RIDDOR 1995 Supplementary Guidance on Statutory Reporting

Transcription

1 RIDDOR 1995 Supplementary Guidance on Statutory Reporting Signatures removed from electronic version This Guidance Note has been produced by Synopsis This Guidance Note provides supplementary guidance for those responsible for statutory reporting under RIDDOR 1995 and is referenced in Railway Group Standard GH/RT4005. Elizabeth Fleming Standards Project Manager Authorised by Brian Alston Acting Controller, Railway Group Standards This document is the property of Railtrack PLC. It shall not be reproduced in whole or in part without the written permission of the Controller, Railway Group Standards, Railtrack PLC. Published by Safety & Standards Directorate, Railtrack PLC, Floor DP01, Railtrack House, Euston Square London NW1 2EE Copyright 1999 Railtrack PLC

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3 RIDDOR Supplementary Guidance on Statutory Reporting Page 1 of 55 Contents Section Description Page Part A Issue Record 2 Health and Safety Responsibilities 2 Supply 2 Part B 1 Purpose 3 2 Scope 3 3 Definitions 4 4 General Guidance/Interpretations 4 Part C Part D Dangerous Occurrences 8 Guidance on the Completion of the RIDDOR 1995 Forms 32 Appendices A Form F2508RC Bulk Reporting of Failures of Signalling Equipment 49 B Form F2508RC Bulk Reporting of Signals Passed at Danger (SPAD) 52 C Additional Guidance on Specific Dangerous Occurences 53 References 55 RAILTRACK 1

4 Page 2 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Issue Record Part A This Guidance Note will be updated when necessary by distribution of a complete replacement. Amended or additional parts of revised pages will be marked by a vertical black line in the adjacent margin. Issue Date Comments 1 October 1999 New Document. First issue replaces GH/RC4500 Issue 1 Dec However, for ease of use, revisions to the content of GH/RC4500 Issue 1, are identified in this document by a vertical black line in the adjacent margin. These revisions were made to reflect the introduction of SMIS. Health and Safety Responsibilities In issuing this Guidance Note, Railtrack PLC makes no warranties, express or implied, that compliance with all or any Railway Group Standards is sufficient on its own to ensure safe systems of work or operation. Each user is reminded of its own responsibilities to ensure health and safety at work and its individual duties under health and safety legislation. Supply Controlled and uncontrolled copies of this Guidance Note may be obtained from the Industry Safety Liaison Dept, Safety and Standards Directorate, Railtrack PLC, Railtrack House, DP01, Euston Square, London, NW1 2EE. 2 RAILTRACK

5 RIDDOR Supplementary Guidance on Statutory Reporting Page 3 of 55 1 Purpose Part B This Guidance Note is to provide supplementary, or additional guidance obtained in correspondence / discussions with the Health & Safety Executive (HSE) and the HM Railway Inspectorate (HMRI) (who were consulted in the preparation of this document) since the publication and issue of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR 1995) and the associated guidance shown in HSE Booklets L73 and L75. In the case of Dangerous Occurrences (see Part C), it combines:- the Dangerous Occurrences detail (as shown in Schedule 2, Parts II and IV of RIDDOR 1995); the HSE guidance given in Booklet L73/L75; and supplementary guidance obtained from HSE/HMRI; and is designed to assist organisations in complying with the provisions of RIDDOR This Guidance Note also includes guidance on the completion of the RIDDOR 1995 report forms. This Guidance Note is maintained and produced by Railtrack Safety & Standards Directorate. Organisations are reminded of the statutory reporting requirements under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations If an organisation is unclear as to how to report particular accidents or dangerous occurrences, i.e. either the Regulations and supporting guidance do not provide the answer or are unclear, further guidance may be obtained from:- The HMRI s Accident Office Safety Intelligence Advisor, Railtrack Safety & Standards Directorate (BT or (Internal) (BT) or (Internal) Notes:- this Guidance Note is not mandatory, in Part D, the contents have been used in the development of the statutory reports available in SMIS. 2 Scope This Guidance Note applies to Statutory reporting in compliance with RIDDOR RAILTRACK 3

6 Page 4 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting 3 Definitions Railway Group Railtrack and duty holders of Railway Safety Cases accepted by Railtrack. SMIS Safety Management Information System, which is a computer database containing details of events reported by or on behalf of members of the Railway Group. 4 General Guidance/ Interpretation 4.1 HM Forces on Duty - Regulation 10(3) In the event that a member of armed forces is, for example, struck and killed by a train whilst crossing a railway line (other than at a level crossing) during military manoeuvres / exercises, this would not be reportable under RIDDOR However, where a member of HM Forces is:- travelling on a warrant on duty, he / she is to be treated like any other passenger; or uses a level crossing to cross the railway, for whatever purpose, he / she is to be treated like any other member of the public. 4.2 Records - Regulation 7(3) The record required to be kept under this Regulation should be kept either at the place where the work to which it relates is carried on or the usual place of business of the responsible person. There is no reason why the record should not be kept on a computer. A strict interpretation of Regulation 7(3) would require at least a computerised database to be held at a businesses premises However, the HSE accepts that access to the centrally-stored SMIS records / files held in the SEMA Computer Centre, Crewe by the responsible person from his / her usual place of business meets the intent of the Regulations. 4.3 Major Injury - Schedule 1 The following amplify the HSE guidance given in respect of Schedule 1 to the Regulations:- Amputation Fracture Dislocation of spine Medical Treatment Eye Injuries Hot metal Burns 'Amputation' means either traumatic amputation at the time of the accident or surgical amputation following the accident. For a finger, thumb or toe, or any part of them, the joint or bone has to be completely severed for it to be regarded as an amputation. 'Fracture' includes a break, crack or chip. It does not include a 'broken' nose unless it involves a fracture or chip of the part of the bone at the bridge of the nose and forming part of the skull, because a nose is cartilage as opposed to bone. Dislocation of spine includes cases of slipped disc. This does not include first-aid treatment, including that given by qualified / trained first-aiders. Penetrating eye injury - this term applies only to serious eye injuries where a foreign object actually pierces an eye. It does not include injuries where the surface of an eye is scratched, e.g. by glass from a broken windscreen or the branch of a tree. This term applies only to injuries where an eye has been burnt by hot metal. 4 RAILTRACK

7 RIDDOR Supplementary Guidance on Statutory Reporting Page 5 of 55 Loss of Sight cases where only one eye is affected - even though the person (temporary or concerned has and retains sight in the other eye - should be permanent) regarded as "major injury". The term includes 'arc eye', blindness from electrical flashes / short circuits 4.4 Shock/Trauma Psychological trauma / shock and related reactions are not regarded as injuries for the purposes of RIDDOR In practice this will mean that:- if a member of the public is removed from the scene of an accident to a hospital, or if as a result of an accident, an employee is detained in hospital for more than 24 hours (i.e. major injury) or is unable to undertake his / her normal work for more than 3 days, the accident - provided it arose out of or in connection with work - should be reported, unless it is certain that the person DID NOT suffer any form of physical injury as a result of the accident but only psychological trauma / shock 4.5 Delayed Absence from Duty or Hospitalisation After Accident If a person at work suffers an injury which is not discovered until some time after the accident occurred, it will be 'reportable' if, for example, as a result of the injury the person concerned is either:- absent from duty or is unable to carry out his / her normal duties for more than 3 days, or detained in hospital for more than 24 hours (e.g. an operation is carried out to repair the injury). (see guidance given in paragraphs 104 and 105 on page 16 of HSE booklet L75). 4.6 Person Types When reporting details of personal injuries, including those resulting from Dangerous Occurrences, it is important to determine the injured person s relationship to the reporting organisation before selecting the Person Type on Forms F2508RA and F2508RB. However, it is also important to remember that the definitions of Passengers, Trespassers and Other Person, etc. as shown in HSE Booklet L75 are different to those used for internal railway reporting / analyses, for which reference should be made to the definitions / guidance contained in and Railway Group Standard GH/RT4005 and Guidance Note GE/GN8510 Railway Group Safety Performance Monitoring - Definitions / Terminology. The following provide additional guidance to definitions shown in HSE Booklet L75. a. Passenger The guidance given in paragraphs 116(b) and 121 (b) on pages 118/119 of HSE Booklet L75 is amplified as follows:- Passenger includes a person who, whilst travelling on board trains, enters a part of the train where he / she has no authority to be, e.g. driving cab or brake van. This does not include a person who was a passenger but who, at some stage during the journey, climbs out in order to travel on the outside of the train. The guidance given in paragraph 118 on page 18 of HSE Booklet L75 is incorrect and is amended by the following:- RAILTRACK 5

8 Page 6 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting A railway Driver "travelling passenger" on duty would be regarded as on duty but, if travelling before / after turn of duty, should be regarded as a Passenger. b. Person On Business / Contractor - Person At Work When reporting injuries, resulting from dangerous occurrences, to employees of other railway operators on Form F2508RA or Form F2508RB, it is necessary to report the injured person s relationship to the reporting organisation and to indicate whether the injured person is a Person on Business or Contractor. On Form F2508RA, Part C, item 5 (see page 36), when indicating Person on Business, insert Railway Employee in the box under Other. On Form F2508RB, Part C, item 5, (see page 41), tick Other and insert (in the box below) Person on Business - Railway Employee. Railway Employee includes only:- employees of Railway Group organisations (i.e. holders of a Railway Safety Case); employees of Contractors and sub-contractors to a Railway Group organisation, which are not themselves a Railway Group organisation; employees of franchisees (and their contractors working on board trains). Contractor includes:- employees of other Railway Group organisations (i.e. holders of a Railway Safety Case) who are under contract to the (reporting) organisation; employees of organisations which are not part of the Railway Group but who are under contract to the (reporting) organisation. Note:- Travelling Post Office staff, Customs & Excise staff on Eurostar(UK) trains and HMRI Inspecting Officers on board trains are regarded only as Persons on Business. 4.7 Passenger Train and Non Passenger Train The definitions of Passenger Train (and Non-Passenger Train ) as shown on page 25 of HSE Booklet L75 (and reproduced on page 11) are enhanced as follows:- Passenger Train A train which is in service and available for the use of passengers. A train of empty coaching stock brought into a terminal station, for example, becomes a passenger train in service as soon as passengers are allowed to board it. Non-Passenger Any train which is NOT available for the use of passengers, Train including empty coaching stock trains (but see above), freight trains and light locomotives. Also includes road / rail vehicles when in the rail mode of operation. 6 RAILTRACK

9 RIDDOR Supplementary Guidance on Statutory Reporting Page 7 of Relevant Transport System and Railways The following have been extracted from Regulation 2 - Interpretation and both the general and railway specific guidance booklets (L73 and L75):- Relevant Transport System Railway means a railway, tramway, trolley vehicle system or guided transport system means a system of transport employing parallel rails which:- provide support and guidance for vehicles carried on flanged wheels; and form a track which is either of a gauge of at least 350 mm or crosses a carriageway (whether or not on the same level) but does not include tramways. (see pages 23/24 of Booklet L75) The definitions of railway, etc. under relevant transport system exclude those at factories, docks, construction sites, and at mines and quarries. As a result the dangerous occurrences in Part IV of Schedule 2 do not apply at those premises. (see page 10 of Booklet L73) 4.9 Train/Vehicle The following has been extracted from Regulation 2 Interpretation and the railway specific guidance booklet (L75):- Train Includes a reference to a locomotive tramcar or other power unit and to a vehicle used on a relevant transport system. Where train is used, this includes locomotives, tramcars, trolley vehicles and other guided transport vehicles. This also includes the train carriages themselves. On the basis of the above definitions/terms, train includes road/rail vehicles in use on the railway. RAILTRACK 7

10 Page 8 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Part C Schedule 2, Part I - Dangerous Occurrences - General Notes:- Some Dangerous Occurrences in Schedule 2, Part I apply to relevant transport systems, where they occur on the system. Details of a number of such Dangerous Occurrences are shown in booklet L75, together with relevant guidance. Only those where it has been necessary to provide supplementary guidance are shown below. RIDDOR 1995 Dangerous Occurrence Detail 1 The collapse of, the overturning of, or the failure of any load-bearing part of any:- (a) lift or hoist; (b) crane or derrick; (c) mobile powered access platform; (d) access cradle or window-cleaning cradle; (e) excavator; (f) pile-driving frame or rig having an overall height, when operating, of more than 7 metres; or (g) fork lift truck. 4 Any unintentional incident in which plant or equipment either:- comes into contact with an un-insulated overhead electric line in which the voltage exceeds 200 volts; or causes an electrical discharge from such an electric line by coming into close proximity to it. HSE Guidance given in Booklet L73 / L75 'Lifting machinery' covers the collapse of any of the machinery or equipment listed, the overturning of any such machinery or equipment or the failure of any load-bearing part of it, whether used for lifting goods, materials or passengers. It does not cover the failure of ancillary equipment such as electric operating buttons or radius indicators. 'Mobile powered access platform' means any platform where the movement of the platform itself is powered, and not necessarily the movement of its supporting vehicle. Power elevated platforms mounted on manually moved vehicles are included. Fixed or mobile tower scaffolds are not included. Incidents involving cranes must be reported irrespective of the nature of the work being done, and reports must not be restricted to those involving lifting and lowering. For example, a collapse or overturning when a machine is being used for drop balling must be included. A 'pile-driving frame or rig' includes a bored piling rig or a percussion piling rig comprising substantially a crane with a jib, normally mounted on crawler tracks, which has been adapted by the addition of pile-driving parts. Refers to incidents involving un-insulated, live, overhead electric lines carrying more than 200 volts. Examples of the kinds of incident which are covered and which must be notified and reported are:- (a) accidental contact of a mobile crane or a vehicle with an overhead line; (b) accidental contact with an overhead line by something being carried or lifted; and (c) the collapse of something (e.g. an engineering structure, a building, a tree during felling operations) across an overhead line. Supplementary Guidance obtained from HSE/HMRI 1. The overturning of a rail mounted crane whilst undertaking the work for which it was provided / being used should be reported under this DO, and should not be treated as a derailment for reporting under DO52 or DO Where, however, a rail mounted crane overturns as a result of it becoming derailed whilst undertaking the work for which it was provided / being used, and the:- a) the reportable criteria of DO52 or DO53 are not met, and b) the reportable criteria of this DO are met where the event occurs within a work site it is reportable under this DO and not DO 52 or DO53. See guidance at DO52/53 on page 13. Does not include trees which make contact with overhead electric lines (including OHLE of railways) due to acts of God, e.g.:- trees blown over / uprooted in high winds / storms trees falling due to landslides 8 RAILTRACK

11 RIDDOR Supplementary Guidance on Statutory Reporting Page 9 of 55 Schedule 2, Part I - Dangerous Occurrences - General - (continued) RIDDOR 1995 Dangerous Occurrence Detail 5 Electrical short circuit or overload attended by fire or explosion which results in the stoppage of the plant involved for more than 24 hours or which has the potential to cause the death of any person. 12 Any unintended collision of a train with any other train or vehicle, other than one reportable under Part IV of Schedule 2, which caused, or might have caused, the death of, or major injury to, any person. HSE Guidance given in Booklet L73 / L75 Where the failure of an item of electrical equipment results in a fire or explosion, the failure is reportable as a dangerous occurrence if the equipment concerned is rendered unusable for a period in excess of 24 hours, or if the occurrence was one with the potential to cause the death of any person. The incident is reportable even if the system in which the damaged equipment was installed is put back into service using new equipment before the end of a 24-hour period. In such a case an assessment should be made on how long a repair to the damaged equipment would have taken had it been attempted. This dangerous occurrence only applies to any unintended collision of a train with any other train or vehicle within a factory, dock, construction site, mine or quarry which caused or might have caused the death of or major injury to any person. Supplementary Guidance obtained from HSE/HMRI 1. Includes cases of buried electrical cables being struck and damaged during excavations. 2. "Plant" incudes any machinery, equipment or appliance. 1. A work site within an Engineer s possession of a running line is to be regarded as a construction site, i.e. a site where construction work as defined in the Construction (Design and Management) Regulations Provided that the:- a. reportable criteria of DO51 are not met, and b. reportable criteria of this DO are met 3. a collision occurring within such work sites is reportable under this DO and not DO 51. Railtrack remains the responsible person / person in control of premises for Engineers possessions of running lines. RAILTRACK 9

12 Page 10 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Schedule 2, Part I - Dangerous Occurrences - General - (continued) RIDDOR 1995 Dangerous Occurrence Detail 18 Any unintended collapse or partial collapse of:- (a) any building or structure (whether above or below ground) under construction, reconstruction, alteration or demolition which involves a fall of more than 5 tonnes of material: (b) any floor or wall of any building (whether above or below ground) used as a place of work: or (c) any false work HSE Guidance given in Booklet L73 / L75 The false-work referred to in DO18 means any temporary structure used to support a permanent structure during its erection and until that structure becomes selfsupporting. Examples of incidents reportable under DO18(b) would include:- (a) the collapse of a heavily loaded floor in a building: (b) the collapse of any floor or wall as a result of a vehicle colliding with a building used as work premises. Supplementary Guidance obtained from HSE/HMRI Vehicle in respect of DO18(b) includes rail vehicles. 10 RAILTRACK

13 RIDDOR Supplementary Guidance on Statutory Reporting Page 11 of 55 Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems Accidents to Passenger Trains RIDDOR 1995 Dangerous Occurrence Detail 49 Any collision in which a passenger train collides with another train 50 Any case where a passenger train or any part of such a train unintentionally leaves the rails HSE Guidance given in Booklet L73 / L75 In this context, a 'collision' can be taken as being between a passenger train and another train or railway vehicles; any other obstruction is "struck" or "run into" by a train. This includes collisions with trains / vehicles standing at buffer stops. A passenger train in this context is a train that is either carrying passengers or is in service and is scheduled to convey passengers, whether or not it is carrying any at the time. See also Part B, page 6. Passenger trains derailed as a result of striking buffer stops, trains standing at buffer stops or objects on the track are to be notified under this DO 50. Trains derailed as a result of striking a road vehicle at a level crossing should be reported under DO 60. Supplementary Guidance obtained from HSE/HMRI 1. Collisions with trains / vehicles standing at buffer stops to be reported under this DO. 2. Cases involving an open door being struck by another train, where one of the trains is a passenger train, to be reported under this DO. See also Appendix C, page Objects on the track includes, for example, landslips and objects placed on line by vandals. 2. Where there is evidence that a train has derailed and then rerailed it should be reported as a derailment. 3. Where there is evidence that a wheel flange has ridden onto the railhead and then reseated itself, it is not reportable (unless a reportable injury arises). RAILTRACK 11

14 Page 12 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents not involving Passenger Trains RIDDOR 1995 Dangerous Occurrence Detail 51 Any collision between trains, other than one between a passenger train and another train, on a running line where any train sustains damage as a result of the collision, and any such collision in a siding which results in a running line being obstructed. HSE Guidance given in Booklet L73 / L75 A reportable collision not involving a passenger train is:- (a) when on a running line, where damage of some kind e.g. broken glass has been sustained to the train or trains involved; or (b) when in a siding, one which results in the physical obstruction of a running line. See also guidance on page 14. Supplementary Guidance obtained from HSE/HMRI 1. If a collision resulted in a reportable injury to any person, irrespective of whether damage is caused to any train involved, the collision itself is reportable. See Appendix C, page Damage includes broken glass, irrespective of whether this is t the Driver s cab window. 3. A "collision" is between trains or railway vehicles; any other obstruction is "struck" or "run into" by a train. Collisions with trains / vehicles standing at buffer stops to be reported under this DO, unless a passenger train is involved. 4. Cases involving an open door on a nonpassenger train being struck by another nonpassenger train, where either:- train sustains damage (including the breakage of glass) or results in a reportable personal injury to any person to be reported under this DO. See also Appendix C, page 51. See also guidance on page RAILTRACK

15 RIDDOR Supplementary Guidance on Statutory Reporting Page 13 of 55 Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents not involving Passenger Trains - (continued) RIDDOR 1995 Dangerous Occurrence Detail 52 Any derailment, of a train other than a passenger train, on a running line, except a derailment which occurs during shunting operations and which does not obstruct any other running line. 53 Any derailment, of a train other than a passenger train, in a siding which results in a running line being obstructed. HSE Guidance given in Booklet L73 / L75 A reportable derailment not involving a passenger train is:- (a) any derailment on a line ordinarily used for the passage of trains (a 'running line') (DO 52); or (b) when in a siding, one which causes a blockage to a running line (DO 53). Collisions and derailments in a siding where trains run at reduced speed because the stability of the derailed vehicles is in question (e.g. vibration from passing trains may cause further movement) are to be regarded as affecting running lines and are reportable. See also guidance on page 14. Supplementary Guidance obtained from HSE/HMRI 1. Trains derailed as a result of striking:- buffer stops trains / vehicles standing at buffer stops objects on the track (e.g. landslips, or objects placed on line by vandals) to be reported under DO 52 (or DO 53 when occurring within a siding and a running line is obstructed). 2. Where there is evidence that a wheel flange has ridden onto the railhead and then reseated itself, it is not reportable (unless a reportable injury arises). 3. In the case of DO53, Railtrack, as Infrastructure Controller of the obstructed running line(s), is responsible for reporting the DO. 4. The overturning of a rail mounted crane, which does not result from an initial derailment of the crane, should be reported under DO1, and should not be treated as a derailment for reporting under either DO 52 or 53 irrespective of whether an adjoining, open running line is obstructed. See guidance at DO1 on page 8. See also guidance on page 14. RAILTRACK 13

16 Page 14 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents not involving Passenger Trains - (continued) RIDDOR 1995 Dangerous Occurrence Detail HSE Guidance given in Booklet L73 / L75 Supplementary Guidance obtained from HSE/HMRI 51 to 53 Collisions and derailments on running lines are not reportable where they either:- (a) occur during shunting operations; or (b) occur on a section of a running line which, at the time, was under absolute possession (meaning not available for normal train running), usually for the purposes of carrying out engineering works; or (c) when involving non-passenger trains, occur on a section of a running line which, at the time, was blocked owing to obstruction / major accident (e.g. breakdown trains proceeding to site); or (d) where a wheel flange has ridden onto the railhead and then reseated itself. The above exceptions are subject to the provision that they do not obstruct any other running line which at the time was open to traffic (i.e. not 'protected' by the signalling system when a route was set for the shunting movement), or cause personal injury. Collisions and derailments in sidings are not reportable where (but see also guidance in (1) at right, on this page):- (a) an adjacent running line is not physically obstructed; or (b) an adjacent running line is blocked or trains run at reduced speed only due to the presence of investigation, rerailing or emergency services personnel close to the running line. 1. Collisions / derailments in a siding where:- a non-derailed portion of the train or shunt movement becomes stranded on the running line simply because the train / movement cannot continue pending confirmation that derailed vehicles are close to, but not obstructing, the running line the adjacent running line is blocked as a precaution are to be regarded as collisions / derailments not affecting running lines and, therefore, are not reportable. 2. The personal injury exception applies only in the case of reportable injuries. 3. A collision occurring within the work site (i.e. a construction site) of an Engineer s possession of a running line, are reportable under DO 12 and not this DO where:- (a) the reportable criteria of this DO are not met, and (b) the reportable criteria of DO51 are met 14 RAILTRACK

17 RIDDOR Supplementary Guidance on Statutory Reporting Page 15 of 55 Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving any kind of train RIDDOR 1995 Dangerous Occurrence Detail 54 Any case of a train striking a buffer stop, other than in a siding, where damage is caused to the train HSE Guidance given in Booklet L73 / L75 Any case of a train striking a buffer-stop is reportable where damage to the train is caused unless:- (a) the incident occurs in a siding; or (b) the damage sustained by the train is considered to be very minor or superficial (e.g. scratching of paintwork). Accidents resulting in damage to the buffer stops only are not reportable. Trains derailed as a result of striking buffer stops are to reported under DO 50 or 52 as appropriate. Supplementary Guidance obtained from HSE/HMRI 1. If collision resulted in reportable injury to any person, irrespective of whether damage is caused to the train involved, the collision itself is reportable. See Appendix C, page Damage includes broken glass, irrespective of whether this is to the Driver s cab window. 3. Collisions with vehicles standing at buffer stops to be reported under DOs 49 or 51 as appropriate. 4. Includes cases of trains / vehicles rolling back onto buffer stops. 55 & 56 See next page for Dangerous Occurrences The concept of damage necessitating immediate temporary or permanent repair used in DO 55 and 56 is to provide a distinction between reportable and non-reportable events. If temporary or permanent repairs, e.g. straightening / removing / securing damaged parts, are required then the occurrence is reportable. 1. Immediate temporary or permanent repair means requiring repair before the train can return to normal service. These examples are, therefore, reportable:- Damage to glass only does not constitute a reportable accident unless the damage is to any window of the Driver's cab and it necessitates immediate temporary or permanent repair. Trains actually derailed as a result of striking objects on the track are reportable under DO 50 or 52, as appropriate. if the cab window is broken, the broken glass is removed from the cab window, the train continues to its destination and is then sent for repair if the cab window is crazed but still intact, the train proceeds to point where repair can be effected or the window removed the Driver declares the train a failure and assistance is requested 2. The reference to Driver s cab relates only to the cab from which the Driver was driving at the time of the accident. RAILTRACK 15

18 Page 16 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving any kind of train - (continued) RIDDOR 1995 Dangerous Occurrence Detail HSE Guidance given in Booklet L73 / L75 Supplementary Guidance obtained from HSE/HMRI 55 Any case of a train striking any cattle or horse, whether or not damage is caused to the train, or striking any other animal if, in consequence, damage (including damage to the windows of the driver's cab but excluding any other damage consisting solely of the breakage of glass) is caused to the train necessitating immediate temporary or permanent repair. 56 Any case of a train on a running line striking or being struck by an object which causes damage (including damage to the windows of the driver's cab but excluding any other damage consisting solely of the breakage of glass) is caused to the train necessitating immediate temporary or permanent repair or which might have been liable to derail the train. 57 Any case of a train, other than one on a railway, striking or being struck by a road vehicle. See previous page for general guidance on this Dangerous Occurrence. All horse and cattle strikes are reportable, but strikes of other animals are only reportable if damage is sustained which necessitates immediate repair. See previous page for general guidance on this Dangerous Occurrence. Incidents of trains on a running line striking or being struck by any object are reportable if:- (a) immediate action has to be taken to make temporary or permanent repairs; or (b) it is liable to derail the train, even if the train is not damaged. Objects liable to cause derailment would include, for example, sleepers, rail off-cuts, fish-plates and significant quantities of concrete materials. All incidents of tramcars, trolley vehicles and other guided transport vehicles striking or being struck by road vehicles are reportable. This may be reported on a monthly basis as a bulk report. Level crossing incidents involving trains are reportable under DO 60 to 62 - see page Cases of trains running into:- (a) other large animals are reportable irrespective of whether damage is caused to the train. (b) flocks of smaller animals (e.g. sheep) are not reportable, unless the damage criteria are met. 2. Cases not occurring on running lines are not reportable. 3. See previous page for supplementary guidance on temporary or permanent repairs. 1. Cases involving an open door striking a lineside object / structure are to be reported under this DO, provided the damage criteria are met. See also Appendix C, page See previous page for supplementary guidance on temporary or permanent repairs. 16 RAILTRACK

19 RIDDOR Supplementary Guidance on Statutory Reporting Page 17 of 55 Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving any kind of train - (continued) RIDDOR 1995 Dangerous Occurrence Detail 58 Any case of a passenger train, or any other train not fitted with continuous selfapplying brakes, becoming unintentionally divided. 59 Any of the following classes of accident which occurs or is discovered whilst the train is on a running line:- HSE Guidance given in Booklet L73 / L75 All cases of passenger trains becoming unintentionally divided are reportable, as are unintentional divisions of any other trains not fitted with continuous self-applying brakes. Thus divisions of non-passenger trains fitted with fully continuous-brakes are excluded, as well as divisions occurring during the performance of 'pull-away' tests. Defects discovered when a train is stabled or under maintenance in a siding or depot are not reportable. Supplementary Guidance obtained from HSE/HMRI 1. In the case of passenger trains, applies to in service passenger trains only. See page 6 and see also HSE guidance at DO 49 on page 11 for definition of passenger train. 2. In the case of non-passenger trains, divisions occurring on a train where the brake is not operative throughout the train (e.g. brakes isolated on vehicle) are reportable. 3. Only those train divisions occurring on running lines are reportable; these are to be reported by Railtrack, as the Infrastructure Controller for the running line concerned. 1. The Train Operator is the responsible person / person in control of premises for all events reportable under this DO. 2. Defects discovered whilst a train is stabled on a running line are not reportable. 59 (a) the failure of an axle; The failure of an axle is only reportable if the axle fractures or shears 1. A hot axle box is not reportable as a failed axle unless it causes a train accident (i.e. the axle subsequently fails) or was likely to (e.g. axle seizure causing very severe wheel flats), in which case, it may be reportable under DO 59(f). 2. Failures of bearings that do not result in the failure of an axle (i.e fracture or collapse of an axle) should be reported, where appropriate, under DO59(f). RAILTRACK 17

20 Page 18 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving any kind of train - (continued) RIDDOR 1995 Dangerous Occurrence Detail HSE Guidance given in Booklet L73 / L75 Supplementary Guidance obtained from HSE/HMRI 59 (b) the failure of a wheel or tyre, including a tyre loose on its wheel; 59 (c) the failure of a rope or the fastenings thereof or of the winding plant or equipment involved in working an incline; 59 (d) any fire, severe electrical arcing or fusing in or on any part of a passenger train or a train carrying dangerous goods; (e) in the case of any train other than a passenger train, any severe electrical arcing or fusing, or any fire which was extinguished by a fire-fighting service; The failure of a wheel or tyre includes tyres that are known to have moved (i.e. shifted) on a wheel but, after cooling, are found to have returned to a 'safe state' 'A rope' means any type of cable used for the purposes of the movement of relevant transport systems, for example, cliff railways and some tramways. Cases of fire are reportable if: (a) they occur in or on a passenger train or where a train is carrying dangerous goods. 'Trains carrying dangerous goods' also includes trains of discharged tanks having previously carried dangerous goods; or (b) in the case of any other train, the fire was extinguished by a fire-fighting service. Cases of severe electrical arcing or fusing are reportable where:- (a) there is any evidence of fire damage; (b) there is severe electrical arcing or fusing if this was the cause of the incident and not just the effect, and there is evidence of damage caused by the arcing or fusing. Cases of fire, severe electrical arcing or fusing which:- (a) may be contained within equipment cupboards or conduits are reportable. (b) are confined solely to the collector shoe of DC electrified trains are not reportable but see guidance at right. A freight train fire to which a fire-brigade is called as a precaution but plays no part on arrival need not be reported provided the freight train is not carrying dangerous goods. Smoke or fume incidents are not reportable unless there was evidence of a fire or fire damage caused or where, in the case of passenger trains, the smoke necessitated passengers being evacuated from any part of the train (see guidance under DO 59(f) on page 19). It is possible to have smoke without fire (e.g. traction motor overheating). In such cases, even if fire extinguishers are used, these should not be classed as reportable. At the time of publication, there are no ropeworked inclines on running lines on Railway Group infrastructure. 1. Cases of fire, severe electrical arcing or fusing which are solely to the pantograph of the AC electrified trains are not reportable except as shown below. 2. Cases of fire, severe electrical arcing or fusing which are confined solely to the collector shoe of DC electrified trains or the pantograph of AC electrified trains are reportable when:- the fire brigade attends and extinguishes the fire or the event occurs at a sub surface railway station and the criteria in respect of DO68(a) apply. 18 RAILTRACK

21 RIDDOR Supplementary Guidance on Statutory Reporting Page 19 of 55 Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving any kind of train - (continued) RIDDOR 1995 Dangerous Occurrence Detail 59 (f) any other failure of any part of a train which is likely to cause an accident to that or any other train or to kill or injure any person. HSE Guidance given in Booklet L73 / L75 'Any other failure' relates specifically to other, e.g. mechanical or electrical, failures of equipment that may occur where they are likely to cause an accident to the train or any other train or to kill or injure any person. Failures may include braking system failures, vehicle structural defects, displaced loads, etc. A list of the types of accident / incident to be reported could be endless. However, the following examples should be reported under this DO:- (a) power-operated door incidents which would place passengers at risk due to, for example, technical failure of the power-operated door (b) central door locking incidents which would place passengers at risk due to technical failure of the central door locking system. (c) incidents where smoke / fumes penetrate passenger accommodation, necessitating evacuation of the passengers from the vehicle(s) concerned where there is no evidence of actual fire (cases of actual fire are reportable under DO 59(d)). Supplementary Guidance obtained from HSE/HMRI 1. The term technical failure relates only to failures of equipment, e.g. mechanical or electrical, and does not, therefore, include wrong side incidents due solely to operator error. See also Appendix C, page Open Slam Door incidents resulting from technical failure are also reportable under this DO. 3. Open Door Collisions - with other trains or lineside objects / structures - are to be reported under DO 49, 51 or 56 as appropriate. See guidance on pages 11, 12 and 16 and also Appendix C, page 53. RAILTRACK 19

22 Page 20 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents and incidents at level crossings RIDDOR 1995 Dangerous Occurrence Detail HSE Guidance given in Booklet L73 / L75 Supplementary Guidance obtained from HSE/HMRI 60 to Any case of a train striking a road vehicle or a gate at a level crossing. 61 Any case of a train running onto a level crossing when not authorised to do so. 62 A failure of the equipment at a level crossing which could endanger users of the road or path crossing the railway. Cases of road vehicles causing damage to gates, barriers or other equipment at level crossings are reportable under DO 65. Level crossings in depots are excluded. Any case of train striking a road vehicle or gate at a level crossing is reportable. Trains derailed as a result of striking a road vehicle or gate at a level crossing are reportable under this DO. Cases of trains running onto a level crossing when not authorised to do so are reportable. Incidents which occur during periods of unusual operation are to be included, e.g. when an automatic crossing is manned. Failures of the equipment at a level crossing which could endanger users of the road or path crossing the railway are reportable and include 'wrong-side' failures of equipment (i.e. where equipment fails to a dangerous condition) whether or not any train or crossing user is involved at the time of failure. 1. Level crossings in yards and across sidings are also excluded. 2. Where a level crossing crosses both running line(s) and siding(s), only those cases occurring on the running line(s) are reportable. 3. Cases involving crossings equipped with white light indicators are to be reported on form F2508RA. Includes cases of trains being struck by a road vehicle or gate at a level crossing. 1. Wrong side failures of level crossing equipment are to be reported separately and not be included in the bulk reporting of wrong side failures of signalling equipment under DO70(b). 2. Where a wrong side failure of signalling equipment results in a failure of the level crossing equipment which could endanger users of the level crossing, the failure should be reported under this DO and not DO70(b). 3. Examples of reportable failures are:- failure of telephones at an AHB crossing failures of barriers to lower for the passage of a train. non-functioning of warning lights at MWL crossing 20 RAILTRACK

23 RIDDOR Supplementary Guidance on Statutory Reporting Page 21 of 55 Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving the permanent way and other works on or connected with a relevant transport system RIDDOR 1995 Dangerous Occurrence Detail 63 The failure of a rail in a running line or of a rack rail, which results in:- (a) a complete fracture of the rail through its cross-section; or (b) in a piece becoming detached from the rail which necessitates an immediate stoppage of traffic or the immediate imposition of a speed restriction lower than that currently in force. 64 A buckle of a running line which necessitates an immediate stoppage of traffic or the immediate imposition of a speed restriction lower than that currently in force. 65 Any case of an aircraft or a vehicle of any kind landing on, running onto or coming to rest foul of the line, or damaging the line, which causes damage which obstructs the line or which damages any railway equipment at a level crossing. HSE Guidance given in Booklet L73 / L75 Failures of rails in a running line, or a rack rail, are reportable where there is a complete fracture of the rail through its cross-section, or where a piece becomes detached from the rail which necessitate an immediate stoppage of traffic or the immediate imposition of a speed restriction. This is to be reported on a monthly basis as a bulk report. Buckled rails in a running line are also reportable where the buckle results in an immediate stoppage of traffic or the immediate imposition of a speed restriction. All cases of aircraft or vehicles of any kind (e.g. cars, agricultural machinery) are reportable when:- (a) landing on, running onto or obstructing (i.e. foul of) a running line; (b) damaging the line; (c) causing damage which obstructs the line, including damage to overhead electric line equipment; (d) damaging any railway equipment at a level crossing (e.g. level crossing gates, barriers, signalling equipment). Supplementary Guidance obtained from HSE/HMRI 1. Such cases are to be reported in bulk by Railtrack HQ - See page 45. There is, therefore, no requirement to notify individual cases to HMRI. Where, however, a train accident (e.g. derailment) results from a rail failure, relevant details of the rail failure should be added to the Form F2508RA. See page Whilst Form F2508RC has been specially designed for bulk reporting of certain DOs, dispensation has been given for reports to be made in other formats. See page 46. Such cases are to be reported individually by Railtrack Zones on Form F2508RA, in accordance with Railtrack Line Procedure RT/CE/P/034 including where a train accident (e.g. derailment) results from the buckle (relevant details of the buckle should be included on the Form F2508RA in respect of the train accident). 1. This DO applies only to events occurring on or affecting a running line. 2. Cases of motor vehicles causing damage to gates, barriers or other equipment at level crossings, should be reported under this DO and not DO 60 to 62. RAILTRACK 21

24 Page 22 of 55 Withdrawn Document RIDDOR Supplementary Guidance on Statutory Reporting Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving the permanent way and other works on or connected with a relevant transport system RIDDOR 1995 Dangerous Occurrence Detail 66 The runaway of an escalator, lift or passenger conveyor. 67 Any fire or severe arcing or fusing which seriously affects the functioning of signalling equipment. HSE Guidance given in Booklet L73 / L75 The runaway of escalators, lifts or passenger conveyors are reportable. Fires or severe arcing or fusing which seriously affect the functioning of signalling equipment e.g. causing wrong side failure, are reportable. Supplementary Guidance obtained from HSE/HMRI This DO applies to any part of a relevant transport system. See page RAILTRACK

25 RIDDOR Supplementary Guidance on Statutory Reporting Page 23 of 55 Schedule 2, Part IV - Dangerous Occurrences - Relevant Transport Systems - (continued) Accidents involving the permanent way and other works on or connected with a relevant transport system - (continued) RIDDOR 1995 Dangerous Occurrence Detail 68 Any fire affecting the permanent way or works of a relevant transport system which necessitates the suspension of services over any line, or the closure of any part of a station, signalbox or other premises for a period:- (a) in the case of a fire affecting any part of a relevant transport system below ground, of more than 30 minutes, and (b) in any other case, of more than 1 hour (Continued on next page) HSE Guidance given in Booklet L73 / L75 Fires affecting the permanent way or works of a relevant transport system are reportable where they necessitate:- (a) the suspension of services on any running line; or (b) the closure of any part of a station or signal box or other railway premises; and the period of suspension or closure is:- (a) for any part of a relevant transport system below ground of more than 30 minutes; and (b) more than 1 hour in any other case. The important consideration is which part of the system is closed as a result of the fire and not where the fire occurred. A 'relevant transport system below ground' can be taken to include underground systems, e.g. parts of London Underground Limited, Tyne & Wear Metro, all of Strathclyde Glasgow Underground, and other premises similarly covered by the Fire Precautions (Sub-Surface Railway Stations) Regulations These include any premises used as a railway station to which members of the public have access (whether on payment or otherwise) and in which any platform is an enclosed or underground platform, and railway tunnels. A railway platform is:- (a) an enclosed platform if the platform and the permanent way to which it is adjacent (whether with or without one or more other railway platforms) are situated wholly or mainly in a tunnel or wholly or mainly within or under any building; Supplementary Guidance obtained from HSE/HMRI Fires in, for example, maintenance depots are reportable if they are part of a relevant transport system and the fire results in them being closed for more than 1 hour or, where below ground, 30 minutes. RAILTRACK 23