SMIS+
Q&A
Version 1
20 April 2016
The SMIS+ programme aims to create a new on-line system exploiting commercial offthe-shelf, state of the art, safety management software to deliver next generation safety
reporting and business intelligence.
This document sets out answers to some of the questions asked about the SMIS+
programme – it will be updated as new questions are asked and new information
becomes available.
To get a general overview of SMIS+ you may find it easier to refer to the information on
our website, which you can find at: http://www.rssb.co.uk/risk-analysis-and-safetyreporting/reporting-systems/smis-plus
If you can’t find the answer to your question on our website or in this document,
contact us at SMIS+@rssb.co.uk
The Q&A is structured into the following sections:
1 The SMIS+ programme – who, why, when-
p2
2 Taking part in the programme
p5
3 Implementing the new system
p7
4 Products and services
p10
5 User experience
p13
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1 The SMIS+ programme – who, why, when
1.1 What is SMIS+?
Britain’s railways are among the safest in Europe and highly regarded for their approach
to data, analysis and evidence-based decision making.
Safety reporting systems help the rail industry generate intelligence about risk to inform
decision-making, and provide assurances that investment leads to outcomes which
improve safety and business performance.
The systems that have served industry so well now need updating.
The SMIS+ programme will see the development of a new-and-improved Safety
Management Information System (SMIS), as well as a new and better Close Call system,
all integrated into one system.
We are working closely with companies across the rail industry to design, build and
deliver a new, enhanced system, to provide the right risk information to the right people
at the right time.
The underlying purpose - to support the industry in how it manages its safety data and
uses information to make informed decisions - remains the same.
1.2 What is SMIS?
SMIS (Safety Management Information System) is the rail industry’s national database
for recording safety-related events that occur on the rail network in Britain. We manage
SMIS on industry’s behalf, supporting the collection, analysis and sharing of information
about a wide range of incidents, which are reported by our members, the individual rail
companies. It has been in operation since 1997, and organisations such as Network Rail,
the train and freight operators enter about 75,000 events into each year.
1.3 What is the Close Call system?
The Close Call System was launched in June 2011 to enable the rail industry to record
and manage conditions and behaviours that, under different circumstances, could have
led to injury or harm. This information used to mitigate risk and understand broader
safety issues.
Initially used by Network Rail and its principal contractors there is now a wider impetus
to use the system to drive improvements in safety culture and safety performance
throughout the rail industry.
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1.4 Why is RSSB embarking on the SMIS+ programme, and what is the role of
RSSB?
Our SMIS and Close Call systems are not fit for today’s purpose.
The technology used to support SMIS and Close Call is rapidly becoming out of date and
so more costly to host and maintain. Rail companies are rightly demanding more from
their systems, and want to exploit modern, off-the-shelf safety systems and software
available.
This gives us an opportunity to transform the rail industry’s systems for safety reporting
and business intelligence. We are working closely with companies across the rail
industry to deliver a new, enhanced system, to provide the right risk information to the
right people at the right time.
RSSB is an expert body that provides a system perspective across technical functions
that cross rail interfaces including health and safety, standards, research and
sustainability.
We span the whole system, including in our membership infrastructure companies, train
and freight operators, rolling stock owners and suppliers. RSSB is non-profit-making and
independent of any single interest.
Through research, the understanding of risk, and analysis, we provide an evidence base
to support decisions and strategic frameworks to align collaboration.
We work not only for the long term health and safety of passenger, public and
workforce but also towards increasing customer satisfaction and capacity and reducing
cost and carbon. This benefits passenger, business and tax payer alike.
As a result of this background, expertise and industry ownership we are in the best
position to develop this new system for industry.
1.5 What is the implementation date for SMIS +?
Phase 1 – Nov 2016 - SMIS functionality, new reporting/analytical and BI capabilities for
existing SMIS users
Phase 2 – April 2017 - close call functionality for existing SMIS/close call users and
availability for other users, investigation workflow, and mobile reporting
We will launch further releases when there is a need to provide an update to existing
features, or to add new features – for example as the process of embracing additional
safety reporting systems and processes takes shape. This is a longer term vision.
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1.6 Why should I care about SMIS+ / what’s in it for me?
SMIS will affect anyone who has a role or interest in their organisation’s safety
management system, including reporting safety incidents and close calls, and tracking
investigations. It will also be of interest to anyone seeking business intelligence that
enables risk prediction and mitigation.
The new system will have the potential to offer a great deal more than is currently
delivered through the ‘old’ SMIS and Close Call services.
If you currently use SMIS of Close Call, you should make sure you’re in touch with your
SMIS+ lead in your company to stay informed.
If you’re interested in knowing more about this programme, contact the SMIS+
Programme team via email at: SMIS+@rssb.co.uk.
Depending on the functionality adopted and the pace of implementation desired by the
individual organisation, benefits could include:
 Improved efficiencies in recording and managing safety events and investigations will
allow the workforce and responsible managers to use mobile devices and business
process workflow software to record and manage safety incidents and close calls
 "Single version of the truth", with all safety-related incidents and close calls captured
and stored in a new common format.
 SMIS and close call data entry aligned with the data requirements of the Safety Risk
Model and the Annual Safety Performance Report.
 New SMS functionality (to be phased) that would allow industry to operate more
efficiently in meeting its SMS responsibilities.
 Efficient benchmarking of safety reporting and close calls across organisations
including normalisation data to enable comparisons.
 New Business Intelligence (BI) software that will also allow stakeholders to create
local safety performance and close call dashboards.
 Easier to link to existing industry bespoke systems.
 A significant reduction in the annual support, hosting and on-going development
costs.
1.7 How is this work funded?
RSSB out of core funds is paying for all the development and ongoing support and
hosting. As a result of the tendering process RSSB has obtained a significant reduction in
support and hosting costs compared to the current SMIS and CCS systems, raised from
membership fees.
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2 Taking part in the programme
2.1 What part should I play in the SMIS+ programme?
Invitations to contribute to the design of SMIS+ are being managed via the SMIS User
Group which has formed a Design Advisory Group. This group represents all SMIS users,
and membership will be increased to include Close Call system users via industry groups
such as the Infrastructure Safety Liaison Group (ISLG). System users a will be invited to
participate in user acceptance testing by RSSB.
2.2 How do RSSB members have sight of the programme?
More details about the SMIS+ programme can be found on our website:
http://www.rssb.co.uk/risk-analysis-and-safety-reporting/reporting-systems/smis-plus
Members can also contact smis+@rssb.co.uk for more information.
Every RSSB member company is being invited to identify a SMIS+ sponsor, who will be
supported by a business change lead and IT lead from their organisation, in turn
supported by the SMIS+ programme team. Together they will be able to oversee the
changes they need to consider in their own particular organisation in light of the SMIS+
programme. These leads are the key senior point of contact for understanding what
SMIS+ means to them.
We are also working closely with major cross-industry groups including those focussed
on specific risk areas under the System Safety Risk Group, as well as sector groups such
as National Freight Sector Group, Infrastructure Safety Liaison Group, and relevant
groups in ATOC. The groups are supporting the programme actively by informing the
way the system should be built.
The SMIS+ programme itself also has cross-industry governance through a Programme
Board overseeing the work and a Design Advisory Group which makes the informed
recommendations to RSSB about the way the system is designed and built.
We aim to send meaningful communication where necessary to all change leads, and
members of cross-industry groups, and including the SMIS+ industry governance groups
on a regular basis.
2.3 How will I know when I need to prepare?
A SMIS+ business sponsor and SMIS+ change lead is being identified for each affected
organisation and will be working with you to prepare for SMIS+ implementation.
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2.4 Data Quality Scores SMIS+, Close Call and Events must be graded/scored separately,
what is your plan for this?
RSSB will amend the data quality scores during the design/build stage of the
programme, and these will be communicated once available, to enable preparation for
data quality visits.
2.5 How are we going to mitigate the usual risks inherent in project management such
as failure to deliver to time, crossover risks etc.?
There is a SMIS+ Programme Board with industry representation that monitors the
progress of the programme and reviews all risks on a regular basis. There is also
independent project assurance in place. Our supplier is contracted to deliver SMIS+ to
the agreed timescales and will incur financial penalties of these timescales are missed.
2.6 How is the system being built?
To design and build the new system, we are:
 Building additional capability into proven commercial-off-the-shelf software
 Using an agile approach to allow us to build, test and realise different parts of the
new system continuously through a series of releases
 Building the different parts of the system using a systematic and thorough analysis of
the data and system requirements, aligning them with relevant themes and
capabilities
 Establishing a Design Advisory Group with representatives from across the industry
 Involving participation from system users, industry experts, safety heads and crossindustry groups
 Working with leading safety and risk management software supplier Ideagen to take
advantage of their knowhow and expertise
 Keeping users and SMIS+ leads in each company updated to inform how
organisations’ preparation for changes including processes, training and
communication
The involvement of SMIS+ leads from across RSSB member organisations is critical to the
success of the programme.
We are working with a leading safety and risk management software supplier, Ideagen,
to help us in the design and configuration of the new system, leveraging the modern
capabilities of its Gael Enlighten safety and risk management software application. Its
clients include a range of organisations in safety critical industries including some rail
companies.
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3 Implementing the new system
3.1 What are the timescales for implementing the new system?
Phase 1 – Nov 2016 - SMIS functionality, , new reporting/analytical and BI capabilities for
existing SMIS users
Phase 2 – April 2017 - close call functionality for existing SMIS/close call users and
availability for other users, investigation workflow and mobile reporting [LIFT 1.5]
We will launch further releases when there is a need to provide an update to existing
features, or to add new features – for example as the process of embracing additional
safety reporting systems and processes takes shape. This is a longer term vision.
3.2 What will the new system be called? Will it still be called SMIS / Close Call?
No final decision has been made on the name of the new system.
3.3 What do we need to know to be able to purchase other systems to ensure
compatibility with SMIS+?
SMIS+ is built on modern enterprise software that makes it easier to have interfaces
with other SMS systems. Interfaces with organisations with other SMS systems will be
developed during phase 3.
3.4 Would it be us who will be responsible for training?
Yes, each individual organisation will be ultimately responsible for deciding how the
system is implemented and so what training they need to arrange for their people.
Initial training will be provided for existing SMIS users to support the phase 1 release in
November 2016. Additional training will be required to support further roll-out and this
will be available before March 2017.
To help with your training needs, RSSB will provide training for:
 Your administrators so that they are able to support SMIS+ for your organisation
 Your safety team on all aspects of using the event management and investigation
processes in SMIS+
 Analysts so that they can use the advanced analytics capabilities within SMIS+
 BI reporters so that they can create reports, charts and dashboards
Training will also be provided for investigators.
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3.5 Train the trainer – consider lead time for our training team and materials? Rollout
timescales? Training for Safety team timescales?
Train the trainer may be applicable for phase 2 in March 2017 and the training
programme will take into account the requirements for organisation trainers to have
time to train within their own companies. The training delivery dates will be made
available in mid 2016.
3.6 BI is complex and how will my team cope – how will we ensure we give them
adequate training to support implementation.
Training for BI will be provided as part of the project, although it is important
organisations think about the competency of the staff that attend these courses.
RSSB will provide support to you (as we do now) as part of ‘business-as-usual’ once the
project has been implemented, but one of the key aims of the project is to provide you
with the tools to undertake BI tasks yourself.
3.7 What will be the link with event categories?
A new data event model is being developed for SMIS+ which has full support of a Design
Advisory Group. This new model will allow users to identify everything relating to an
event in a sequential chain.
3.8 How can we convince people of the benefits of Close Call?
RSSB is developing a Close Call strategy, which will inform the provision of guidance and
support in aligning Close Call with you organisation’s strategies and capabilities.
Studies have shown that for every major accident or fatality there are many hundreds of
events of a far less serious nature. In different circumstances, these ‘Close Calls’ could
have ended up being more serious accidents. By analysing our close calls we can
identify areas of high risk and then take steps to improve safety performance and
prevent a more serious incident from occurring, with related reduction in the associated
costs, including those incurred by investigations, and a positive impact on business
performance.
SMIS+ will enable improved understanding of the connections between risks (reported
as close calls) and safety events. The more industry organisations that implement close
call, the more data we will have to inform learning and influence industry wide
responses to quantified risks.
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3.9 How do we create workflows on form/app to ensure these go to the correct
organisation/team?
The system will use a number of hierarchies (geographical, functional and
organisational) combined with event information to identify how events should be
routed to the relevant individuals/teams.
3.10 SMIS data quality project – how will Close Calls be integrated into this via SMIS+?
We are looking to ensure the quality of the data entered into the system by making the
data entry as clear and simple as possible, removing duplicate fields, and providing clear
definitions. Additionally, there will be an inbuilt data quality process for identifying and
resolving issues.
How safety events are measured for their quality will be considered during the data
design phase. RSSB will be incorporating close call data quality within a review of the
data quality procedures.
3.11 Will SMIS+ interface with TRUST?
Under phase 2 it is planned to make available train running data from Network Rail’s
TRUST system to aid users in data entry, e.g. train headcode, vehicle/unit number, and
departure and arrival times.
3.12 How are we going to ensure that all the data within organisations internal systems
is captured within SMIS+?
There are currently no plans to import data from organisations bespoke systems into
SMIS+ in the current phases of the programme. However, if this is an industry wide
requirement consideration will be given to this in future phases.
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4 Products and services
4.1 Is it mandatory for rail companies to use SMIS+?
RSSB is reviewing all Group Standards including GERT 8047 which currently mandates
the use of SMIS. By working with the industry to develop SMIS+ we hope that it will
become the SMS of choice, enabling the collection and analysis of safety data, and
additional SMS functionality, for the rail industry in Great Britain.
4.2 What will the products and services be?
Phase 1 release November 2016
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A web based system to record, edit and finalise safety events
Asset and location registers (equivalent to SMIS)
The new SMIS+ data event model
The ability to record investigations and track recommendations
The ability to search for a record
The ability to write and view BI reports
SMIS records editable (either migration or keep SMIS running)
All data from SMIS to be available to be analysed in the data warehouse via the
new BI software
Links from CCIL for Network Rail
Integration with Q-Pulse and Gael Enlighten for organisations using these
systems for incident capture.
Phase 2 release March 2017
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Close call events
Close call data migration
Close call data to be available to be analysed in the data warehouse via the new
BI software
Asset and GPS location data from Network Rail’s asset systems
More sophisticated business process workflow and KPI’s to assist with the
collection of safety data and investigation management/recommendation
tracking
Full Mobile functionality
Additional products and services will be made available after March 2017. This will be
determined in dialogue with the Data Risk and Strategy Group (DRSG).
4.3 What will the products and services available to me be called?
No final decision has been made on the name of the new system.
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4.4 What will I have access to?
 All RSSB member companies who need to use SMIS (such as Network Rail, train and
freight operators, principal contractors that operate trains) will be able to access the
new SMIS+ system. For members, there will be no extra cost or fees to use the new
system, although there may be some minor one-off costs to support business change
in organisations such as travel costs to attend a training event. These organisations
will have access to all data and will be able to use all functionality delivered as part of
the national system.
 We anticipate that non-member organisations which want or need to access the
SMIS+ system will need to join RSSB as a member - http://www.rssb.co.uk/aboutrssb/join-as-a-member
 Organisations that choose not to join RSSB and are required to enter 'Close Call' data
will be able to do so from their existing bespoke systems but will not have access to
data.
4.5 Do you have to use all aspects of the app, or could you just use the Close Call
element?
Organisations will be able to decide what events will be recorded via the app
4.6 Other aspects of SMS like audit, inspections, document review etc. to be
developed? Timescales for these?
Audit, inspection and compliance functionality will be added to SMIS+ once the first
phases have gone live. There are currently no confirmed timescales but new
functionality will be prioritised with industry as part of the consultation process. This will
be determined in dialogue with the Data Risk and Strategy Group (DRSG).
4.7 What haven’t these changes happened sooner?
Embarking on a programme of this size and significance takes a lot of commitment from
across the whole rail industry as well as a great deal of resource from RSSB itself. Initial
feasibility started in summer 2014. Detailed planning started in December 2015 and
could only begin once we knew we had the full commitment of industry behind the
programme.
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4.8 Will SMIS+ have the capability to interface with other assurance tools? Will it
contribute to a picture of the robustness of risk control system implementation?
The new event data model in SMIS+ is being built with the RSSB Risk Team and to ensure
compatibility with bow ties. Phase 3 of SMIS+ will integrate bow ties, safety inspections
and audits. Interfaces with other assurance tools (e.g. those owned by individual rail
organisations) will be prioritised. This will be determined in dialogue with the Data Risk
and Strategy Group (DRSG).
4.9 What will be the interface between non-PC contractors and SMIS+?
During the first phase there are no plans to provide any interface between a non-PC
contractors and SMIS+. All data entry, bulk uploading and access to SMIS+ will be via
the PCs only. However, as we have purchased unlimited licences over time we could
consider proving the non-PC contractors with direct access.
4.10 How will non-PC contractors be able to access and interrogate the data they
provide (e.g. close call data entered when working directly for Network Rail, and data
provided via a PC)?
It will be the responsibility of PCs to provide non-PC Contractors with the outputs and
data from SMIS+.
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5 User experience
5.1 Will a web based system or app be used to log safety incident?
It will be possible to use a web based system and an app to report safety events and
close calls. All organisations will have control over which events can be recorded via an
app. All events entered via an app, or from a web browser, and from out based
locations will be validated.
5.2 Are reports about safety incidents and risks confidential?
No. CIRAS provides a route for users to report incidents confidentially.
5.3 Will it supersede CIRAS?
No – CIRAS will continue to operate as a separate entity as the need for confidential
reporting remains, and continues to provide an essential service to industry.
5.4 Is there a feed into SMIS+ from CIRAS data?
No, although this is planned for later phases to enable data re behavioural and cultural
issues that impact on safety and that have been reported confidentially to be included in
BI.
5.5 How detailed can location data be (eg specific staircase on platform x at station y)?
GPS will allow a location to be accurate and reporters will be able upload photographs
to assist in the identification of specific locations.
5.6 What is the potential to link in to data from external organisations?
The system will have a data management layer, populated by both internal and external
data. Some of this data will be used to supplement event recording (for example signal
data from Network Rail), while other data will be used to enhance the analysis from
SMIS+ (for example crime statistics from the BTP). The data management layer will
continue to be developed after the system goes live.
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5.7 Will it be possible to share collective data between TOCs/FOCs? (SMIS and Close
Call?)
Definitive and clear guidance on who will be able to access what data is being developed
and will be available before November 2016. External organisations (like the BTP) will
not be able to view the records unless this has been agreed with the industry via the
Data and Risk Strategy Group.
5.8 Do we believe we have true figures on how many interventions we really have. Will
SMIS+ be reliable in capturing and presenting this vital data?
SMIS relies on the identification and reporting of events, and the quality/completeness
of data in SMIS is dependent on awareness of what is required the willingness and
ability of the industry to provide this. RSSB run a data quality programme to sample
events recorded in control logs and reconcile these with records in SMIS, querying
discrepancies.
5.9 What legacy data will be available and how will we be able to use it?
All SMIS and CCS data will be available in BI software for running reports. Reliable data
is available from 1997. Discussions are taking place with the industry via Design Advisory
Group to agree how we can meet industry requirements for accessing SMIS and CCS
data in SMIS+. Details will be made available in due course.
5.10 Will there be the function to import historic non-reportable to SMIS data into
SMIS+ (from excel?)
There are currently no plans to import data from organisations’ bespoke systems into
SMIS+ in the current phases of the programme.
5.11 How is data validated before it goes into the system?
You can continue to decide how you validate data about safety events and who enters
details into the system. We are developing a strategy for close call events and will keep
your organisation informed via your SMIS+ change manager.
5.12 Can we add driver history data? (Driver Register)
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There are currently no plans to import data from organisations bespoke systems into
SMIS+ in the current phases of the programme. However, if this is an industry wide
requirement consideration will be given to this in future phases.
5.13 Link with Trust data – can delay minutes field differentiate for passenger and
freight numbers, and can it be redefined. Requirement of CSI.
All the data requirements for reporting CSIs will be included in the new data model.
5.14 Can SMIS+ have pop-ups for changes in Safety legislation and RAIB
recommendations?
There will be a number of different ways the system can be used to communicate and
alert users.
5.15 Can GPS be utilised to pin point reports of adverse train movements – track
defects?
Any safety event reported via a mobile will be able to use the device’s inbuilt GPS to
record the event’s location. However, organisations will need to assess and if necessary,
mitigate, the risk associated with distraction if staff submit reports during safety critical
activities. SMIS+ should not be an alternative to reporting incidents via regional
controls.
5.16 Will it be possible to submit and store investigations electronically in SMIS+?
SMIS+ will have an investigation module which will support the carrying out of the
investigation, the creation of the investigation report, and the identification and tracking
of any related recommendations.
5.17 Who will be the ‘Responsible’ person for opening an incident?
This will be up to individual organisations. The system will provide the ability for any
member of staff to create events via a mobile app or electronic form, and these will
validated by the safety teams. Organisations can decide how far they wish to roll out
this capability. It will also be possible to restrict who can create an event.
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5.18 Will personal data be viewable to users?
Certain fields that contain personal data will be restricted to ensure that only the event
owner and their organisation are able to view these.
5.19 Can we use SMIS+ as we use SMIS now – ie basic function only?
RSSB is recommending that organisations undertake a phased approach to
implementing SMIS+ in their organisations, and that during initial phases only existing
SMIS users are trained up in the new functionality. As organisations become confident in
using this functionality they can choose to adopt additional functions.
5.20 How will SMIS+ help to improve the quality of data input by the reporter?
The new system will allow much easier classification of events, as well as improved data
collection workflow processes. There will be easily accessed user help functionality (tool
tips, etc.) embedded in the system, and RSSB will provide training on how to use the
system and BI tools. RSSB also offers further subject-matter 'best practice' courses such
investigation training.
However, it is each organisations responsibility to give their staff any further training
they may need to perform their role, be it general railway knowledge or safety
management.
5.21 What is the vision regarding data quality criteria in SMIS+?
We are looking to ensure the quality of the data entered into the system by making the
data entry as clear and simple as possible, removing duplicate fields, and providing clear
definitions. Additionally, there will be an inbuilt data quality process for identifying and
resolving issues.
How safety events are measured for their quality will be considered during the data
design phase.
5.22 Will there be a validation stage before an event is logged permanently in SMIS+?
As soon as a recorded event is created it will be stored permanently in the system, but it
will have a status reflecting it is an initial invalidated record. Once a record has been
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reviewed, then the status will be updated and records from this point onwards will be
made available for reporting and analysis.
5.23 will it be possible to log calls by recording a message description of the event rather
than typing?
There are no plans to do this. The aim is to design the interface so that initial data entry
will be as simple as possible, using a wide range of input options to minimise reliance on
typing.
5.24 Will it take longer to input a new event?
The initial input of an event should be easier to do. The data required is being designed
for ease of input and the system will make use of master data registers from other parts
of the industry (e.g. asset registers) to reduce the amount of data that needs to be
manually. The total amount of information required for the event will depend on its
type.
5.25 How will the system know who to send which incident to?
The system will use a number of hierarchies (geographical, functional and
organisational) combined with event information to identify how events should be
routed to the relevant individuals/teams.
5.26 Will passengers be able to use the app?
No, only the rail industry will have access to the app.
5.27 What happens If rail industry parties disagree about a record in SMIS+?
There will be a data quality process built into SMIS+ where organisations can raise issues
to the event owner. If both parties can’t come to an agreement, then the issue will be
escalated to RSSB for resolution.
5.28 Who can delete entries?
Each organisation will control who has permission to delete a record. The reason why it
is being deleted will be required.
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5.29 Will it be possible to generate SRR and alerts via SMIS+?
The system will have the ability to create alerts based on any safety event information.
These alerts can notify any number of people.
5.30 Will it be possible to publish reports?
Yes.
5.31 Will any user be able to create reports or just the safety teams?
Each organisation will control who has permission to create reports. Any user will have
the ability to have a number of KPI reports.
5.32 Is this real time? Could we have a delay?
Yes, as soon as records are validated in the system they will be available for reporting
and analysis.
5.33 Will it be possible to tailor dashboards?
Yes
5.34 Will the new app require the reporter to fill in lots of details?
The app will replace/provide an alternative to manual reporting forms. Our aim is that
the app will help users to provide the information required to be able to process the
event or risk being reported. We anticipate that this will enable the skipping of fields
that are on exiting forms but not relevant for a specific event, making the process
simpler.
5.35 Capability to measure £ loss associated with an event?
The system will enable the recording of damage against any involved asset in a record,
including the financial loss.
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