The Railways (Accident Investigation and Reporting) Regulations 2005

Regulation 4(1)

SCHEDULE 1 U.K. 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. U.K.

2.  An accident on a level crossing involving rolling stock, resulting in the death of a person or serious injury to a person. U.K.

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. U.K.

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. U.K.

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. U.K.

6.  An accident involving the release or combustion of dangerous goods being carried on rolling stock that necessitates the evacuation of the area. U.K.

7.  An accident or incident that is likely to result in suspension of a railway service for a period in excess of 6 hours. U.K.

8.  An accident that causes extensive damage to rolling stock, the infrastructure or the environment. U.K.

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. U.K.

Regulation 4(2)

SCHEDULE 2 U.K. 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— U.K.

(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). U.K.

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. U.K.

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

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

(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. U.K.

Regulation 4(3)

SCHEDULE 3 U.K. 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. U.K.

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. U.K.

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. U.K.

4.  A failure in the signalling system which reduces the level of railway safety. U.K.

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. U.K.

6.  A collision between a tramcar and a road vehicle on a part of a tramway laid along a carriageway. U.K.

Regulation 4(4)

SCHEDULE 4 U.K. 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. U.K.

2.  A derailment of rolling stock which causes damage to or blocks a running line. U.K.

3.  A collision that occurs on any line other than a siding, between rolling stock and— U.K.

(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. U.K.

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

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

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. U.K.

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

9.  Unauthorised passing of a closed marker or signal. U.K.

10.  Runaway train on a line. U.K.

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. U.K.

Regulation 4(5)

SCHEDULE 5 U.K. 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. U.K.

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. U.K.

3.  Any unintended division of a train, or breakage of coupling. U.K.

4.  The failure of rolling stock on the track caused by— U.K.

(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. U.K.

6.  Any significant safety related breakdown or any serious destruction or collapse of equipment, installations or structures. U.K.

7.  Any failure in the signalling system, or any other safety system, which endangers or potentially endangers the safe operation of the railway. U.K.

8.  Submersion of track that necessitates its closure. U.K.

9.  Unscheduled stopping of a train in a tunnel for more than 30 minutes. U.K.

10.  Damage to track caused by rolling stock or a dragging object. U.K.

11.  Spillage of fuel from a road vehicle being carried on a shuttle train. U.K.

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 [F1 2007]. U.K.

Textual Amendments

F1 Word in Sch. 5 para. 12 substituted (1.7.2007) by The Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2007 (S.I. 2007/1573), reg. 1, Sch. 8

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. U.K.

Regulation 11(2)

SCHEDULE 6 U.K. Principal content of an accident and incident investigation report

Summary U.K.

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 U.K.

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 U.K.

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 [F2 international] 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.

Textual Amendments

F2 Word in Sch. 6 para. 3(3) substituted (31.12.2020) by The Merchant Shipping (Accident Reporting and Investigation) and the Railways (Accident Investigation and Reporting) (Amendment) (EU Exit) Regulations 2018 (S.I. 2018/1400), regs. 1, 25; 2020 c. 1, Sch. 5 para. 1(1)

Analysis and conclusions U.K.

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.