Communication of Urgent Operating Advice

Transcription

1 Railway Group Standard with effect from 04/03/2017 Communication of Urgent Operating Advice Synopsis This document defines the requirements for reporting and disseminating urgent operating safety information arising from operating incidents, equipment defects and misunderstanding of operating rules, regulations or instructions. This document contains requirements that are amended under the Railway Group Standards Code ( Three) as a small scale change. Reference to the amended requirements is made in the record. All other parts of the document are unchanged from the previous issue. 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. 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, and excludes all 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 Block 2 Angel Square 1 Torrens Street London EC1V 1NY Copyright 2011 Rail Safety and Standards Board Limited

2 with Railway effect from Group 04/03/2017 Standard record Date Comments One October 2000 Original document Two February 2007 Replaces issue one Three February 2009 Replaces issue two Four June 2010 Replaces issue three (small scale change to administrative parts of the document in relation to references to NIR3350 previously /1 form) December 2011 Replaces issue four (small scale change: addition of non-mandatory Appendix A to provide guidance on section of the standard) Amended or additional parts of revised pages have been marked by a vertical black line in the adjacent margin. Superseded documents The following Railway Group documents are superseded, either in whole or in part as indicated: Superseded documents Operating Advice, issue four Sections superseded Date when sections are superseded All sections 03 March 2012 Supply The authoritative version of this document is available at Uncontrolled copies of this document can be obtained from Communications,, Block 2, Angel Square, 1 Torrens Street, London EC1V 1NY, telephone or enquirydesk@rssb.co.uk. Other Standards and associated documents can also be viewed at Page 2 of 12

3 with effect from 04/03/2017 Railway Group Standard Contents Section Description Page Part 1 Purpose and Introduction Purpose Introduction Approval and authorisation of this document 4 Part 2 Requirements for Responsibilities of infrastructure manager (Network Rail) Responsibilities common to infrastructure managers and railway undertakings 5 Part 3 Application of this document Application - infrastructure managers (IM) Application - railway undertakings (RU) Health and safety responsibilities 7 Appendix A Application of the requirements contained within 8 Definitions 11 References 12 Page 3 of 12

4 with Railway effect from Group 04/03/2017 Standard Part 1 Purpose and Introduction 1.1 Purpose This document mandates requirements for the reporting and dissemination of urgent operating safety information. 1.2 Introduction Background Principles This standard recognises the need for the infrastructure managers (IM) and railway undertakings (RU) to have a common system for disseminating matters of an urgent nature concerning operational incidents or irregularities, and certain types of equipment defect, to each other. The advice may relate to circumstances where other industry parties need to take immediate action, and where other means of communication may not be sufficiently rapid or reach the intended audience The requirements of this document are based on the principle that Network Rail, as infrastructure manager of the GB rail network, provides the means through the National Operations Centre to process urgent operating advices initiated internally or by a railway undertaking or other infrastructure manager. Allocating a national incident report (NIR) number, the advice is then sent to a designated recipient in each railway undertaking and/or other infrastructure manager, which will make an informed judgement on the applicability of the urgent operating advice to its sphere of operations and take necessary actions to control the risk Details of the arrangements for this process, and the means by which to raise an Urgent, are available on the website Related requirements in other documents Note exclusions listed in Definitions under Equipment, where application of GE/RT8250 and GK/RT0106 applies Supporting documents There are no Railway Group documents supporting this Railway Group Standard The following Network Rail document supports this Railway Group Standard: Urgent report form (NIR3350) available on the website. 1.3 Approval and authorisation of this document The content of this document was approved by Traffic Operation and Management Standards Committee on 13 September This document was authorised by on 28 October Page 4 of 12

5 with effect from 04/03/2017 Railway Group Standard Part 2 Requirements for 2.1 Responsibilities of infrastructure manager (Network Rail) The infrastructure manager (Network Rail) shall publish the arrangements for giving and receiving urgent operating advice between it and all railway undertakings and other infrastructure managers The infrastructure manager (Network Rail), on receiving urgent operating advice, shall distribute it to affected railway undertakings and other infrastructure managers. 2.2 Responsibilities common to infrastructure managers and railway undertakings Each infrastructure manager and railway undertaking shall identify the need for urgent operating advice originating from their organisation to be sent to the infrastructure manager (Network Rail) and other affected infrastructure managers and railway undertakings Infrastructure managers and railway undertakings shall send the urgent operating advice to the infrastructure manager (Network Rail) in accordance with the published arrangements Infrastructure managers and railway undertakings shall record the sending of urgent operating advice to the infrastructure manager (Network Rail). Page 5 of 12

6 with Railway effect from Group 04/03/2017 Standard Part 3 Application of this document 3.1 Application - infrastructure managers (IM) Scope This document relates to high risk operating incidents or irregularities that could recur at any time or location, where railway undertakings and infrastructure managers urgently need to be informed. It is the sole responsibility of Network Rail as infrastructure manager for the GB main line rail system to bear responsibility for the publishing of the arrangements for the giving and receiving of urgent operating advice; consequently there are specific requirements set out in 2.1 of this RGS that apply to the infrastructure manager (Network Rail) The document also applies to high risk defects in equipment, but not vehicle, plant and machinery defects covered by GE/RT8250, and defective signalling and telecommunications equipment included in the scope of GK/RT The safety reporting requirements in this document are additional to those described in GE/RT8000 and GE/RT Measures in this document support the requirements in GO/RT3119 Accident and Incident Investigation for the urgent dissemination of information arising from investigations, following incidents or accidents Exclusions from scope There are no exclusions from the scope specified in clause for the infrastructure managers General compliance date for infrastructure managers This Railway Group Standard comes into force and is to be complied with from 03 March 2012, except as specified in section Exceptions to general compliance date There are no exceptions to the general compliance date specified in clause for infrastructure managers. 3.2 Application - railway undertakings (RU) Scope This document relates to high risk operating incidents or irregularities that could recur at any time or location, where other railway undertakings and/or infrastructure managers urgently need to be informed The document also applies to high risk defects in equipment, but not vehicle, plant and machinery defects covered by GE/RT8250, and defective signalling and telecommunications equipment included in the scope of GK/RT The safety reporting requirements in this document are additional to those described in GE/RT8000 and GE/RT Measures in this document support the requirements in GO/RT3119 Accident and Incident Investigation for the urgent dissemination of information arising from investigations, following incidents or accidents Exclusions from scope There are no exclusions from the scope specified in clause for railway undertakings. Page 6 of 12

7 with effect from 04/03/2017 Railway Group Standard General compliance date for railway undertakings This Railway Group Standard comes into force and is to be complied with from 03 March 2012, except as specified in section Exceptions to general compliance date There are no exceptions to the general compliance date specified in clause for railway undertakings. 3.3 Health and safety responsibilities Users of documents published by 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. does not warrant that compliance with all or any documents published by is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. Page 7 of 12

8 with Railway effect from Group 04/03/2017 Standard Appendix A Application of the requirements contained within The content of this appendix is non-mandatory and for guidance only. A.1 General A.1.1 Infrastructure managers and railway undertakings should have internal processes for reviewing operating incidents or irregularities involving their staff or equipment. Processes should include guidance on whether operating incidents or defects merit urgent advice (via Rail Notices) to other parties in the rail industry as required by this standard and should include the timescales for reporting which reflects the degree of urgency associated with the incident or defect. A.1.2 A.1.3 A.1.4 The internal processes mentioned in A1.1 should include a process for reviewing Urgent forms submitted by other infrastructure managers or railway undertakings which includes processes for modifying, where necessary, their own internal systems or rolling stock. Infrastructure managers and railway undertakings should consider the provision of specific training and development for key personnel who manage the reporting processes contained within this standard. The training should help them identify the types of incidents that might trigger NIR3350 incident reports and to fully understand the reporting process. The reporting process contained within this standard deals with incidents or defects in an operational context rather than an engineering one. The following guidance is provided to assist infrastructure managers and railway undertakings to determine whether an operating incident, irregularity or equipment defect should be reported using the process contained within this standard. A.2 When to report operating incidents, irregularities or equipment defects A.2.1 It is necessary, firstly, to determine whether an operating incident, irregularity or equipment defect should be categorised as high risk in accordance with the definitions contained within this standard. A.2.2 If it is categorised as high risk, it is then necessary to determine whether there is a likelihood that the defect or operating incident could recur. When considering this, the guidance in sections A3 and A4 should be used. A.3 Equipment defects A.3.1 Equipment defects that are reportable in accordance with this standard are those solely used for the aspects of train operation contained within the definitions section of this standard. A.3.2 Other equipment defects would normally fall within scope of Railway Group Standard GE/RT8250 Reporting High Risk Defects. Where instructions or rules have led to the equipment being operated outside its defined scope/limits or have compromised its structural integrity then the deficient instructions or rules are reportable in accordance with this standard. Page 8 of 12

9 with effect from 04/03/2017 Railway Group Standard A.4 Misunderstanding or misinterpretation of rules, regulations or instructions involving a group of people A.4.1 To understand whether incidents arising from a misunderstanding or misinterpretation of rules, regulations or instructions are reportable, it is necessary to establish if the incident arose because of the actions of an individual or whether the misunderstanding extends to all staff, or those undertaking a specific job role. A.4.2 A.4.3 If it is apparent that the misunderstanding or misinterpretation extends to all staff, or those carrying out specific job roles, there will be a need to establish whether the situation has arisen because of deficiencies in internal training or development processes or whether the misunderstanding has arisen because specific rules, regulations or instructions are ambiguous and have led to misinterpretation, either by individuals or in the transposition into company standards. Finally, it is necessary to establish whether the misunderstanding or misinterpretation could possibly affect others. A.5 Examples of operating incidents reportable under A.5.1 Examples of operating incidents might include, but not be limited to, the following: a) Failure of load restraining components due to over-tightening which leads to loads that are not secured. b) Misunderstanding of parking brake operation on a particular type of rolling stock which results in the train running away. c) An incident/irregularity which results from a misunderstanding or misinterpretation of rules or instructions. d) Winter/summer weather precautions that fail to mitigate against component parts overheating or freezing and failing in traffic. e) Operational coupling incidents that have resulted in component damage. A.6 Completing the /1 Urgent form A.6.1 It is important to provide clear and accurate details of any confirmed defect or operating defect/irregularity, especially any particular conditions (including any climatic conditions) that led or contributed to the incident. A.6.2 A.6.3 Where an incident or defect has possibly resulted from internal procedures or instructions, care should be taken to provide sufficient detail of such processes or instructions to enable others to review their own internal processes and make any changes necessary. If there has been a possible failing of internal training or development processes or a misunderstanding has arisen because specific rules, regulations or instructions are ambiguous and have led to misinterpretation, either by individuals or in the transposition into company standards, this should be clearly indicated, together with any mitigating measures taken to reduce the risk or recurrence. Page 9 of 12

10 with Railway effect from Group 04/03/2017 Standard A.6.4 A.6.5 A.6.6 A.6.7 Where it is found that Rule Book instructions or Railway Group Standard requirements may have contributed to an operating incident, irregularity or defect, any suggested changes should be clearly indicated on the /1 Urgent report form and a proposal form submitted to using the procedure for change to Railway Group Standards described in the Railway Group Standards Code and the Standards Manual. Where there is doubt about whether the circumstances of an operating incident, irregularity or equipment defect are such that a NIR3350 notice should be completed, infrastructure managers and railway undertakings should report the incident in accordance with the requirements of this standard. In all circumstances, it is very important to provide clear and accurate details of any action taken to mitigate against further recurrences. This should provide sufficient detail to enable others to implement similar measures if they need to. The Urgent report form is available the via website. A.7 Reporting timescales A.7.1 The urgent operating advice process contained within this standard does not stipulate any specific timescales for report incidents, irregularities or defects. The internal processes mentioned under section A1 should determine the reporting timescales based on the perceived urgency and should recognise that there may be a need to establish if a systemic failure contributed to the incident or defect or whether any misunderstanding affects all staff or a group staff undertaking specific job roles. A.7.2 It should be emphasised, however, that such processes need to recognise the importance of advising industry as quickly as possible to assist others to change working practices or check or modify equipment to avoid similar incidents or defects occurring. Page 10 of 12

11 with effect from 04/03/2017 Railway Group Standard Definitions Equipment In this document means equipment used for: Preparing trains for movement. Securing loads on rail vehicles. Providing oral or visual communication necessary for the control of train movements. Protecting persons working on or near the line, passengers or members of the public from trains or electric traction current. but excluding equipment within the scope of GE/RT8250 and GK/RT0106. High risk defect In this document means a defect that has caused, or could have had a high likelihood of causing: Death, ill health or major injury to persons. Or Derailment or collision of trains. High risk operating incident or irregularity In this document, means an unplanned, uncontrolled high risk event during train operations (including an irregular working practice) that has or could have had a high likelihood of causing: Death, ill health or major injury to persons. Or Derailment or collision of trains. Train As defined in the Railways Act Urgent Information relating to a high risk operating incident, irregularity or equipment defect that could recur at any time or location, where other railway undertakings and/or infrastructure managers urgently need to be informed. Page 11 of 12

12 with Railway effect from Group 04/03/2017 Standard References The Catalogue of Railway Group Standards and the Railway Group Standards DVD give the current issue number and status of documents published by. This information is also available from Documents referenced in the text RGSC 01 Railway Group Standards GO/RT3119 GK/RT0106 GE/RT8250 GE/RT8047 GE/RT8000 The Railway Group Standards Code Accident and Incident Investigation Management of Safety Related Failures of Signalling and Operational Telecommunications Systems Reporting High Risk Defects Reporting of Safety Related Information Rule Book Network Rail-maintained document NIR3350 Urgent report form (available via website) Page 12 of 12