 1, 2, 4 or 5, respectively, shall not arise where the railway industry body reasonably believes that—
(7) A notification given under paragraph (1), (2), (4) or (5) shall contain as much of the following information relating to the accident or incident as the railway industry body is reasonably able to provide at the time of the notification—
(8) The railway industry body that notifies the Branch in accordance with paragraph (1), (2), (4) or (5) shall provide—
(9) A notification referred to in paragraph (3) shall contain a list of every occurrence during the month in question and shall specify the date, time and place of each occurrence.
(10) Where the railway industry body does not know the extent of a person's injuries, it shall regard that person as having suffered a serious injury if—
(11) In this regulation "staff" means a person engaged in work for the railway industry body where such work was connected with the operation of the railway or railway property involved in the accident or incident at the time of its occurrence.
(12) A railway industry body that fails to notify the Branch of an accident or incident in accordance with paragraphs (1) to (5) and (7) to (9) shall be guilty of an offence.
Conduct of investigations by the Rail Accident Investigation Branch
5.
—(1) The Branch shall conduct every investigation of an accident or incident in a manner that will not undermine its independence from—
(2) The Branch shall not investigate occurrences other than accidents or incidents if such investigation could undermine its independence from any of the parties referred to in paragraph (1).
(3) The Branch shall make the necessary arrangements to commence an investigation of an accident or incident—
within seven days of being notified of the accident or incident.
(4) In making a determination under paragraph (3)(b) the Branch shall take into account—
(5) The Branch may undertake a preliminary examination of the circumstances surrounding an accident or incident to determine—
(6) Within seven days of its determination to investigate an accident or incident the Branch shall provide the European Railway Agency with details of the date, time, place and type of the accident or incident, the number of persons injured or killed and the damage caused as a result of the accident or incident.
(7) Where an accident or incident of a type described in paragraph (3) occurs on or close to a border installation between the United Kingdom and another member State, the Branch—
(8) Where an accident or incident of a type described in paragraph (3) involves a railway undertaking established and licensed in another member State, the Branch shall invite the investigating body in the other member State to participate in an investigation of that accident or incident.
(9) Where the accident or incident occurs within the part of the Channel Tunnel system which forms part of the United Kingdom and is either a serious accident or one which the Branch has determined it will investigate, the Branch shall invite and permit the rail accident investigating body in France to participate in the investigation of such accident or incident.
(10) During the course of its investigation, the Branch shall—
(11) The Chief Inspector shall determine the extent of, and the procedure to be followed in carrying out, an investigation conducted by the Branch or by a person appointed pursuant to regulation 6(1); and in making this determination he shall take into account the principles and the objectives of articles 20 and 22 of the Safety Directive.
(12) The Branch shall conclude its examination at the site of an accident or incident in the shortest possible time in order to enable the infrastructure that is closed as a result of the accident or incident to be restored and opened to railway services as soon as possible.
(13) The Chief Inspector may discontinue an investigation conducted by the Branch at any time and shall publish his reasons for doing so.
(14) The Branch may undertake an investigation into the circumstances of an accident or incident where it has previously determined that no investigation will be conducted.
Persons conducting, participating in or assisting with an investigation by the Rail Accident Investigation Branch
6.
—(1) The Chief Inspector may appoint a person who is not an inspector to conduct or participate in an investigation by the Branch.
(2) A person appointed under paragraph (1) may exercise such powers of an inspector as are necessary to enable him to perform his functions under the terms of his appointment.
(3) In relation to an investigation of an accident or incident that the Branch is conducting, the Chief Inspector may—
at such times and in such manner as the Chief Inspector may reasonably determine.
(4) Where the Chief Inspector reasonably requests assistance from a person referred to in sub-paragraph (3)(b), that person shall assist him.
(5) Subject to paragraph (6) the Secretary of State may pay reasonable compensation to a person who assists the Chief Inspector pursuant to paragraph (3).
(6) Where a person who assists the Chief Inspector pursuant to paragraph (3) is—
in determining whether or not to pay compensation, the Secretary of State shall take account of whether the assistance concerned any matter to which the duty or other legally enforceable requirement to investigate referred to in sub-paragraph (b) relates.
(7) A person who fails to assist an inspector when required to do so in accordance with paragraph (4) shall be guilty of an offence.
Access to the site of an accident or incident
7.
—(1) Subject to paragraph (2), no person other than an inspector or a person appointed under regulation 6(1) shall—
without the consent of an inspector until such time as the Branch has concluded its examination or removal of evidence at the site or determined that it will not conduct an investigation.
(2) A person may have access to, or remove anything described in paragraph (1), only in so far as may be necessary for the purpose of—
(3) Subject to regulation 17 where a constable, the safety authority or any other person intends to enter a site referred to in paragraph (1) in exercise of a power conferred on him by an enactment —
(4) In determining whether it is practicable to notify an inspector under paragraph (3)(a) a person intending to enter a site referred to in paragraph (1) shall have regard to whether the delay that would occur by giving such notification would, or would be likely to, affect adversely the result sought to be obtained from the exercise of his power.
(5) Where an inspector receives notification under paragraph (3)(a) of action proposed by a person referred to in paragraph (3) and a question arises as to the desirability of the proposed action to be taken, the inspector shall refer the question without delay to the Chief Inspector or an inspector acting on behalf of the Chief Inspector for determination pursuant to section 8(6) of the 2003 Act.
(6) A person who fails to comply with the requirements of paragraph (1) shall be guilty of an offence.
Preservation of evidence
8.
—(1) For the purpose of enabling him to carry out an investigation into an accident or incident in the most efficient way and within the shortest time, an inspector may, where appropriate in cooperation with the authorities responsible for the judicial inquiry, require a person to supply a list of all evidence relating to the accident or incident which is in his possession or control.
(2) Subject to paragraph (3) and regulation 17, a constable, the safety authority or any other person acting in exercise of a power conferred on him by an enactment, who is investigating an accident or incident shall—
(3) Paragraph (2) shall apply until such time as the Branch has concluded its investigation, no longer requires the evidence referred to in paragraph (2) or has determined that it will not conduct an investigation.
(4) In determining whether it is practicable to notify an inspector under paragraph (2)(b) a person intending to collect, examine or analyse evidence or interview a witness for his investigation pursuant to paragraph (2)(b) shall have regard to whether the delay that would occur by giving such notification would, or would be likely to, adversely affect the result sought to be obtained from the exercise of his power.
(5) Where an inspector receives notification under paragraph (2)(b) of action proposed by a person referred to in paragraph (2) and a question arises as to the desirability of the proposed action the inspector shall refer the question without delay to the Chief Inspector or an inspector acting on behalf of the Chief Inspector for determination pursuant to section 8(6) of the 2003 Act.
(6) An owner of railway property, a railway industry body, or a manufacturer or supplier of equipment, components or services to an owner of railway property or to a railway industry body, shall preserve all evidence over which he has control and—
until the Branch has concluded its investigation, no longer requires the evidence or has determined that it will not conduct an investigation.
(7) A person who contravenes paragraph (6) shall be guilty of an offence.
Use of evidence
9.
—(1) Except in so far as paragraph (2) or (3) applies, an owner of railway property, a railway industry body, or a manufacturer or supplier of equipment, components or services to an owner of railway property or to a railway industry body, shall not move or use any evidence that is, or may become, relevant to an investigation by the Branch except where it is necessary to do so for the purpose of—
until the Branch has concluded its investigation, no longer requires the evidence or has determined that it will not conduct an investigation.
(2) An owner of railway property, a railway industry body, or a manufacturer or supplier of equipment, components or services to an owner of railway property or a railway industry body, may—
(3) An owner of railway property, a railway industry body, or a manufacturer or supplier of equipment, components or services to an owner of railway property or a railway industry body who moves or uses evidence pursuant to paragraph (2) shall make and retain a record of the condition, position and location of the evidence before it was moved or used and shall supply that record on demand to the Branch.
(4) Subject to paragraph (5), in the course of an investigation into an accident or incident, an inspector or a person appointed under regulation 6(1) may, for the purpose of examining or analysing an article, dismantle or alter the composition of it, whether or not such dismantling or altering has the effect of destroying it
(5) Where an inspector or a person appointed under regulation 6(1) decides to dismantle or alter the composition of an article under paragraph (4), and the inspector or person appointed under regulation 6(1) has reason to believe that a constable, the safety authority or any other person exercising a power conferred on him by an enactment, or a constable, a procurator fiscal or the Lord Advocate exercising a power conferred on him at common law in Scotland, would be entitled to analyse or examine that article for the purpose of his own investigation into that accident or incident, the inspector or person appointed under regulation 6(1) shall—
(6) Where an inspector or a person appointed under regulation 6(1) considers that it would not be detrimental to an investigation he may—
(7) A person other than a person referred to in paragraph (5) whom the Branch allows to be present during an analysis or examination shall not disclose to anyone except a constable, the safety authority or any other person acting under a power conferred on him by an enactment, or to a constable, a procurator fiscal or the Lord Advocate acting under a power conferred on him at common law in Scotland, any information he obtains in connection with that analysis or examination without the consent of the Chief Inspector.
(8) The Branch may retain any evidence that it no longer requires for the purposes of the investigation for which it was obtained if that evidence may be required for the purposes of another investigation being conducted by the Branch.
(9) The Branch shall release to a constable, the safety authority or any other person exercising a power conferred on him by an enactment, or to a constable, a procurator fiscal or the Lord Advocate acting under a power conferred on him at common law in Scotland, any evidence that it no longer requires, where—
(10) The Branch shall release to its owner evidence that it no longer requires for the purposes of the investigation for which it was obtained or which it is not retaining under paragraph (8) and which the Branch is not required to release to a person referred to in paragraph (9) provided that before it does so the Branch shall consult with any person known to it to be leading an investigation under statutory or common law powers into the accident or incident in respect of which the evidence was obtained by the Branch.
(11) Where evidence is released to the owner pursuant to paragraph (10), the owner shall be responsible for the storage, destruction or disposal of it from the date of its release.
(12) Before releasing evidence under paragraphs (9) or (10) the Branch shall give seven days notice of its intention to do so to the intended recipient of such evidence.
(13) An owner of railway property, a railway industry body, or a manufacturer or supplier of equipment, components or services to an owner of railway property or to a railway industry body, that moves or uses evidence relating to an accident or incident other than for a purpose specified in paragraph (1) shall be guilty of an offence unless the movement or use of the evidence by that body is in compliance with paragraph (2).
(14) An owner of railway property, a railway industry body, or a manufacturer or supplier of equipment, components or services to an owner of railway property or to a railway industry body, that—
shall be guilty of an offence unless that movement or use of such evidence is for a purpose specified in paragraph (1).
(15) An owner of railway property, a railway industry body, or a manufacturer or supplier of equipment, components or services to an owner of railway property or a railway industry body, that fails to make and retain a record as required by paragraph (3) shall be guilty of an offence.
(16) A person who discloses information that he obtains during an analysis or examination in contravention of paragraph (7) shall be guilty of an offence.
Disclosure of evidence
10.
—(1) Except as provided in paragraphs (2) and (3) the Branch—
(2) Except by order of a relevant court and subject to paragraph (7) the Branch shall not disclose to anyone—
(3) Except by order of a relevant court and subject to paragraph (7), the Branch shall not be required to disclose to anyone—
(4) Except by order of a relevant court a person who assists the Branch under regulation 6(1), 6(3)(b) or 15(2)(b) shall not disclose to anyone any of the evidence or information described in paragraphs (2) or (3) which the Branch is precluded from disclosing save by order of a relevant court. This paragraph shall similarly apply to evidence or information provided to such a person if it is such that, if provided to the Branch, would be subject to paragraphs (2) or (3).
(5) No order may be made under paragraphs (2), (3) or (4) unless the court is satisfied that disclosure is in the public interest, having regard in particular to any adverse impact such disclosure may have on the investigation by the Branch to which the evidence or information relates, upon any future investigation and upon public safety.
(6) Paragraphs (2)(a) and (b) shall not be construed as placing a duty on the Branch to seek consent to disclose from a person referred to in those sub-paragraphs or compelling the Branch to disclose where the Branch has not sought consent at the time of the making of the statement.
(7) Nothing in paragraphs (2) or (3) shall preclude the Branch from—
(8) A person who assists the Branch under regulation 6(1), 6(3)(b) or 15(2)(b) shall not disclose to anyone other than a constable, the safety authority or any other person exercising a power conferred on him by an enactment, or a constable, a procurator fiscal or the Lord Advocate exercising a power conferred on him at common law in Scotland, evidence or any other information, to which paragraph (4) does not apply, that he acquires about an investigation through the giving of such assistance without the consent of the Chief Inspector or an inspector acting on behalf of the Chief Inspector.
(9) A person who discloses evidence or information in contravention of paragraph (2), (4) or (8) shall be guilty of an offence.
(10) In this regulation "relevant court" means—
Reports etc. of accidents and incidents investigated by the Rail Accident Investigation Branch
11.
—(1) Subject to the requirements in the following paragraphs the Branch may at any time provide a report (including an interim report), advice, recommendations or information relating to an accident or incident to such persons, and in such form and in such manner, as the Chief Inspector considers appropriate in the circumstances, taking account of—
(2) Upon the conclusion of an investigation conducted by the Branch into a serious accident, or an accident or incident which under slightly different conditions might have led to a serious accident, the Branch shall report to the Secretary of State and publish a final report—
(3) Upon the conclusion of an investigation conducted by the Branch, other than one to which paragraph (2) applies, the Branch shall report to the Secretary of State and publish a report in such form as may be determined by the Chief Inspector.
(4) A report published under this regulation may relate to more than one accident or incident.
(5) In relation to a report referred to in paragraph (2), the Branch shall provide a copy of the report to the European Railway Agency and to every person referred to in regulation 13(2).
Recommendations of the Rail Accident Investigation Branch
12.
—(1) The Branch shall address a recommendation contained in a report prepared under regulation 11(2) or (3)—
(2) A public body or authority to whom a recommendation is addressed under paragraph (1) shall, in relation to that recommendation—
(3) The requirement to report under paragraph (2)(b) or to give notice under paragraph (2)(c) shall only apply to the extent that it is reasonably practicable for the authority that is required to report to have the specified information or for it to become aware that the information has been rendered inaccurate.
(4) Having regard to the nature of a recommendation addressed to it, the safety authority may require any person, within such period as the safety authority may determine, to—
(5) A person who fails to comply with a requirement imposed on him by the safety authority in accordance with paragraph (4) shall be guilty of an offence.
Duty of the Rail Accident Investigation Branch to consider representations
13.
—(1) Before publishing a report under regulations 11(2) or (3) the Branch shall serve a notice in writing on every person referred to in paragraph (2) of its intention to publish the report, supply a copy of the report or the relevant part of the report to each person and invite each person to make representations to the Branch in response to its contents.
(2) The persons referred to in paragraph (1) are—
(3) A person upon whom notice is served under paragraph (1) may make representations in response to the report within fourteen days from service of the notice or within such longer period as may be determined by the Chief Inspector.
(4) The Branch shall consider any representations it receives under paragraph (3) and may amend the report in consequence of any such representation.
(5) A person to whom a report or part of a report has been supplied under paragraph (1) shall not disclose its contents without the permission of the Branch.
(6) A person who discloses the contents of a report in contravention of paragraph (5) shall be guilty of an offence.
Annual report of the Chief Inspector
14.
—(1) The Chief Inspector shall publish a report on the activities of the Branch—
(2) Every report under paragraph (1) shall contain in respect of the period to which it relates—
(3) A report may contain such other information relating to the activities and aims of the Branch specified in section 4 of the 2003 Act as the Chief Inspector may determine.
(4) The Branch shall send to the European Railway Agency a copy of each report published under paragraph (1).
Miscellaneous functions
15.
—(1) The Branch may conduct studies into, monitor and analyse any matter it considers may be relevant to the effective investigation of accidents or incidents including—
(2) In order to assist the Branch in carrying out the activities described in paragraph (1), the Chief Inspector may request assistance or information from—
at times and in a manner the Chief Inspector may reasonably determine.
(3) The Secretary of State may pay reasonable compensation to a person who assists the Chief Inspector pursuant to paragraph (2).
(4) The Chief Inspector may arrange for the publication, in such form and in such manner as he considers appropriate, of such information and advice as is relevant to the general aims of the Branch referred to in section 4 of the 2003 Act.
(5) The Branch shall use its best endeavours to conduct an active exchange of information and views with the investigation bodies established in other member States under the Safety Directive for the purpose of —
Offences
16.
—(1) A person guilty of an offence under regulation 4(12), 7(6), 8(7) and 9(13) to 9(16) shall be liable—
(2) A person guilty of an offence under regulation 6(7) shall be liable—
(3) A person guilty of an offence under regulation 10(9), 12(5) or 13(6) shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.
Scotland
17.
Nothing in regulations 7(3) or 8(2) shall apply to —
Alistair Darling
Secretary of State for Transport
19th July 2005
SCHEDULE 1Regulation 4(1)
Types of accidents and incidents other than any occurring within the Channel Tunnel System which must be notified to the Rail Accident Investigation Branch immediately and by the quickest means available
1.
An accident resulting in the death of a person or the serious injury of two or more persons.
2.
An accident on a level crossing involving rolling stock, resulting in the death of a person or serious injury to a person.
3.
A collision between rolling stock on a running line which causes damage or blocks a running line that was open to railway traffic at the time of the collision.
4.
A derailment of rolling stock on a running line that was open to railway traffic at the time of the derailment, or which blocks a running line that was open to railway traffic at the time of the derailment.
5.
A collision of rolling stock with an arrestor mechanism or buffer stop, other than in a siding, that causes damage to the rolling stock.
6.
An accident involving the release or combustion of dangerous goods being carried on rolling stock that necessitates the evacuation of the area.
7.
An accident or incident that is likely to result in suspension of a railway service for a period in excess of 6 hours.
8.
An accident that causes extensive damage to rolling stock, the infrastructure or the environment.
9.
An accident or incident which under slightly different conditions might have led to a death, serious injury or extensive damage to rolling stock, the infrastructure or the environment.
SCHEDULE 2Regulation 4(2)
Types of accidents and incidents other than any occurring within the Channel Tunnel System which must be notified to the Rail Accident Investigation Branch as soon as reasonably practicable and in any event within three working days of occurrence
1.
A collision of rolling stock with an object on or adjacent to a running line which under slightly different conditions might have caused a derailment, except—
(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.
SCHEDULE 3Regulation 4(3)
Types of accidents and incidents other than any occurring within the Channel Tunnel System which must be notified to the Rail Accident Investigation Branch no later than ten days after the end of the month in which the accident or incident occurred
1.
The failure of equipment at a level crossing which reduces the level of safety on the railway.
2.
The failure of a rail, including a rack rail, on a running line whether by a complete fracture through its cross section, or by the buckling or detachment of a piece of rail and which necessitates an immediate closure of that running line or speed reduction on that running line.
3.
The failure of a structure on railway property, including a tunnel, bridge, viaduct, culvert, railway cutting, embankment, station, signal or fixed electrical equipment which under slightly different circumstances may have led to a serious accident or which otherwise reduces the level of railway safety.
4.
A failure in the signalling system which reduces the level of railway safety.
5.
Rolling stock passing a railway signal displaying a stop aspect, unless either the driver had been given authority to pass the signal or the signal did not display in sufficient time to enable the driver to stop safely at the signal.
6.
A collision between a tramcar and a road vehicle on a part of a tramway laid along a carriageway.
SCHEDULE 4Regulation 4(4)
Types of accidents and incidents occurring within the Channel Tunnel System that must be notified to the Rail Accident Investigation Branch immediately and by the quickest means available
1.
An accident resulting in death or serious injury to a person.
2.
A derailment of rolling stock which causes damage to or blocks a running line.
3.
A collision that occurs on any line other than a siding, between rolling stock and—
(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.
SCHEDULE 5Regulation 4(5)
Types of accidents and incidents occurring within the Channel Tunnel System that must be notified to the Rail Accident Investigation Branch as soon as practicable and in any event within three working days of occurrence
1.
A fire, arcing or fusing which adversely affects the functioning of signalling, catenary or rolling stock control equipment.
2.
A fire that results in the suspension of railway services or closure of a part of railway property affecting the track, for a period of more than 1 hour.
3.
Any unintended division of a train, or breakage of coupling.
4.
The failure of rolling stock on the track caused by—
(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.
5.
A broken rail, major failure of track equipment (weld, fastenings, etc.) or track deformation.
6.
Any significant safety related breakdown or any serious destruction or collapse of equipment, installations or structures.
7.
Any failure in the signalling system, or any other safety system, which endangers or potentially endangers the safe operation of the railway.
8.
Submersion of track that necessitates its closure.
9.
Unscheduled stopping of a train in a tunnel for more than 30 minutes.
10.
Damage to track caused by rolling stock or a dragging object.
11.
Spillage of fuel from a road vehicle being carried on a shuttle train.
12.
A breach of the requirements for the transport of dangerous goods contained or referred to in the Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2004[17].
13.
Any incident during which installations, equipment or rolling stock come into unintended contact with live overhead power lines with a voltage in excess of 200 volts.
SCHEDULE 6Regulation 11(2)
Principal content of an accident and incident investigation report
Summary
1.
The summary shall contain a short description of the occurrence, when and where it took place and its consequences. It shall state the direct causes as well as contributing factors and underlying causes established by the investigation. The main recommendations shall be quoted and information shall be given on the addressees.
Immediate facts of the occurrence
2.
—(1) The occurrence—
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.
EXPLANATORY NOTE
(This note is not part of the Regulations)
These Regulations implement articles 19 to 25 and Annex V of Directive 2004/49/EC of the European Parliament and the Council of 29th April 2004 on the safety of the Community's railways and amending Council Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification, in so far as those articles have not already been implemented by Part 1 of the Railways and Transport Safety Act 2003 (c. 20) ("the 2003 Act"), which establishes the Rail Accident Investigation Branch, ("the Branch"), being a permanent body given power to investigate railway accidents and incidents.
The Regulations set out the procedures for dealing with specified accidents and incidents, including notification requirements, dealing with evidence and publishing reports and recommendations. The regulations —
(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.
Notes:
[1]
S.I. 1996/266.back
[2]
1972 c. 68.back
[3]
2003 c. 20.back
[4]
1987 c. 53.back
[5]
1996 c. 16. By section 24(3) of the 2003 Act, section 29 of the Police Act 1964 applies to a constable of the British Transport Police Force appointed in England or Wales.back
[6]
1967 c. 77. By section 24(4) of the 2003 Act, section 16 of the Police (Scotland) Act 1967 applies to a constable of the British Transport Police Act appointed in Scotland.back
[7]
S.I. 2004/568.back
[8]
OJ No. L164, 30.04.04, p.1.back
[9]
1998 c. 52.back
[10]
1992 c. 42.back
[11]
OJ No. L164, 30.04.04, p.44.back
[12]
1993 c. 43.back
[13]
1961 c. 34. Section 175(2)(n) was amended by regulation 3(1) of and Schedule 1 to the Factories Act 1961 etc. (Metrication) Regulations 1983 (S.I. 1983/978).back
[14]
1954 c. 70.back
[15]
S.I. 1999/2024.back
[16]
1967 c.77back
[17]
S.I. 2004/568back
ISBN
0 11 073111 5
© Crown copyright 2005