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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety
Related Information
Synopsis
This document mandates the
requirements for reporting safety related
information by means of the Safety
Management Information System
(SMIS), so that reliable safety data is
collected, analysed and made available
for use by rail industry parties in the
management of risk.
Copyright in the Railway Group Standards is owned by
Rail Safety and Standards Board Limited. All rights are
hereby reserved. No Railway Group Standard (in whole
or in part) may be reproduced, stored in a retrieval
system, or transmitted, in any form or means, without the
prior written permission of Rail Safety and Standards
Board Limited, or as expressly permitted by law.
RSSB Members are granted copyright licence in
accordance with the Constitution Agreement relating to
Rail Safety and Standards Board Limited.
In circumstances where Rail Safety and Standards Board
Limited has granted a particular person or organisation
permission to copy extracts from Railway Group
Standards, Rail Safety and Standards Board Limited
accepts no responsibility for, nor any liability in connection
with, the use of such extracts, or any claims arising
therefrom. This disclaimer applies to all forms of media in
which extracts from Railway Group Standards may be
reproduced.
Published by:
RSSB
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Angel Square
1 Torrens Street
London
EC1V 1NY
© Copyright 2013
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Issue record
Issue
Date
Comments
One
June 2001
Original document (rapid response).
Two
February 2003
Superseded issue one by expanding the scope,
and reviewing and revising the existing controls.
Three
October 2007
Reissued to take account of introduction of ROGS
2006 and changes in responsibility for system
safety and reporting. Superseded issue two with
revision of content in line with Strategy for
Standards Management, expansion of Tables A
and B to provide additional detail, and inclusion of
hazard ranking instructions in Table C for
dangerous goods incidents (transferred from
GO/RT3425).
Four
December 2009
Small scale amendment. Reissued to include
minor changes to Table A, including new sections
on ERTMS, with consequential changes to the
Definitions section.
Five
05 March 2011
Small scale amendment. Addition of nonmandatory Appendices A and B, detailing
suggested SMIS reportable events for yards,
depots and sidings to support enhanced reporting
to the Safety Risk Model. Consequential changes
to clauses 1.2.1.2, 1.2.2.1 a) ii), 3.1.1.4, 3.2.1.3
and Definitions section.
In Table C, there was the addition of UN 9933 to
column 4 alongside UN 8989 and the deletion of
the reference to tanks of reportable "nondangerous" petroleum products and gas oil from
locomotive fuel tanks from column 3.
Six
07 December
2013
Document amended following changes to the
definition of SPAD categories within ROGS and
consequential updates to GO/RT3119. This
resulted in the removal of SPAD Categories B, C
and D (Category A SPADs remain defined as
such). The term ‘irregular working’ has been
replaced throughout by the new term ‘Operational
Incidents’. There are other minor amendments
throughout the document to account for the above.
Amended or additional parts and/or sections of revised pages have been marked by a
vertical black line in the adjacent margin.
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Reporting of Safety Related
Information
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Superseded documents
The following Railway Group documents are superseded, either in whole or in part as
indicated:
Superseded documents
Sections
superseded
Date when
sections are
superseded
GE/RT8047 Reporting of Safety Related
Information, issue five
All
01 March 2014
GE/RT8047 issue 5 ceases to be in force and is withdrawn as of 01 March 2014.
Supply
The authoritative version of this document is available at www.rgsonline.co.uk.
Uncontrolled copies of this document can be obtained from Communications, RSSB,
Block 2, Angel Square, 1 Torrens Street, London EC1V 1NY, telephone 020 3142 5400 or
e-mail enquirydesk@rssb.co.uk. Other Standards and associated documents can also be
viewed at www.rgsonline.co.uk.
RSSB
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Contents
Section
Description
Page
Part 1
1.1
1.2
1.3
Purpose and Introduction
Purpose
Introduction
Approval and authorisation of this document
5
5
5
6
Part 2
2.1
2.2
Requirements for Reporting of Safety Related Information
Responsibilities of infrastructure managers and railway undertakings
Responsibilities of the infrastructure manager (Network Rail)
7
7
7
Part 3
3.1
3.2
3.3
Application of this document
Application - infrastructure managers
Application - railway undertakings
Health and safety responsibilities
9
9
10
11
Appendices
Appendix A Events to be reported in yards, depots and sidings (not forming part of
NRMI)
Appendix B Accidents resulting in death or injury to people in yards, depots and
sidings (not forming part of NRMI)
34
Definitions
45
References
48
Tables
Table A
Table B
Table C
Page 4 of 48
Events to be reported
Accidents resulting in death or injury to people
Hazard ranking of dangerous goods incidents
44
12
30
31
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Reporting of Safety Related
Information
Part 1
1.1
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Purpose and Introduction
Purpose
1.1.1
This document mandates requirements for the reporting of safety related
information by means of the Safety Management Information System (SMIS), so
that reliable safety data is collected, analysed and made available for use by rail
industry parties in the management of risk.
1.2
Introduction
1.2.1
Background
1.2.1.1 Issue six of this standard has been amended to take into account the changes
that have been made to the definition of Signal Passed At Danger (SPAD)
categories within amendments to Railways and Other Guided Transport Systems
Regulations 2006 (as amended) (ROGS) and consequential updates to
GO/RT3119 Accident and Incident Investigation. This resulted in the removal of
SPAD Categories B, C and D (Category A SPADs remain defined as such). The
events that were contained within the deleted SPAD categories have been
retained and reallocated to other SMIS event descriptions in order to preserve
information and data for continued use in safety analysis. In addition there has
been some wording added to the Table A Events section to remind transport
undertakings that the final designation and confirmation of a Category A SPAD
rests with the lead organisation responsible for the investigation. The term
‘irregular working’ has been replaced throughout by the new term ‘Operational
Incidents’. It should be noted that there are no changes to any of the
requirements in Part 2 of this Standard.
1.2.2
Principles
1.2.2.1 The requirements of this document are based on the following principles:
a)
b)
RSSB
Safety related information should be reported in a timely and consistent
manner (also satisfying statutory reporting requirements such as RIDDOR
1995) where relevant:
i)
To assist the assessment of the severity, frequency and origins of
hazards arising from the running of trains on Network Rail Managed
Infrastructure (NRMI).
ii)
To assist the assessment of the severity, frequency and origins of
hazards arising from train movements within yards, depots and
sidings managed by other infrastructure managers and which are not
part of NRMI. Reporting of this information to SMIS is non-mandatory.
iii)
To assist the monitoring of industry safety performance against
objectives.
iv)
To assist the monitoring of compliance with infrastructure managers’
and railway undertakings’ safety certificates.
v)
To support the accident investigation, recommendation tracking and
risk management processes.
Infrastructure managers and railway undertakings should have
arrangements in place to receive and process reports of events from:
i)
Their employees.
ii)
Their contractors that do not have direct access to SMIS.
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
iii)
Other parties using premises for which the infrastructure manager or
railway undertaking is responsible (including tenants and licensees of
parts of stations).
c)
Infrastructure managers and railway undertakings should have robust
systems in place to input in SMIS details of accidents and incidents, where
necessary having formal arrangements in place for another industry party to
undertake this on their behalf.
d)
Where an accident or incident is investigated and for any reason the event
owner does not fulfil the role of lead organisation (as defined in GO/RT3119
Accident and Incident Investigation), arrangements should be made for
information arising from the investigation to be transmitted to the event
owner for input to SMIS.
1.2.3
Supporting documents
1.2.3.1 Further information on definitions used in categorising safety information and
supplementary guidance on RIDDOR 1995 statutory reporting can be found on
the report section of the RSSB website, www.rssb.co.uk. This information is
maintained currently by the Safety Knowledge & Planning team.
1.3
Approval and authorisation of this document
1.3.1
The content of this document was approved by Traffic Operation and
Management Standards Committee on 17 September 2013.
1.3.2
This document will be authorised by RSSB on 01 November 2013.
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Reporting of Safety Related
Information
Part 2
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Requirements for Reporting of Safety Related
Information
2.1
Responsibilities of infrastructure managers and railway undertakings
2.1.1
Reporting accidents and incidents to SMIS
2.1.1.1 Infrastructure managers and railway undertakings (as event owners) shall utilise
the Safety Management Information System (SMIS) to report events categorised
in Tables A, B and C.
2.1.2
2.1.3
2.1.1.2
Infrastructure managers and railway undertakings (as event owners) shall be
responsible for inputting data accurately and correcting errors in event records for
which they are responsible.
2.1.1.3
Infrastructure managers and railway undertakings shall provide relevant reports
and information to the event owner.
Investigations – reporting causation and tracking implementation of
recommendations
2.1.2.1 Infrastructure managers and railway undertakings (as event owner) shall be
responsible for reporting to SMIS the immediate and underlying causes
determined by an investigation.
2.1.2.2
Infrastructure managers and railway undertakings (as event owner) shall input to
SMIS a summary report of an investigation and any recommendations, and
manage the tracking of implementing recommendations.
2.1.2.3
Infrastructure managers and railway undertakings shall report to SMIS their
progress made towards implementing recommendations accepted from
investigations.
Timescales for reporting
2.1.3.1 Infrastructure managers and railway undertakings shall make an initial report to
SMIS within five working days of an event occurring, except for events reportable
to Rail Accident Investigation Branch (RAIB) under schedule 1 or 2, where they
shall be reported within three working days.
2.1.3.2
Infrastructure managers and railway undertakings shall finalise and formally close
the SMIS event record (including details of causation) within twenty working days
of the event.
2.1.3.3
Infrastructure managers and railway undertakings (as event owner) shall finalise
the record in SMIS of causation details, completed summary report and
recommendations arising from an investigation within twenty working days of
publication of the investigation report.
2.2
Responsibilities of the infrastructure manager (Network Rail)
2.2.1
Maintenance of SMIS asset registers
2.2.1.1 The infrastructure manager (Network Rail) shall maintain the SMIS asset
registers with current information.
2.2.2
Hazard ranking of dangerous goods incidents
2.2.2.1 The infrastructure manager (Network Rail) shall allocate a unique reference
number and hazard rank dangerous goods incidents according to the instructions
and matrix in Table C, and distribute the information to the railway undertaking(s)
concerned.
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GE/RT8047
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2.2.3
2.2.4
Reporting of Safety Related
Information
Availability of information held in the Fault Management System (FMS)
2.2.3.1 The infrastructure manager (Network Rail) shall make information held in FMS
available to railway undertakings and other infrastructure managers.
Availability of daily incident log
2.2.4.1 The infrastructure manager (Network Rail) shall make the daily incident log
available to railway undertakings and other infrastructure managers.
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Reporting of Safety Related
Information
Part 3
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Application of this document
3.1
Application - infrastructure managers
3.1.1
Scope
3.1.1.1
3.1.1.2
The requirements of this standard apply to reporting the categories of events
listed in Tables A, B and C.
This standard applies to:
a)
Events occurring on NRMI and at stations.
b)
Events that do not occur on NRMI or at stations but which cause, or have
the potential to cause, an increase in risk on NRMI or at stations.
c)
Events that do not occur on NRMI or at stations, but about which information
is needed for monitoring trends and assessing the risk of events reported in
accordance with a) and b).
d)
Enforcement action taken by any enforcing authority concerning issues
relating to:
i)
Operations and activities on or affecting NRMI.
ii)
Operations and activities on or affecting stations.
iii)
Operations of trains and rail vehicles on or affecting NRMI.
3.1.1.3
The use within Tables A and B of the suffix letters ‘SO’ (station operator),
bracketed after ‘infrastructure manager’, is intended to clarify reporting roles for
incidents occurring at stations, and to distinguish this role from the management
of the operating infrastructure as carried out by Network Rail.
3.1.1.4
The events listed in non-mandatory Appendices A and B, relate to the reporting to
SMIS of incidents occurring in yards, depots and sidings that do not form part of
the NRMI. Reporting of this information to SMIS is non-mandatory.
3.1.1.5
Data held in SMIS is intended for use by infrastructure managers and railway
undertakings in carrying out their responsibilities for the management of risk.
Information must be provided in a way that protects anonymity and commercial
confidentiality.
3.1.1.6
Release of SMIS data to parties outside the SMIS scope is only permitted to meet
statutory requirements or when any person or organisation is authorised to
receive it by a rail industry party. As anonymity and commercial confidentiality is
to be preserved, in any case where it may be possible to identify an organisation
or individual, data must not be released without the consent of that organisation.
3.1.2
Exclusions from scope
3.1.2.1 The only exclusion from the scope specified in clause 3.1.1 for infrastructure
managers is that this document does not apply to the initial advice of an event
(for example, information given by a train driver or signaller), the requirements for
which are detailed in GE/RT8000 Rule Book or GO/RT3053 Working Manual for
Rail Staff, Handling and Carriage of Dangerous Goods.
3.1.3
General compliance date for infrastructure managers
3.1.3.1 This Railway Group Standard comes into force and is to be complied with from
01 March 2014, except as specified in section 3.1.4.
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Railway Group Standard
GE/RT8047
Issue
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3.1.3.2
Reporting of Safety Related
Information
After the compliance dates or the date by which compliance is achieved if earlier,
infrastructure managers are to maintain compliance with the requirements set out
in this Railway Group Standard. Where it is considered not reasonably
practicable to comply with the requirements, authorisation not to comply should
be sought in accordance with the Railway Group Standards Code.
3.1.4
Exceptions to general compliance date
3.1.4.1 There are no exceptions to the general compliance date specified in clause 3.1.3
for infrastructure managers.
3.2
Application - railway undertakings
3.2.1
Scope
3.2.1.1
3.2.1.2
3.2.2
The requirements of this standard apply to reporting the categories of incidents
listed in Tables A, B and C.
This standard applies to:
a)
Events occurring on NRMI and at stations.
b)
Events that do not occur on NRMI or at stations but which cause, or have
the potential to cause, an increase in risk on NRMI or at stations.
c)
Events that do not occur on NRMI or at stations, but about which information
is needed for monitoring trends and assessing the risk of events reported in
accordance with a) and b).
d)
Enforcement action taken by any enforcing authority concerning issues
relating to:
i)
Operations and activities on or affecting NRMI.
ii)
Operations and activities on or affecting stations.
iii)
Operations of trains and rail vehicles on or affecting NRMI.
3.2.1.3
The events listed in non-mandatory Appendices A and B, relate to the reporting to
SMIS of incidents occurring in yards, depots and sidings that do not form part of
the NRMI. Reporting of this information to SMIS is non-mandatory.
3.2.1.4
Data held in SMIS is intended for use by infrastructure managers and railway
undertakings in carrying out their responsibilities for the management of risk.
Information must be provided in a way that protects anonymity and commercial
confidentiality.
3.2.1.5
Release of SMIS data to parties outside the SMIS scope is only permitted to meet
statutory requirements or when any person or organisation is authorised to
receive it by a rail industry party. As anonymity and commercial confidentiality is
to be preserved, in any case where it may be possible to identify an organisation
or individual, data must not be released without the consent of that organisation.
Exclusions from scope
3.2.2.1 The only exclusion from the scope specified in clause 3.2.1 for railway
undertakings is that this document does not apply to the initial advice of an event
(for example, information given by a train driver or signaller), the requirements for
which are detailed in GE/RT8000 Rule Book or GO/RT3053 Working Manual for
Rail Staff, Handling and Carriage of Dangerous Goods.
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3.2.3
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
General compliance date for railway undertakings
3.2.3.1 This Railway Group Standard comes into force and is to be complied with from
01 March 2014, except as specified in section 3.2.4.
3.2.3.2
After the compliance dates or the date by which compliance is achieved if earlier,
railway undertakings are to maintain compliance with the requirements set out in
this Railway Group Standard. Where it is considered not reasonably practicable
to comply with the requirements, authorisation not to comply should be sought in
accordance with the Railway Group Standards Code.
3.2.4
Exceptions to general compliance date
3.2.4.1 There are no exceptions to the general compliance date specified in clause 3.2.3
for railway undertakings.
3.3
Health and safety responsibilities
3.3.1
RSSB
Users of documents published by RSSB are reminded of the need to consider
their own responsibilities to ensure health and safety at work and their own duties
under health and safety legislation. RSSB does not warrant that compliance with
all or any documents published by RSSB is sufficient in itself to ensure safe
systems of work or operation or to satisfy such responsibilities or duties.
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Railway Group Standard
GE/RT8047
Issue
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December 2013
Table A
Reporting of Safety Related
Information
Events to be reported
The contents of this table are mandatory.
Event category
SMIS component
SMIS event owner
Usage
Animals on the line
Any case of:
a) Cattle or a horse or other large animal
b) A flock of smaller animals
on a running line or in a siding that is NRMI.
Animals struck by trains
Any case of a train striking:
a) Cattle or a horse or other large animal.
b) Any other animal where damage is caused to the train
necessitating immediate temporary or permanent repair
and while the train is on a running line or in a siding that is
NRMI.
Breathing apparatus malfunction
Any case involving the malfunction of breathing apparatus
during testing immediately prior to use or while in use.
Animals – on the line
Infrastructure manager
Safety Risk Model (SRM)
Safety performance reporting
Train – striking animal
Infrastructure manager
Legislation
SRM
Safety performance reporting
Breathing apparatus –
malfunction
Legislation
Bridge strikes
Any case of a bridge being struck by a vessel or by a road
vehicle or its load and the bridge either carries or traverses
a running line or a siding that is NRMI.
Buffer stop collisions
Any case of a train or rail vehicle striking buffer stops on a
running line or in a siding that is NRMI.
Buffer-locking of vehicles
Any case involving the locking of the buffers of two or more
vehicles while on a running line or a siding that is NRMI,
except where a derailment occurs (which is separately
reported under this standard).
Bridge – strike
Infrastructure manager – where work
is associated with NRMI
Infrastructure manager (SO) – where
work is associated with station and
NRMI not affected
Infrastructure manager
Train – striking buffer stop
Railway undertaking
Train – buffer locking
Railway undertaking
Legislation
SRM
Safety performance reporting
SRM
Safety performance reporting
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Legislation
SRM
Safety performance reporting
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Reporting of Safety Related
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Event category
SMIS component
SMIS event owner
Usage
Collapse of a building or structure
Any case involving the unintended collapse or partial
collapse of:
a) A building or structure (whether above or below ground).
b) Any floor or wall of any building (whether above or below
ground) used as a place of work.
c) Any false work.
Collisions
Any collision:
a) Between trains or rail vehicles on a running line,
including a collision:
i) With an open door or other projection from another
train, for example a displaced load on a freight rail
vehicle.
ii) While the line is blocked, due to a previous
accident or emergency.
iii) Occurring within a possession, including work sites
within a possession.
iv) Occurring during a shunting operation.
b) In a siding that results in a running line being physically
obstructed.
c) In a siding that is NRMI.
Congestion at stations
Any case where planned procedures or arrangements have
been activated in order to control risks arising from an
incident of undue passenger congestion at a station, unless
that congestion has been relieved within a period of time
allowed for by those procedures or arrangements.
Building – unintended collapse
etc.
Infrastructure manager – where NRMI
affected
Infrastructure manager (SO) – if at a
station and NRMI not affected
Legislation
SRM
Safety performance reporting
Train – collision
If as a consequence of a category
A SPAD see ‘Signal Passed at
Danger’ section
Legislation
SRM
Safety performance reporting
RSSB
Infrastructure manager, unless
collision in station and no category A
SPAD involved, in which case railway
undertaking responsible
Station or on-board train –
congestion
Infrastructure manager (SO)
Legislation
SRM
Safety performance reporting
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Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Dangerous goods incidents and irregularities
Any case of:
a) A dangerous goods incident or irregularity involving a
train or rail vehicle and reportable in accordance with
Section F of GO/RT3053, except those cases where the
train or rail vehicle is involved in a collision or derailment
or is on fire, which are separately reported under this
standard.
Dangerous goods/substances –
rail borne
Legislation
SRM
Safety performance reporting
b) An event that causes the release, or has the potential to
do so, of a biological agent or other substance
hazardous to health.
c) An uncontrolled or sudden release of a flammable liquid
or gas.
Dangerous goods/substances –
other
Derailments
Any derailment
a) Of a train or rail vehicle on a running line, including a
derailment that occurs:
i) While the line is blocked due to a previous accident
or emergency.
ii) Occurring within a possession, including work sites
within a possession.
iii) Occurring during a shunting operation.
b) In a siding that results in a running line being physically
obstructed.
c) In a siding that is NRMI.
Train – derailment
If no other event is involved – railway
undertaking.
The infrastructure manager
allocates a unique reference
number and hazard ranks
dangerous goods incidents
according to the instructions and
matrix in Table C. Event
responsibility is then passed to the
relevant railway undertaking.
Infrastructure manager – for
NRMI only.
Infrastructure manager (SO) – for
events at stations, but not affecting
NRMI.
The infrastructure manager
allocates a unique reference
number and hazard ranks
dangerous goods incidents
according to the instructions and
matrix in Table C. Event
responsibility is then passed to the
relevant infrastructure manager.
Infrastructure manager
Page 14 of 48
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
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Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Displaced and insecure loads on, or excessive or
improper loading on, trains or rail vehicles
a) Any case of:
i) A load, fastening, or sheet, etc or
ii) Equipment
on a train or rail vehicle becoming insecure or displaced,
irrespective of the loading gauge being infringed, while
on a running line or siding that is NRMI.
b) Any case of a train or rail vehicle, while on a running line
or a siding that is NRMI, being:
i) Excessively loaded (such as load width, height,
length or weight) or
ii) Improperly loaded.
Diving operations
Any case in relation to diving operations involving the:
a) Failure or endangerment of any associated equipment.
b) Damage to or failure of the dive platform.
c) Trapping of or explosion near a diver.
d) Uncontrolled ascent or omitted decompression likely to
put the diver at risk.
Door failures, doors open or on catch on trains
a) Any case of:
i) An open door or
ii) A door not properly secured (such as on the catch)
while the train or rail vehicle is on a running line or
in a siding that is NRMI.
b) Any case involving the external doors of power operated
door or central door lock fitted stock, where risk to
persons (such as passengers and staff) arises, while the
train or rail vehicle is on a running line or in a siding that
is NRMI.
Electrical short circuits
Any case of 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.
Train – displaced/insecure load
Railway undertaking
Legislation
SRM
Safety performance reporting
Diving operations
Infrastructure manager – where work
is associated with NRMI
Legislation
Train – door failure/open/on
catch
Railway undertaking
Legislation
SRM
Safety performance reporting
Electrical short circuit/overload
Infrastructure manager – where NRMI
affected
Infrastructure manager (SO) – if at a
station and NRMI not affected
Legislation
RSSB
Page 15 of 48
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Escalator, lift or passenger conveyor runaway
Any case involving the runaway of an escalator, lift or
passenger conveyor at a station.
Escalator/lift/passenger conveyor
etc. – runaway
Infrastructure manager (SO)
Legislation
Environmental events
Any case involving:
a) The contamination of NRMI or a station (except where
the contamination arises from events separately reported
under this standard) by spillages of:
i) Any product listed in GO/RT3053/1.
ii) Oil and diesel fuel oil greater than 20 litres.
iii) Petrol greater than 100 litres.
iv) Low hazard products with polluting potential.
b) Damage to a designated or protected site.
Environmental
Infrastructure manager
Legislation
Excessive speed of trains or rail vehicles
Any case of a train or rail vehicle exceeding:
a) A permanent, temporary or emergency speed restriction
of a running line, or
b) The permitted speed of the train or rail vehicles.
Train – overspeed
Railway undertaking
SRM
Safety performance reporting
Failures of cranes, lifting machinery, etc
Any case involving the collapse of, the overturning of, or
the failure of a load-bearing part of a:
a) Lift, hoist, crane or derrick.
b) Mobile powered access platform.
c) Access cradle or window-cleaning cradle.
d) Excavator.
e) Pile-driving frame or rig.
f) Fork-lift truck.
g) Lifting machinery.
Crane etc –
collapse/overturning/failure
Infrastructure manager – where NRMI
affected
Infrastructure manager (SO) – if at a
station and NRMI not affected
Legislation
Page 16 of 48
RSSB
Uncontrolled When Printed
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
Failures or defects in axles, wheels, tyres and other
equipment on trains or rail vehicles
Any case:
a) Involving the failure of an axle of a rail vehicle while the
rail vehicle is on a running line or in a siding that is
NRMI.
b) Of a seized or hot axle box on a rail vehicle while the rail
vehicle is on a running line or in a siding that is NRMI,
including confirmed hot axles detected by:
i) Lineside detectors or
ii) On-train detectors.
c) Involving the failure of any wheel or tyre on a rail vehicle.
d) Involving wheel flats on a rail vehicle while the rail
vehicle is on a running line or in a siding that is NRMI
and requiring the rail vehicle to be taken out of service.
e) Of a wheel impact load detector, or similar equipment,
recording an impact of greater than 349kN for a rail
vehicle on a train while the rail vehicle is on a running
line.
f) Of failure of any part of a train or rail vehicle that is likely
to cause an accident to that or any other train or to kill or
injure any person while the train is on a running line or in
a siding that is NRMI.
g) Of defect on or failure of a train or rail vehicle classified
as a high risk defect in accordance with GE/RT8250 and:
i) While the train or rail vehicle is on a running line or
in a siding on NRMI, or
ii) Discovered while the train or rail vehicle is
undergoing repair, maintenance or inspection at, for
example, a maintenance depot.
h) Of defect on or failure of a train or rail vehicle
necessitating the train being taken out of service in
accordance with GO/RT3437.
a)
b)
RSSB
c)
d)
e)
f)
g)
h)
Train – axle failure
Train – hot axle box/wheel
impact load detections
Train – wheel failure
Safety related defect
(train/rail vehicle/plant
machinery etc)
Train – hot axle box/wheel
impact load detections
Safety related defect
(train/rail vehicle/plant
machinery etc)
Safety related defect
(train/rail vehicle/plant
machinery etc)
Safety related defect
(train/rail vehicle/plant
machinery etc)
SMIS event owner
Usage
Railway undertaking
Legislation
SRM
Safety performance reporting
Note – radio system failures of
onboard train equipment
should be reported as a radio
systems failure
Page 17 of 48
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Failures or collapse of freight containers
Any case involving the failure of a freight container or any
of its load-bearing parts.
Safety related defect (train/rail
vehicle/plant machinery etc)
Railway undertaking
Legislation
SRM
Safety performance reporting
Failures of permanent way or works
The following are to be reportable if they are likely to cause
an accident to a train or endanger a person. This may be
measured by the need for repairs before rail traffic can
resume its normal speed, or before premises or structures
can be used again:
a) Any case of failure of:
i) A tunnel, bridge, viaduct or culvert.
ii) A cutting or an embankment, such as bank slips
(only reportable if a running line is obstructed or the
line is closed by subsidence or slippage or a
supporting embankment).
iii) Any other structure.
iv) The overhead electrified line equipment or
conductor rails and associated equipment.
b) Any other portion of the permanent way or works not
included above, on or affecting a running line or a siding
that is NRMI.
Permanent way or works –
failure
Infrastructure manager – for
failures affecting NRMI only
Legislation
SRM
Safety performance reporting
c) Any case of failure of any part of a station, including
platforms.
Permanent way or works –
failure
Infrastructure manager (SO) – for
failures at stations, but not affecting
NRMI
Legislation
SRM
Safety performance reporting
Page 18 of 48
RSSB
Uncontrolled When Printed
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Failures of pipelines
Any case involving the:
a) Accidental escape of anything from, or inrush into, a
pipeline which has the potential to cause death, major
injury or result in the pipeline being shut for more than 24
hours.
b) Accidental ignition of anything in a pipeline.
c) Damage to or failure of any part of a pipeline which has
the potential to cause death, major injury or result in the
pipeline being shut for more than 24 hours.
d) Substantial and accidental change in position of a
pipeline.
e) Accidental change in the subsoil in the vicinity of a
pipeline.
f) Failure of a pipeline isolation device, equipment or
system which has the potential to cause death, major
injury or result in the pipeline being shut for more than 24
hours.
g) Any failure of equipment involved with pipeline works
which has the potential to cause death, major injury or
result in the pipeline being shut for more than 24 hours.
Pipe line/pipe line works – failure
etc.
Infrastructure manager – where NRMI
affected
Infrastructure manager (SO) – if at a
station and NRMI not affected
Legislation
Failures of pressure systems
Any case involving the failure of any part of a pressure
system where the failure has the potential to cause death.
Pressure systems – failure
Legislation
Failures or collapse of scaffolding
Any case involving the complete or partial collapse of any
scaffold, including any slung or suspended scaffold.
Scaffolding – collapse
Infrastructure manager – where NRMI
affected
Infrastructure manager (SO) – if at a
station and NRMI not affected
Infrastructure manager – where NRMI
affected
Infrastructure manager (SO) – if at a
station and NRMI not affected
RSSB
Legislation
Page 19 of 48
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Signalling systems incidents*
Any case of:
a) Failure of the signalling system that endangers or has
the potential to endanger the safe passage of trains on a
running line or siding that is NRMI.
b) Failure of the signalling system, on a running line or
siding that is NRMI, alleged to be ‘wrong side’ but:
i) Which cannot be reproduced.
ii) Which are subsequently proved to be ‘right side’.
c) A signal being obscured by foliage.
d) A ‘wrong side’ failure of signal post telephones, for
example, caused by concentrator failure leading to
miscommunication.
e) Any other failure of the signalling system reported by a
driver either on form RT3185 or other means.
f) A block marker or cab transition sign missing or being
obscured by foliage.
g) A shunt entry board missing or being obscured by
foliage.
h) Failure of balise.
i) A stop aspect or indication not being displayed in
sufficient time for a train to be stopped safely at the
signal because it was returned to danger automatically or
in an emergency.
j) A stop aspect or indication that previously showed a
proceed indication, was displayed because it was
returned to danger or displayed in error.
k) An in-cab signalled movement authority is withdrawn, in
an emergency or in error, and the movement authority is
exceeded.
Signalling Systems
Railway undertaking – for incidents
concerning on-train equipment
Legislation
SRM
Safety performance reporting
Responding to drivers
Infrastructure manager – for all other
incidents
* The events listed above are those that fall outside
the definition of a SPAD, as defined in this standard
Page 20 of 48
RSSB
Uncontrolled When Printed
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Failures of track/train control systems
Any case of failure of the following track/train control
systems affecting a running line or a siding that is NRMI:
a) Automatic Warning System (AWS).
b) Automatic Train Protection (ATP).
c) Train Protection and Warning System (TPWS).
d) Mechanical train stops.
e) Tilt Authorisation and Supervision Systems (TASS).
f) European Train Control System (ETCS).
Control System (Track/Train)
SRM
Safety performance reporting
g) Track circuit actuators (TCA).
Control System (Track/Train)
Infrastructure manager, except the
failure of on-train equipment only
which shall be reported by the railway
undertaking. These include:
 AWS failure codes 4, 10 and 11
 TPWS code 16 & 17
 Train borne TASS equipment
defective
 Tilt authority received or ‘speed
supervised’ indicated on a nonTASS fitted line.
 ETCS balise inconsistency alarm
 ETCS transition failure
 ETCS system failure alarm
 ETCS DMI failure
 ETCS inappropriate mode
displayed
 ETCS odometer failure alarm
Railway undertaking
Fires affecting permanent way, works or signalling
equipment
Any case of fire:
a) Arcing or fusing affecting the permanent way or works at
a station or on a running line or a siding that is NRMI.
b) Arcing or fusing of signalling equipment regardless of its
effect on the functioning of the equipment of a running
line or siding that is NRMI.
c) Including a fire in adjacent properties or buildings
affecting the operation of a station, a running line or a
siding that is NRMI.
Permanent way, works or
signalling – fire
RSSB
Infrastructure manager – for fires
affecting NRMI only
Infrastructure manager (SO) – for
fires at stations, but not affecting
NRMI
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
Page 21 of 48
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Event category
Fires and smoke on trains or rail vehicles
a) Any fire or severe electrical arcing in or on any part of
any train or rail vehicle that occurs or is discovered while
the train or rail vehicle is on a running line or in a siding
that is NRMI.
b) Any cases of smoke or fume penetrating the passenger
accommodation of a train.
Flooding of the permanent way
Any case which is likely to endanger people or cause an
accident:
a) Flooding of a running line or a siding that is NRMI.
b) A flood warning or alert affecting a running line or a
siding that is NRMI.
Headlights or tail lamps missing
Any case of:
a) Headlights, or
b) Tail lamps not being illuminated or missing on a train
while on a running line or a siding that is NRMI.
Interventions and activations of track/train control
systems
Any intervention or activation of the following track/train
control systems (that is not the result of a failure of such
system) on a train while on a running line or a siding that is
NRMI:
a) Automatic Warning System (AWS).
b) Automatic Train Protection (ATP).
c) Train Protection and Warning System (TPWS).
d) Mechanical train stops.
e) Tilt Authorisation and Supervision Systems (TASS).
f) European Train Control System (ETCS) emergency
brake interventions or train trips (refer to SMIS
guidance).
Page 22 of 48
Reporting of Safety Related
Information
SMIS component
SMIS event owner
Usage
Railway undertaking
Legislation
SRM
Safety performance reporting
Infrastructure manager
Legislation
SRM
Safety performance reporting
Railway undertaking
SRM
Safety performance reporting
Railway undertaking
SRM
Safety performance reporting
a) Train – fire (incl. rail vehicle
fire)
b) Train - contaminated by
smoke or fumes
Permanent way – flooding
a) Train – other safety-related
defect
b) Train – tail lamp unlit/missing
Control System (Track/Train)
Operational Incidents
RSSB
Uncontrolled When Printed
Document comes into force and supersedes GERT8047 Iss 5 on 01/03/2014
Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Operational Incidents
Incidents affecting, or with the potential to affect (this list is
non-exhaustive):
a) The safe operation of trains on a running line or a siding
that is NRMI, or
b) The safety and health of persons, such as staff,
passengers or public, on NRMI or at stations and related
to:
i) Infringement of electric traction current isolation
instructions.
ii) Infringement of rules or instructions relating to
possessions or protection of the line.
iii) Infringements of the rules or instructions relating to
work undertaken on or near the line.
iv) Infringement of signalling instructions or block
regulations.
v) Other signalling or handsignalling errors
compromising safety.
vi) Infringement of rules or instructions relating to train
operation and marshalling.
vii) Objects left on line by employees or contractors
where these events are not reportable under
another category in this standard.
viii) Runaway vehicles (including On-Track Plant –
OTP)
Level crossings – failures of equipment
Any failure of equipment at a level crossing that could
endanger users, and where the level crossing is on a
running line or a siding that is NRMI.
Operational Incidents
b viii) will be recorded as ‘Train –
Runaway’
Infrastructure manager – for NRMI
only
Infrastructure manager (SO) – for
incidents at stations, but not affecting
NRMI
Railway undertakings for vi) and viii)
SRM
Safety performance reporting
Level crossing – equipment
failure
Infrastructure manager
Legislation
SRM
Safety performance reporting
RSSB
Page 23 of 48
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Level crossings – misuse of equipment and near
misses with persons, road vehicles,
etc
Any case:
a) Of a near miss between a train and a person, road
vehicle, etc at a level crossing.
b) Of an emergency brake application of the train or rail
vehicle being made, to avoid striking a person, road
vehicle, etc at a level crossing.
c) Involving the misuse of level crossing equipment.
Level crossings – trains irregularly running onto
crossing
Any case of a train running onto a level crossing when not
authorised to do so, and where the level crossing is on a
running line or a siding that is NRMI.
Near misses with persons, road vehicles, etc
Any case of:
a) A near miss between a train and a person, road vehicle,
crane, low-flying aircraft etc on or near a running line.
b) An emergency brake application of the train or rail
vehicle being made, to avoid striking a person, road
vehicle, crane, aircraft etc on or near a running line.
Objects in contact with overhead electric lines
Any case of plant or equipment, including that operating
within a possession:
a) Unintentionally coming into contact with an un-insulated
overhead electric line.
b) Causing an electrical discharge from such an electric
line by coming in close proximity to it.
Occupational ill-health
Any case of an IM/RU’s employee or contractor’s employee
diagnosed as suffering from an illness, disease or condition
that is related to work undertaken on NRMI or at stations.
Level Crossing/LC equipment –
misuse/near misses
Infrastructure manager
SRM
Safety performance reporting
Train – running over LC (when
unauthorised)
Infrastructure manager
Legislation
SRM
Safety performance reporting
Near miss – train with person
(not at LC)
Near miss – other (not trains with
person/LC user)
Infrastructure manager
SRM
Safety performance reporting
Object – contact OHLE/fallen or
blown onto line
Infrastructure manager
Legislation
SRM
Safety performance reporting
Person – occupational ill health
Employer
Legislation
Page 24 of 48
RSSB
Uncontrolled When Printed
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Personal accidents
Any personal accident to:
a) Any person while on NRMI or at stations.
b) A passenger while on board a train.
c) An IM/RU’s employee or contractor’s employee while
travelling by road vehicle between sites of work.
Platform overruns
Any case of a passenger train overrunning a station
platform.
Road vehicles, aircraft, etc on the line, or damaging
equipment at level crossings
Any case of an aircraft or a vehicle of any kind:
a) Landing on, running onto or coming to rest on NRMI.
b) Damaging a running line or a siding that is NRMI.
c) Causing damage which obstructs a running line or a
siding that is NRMI.
d) Causing damage to any railway equipment at a level
crossing on a running line or a siding that is NRMI.
Radio system failures
a) Any case involving the failure of on-train equipment:
i) Cab secure radio (CSR)/driver only radio systems.
ii) NRN.
iii) GSM-R.
iv) Other radio systems used for transmission of safety
messages.
b) All other radio system failures.
Person – personal accident
See Table B
Legislation
SRM
Safety performance reporting
Train – over-running station
platform
Railway undertaking
SRM
Safety performance reporting
Non-rail vehicles (incl. Vehicle on
line)
Infrastructure manager
Legislation
SRM
Safety performance reporting
Radio Systems Failure
Railway undertaking
SRM
Safety performance reporting
To be recorded by the
infrastructure manager in a
separate system (not SMIS) and
information to be made available
to RUs and other IMs on request.
Infrastructure manager
Legislation
SRM
Safety performance reporting
RSSB
Page 25 of 48
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Route crime (trespass or vandalism)
Any case of:
a) Objects, including stones, thrown or missiles fired (for
example by catapult, gun, etc) except those where the
train is struck which are separately reported under this
standard.
b) Objects placed on NRMI by vandals, including railway
materials or equipment, except those where the train
strikes the object which are separately reported under
this standard.
c) Vandalism or other unauthorised interference with
railway infrastructure or equipment, with the potential to
compromise safety on NRMI, including the theft of
detonators, cables, etc, except cases of arson which are
separately reported under this standard.
d) Unauthorised persons on or near NRMI or within the
infrastructure manager’s boundary fence, except those
where such a person is struck by a train or rail vehicle
and which are separately reported under this standard.
e) Vandalism wholly in a train on NRMI, except cases of
arson which are separately reported under this standard.
a) Person – vandalism
b) Person – vandalism
c) Person – vandalism
d) Person – trespass
Infrastructure manager – where NRMI
affected
Infrastructure manager (SO) – if at a
station and NRMI not affected
Responding to train drivers
e) Person - vandalism
Railway undertaking
SRM
Safety performance reporting
Signals passed at danger (SPAD)
Train – signal passed at danger
Category A:
Initial event owner is infrastructure
manager, who will create initial
event and complete risk ranking. If
after the risk ranking the event
does not meet one of the following
criteria, the event may be
transferred to the relevant railway
undertaking.
It should be noted that the final
designation/confirmation of an
incident as having been a SPAD
event rests with the Lead
Organisation responsible for the
investigation, in accordance with
Legislation
SRM
Safety performance reporting
Signal passed at danger means any occasion when any
part of a train proceeds beyond its authorised movement
to an unauthorised movement;
“unauthorised movement” means to pass (a) a trackside colour light signal or semaphore at
danger, order to STOP, where an Automatic Train
Control System (ATCS) or train protection system is
not operational;
(b) the end of a safety related movement authority
provided in an ATCS or train protection system;
(c) a point communicated by verbal or written
Page 26 of 48
RSSB
Uncontrolled When Printed
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
the requirements of GO/RT3119
Accident and Incident
Investigation.
Infrastructure manager when:
 Risk ranked 18 or higher
 Collision or derailment
occurs
 Risk ranking Part 2 accident
vulnerability ranking of B to
G inclusive
 Defined as multi-SPAD or
will be because of the
incident
 Early evidence suggests
infrastructure may be a
cause
 Driver disputes that a
category A SPAD has
occurred (unless there is
objective evidence eg SSI,
OTMR)
Railway undertaking:
 All other category A SPADs
authorisation laid down in regulations;
or
(d) stop boards (buffer stops are not included) or hand
signals,
but excludes cases in which –
(e) vehicles without any traction unit attached or a train
that is unattended run away past a signal at danger;
or
for any reason, the signal is not turned to danger in
time to allow the driver to stop the train before the
signal.
Track buckles
A track or rail buckle, which requires the immediate
stoppage of traffic or the immediate imposition of speed
restriction, affecting a running line or siding that is NRMI.
Rail – buckle
Infrastructure manager
Legislation
SRM
Safety performance reporting
Track faults and broken rails
All track faults and broken rails.
To be recorded by the
infrastructure manager in a
separate system (not SMIS) and
information to be made available
to railway undertakings on
request.
Infrastructure manager
Legislation
SRM
Safety performance reporting
RSSB
Page 27 of 48
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Train divisions
Any case of a train becoming unintentionally divided while it
is on a running line or in a siding that is NRMI.
Trains striking obstructions or being struck by objects
Any case of a train or rail vehicle:
a) Striking any object or obstruction irrespective of the
damage or injury caused, or
b) Being struck by any object irrespective of the damage
caused or which causes injury to any person on the train
or rail vehicle while the train is on a running line or in a
siding that is NRMI.
Train – division
Railway undertaking
Train - striking or being struck
Infrastructure manager
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
Trains striking road vehicles or gates/barriers at level
crossings
Any case of a train or rail vehicle striking or being struck by:
a) A road vehicle.
b) A gate or barrier at a level crossing that is on a running
line or in a siding that is NRMI.
Train - striking road vehicle or
gate at LC
Infrastructure manager
SRM
Safety performance reporting
Warning boards missing or lights out, etc
Any case reported by a train driver of:
a) The lights of the warning boards for a temporary or
emergency speed restriction on a running line being
missing or not illuminated.
b) A reflective type board being obscured or contaminated
such that its visibility is impaired.
c) The AWS equipment associated with a temporary or
emergency speed restriction on a running line reported
missing.
d) The warning boards for temporary or emergency speed
restriction reported missing or incorrectly positioned.
e) The warning boards for temporary or emergency speed
restriction displaying an incorrect or no speed.
Warning boards
Note: ERTMS cab signalled lines
no longer requires ESR and TSR
warning boards to be provided.
Infrastructure manager
Responding to train drivers
Page 28 of 48
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Usage
Other warning board incidents
To be recorded in a separate
system (not SMIS) and to be
made available to railway
undertakings on request.
Infrastructure manager
SRM
Safety performance reporting
RSSB
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Table B
Reporting of Safety Related
Information
Accidents resulting in death or injury to people
The contents of this table are mandatory.
Any injury resulting from an event described in Table A should be entered into SMIS as part of that event
and not as a separate one. It is the event owner’s responsibility (as shown in Table A) to enter these
injuries.
Event category
Workforce accidents – all physical
injuries or incidents of shock
occurring on the mainline railway
a) Accident to members of workforce
employed by / contracted to
infrastructure manager.
b) Accident to members of workforce
employed by / contracted to railway
undertaking.
Passenger or public injuries
Movement accidents – injuries
involving the operation of trains, but
excluding any arising in train
accidents and other events
a) Boarding/alighting accidents – person
injured when boarding or alighting
from a train and falling:
i) From train to station, or from
station to train.
ii) From train to tracks, or from
station to tracks.
b) Accidents wholly on board trains –
accidents to members of the public,
such as passengers, wholly on and
within the confines of a train with no
external influence during the running
of the train.
c) Person struck by train
i) Any injury resulting from being
on or going onto the line.
ii) Any injury while wholly on
station (not involving going onto
line).
d) Accidents resulting from the opening
or closing of train doors at stations.
Non-movement accidents – injuries not
involving the operation of trains
a) Accidents at a station:
i) Any injury resulting from being
on or going onto the line.
ii) Any injury while wholly on
station (not involving going onto
line).
b) Accidents on the track or lineside.
Page 30 of 48
SMIS event owner
Usage
Infrastructure manager
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
Railway undertaking
Infrastructure manager (SO)
Legislation
SRM
Safety performance reporting
Railway undertaking
Legislation
SRM
Safety performance reporting
Infrastructure manager
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
Infrastructure manager (SO)
Infrastructure manager (SO)
Infrastructure manager
Infrastructure manager (SO)
Infrastructure manager
Legislation
SRM
Safety performance reporting
Legislation
SRM
Safety performance reporting
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Table C
Hazard ranking of dangerous goods incidents
The contents of this table are mandatory.
Hazard ranking processes shall use the Hazard Ranking Matrix shown in Table C, as
follows:
a)
Identify the dangerous goods involved from the column divisions across the
top of the matrix.
b)
Identify from the ‘nature of incident’ line the component(s) of the incident.
More than one of the component lines between 1 and 32 can apply.
c)
If any of the incident components are in line 1 to 20 inclusive, refer to lines
33 to 42. Answer the questions raised by each line. If the answer is ‘Yes’,
then add these values to the ‘score’. ‘No’ answers score 0.
d)
Total the value scored on the matrix.
e)
Rank the incidents as follows:
SCORE
2 - 15
16 - 30
31 - 50
51 - 100
100 +
RANK
1
2
3
4
5
Note: The hazard rank identified should then be included in any companyrequired dangerous goods reporting processes (such as ‘Rail Notices’).
RSSB
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Table C
Reporting of Safety Related
Information
Hazard ranking of dangerous goods incidents (continued)
The contents of this table are mandatory.
Explosives.
011*,012*, 013*, 015*,
016*
Tanks Class 3(A), 4.3,
5.2 & 6.1 (A) (excl.
UN1051 & 1649)
Tanks 2.2, 3(B), 5.1 &
8 (excl. UN1052 &
1744)
All Class 4.1, 6.1(B) &
9
Tanks 4.2
Packaged Goods of
2.1, 2.2, 2.3, 3(A),
3(B), 4.2, 4.3, 5.1,
5.2, 6.1(A), 8,
UN8989 & UN9933
Tanks UN1051 & 1649
Explosives 014*
Irr. Fuel Flasks
Tanks 2.1 & 2.3
Tanks UN1052 & 1744
20
10
6
Class 7 (excl. Irr. Fuel
Flasks)
16
8
4
8
4
2
8
4
2
25
10
25
10
8
20
18
20
18
6
18
12
18
12
4
18
8
18
8
2
10
20
23
25
10
16
18
20
4
8
13
15
3
4
8
10
3
20
25
15
15
8
10
20
8
Go to Line 41
4
10
-
Page 32 of 48
3
18
23
10
12
8
12
15
6
Go to line 41
4
8
6
3
18
23
8
12
8
15
4
Go to line 41
4
8
6
3
15
20
8
10
6
4
15
2
Go to line 41
4
4
6
NATURE OF INCIDENT
CONFIRMED HOT AXLE BOX - no derailment
BRAKE DRAG – observed by H.A.B.D. or by staff/public
OTHER BRAKE INCIDENTS - includes defects noticed predeparture and burst pipes in movement
DERAILMENT ON OR HAZARDING A RUNNING LINE
OTHER DERAILMENTS – not on or hazarding a running line
COLLISION – on or hazarding a running line
COLLISION – not on or hazarding a running line
ALL OTHER MECHANICAL DEFECTS - excluding line numbers
1-5 & 9-12 including loose equipment
LEAKAGE - SLIGHT) incl.
¨
- MINOR) gas
¨
- MAJOR) escape
¨
- TOTAL)
not including cryogenic venting
FIRE - SMOKE (INCL. N.F.F.)
FIRE - SMALL (INV. PROD.)
FIRE - MAJOR (INV. PROD.)
FIRE - NOT INV. PROD.
INSECURE LOAD – no loss of goods
INSECURE DOOR – no loss of goods
BUFFER LOCK - no derailment
OUT OF GAUGE - no consequence
RAN CRIPPLE "E"
INCORRECT TOPS/ERIC INFO
INCORRECT MARKING
MARSHALLING ERROR
DISCHARGE CAPS HANGING DOWN
Go to
Line 3342
YES
YES
YES
Line
No.
1
2
3
YES
YES
YES
YES
YES
4
5
6
7
8
YES
YES
YES
YES
9
10
11
12
YES
YES
YES
YES
YES
YES
YES
YES
NO
NO
NO
NO
NO
13
14
15
16
17
18
19
20
21
22
23
24
25
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Issue
Six
December 2013
Reporting of Safety Related
Information
Explosives.
011*,012*, 013*, 015*,
016*
Tanks Class 3(A), 4.3,
5.2 & 6.1 (A) (excl.
UN1051 & 1649)
Tanks 2.2, 3(B), 5.1 &
8 (excl. UN1052 &
1744)
All Class 4.1, 6.1(B) &
9
Tanks 4.2
Packaged Goods of
2.1, 2.2, 2.3, 3(A),
3(B), 4.2, 4.3, 5.1,
5.2, 6.1(A), 8,
UN8989 & UN9933
Tanks UN1051 & 1649
Explosives 014*
Irr. Fuel Flasks
Tanks 2.1 & 2.3
Tanks UN1052 & 1744
2
10
10
4
4
2
10
6
3
8
2
15
25
2
TOTAL
SCORE
Class 7 (excl. Irr. Fuel
Flasks)
2
10
10
4
4
2
4
2
3
3
2
15
25
2
2
8
6
4
4
2
2
4
2
3
3
2
15
25
2
2
5
5
4
4
2
2
2
2
3
2
15
25
2
4
4
4
4
8
8
8
8
HAZARD
RANK
SCORE
2 -15
16 - 30
31 - 50
51 -100
100 +
NATURE OF INCIDENT
ACTIVATED H.A.B.D - N.F.F.
LOCO FIRE
) vehicle involved
VEHICLE FIRE ) not carrying
OTHER
) DGs
VEHICLE OVERLOADED
SUSPECTED INCIDENT - N.F.F.
TRANSIT VENTING - CRYOGENICS
IN BUILT UP AREA
ON OR ADJACENT TO A PASSENGER LINE
ON OR ADJACENT TO AN ELECTRIFIED LINE
IN A TUNNEL OR ON A MOTORWAY BRIDGE
BETWEEN 0600 - 2200
STAFF/PUBLIC INJURED IN INCIDENT
FATALITIES RESULTING FROM INCIDENT
EACH ADDITIONAL VEHICLE AFFECTED
INCORRECT TOPS/ERIC INFO. OR VEHICLE MARKING
ERROR
DIFFICULTIES RAISING EMERGENCY RESPONSE ALPHA
CODE OR EMERGENCY SERVICES
Go to
Line 3342
NO
NO
NO
NO
NO
NO
NO
Line
No.
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
RANK
1
2
3
4
5
* Compatibility group letter as provided by the consignor/sender (GO/RT3053 refers).
RSSB
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Issue
Six
December 2013
Reporting of Safety Related
Information
Appendix A Events to be reported in yards, depots and sidings
(not forming part of NRMI)
The contents of this table are non-mandatory.
Event category
SMIS component
SMIS event owner
Animals struck by trains
Any case of a train striking:
a) Cattle or a horse or other large animal.
b) Any other animal where damage is caused to the
train necessitating immediate temporary or
permanent repair and while the train is on a line
or in a siding within a depot/yard/siding site.
Bridge strikes
Any case of a bridge being struck by a vessel or
by a road vehicle or its load and the bridge either
carries or traverses on a line or in a siding within a
depot/yard/siding site.
Buffer stop collisions
Any case of a train or rail vehicle striking buffer
stops on a line or in a siding within a
depot/yard/siding site.
Buffer-locking of vehicles
Any case involving the locking of the buffers of
two or more vehicles while on a line or in a siding
within a depot/yard/siding site, except where a
derailment occurs (which is separately reported
under this standard).
Collapse of a building or structure
Any case involving the unintended collapse or
partial collapse of:
a) A building or structure (whether above or below
ground).
b) Any floor or wall of any building (whether above
or below ground) used as a place of work.
c) Any false work.
Train – striking animal
Infrastructure manager
Bridge – strike
Infrastructure manager
Train – striking buffer
stop
Railway undertaking
Train – buffer locking
Railway undertaking
Building – unintended
collapse etc.
Infrastructure manager
Collisions
Any collision between trains or rail vehicles in a
depot/yard/siding, including collisions:
a) With an open door or other projection from
another train, for example a displaced load on
a freight rail vehicle.
b) While the line is blocked, due to a previous
accident or emergency.
c) Occurring within a possession, including work
sites within a possession.
d) Occurring during a shunting operation.
Train – collision
If as a consequence of a
category A SPAD see ‘Signal
Passed at Danger’ section
Infrastructure manager
This should not include those collisions that result
in a NRMI running line being physically
obstructed.
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Event category
SMIS component
SMIS event owner
Dangerous goods incidents and irregularities
Any case of:
(Where a train is involved)
a) A dangerous goods incident or irregularity
involving a train or rail vehicle and reportable in
accordance with clause 1.2 of Section F of
GO/RT3053, except those cases where the train
or rail vehicle is involved in a collision or
derailment or is on fire, which are separately
reported under this standard.
Dangerous
goods/substances –
rail borne
If no other event is involved –
railway undertaking.
The infrastructure manager
(Network Rail) allocates a
unique reference number and
hazard ranks dangerous
goods incidents according to
the instructions and matrix in
Table C. Event responsibility
is then passed to the relevant
railway undertaking.
(Where no train is involved)
b) An event that causes the release, or has the
potential to do so, of a biological agent or other
substance hazardous to health.
c) An uncontrolled or sudden release of a
flammable liquid or gas.
Dangerous
goods/substances –
other
Infrastructure manager
Derailments
Any derailment of a train or rail vehicle within a
depot/yard/siding site, including a derailment that
occurs:
a) While the line is blocked due to a previous
accident or emergency.
b) Occurring within a possession, including work
sites within a possession.
c) Occurring during a shunting operation.
Train – derailment
The infrastructure manager
(Network Rail) allocates a
unique reference number and
hazard ranks dangerous
goods incidents according to
the instructions and matrix in
Table C. Event responsibility
is then passed to the relevant
infrastructure manager. Note
that this section refers to
events in yards, depots and
sidings, where the
infrastructure manager may
be other than Network Rail.
Infrastructure manager
This should not include those derailments that
result in a NRMI running line being physically
obstructed.
Displaced and insecure loads on, or excessive
or improper loading on, trains or rail vehicles
a) Any case of:
i) A load, fastening, or sheet, etc or
ii) Equipment
on a train or rail vehicle becoming insecure or
displaced, irrespective of the loading gauge being
infringed, while on a line or in a siding within a
depot/yard/siding site.
Train –
displaced/insecure
load
Railway undertaking
b) Any case of a train or rail vehicle, on a line or in a
siding within a depot/yard/siding site, being:
i) Excessively loaded (such as load width,
height, length or weight) or
ii) Improperly loaded.
RSSB
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Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Environmental events
Any case involving:
a) The contamination of a depot/yard/siding site
except where the contamination arises from
events separately reported under this standard
by spillages of:
i) Any product listed in GO/RT3053/1.
ii) Oil and diesel fuel oil greater than 20
litres.
iii) Petrol greater than 100 litres.
iv) Low hazard products with polluting
potential.
Environmental
Infrastructure manager
Train – overspeed
Railway undertaking
Crane etc –
collapse/overturning/fai
lure
Infrastructure manager
b) Damage to a designated or protected site.
Excessive speed of trains or rail vehicles
Any case of a train or rail vehicle on a line or in a
siding within a depot/yard/siding site exceeding:
a) A permanent, temporary or emergency speed
restriction, or
b) The permitted speed of the train or rail vehicles.
Failures of cranes, lifting machinery, etc
Any case involving the collapse of, the overturning
of, or the failure of a load-bearing part of a:
a) Lift, hoist, crane or derrick.
b) Mobile powered access platform.
c) Access cradle or window-cleaning cradle.
d) Excavator.
e) Pile-driving frame or rig.
f) Fork-lift truck.
g) Lifting machinery.
Failures or defects in axles, wheels, tyres and
other equipment on trains or rail vehicles
Any case:
a) Involving the failure of an axle of a rail vehicle
while the rail vehicle is on a line or in a siding
within a depot/yard/siding site.
b) Of a seized or hot axle box on a rail vehicle while
the rail vehicle is on a line or in a siding within a
depot/yard/siding site including confirmed hot
axles detected by:
i) Lineside detectors or
ii) On-train detectors.
c) Involving the failure of any wheel or tyre on a rail
vehicle.
d) Involving wheel flats on a rail vehicle while the
rail vehicle on a line or in a siding within a
depot/yard/siding site and requiring the rail
vehicle to be taken out of service.
e) Of a wheel impact load detector, or similar
equipment, recording an impact of greater than
349kN for a rail vehicle on a train while the rail
vehicle on a line or in a siding within a
depot/yard/siding site.
f) Of failure of any part of a train or rail vehicle that
is likely to cause an accident to that or any other
train or to kill or injure any person while the train
is on a line or in a siding within a
depot/yard/siding site.
g) Of defect on or failure of a train or rail vehicle
classified as high risk defect in accordance with
GE/RT8250 while the train is in a depot/yard/
siding.
Page 36 of 48
a)
b)
c)
d)
e)
f)
Train – axle
failure.
Train – hot axle
box/wheel impact
load detections.
Train – wheel
failure.
Safety related
defect (train/rail
vehicle/plant
machinery etc).
Train – hot axle
box/wheel impact
load detections.
Safety related
defect (train/rail
vehicle/plant
machinery etc).
Railway undertaking
Note – radio system
failures of onboard
train equipment
should be reported
as a radio systems
failure
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GE/RT8047
Issue
Six
December 2013
Event category
SMIS component
SMIS event owner
Failures or collapse of freight containers
Any case involving the failure of a freight
container or any of its load-bearing parts.
Safety related defect
(train/rail vehicle/plant
machinery etc)
Railway undertaking
Failures of permanent way or works
The following are to be reportable if they are likely
to cause an accident to a train or endanger a
person. This may be measured by the need for
repairs before rail traffic can resume its normal
speed, or before premises or structures can be
used again:
a) Any case of failure of:
i) A tunnel, bridge, viaduct or culvert.
ii) A cutting or an embankment, such as
bank slips within a depot/yard/siding site
(only reportable if a running line is
obstructed or the line is closed by
subsidence or slippage or a supporting
embankment).
iii) Any other structure.
iv) The overhead electrified line equipment or
conductor rails and associated equipment.
b) Any other portion of the permanent way or works
not included above, on a line or in a siding within
a depot/yard/siding site.
Failures or collapse of scaffolding
Any case involving the complete or partial
collapse of any scaffold, including any slung or
suspended scaffold.
Permanent way or
works – failure
Infrastructure manager
Scaffolding – collapse
Infrastructure manager
RSSB
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GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Signalling systems incidents*Any case of:
a) Failure of the signalling system that
endangers or has the potential to endanger
the safe passage of trains within a
depot/yard/siding site.
b) Failure of the signalling system, within a
depot/yard/siding site, alleged to be ‘wrong
side’ but:
i) Which cannot be reproduced.
ii) Which are subsequently proved to be
‘right side’.
c) A signal being obscured by foliage.
d) A ‘wrong side’ failure of signal post
telephones, for example, caused by
concentrator failure leading to
miscommunication.
e) Any other failure of the signalling system
reported by a driver either on form RT3185
or other means.
f) A block marker or cab transition sign
missing or being obscured by foliage.
g) A shunt entry board missing or being
obscured by foliage.
h) Failure of balise.
i) A stop aspect or indication not being
displayed in sufficient time for a train to be
stopped safely at the signal because it was
returned to dander automatically or in an
emergency.
j) A stop aspect or indication that previously
showed a proceed indication, was displayed
because it was returned to danger or
displayed in error.
k) An in-cab signalled movement authority is
withdrawn or shortened, in an emergency or
in error, and the movement authority is
exceeded.
Signalling systems
Infrastructure manager
* The events listed above are those that fall
outside the definition of a SPAD, as defined
in this standard.
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Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Failures of track/train control systems
Any case of failure of the following track/train
control systems identified within a
depot/yard/siding site:
a) Automatic Warning System (AWS).
b) Automatic Train Protection (ATP).
c) Train Protection and Warning System (TPWS).
d) Mechanical train stops.
e) Tilt Authorisation and Supervision Systems
(TASS).
f) European Train Control System (ETCS).
Control System
(Track/Train)
g) Track circuit actuators (TCA).
Control System
(Track/Train)
Permanent way, works
or signalling – fire
Infrastructure manager, except
the failure of on-train equipment
only which shall be reported by
the railway undertaking. These
include:
 AWS failure codes 4, 10
and 11
 TPWS code 16 & 17
 Train borne TASS
equipment defective
 Tilt authority received or
‘speed supervised’
indicated on a non-TASS
fitted line
 ETCS balise inconsistency
alarm
 ETCS transition failure
 ETCS system failure alarm
 ETCS DMI failure
 ETCS inappropriate mode
displayed
 ETCS odometer failure
alarm
Railway undertaking
Fires affecting permanent way, works or
signalling equipment
Any case of fire:
a) Arcing or fusing affecting the permanent way or
works within a depot/yard/siding site.
b) Arcing or fusing of signalling equipment
regardless of its effect on the functioning of the
equipment within a depot/yard/siding site.
c) Including a fire in adjacent properties or buildings
affecting the operation of a depot/yard/siding site.
Fires and smoke on trains or rail vehicles
Any fire or severe electrical arcing in or on any
part of any train or rail vehicle that occurs or is
discovered while the train or rail vehicle is within a
depot/yard/siding site
Interventions and activations of track/train
control systems
Any intervention or activation of the following
track/train control systems (that is not the result of
a failure of such system) on a train while in a
depot/yard/siding site:
a) Automatic Warning System (AWS).
b) Automatic Train Protection (ATP).
c) Train Protection and Warning System (TPWS).
d) Mechanical train stops.
e) Tilt Authorisation and Supervision Systems
(TASS).
f) European Train Control System (ETCS)
emergency brake interventions or train trips (refer
to SMIS guidance).
RSSB
Infrastructure manager
Railway undertaking
Train – fire (incl. rail
vehicle fire)
Control System
(Track/Train)
Railway undertaking
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Operational Incidents
Incidents affecting, or with the potential to affect
(this list is non-exhaustive):
a) The safe operation of trains within a
depot/yard/siding site, or
b) The safety and health of persons, such as staff,
passengers or public within a depot/yard/siding
site and related to:
i) Infringement of electric traction current
isolation instructions.
ii) Infringement of rules or instructions
relating to possessions or protection of
the line.
iii) Infringements of the rules or instructions
relating to work undertaken on or near the
line.
iv) Infringement of signalling instructions or
block regulations.
v) Other signalling or handsignalling errors
compromising safety.
vi) Infringement of rules or instructions
relating to train operation and marshalling.
vii) Objects left on line by employees or
contractors where these events are not
reportable under another category in this
standard.
viii) Runaway vehicles (including On-Track
Plant – OTP)
Level crossings – misuse of equipment and
near misses with persons, road vehicles,
etc
Any case:
a) Of a near miss between a train and a person,
road vehicle, etc at a level crossing.
b) Of an emergency brake application of the train or
rail vehicle being made, to avoid striking a
person, road vehicle, etc at a level crossing.
c) Involving the misuse of level crossing equipment.
Level crossings – trains irregularly running
onto crossing
Any case of a train running onto a level crossing
when not authorised to do so, and where the level
crossing is within a depot/yard/siding site.
Near misses with persons, road vehicles, etc
Any case of:
a) A near miss between a train and a person, road
vehicle, crane, low-flying aircraft etc within a
depot/yard/siding site.
b) An emergency brake application of the train or
rail vehicle being made, to avoid striking a
person, road vehicle, crane, aircraft etc within a
depot/yard/siding site.
Objects in contact with overhead electric lines
Any case of plant or equipment, including that
operating within a possession:
a) Unintentionally coming into contact with an uninsulated overhead electric line.
b) Causing an electrical discharge from such an
electric line by coming in close proximity to it.
Operational Incidents
b viii) will be recorded
as ‘Train – Runaway’
Infrastructure manager
Page 40 of 48
Railway undertakings for vi) and
viii)
(It is possible for an
organisation to be involved in an
event in both roles during
depot/yard/siding working)
Level Crossing/LC
equipment –
misuse/near misses
Infrastructure manager
Train – running over
LC (when
unauthorised)
Infrastructure manager
Near miss – train with
person (not at LC)
Near miss – other (not
trains with person/LC
user)
Infrastructure manager
Object – contact
OHLE/fallen or blown
onto line
Infrastructure manager
RSSB
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Reporting of Safety Related
Information
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Event category
SMIS component
SMIS event owner
Occupational ill-health
Any case of an IM/RU’s employee or contractor’s
employee diagnosed as suffering from an illness,
disease or condition that is related to work
undertaken within a depot/yard/siding site.
Personal accidents
Any personal accident to any person:
a) While within a depot/yard/siding site.
b) While on board a train within a depot/yard/ siding
site.
Road vehicles, aircraft, etc on the line, or
damaging equipment at level crossings
Any case of an aircraft or a vehicle of any kind:
a) Landing on, running onto or coming to rest within
a depot/yard/siding site.
b) Damaging a line or a siding within a
depot/yard/siding site.
c) Causing damage which obstructs a line or a
siding within a depot/yard/siding site.
d) Causing damage to any railway equipment at a
level crossing within a depot/yard/siding site.
Radio system failures
Any case involving the failure of on-train
equipment:
a) Cab secure radio (CSR)/driver only radio
systems.
b) NRN.
c) GSM-R.
d) Other radio systems used for transmission of
safety messages.
Route crime (trespass or vandalism)
Any case of:
a) Objects, including stones, thrown or missiles fired
(for example by catapult, gun, etc) except those
where the train is struck which are separately
reported under this standard.
b) Objects placed on a line or siding within a
depot/yard/siding site by vandals, including
railway materials or equipment, except those
where the train strikes the object which are
separately reported under this standard.
c) Vandalism, or other unauthorised interference
with railway infrastructure or equipment, with the
potential to compromise safety within a
depot/yard/siding site, including the theft of
detonators, cables, etc, except cases of arson
which are separately reported under this
standard.
d) Unauthorised persons within the infrastructure
manager’s boundary fence, except those where
such a person is struck by a train or rail vehicle
and which are separately reported under this
standard.
e) Vandalism wholly in a train within a
depot/yard/siding site, except cases of arson
which are separately reported under this
Standard.
Person – occupational
ill health
Employer
Person – personal
accident
See Table B
Non-rail vehicles (incl.
Vehicle on line)
Infrastructure manager
Radio Systems Failure
Railway undertaking
a) Person – vandalism
b) Person – vandalism
c) Person – vandalism
d) Person – trespass
Infrastructure manager
e) Person - vandalism
Railway undertaking
RSSB
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Event category
SMIS component
SMIS event owner
Signals passed at danger (SPAD)
Train – signal passed
at danger
Category A: Infrastructure
manager responsible for the
depot/yard/siding concerned
Train – division
Railway undertaking
Train - striking or being
struck
Infrastructure manager
Train - striking road
vehicle or gate at LC
Infrastructure manager
Signal passed at danger means any occasion
when any part of a train proceeds beyond its
authorised movement to an unauthorised
movement within a depot/yard/siding site;
“unauthorised movement” means to pass (a) a trackside colour light signal or semaphore at
danger, order to STOP, where an Automatic
Train Control System (ATCS) or train
protection system is not operational;
(b) the end of a safety related movement
authority provided in an ATCS or train
protection system;
(c) a point communicated by verbal or written
authorisation laid down in regulations;
or
(d) stop boards (buffer stops are not included) or
hand signals,
but excludes cases in which –
(e) vehicles without any traction unit attached or
a train that is unattended run away past a
signal at danger;
or
for any reason, the signal is not turned to
danger in time to allow the driver to stop the
train before the signal.
Train divisions
Any case of a train becoming unintentionally
divided while it is within a depot/yard/siding site.
Trains striking obstructions or being struck by
objects
Any case of a train or rail vehicle:
a) Striking any object or obstruction irrespective of
the damage or injury caused, or
b) Being struck by any object irrespective of the
damage caused or which causes injury to any
person on the train or rail vehicle while the train
is within a depot/yard/siding site.
Trains striking road vehicles or gates/barriers
at level crossings
Any case of a train or rail vehicle striking or being
struck by:
a) A road vehicle.
b) A gate or barrier at a level crossing that is within
a depot/yard/siding site.
Page 42 of 48
RSSB
Uncontrolled When Printed
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Reporting of Safety Related
Information
Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Event category
SMIS component
SMIS event owner
Warning boards missing or lights out, etc
Any case reported by a train driver of:
a) The lights of the warning boards for a temporary
or emergency speed restriction within a
depot/yard/siding site being missing or not
illuminated.
b) A reflective type board being obscured or
contaminated such that its visibility is impaired.
c) The AWS equipment associated with a temporary
or emergency speed restriction within a
depot/yard/siding site reported missing.
d) The warning boards for temporary or emergency
speed restriction reported missing or incorrectly
positioned.
e) The warning boards for temporary or emergency
speed restriction displaying an incorrect or no
speed.
Warning boards
Note: ERTMS cab
signalled lines no
longer requires ESR
and TSR warning
boards to be provided
Infrastructure manager
RSSB
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Appendix B Accidents resulting in death or injury to people in
yards, depots and sidings (not forming part of
NRMI)
The contents of this table are non-mandatory.
Any injury resulting from an event described in Appendix A should be entered into SMIS as part of that
event and not as a separate one. It is the event owner’s responsibility (as shown in Appendix A) to enter
these injuries.
Event category
Workforce accidents – all physical injuries or
incidents of shock occurring within a
depot/yard/siding site:
a) Accident to members of workforce.
b) Accident to workforce contracted to railway
undertaking.
c) Accident to workforce contracted to infrastructure
manager.
Public injuries – injuries involving the operation
of trains, within a yard/deport/siding, but
excluding any arising in train accidents and other
events:
a) Accidents wholly on board trains – accidents to
passengers wholly on and within the confines of a
train with no external influence during the running
of the train.
b) Person struck by train – any injury resulting from
being on or going onto the line.
Page 44 of 48
SMIS event owner
Employer
Exception:
If working on a site controlled by Network Rail (under
NR Safety Management System), then Network Rail will
enter the event as per SMIS Guidance Note 1.
Railway undertaking
(if the contractor is a SMIS using organisation they
should input their own workforce accidents)
Infrastructure manager
(if the contractor is a SMIS using organisation they
should input their own workforce accidents)
Exception:
If working on a site controlled by Network Rail (under
NR Safety Management System), then Network Rail will
enter the event as per SMIS Guidance Note 1.
Railway undertaking
Infrastructure manager
RSSB
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Reporting of Safety Related
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Definitions
RSSB Safety Knowledge & Planning maintains a comprehensive list of current definitions
on the RSSB website at www.rssb.co.uk.
In addition, the following terms referred to in this document are defined as follows:
Accident
An accident is an unplanned event giving rise to death, ill-health, injury, damage or other
loss. It includes suicides and suspected suicides.
Block Marker
An ERTMS mandated sign indicating on the infrastructure a limit of movement of the train.
Cab Transition Signs
ERTMS mandated signs used to indicate the approach to ERTMS controlled infrastructure
and the locations on the infrastructure of a border between ERTMS and another signalling
control system.
Dangerous goods incident and irregularity
Dangerous goods incident and irregularity (DGI) are circumstances involving the carriage
of dangerous goods and specified non-dangerous goods as identified in Section F of
GO/RT3053 Working Manual for Rail Staff, and subject to hazard ranking as described in
Table C.
Enforcement action
For the purpose of this standard, means improvement notices, prohibition notices and
prosecutions by any enforcing authority.
ERTMS
European Rail Traffic Management System: mandated by the publication of the Control
Command Signalling Technical Specification for Interoperability on the Trans European
Network.
ETCS
European Train Control System: specifically the control command component parts of the
ERTMS.
Event
An accident, incident or other occurrence that affects or has the potential to affect system
safety or safe inter-working.
Formal investigation
A formally structured investigation of an accident or incident, led by an infrastructure
manager, railway undertaking or a person independent of all the parties involved in the
accident or incident, applying processes mandated in GO/RT3119 Accident and Incident
Investigation.
GSM-R
A digital radio system (Global System for Mobile communications – Railways) based on the
GSM mobile communication standard adapted for use on European railways.
Immediate cause
An unsafe act or condition which causes an accident or incident.
RSSB
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
Incident
An incident is an unplanned, uncontrolled event that, under different circumstances, could
have resulted in an accident. An incident is also known as a near miss.
Indicator
A visual display device at or near the lineside that provides information relating to the
operation of a train. An indicator may be provided in conjunction with a Signal to qualify or
amplify the instruction conveyed by the Signal.
Lead organisation
The railway undertaking or infrastructure manager responsible for managing the processes
of formal or local investigations defined in GO/RT3119 and identified by applying criteria
defined in Appendix A.2 of that document.
Local investigation
An investigation of an accident or incident, for which a formal investigation is not required,
by an infrastructure manager or a railway undertaking, using its defined company
procedures and requirements in respect of remit and results.
Major injury
As defined in RIDDOR, Schedule 1 and accompanying guidance.
Occupational ill-health
Any case of ill-health that is suspected or known to have resulted from the affected
person’s work activity or work environment, other than ill-health caused by personal
accident or assault. This term applies only to cases of occupational ill-health diagnosed or
certified by a medical practitioner and includes cases of reportable disease.
Operational Incident
Incidents affecting, or with the potential to affect, the safe operation of the mainline railway,
in accordance with Table A. It may also be applied to yards, depots and sidings, in
accordance with Appendix A. The SMIS system contains a full list of definitive Operational
Incident types.
Passenger
A person travelling or intending to travel.
Personal accident
An uncontrolled, unplanned event that results, or could in similar circumstances result, in
an individual being injured or shocked. This includes:
a)
Assaults, whether or not physical harm was caused
b)
Ill-health that is attributable to a single event while at work, including
inhaling, swallowing or otherwise absorbing any substance, or from suffering
lack of oxygen, except where a reportable disease is involved.
Possession
A system of protecting work in accordance with Module T3 of GE/RT8000 Rule Book.
Premises
As defined in RIDDOR, Schedule 1 and guidance thereto, this includes any place and any
vehicle. It will therefore include all railway vehicles, track, stations and land.
Public
A person other than a passenger or member of the workforce.
Page 46 of 48
RSSB
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Reporting of Safety Related
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
RAIB investigation
A formally structured investigation into the circumstances of an accident or incident that is
supervised by the Railway Accident Investigation Branch (RAIB).
Reportable disease
Any case of disease listed in Schedule 3 of RIDDOR, contracted while carrying out a
specified work activity.
RIDDOR
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995.
Shunt Entry Board
An ERTMS sign used to mark the location from which a shunting movement can begin.
SMIS
Safety Management Information System: a computer database containing details of events
reported by or on behalf of infrastructure managers or railway undertakings.
SMIS event owner
The infrastructure manager or railway undertaking responsible for inputting the event into
SMIS, as set out in Tables A, B and C. The same organisation is the ‘person in control of
the premises’ as used in RIDDOR, and would normally be the lead organisation for
investigating an accident or incident (as defined in GO/RT3119).
SMIS scope
Infrastructure managers, railway undertakings, RSSB, other rail industry parties and
enforcing authorities having a duty either to report events to SMIS or a requirement to
extract or analyse SMIS data.
Station
For the purpose of this standard, means a railway passenger station served by Network
Rail Managed Infrastructure (NRMI).
Underlying cause
Any factor(s) that led to the immediate causes of accidents or incidents, or resulted in such
causes not being identified and mitigated.
Workforce
All persons working for an infrastructure manager or railway undertaking on rail-related
activities (either as direct employees or under contract).
Yard, depot or siding (as shown in non-mandatory Appendices A and B)
Any location that is connected to but away from the running lines comprising NRMI, where
train maintenance, stabling, marshalling and/or servicing (including refuelling) takes place
under the management of other infrastructure managers.
RSSB
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Railway Group Standard
GE/RT8047
Issue
Six
December 2013
Reporting of Safety Related
Information
References
The Catalogue of Railway Group Standards gives the current issue number and status of
documents published by RSSB. This information is also available from
www.rgsonline.co.uk.
RGSC 01
RGSC 02
Railway Group Standards Code
The Standards Manual
Documents referenced in the text
Railway Group Standards
GO/RT3119
GO/RT3437
GE/RT8250
GE/RT8000
GO/RT3053
RT3185
Accident and Incident Investigation
Defective On-train Equipment
Reporting High Risk Defects
Rule Book
Working Manual for Rail Staff: Handling and Carriage of
Dangerous Goods
Reporting a signal / AWS / TPWS / ATP / TVM failure or
irregularity
Other references
Railways and Other Guided Transport Systems Regulations (ROGS) 2006 (as amended)
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 1995
Other relevant documents
Railway Group Standards
GO/RT3350
GO/GN3519
Page 48 of 48
Communication of Urgent Operating Advice
Guidance on Accident and Incident Investigation
RSSB