IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX...

40
ERA – Safety Unit IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013 Version: 2.3 Page 1 of 40 ERA (SAFETY UNIT) IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference in ERA: ERA/GUI/09-2013 Version in ERA: 2.3 (May 2013) Document elaborated by European Railway Agency Rue Marc Lefrancq, 160 F-59300 Valenciennes France Document Type: Guidance Document Status: Public Name Function Released by Chris CARR Head of Safety Unit Endorsed by ERA working party on safety performance (2011-2013) ERA working group on CSIs (2009-2010) Written by (Authors) Vojtech EKSLER Safety Unit Project Officer Angelo PIRA Safety Unit Project Officer

Transcript of IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX...

Page 1: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA – Safety Unit

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 1 of 40

ERA (SAFETY UNIT)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY

DIRECTIVE 2009/149/EC

Reference in ERA: ERA/GUI/09-2013

Version in ERA: 2.3 (May 2013)

Document elaborated by

European Railway Agency Rue Marc Lefrancq, 160 F-59300 Valenciennes France

Document Type: Guidance

Document Status: Public

Name Function

Released by Chris CARR Head of Safety Unit

Endorsed by ERA working party on safety performance (2011-2013) ERA working group on CSIs (2009-2010)

Written by (Authors)

Vojtech EKSLER Safety Unit Project Officer

Angelo PIRA Safety Unit Project Officer

Page 2: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 2 of 40

AMENDMENT RECORD

Version Date

Author(s) Modification Description

1 25.03.2010

Angelo Pira

Agreed with the CSI’s working group on 25th March 2010.

2 15.12.2011

Vojtech Eksler

Amendments proposed by the TF and agreed with the Safety Performance WP members on 08.11.2011

2.1 06.06.2012

Vojtech Eksler

Minor adjustments agreed by the Safety Performance WP on 19 April 2012.

2.2 20.11.2012

Vojtech Eksler

Minor adjustments discussed with the members of the Safety Performance WP on 16 October 2012

2.3 24.05.2013

Vojtech Eksler

Minor adjustments agreed by the Safety Performance WP on 19 February 2013

Page 3: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 3 of 40

Table of Contents

0. INTRODUCTION ............................................................................................. 5

0.1 Scope ........................................................................................................................ 5

0.2 Document description ............................................................................................. 6

0.3 Reference documents ............................................................................................. 6

0.4 Specific terms and abbreviations ........................................................................... 6

0.5 Principles for this guidance .................................................................................... 7

0.6 Purpose of CSIs ....................................................................................................... 7

1. INDICATORS RELATING TO ACCIDENTS ................................................ 11

1.1 Significant accident ............................................................................................... 11

1.2 Significant damage ................................................................................................ 12

1.3 Extensive disruption to traffic .............................................................................. 12

1.4 Train ........................................................................................................................ 12

1.5 Collision of trains .................................................................................................. 12

1.6 Train derailment ..................................................................................................... 13

1.7 Level crossing accidents ...................................................................................... 13

1.8 Accidents to persons caused by rolling stock in motion ................................... 14

1.9 Fires in rolling stock .............................................................................................. 14

1.10 Other types of accidents ....................................................................................... 14

1.11 Passenger .............................................................................................................. 15

1.12 Employees .............................................................................................................. 15

1.13 Level crossing users ............................................................................................. 15

1.14 Unauthorised persons on railway premises ........................................................ 15

1.15 Others (third parties) ............................................................................................. 15

1.16 Deaths (killed person) ........................................................................................... 16

1.17 Injuries (seriously injured person) ....................................................................... 16

2 INDICATOR RELATING TO DANGEROUS GOODS .................................. 17

2.1 Accident involving the transport of dangerous goods ....................................... 17

2.2 Dangerous goods .................................................................................................. 17

3 INDICATOR RELATING TO SUICIDES ....................................................... 19

3.1 Suicide .................................................................................................................... 19

Page 4: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 4 of 40

4 INDICATORS RELATED TO PRECURSORS OF ACCIDENTS ................. 21

4.1 Broken rails ............................................................................................................ 21

4.2 Track buckles ......................................................................................................... 21

4.3 Wrong side signalling failure ................................................................................ 21

4.4 Signal passed at danger ....................................................................................... 22

4.5 Broken wheels and broken axles ......................................................................... 22

5 COMMON METHODOLOGIES TO CALCULATE THE ECONOMIC IMPACT OF ACCIDENTS ............................................................................. 23

5.1 Value of Preventing a Casualty (VPC) .................................................................. 23

5.2 Methods to calculate the VPC ............................................................................... 24

5.3 Definition of ‘cost of damages to environment’ .................................................. 26

5.4 Cost of material damage to rolling stock or infrastructure ................................ 26

5.5 Methods to calculate the Value of Time (VT) ....................................................... 26

6 GUIDANCE FOR “INDICATORS RELATED TO TECHNICAL SAFETY OF INFRASTRUCTURE AND ITS IMPLEMENTATION” ............................ 29

6.1 Automatic Train Protection (ATP) ........................................................................ 29

6.2 Level crossing ....................................................................................................... 29

6.3 Passage .................................................................................................................. 29

6.4 Definition of ‘active level crossing’ ...................................................................... 29

6.5 Definition of ‘passive level crossing’ ................................................................... 30

7 GUIDANCE FOR “INDICATORS RELATING TO THE MANAGEMENT OF SAFETY” ................................................................................................. 32

7.1 Definition of ‘audit’ ................................................................................................ 32

8 REFERENCE DATA TRAFFIC AND INFRASTRUCTURE ......................... 33

8.1 Train-km ................................................................................................................. 33

8.2 Passenger-km ........................................................................................................ 33

8.3 Line-km ................................................................................................................... 33

8.4 Track-km ................................................................................................................. 33

ANNEX: VALUES FOR ECONOMIC INDICATORS .......................................... 35

Page 5: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 5 of 40

0. INTRODUCTION

0.1 Scope

This guidance is not binding as a legal act adopted by the Community. It is intended to neither replace nor complement the legislation in force.

It is intended to be a reference manual for all parties directly or indirectly concerned by Annex 1 and Appendix to Directive 2004/49/EC as amended by Directive 2009/149/EC (further referred to as “Annex 1”), providing further information and examples to facilitate a harmonised collection of CSIs data across the European Union.

The content of this guidance is prepared by the European Railway Agency with the support and agreement of the working group on Common Safety Indicators (CSIs)/Safety Performance. This document is to be read and used as guidance for the application of Annex 1 and is not to be used as their substitute.

It is important to note that the guidance aims to facilitate the understanding of the definitions and methodologies described in the Annex I, offering further support by additional explanations and examples to NSAs and sector’s players reporting CSIs data to NSAs, as IMs and RUs.

It is to remind, that CSI concern only significant accidents as opposed to the serious accidents reported by National Investigation Bodies (NIBs). Significant accident covers a wider range of events than serious accidents.

Serious accident Significant accident

2004/49/EC 2003/91/EC and 2009/149/EC

'serious accident' means any train collision or derailment of trains, resulting in the death of at least

one person or serious injuries to five or more persons or extensive damage to rolling stock, the infrastructure or the environment, and any other similar accident with an obvious impact on railway safety regulation or the

management of safety; 'extensive damage' means damage that can immediately be assessed by the investigating body to cost at least EUR 2 million in total.

‘significant accident’ means any accident involving at least

one rail vehicle in motion, resulting in at least one killed or seriously injured person, or in significant damage to

stock, track, other installations or environment, or extensive disruptions to traffic. Accidents in workshops, warehouses and depots are excluded.

Significant damage is a damage that is equivalent to EUR 150 000 or more.

Accident investigation by NIBs Reporting of CSIs by NSAs

Within one week after the decision to open an investigation the investigating body shall inform the Agency thereof. The investigating body shall send the Agency a copy of the final report … normally not later than 12 months after the date of the occurrence.

1

Each year the safety authority shall publish an annual report concerning its activities in the preceding year and send it to the Agency by 30 September at the latest. The report shall contain information on:

(a) the development of railway safety, including an aggregation at Member State level of the CSIs laid down in Annex I

2

The guidance will be reviewed and, if necessary, updated to reflect the progress of the European legal acts and standards, as well as to reflect the experience derived from the collection of CSIs data over time. The reader is invited to consult the website of the European Railway Agency for information about the latest available edition of the guidance (www.era.europa.eu).

1 Article 24 of the Directive 49/2004/EC

2 Article 18 of the Directive 49/2004/EC

Page 6: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 6 of 40

0.2 Document description

The guidance is divided into the following parts:

Chapter 0 defines the scope and provides the principles for this guidance

Chapter 1 provides guidance for the parts of the Annex 1 for which further explanation and examples are deemed appropriate.

Annex contains fall back values for economic indicators.

0.3 Reference documents

Table 1: Table of reference documents.

{Ref. N°} Title Reference Version

{Ref. 1} Railway Safety Directive 2004/49/EC 2004/49/EC 29 April 2004

{Ref. 2} REGULATION (EC) No 91/2003 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 16 December 2002 on rail transport statistics, amended by Commission Regulation (EC) No 1192/2003 of 3 July 2003

(EC) No 91/2003 3 July 2003

{Ref. 3} ERA “Recommendation for the revision of Annex 1 to Directive 2004/49/EC: common definitions for the CSIs and methods to calculate the economic impact of accidents"

ERA/REC/SAF/02-2008 September 2008

{Ref. 4} Commission Directive 2009/149/EC of 27 November 2009 amending Directive 2004/49/EC of the European Parliament and of the Council as regards Common Safety Indicators and common methods to calculate accident costs

2009/149/EC 27 November 2009

0.4 Specific terms and abbreviations

This section defines the certain specific terms and abbreviations that are frequently used in the present guidance.

Table 2: Table of abbreviations.

Abbreviation Meaning

ATP Automatic Train Protection

CSIs Common Safety Indicators

CSTs Common Safety Targets

EC European Community

ERA European Railway Agency

IMs Infrastructure Manager(s)

NIBs National Investigation Body (s)

NSAs National Safety Authority (s)

NRVs National Reference Value (s)

RP Revealed Preference

RUs Railway Undertaking(s)

SMS Safety Management System

SP Stated Preference

VPC Value of Preventing a Casualty

VPF Value of Preventing a Fatality

VT Value of Time

WTP Willingness To Pay

Page 7: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 7 of 40

Table 3: Table of terms.

Term Definition

Agency the European Railway Agency (ERA)

Guidance the present implementation guidance for Annex 1 and Appendix to Directive 2004/49/EC {Ref. 1}

CSIs Recommendation the "Recommendation for the revision of Annex 1 to Directive 2004/49/EC” {Ref. 3}

0.5 Principles for this guidance

This guidance is prepared with a view to be a single, self-contained document assisting NSAs and CSI practitioners in CSI data classification and reporting. Therefore, to assure usability and to facilitate the reading of this guidance, the Guidance has a specific structure defined as follows:

First, the recital of the legal definition of the given CSI is introduced in a double framed text box (as below).

Annex I Chapter ‘CSI name and its definition from Annex I to Directive 149/2009/EC

Second, any other available relevant definition (e.g. Eurostat) is given in a simple frame text box (as below).

Any other supplementary definition other than Eurostat Glossary on Transport Statistics3

Any other supplementary definition available at Eurostat/ITF/UNECE Glossary on Transport Statistics

Third, the text of the guidance is given in a normal format (as below).

Text of the Guidance to the given CSI.

0.6 Purpose of CSIs

Overall purpose CSIs are statistics collected at European level with the purpose specified in Directive 2004/49/EC and amended by Directive 149/2009/EC: “In order to facilitate the assessment of the achievement of the CST and to provide for the monitoring of the general development of railway safety Member States shall collect information on common safety indicators (CSIs) through the annual reports of the safety authorities as referred to in Article 18.” (Article 5 of Directive 2004/49/EC.) CSIs are not expected to provide the same level of detail as the safety databases of RUs and IMs, which are tailored to specific company needs. CSIs have to provide for the monitoring of the ‘general’ development of railway safety in the EU Member States. The purpose of all groups of CSIs is explained in the following sections.

3 Eurostat/ITF/UNECE Glossary for Transport Statistics

Page 8: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 8 of 40

Indicators relating to accidents

This set of indicators measures railway safety performance in Member States and provides an objective evidence of the development over time within Member States. Accidents data are also used for estimating NRVs, setting CSTs and assessing their achievement. It should be noted that at present accident data similar to CSIs are collected by Eurostat under Regulation (EC) 91/2003; a process is underway for the harmonisation of this Regulation with Directive 2004/49/EC. In the future, Eurostat will not collect these data from Member States anymore. Instead, data will be imported from the ERA database based on a common agreement between ERA and Eurostat. The main difference between Directive 2004/49/EC and Regulation (EC) No 91/2003 is that category of “Others” applied in the Regulation is split into: “level crossing users”, “unauthorised persons on railway premises” and “others” in the Directive. The NSAs are advised to co-operate with the national authority responsible for providing accidents statistics under Annex H to Regulation (EC) 91/2003, with the purpose of ensuring consistency between CSIs and Eurostat statistics. “Level crossing accidents” and “accidents to persons caused by rolling stock in motion” are to be considered a shared responsibility between several players such as railways, road authorities, local authorities and land use planning entities. Should Member States aim to improve their safety performance in these areas, it is advised a community approach involving all responsible players in the achievement of a common objective for society.

Indicators relating to suicides

Accident data are used for setting CSTs, which are expressed in risk acceptance criteria for categories of persons. One of these categories is “unauthorised persons on railway premises”, Eurostat’s experience in railway statistics since 2004 shows that data for this category is often dominated by suicides. A separate collection of data on “suicides” and “unauthorised persons on railway premises” provides more reliable data and facilitates a fair setting of the CST for the latter category of persons. In addition, current research and good practice provide evidence that the number of suicides per year and the related costs to railways are not negligible; some Member States’ experience shows that there are preventative measures which might be cost effective for railways and in general for society; a non-awareness of the number of suicides would make such an analysis and the related conclusions impossible. It is not possible to try to manage what is not measured.

Indicators related to precursors of accidents

This set of CSIs is intended to measure at Member State level the number of precursors which result in the type of accidents “collisions” and “derailments”. The use of this set of CSIs for comparing Member States would be inappropriate, since a higher number of a certain type of precursor in a Member State might be explained by a better detection of this type of events than in other Member States. Moreover, the consequences of these precursors are not reported in the CSIs and might vary across the European Union.

Indicators to calculate the economic impact of accidents

Facilitating the optimisation of safety investments Railway safety is one aspect of transport service quality delivered to passengers, employees and third parties; the latter at level crossings and because of railway lines’ integration in urban contexts. When managing safety, railways have to live with the fact that economic resources are limited. In order to maximise the effectiveness of actions, it is therefore essential to be aware of the economic impact of accidents on society, as well as of costs

Page 9: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 9 of 40

and benefits to reduce this impact. The cost of accident prevention is a benefit of this reasoning; the proposed CSIs will allow calculation of this benefit since they represent the economic impact of accidents on society. This set of indicators will also facilitate the economic impact assessment of CSTs. Towards a sustainable safety performance Customers of the railway system consider safety as one of the elements (together with price, travelling time, punctuality, comfort, etc.) to be taken into account when choosing a transport mode for their travels. There is a safety performance that society is willing to pay for and which we can define as a “safety performance economically sustainable for society”. The CSIs for the calculation of the economic impact of accidents facilitate the identification of this safety performance, which represents a sort of economic optimum for society. Member States that are not aware of their “economically sustainable safety performance” will most probably:

either provide “more” safety than economically sustainable or

provide “less” safety than economically sustainable

In the first scenario, railways are providing more safety than passengers are willing to pay for. This “excess of safety” is likely to have an impact on the price of train tickets (if not on taxes) and passengers might move to a cheaper, less safe but more sustainable transport mode, if the choice is available. In the second scenario, passengers will perceive that safety performance of railways is lower than they are willing to pay for; as a result of this consideration, they might move to a safer and sustainable transport mode, if the choice is available.

Indicators related to technical safety of infrastructure and its implementation

This set of indicators is a support for understanding safety performance in Member States with reference to collisions of trains, derailments and level crossing accidents.

Indicators relating to the management of safety

This indicator is to be intended as a first step to the establishment of one or more indicators for the measurement of the efficiency of safety management systems.

Page 10: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 10 of 40

Guidance to Annex I of the Directive 2004/49/EC as amended by Directive

149/2009/EC “Common Safety Indicators”

Page 11: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 11 of 40

1. Indicators relating to accidents

(k) ‘accident’ means an unwanted or unintended sudden event or a specific chain of such events which have harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons caused by rolling stock in motion, fires and others;

1.1 Significant accident

1.1 ‘significant accident’ means any accident involving at least one rail vehicle in motion, resulting in at least one killed or seriously injured person, or in significant damage to stock, track, other installations or environment, or extensive disruptions to traffic. Accidents in workshops, warehouses and depots are excluded.

1.2 ‘significant damage to stock, track, other installations or environment’ means damage that is equivalent to euro 150 000 or more.

1.3 ‘extensive disruptions to traffic’ means that train services on a main railway line are suspended for six hours or more.

The events to be reported under the group of CSIs “Indicators relating to accidents” shall meet the definition of the significant accident, which is legally determined as follows:

‘accident’, laid down in Article 3 of Directive 2004/49/EC; ‘significant accident’, laid down in the Appendix to Annex I (1.1); ‘extensive disruptions to traffic’, laid down in the Appendix to Annex I (1.1); ‘significant damage to stock, track, other installations or environment’, laid down in the Annex I.

According to these definitions, an event to be reported under the “Indicators relating to accidents”:

is to be unwanted or unintended; this, excludes vandalism and terrorism acts. For the specific case of suicide please see 4.3.

is related to a railway vehicle “in motion”; has to cause at least:

o one killed person; o or seriously injured person, o or damage to stock, track, other installations or environment that is equivalent to EUR 150 000 or

more; o or train services on a main railway line suspended for six hours or more;

has not to occur in workshops, warehouses and depots.

A rolling stock is in motion when its absolute speed is different than 0 m/s. CSIs statistics are related to rolling stock in motion only, the exceptions to this criterion are laid down in the definition of “fires to rolling stock” (see the Appendix to Annex I, section 1.9) and “accident involving the transport of dangerous goods” (see the Appendix to Annex I, section 2.0).

Significant damage: any costs incurred in connection with the material damage should be considered, even if covered by the third party such as insurance company. All damages incurred to third parties should be included.

Boundary of the workshop, warehouses, depots and sidings (1.1)

The boundary is the point at which the railway vehicle leaving the workshop/warehouse/depot/sidings cannot pass without having an authorization to access the mainline or other similar line. This point is usually identified by a signal.

Page 12: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 12 of 40

1.2 Significant damage

1.2 “significant damage to stock, track, other installations or environment” means damage that is equivalent to EUR 150 000 or more.

If the accident results in a material damage only, its estimated amount should be based only on those elements consequential to the accident involving rolling stock in motion. (E.g.: A train running into a landslip at low speed causing little damage and no casualties; the costs associated with the clearing and re-opening of the line can be high, but they are not associated with the collision itself, therefore they should not be included.)

1.3 Extensive disruption to traffic

1.3 “extensive disruptions to traffic” means that train services on a main railway line are suspended for six hours or more.

The section of the main railway line must be closed to normal operation for a continued period of six hours or more, even if trains are diverted via other lines.

Main railway lines comprise the high speed railway lines and important major conventional railway lines as defined by national or international authorities.

Operation of railway vehicles for the purpose of either rescuing people or restoring service does not affect the threshold. If only one track of a multiple-track line is closed and train services on the other track(s) can continue, this event shall not be included.

Suspension of traffic not due to the accident should be excluded.

1.4 Train

1.4 “train” means one or more railway vehicles hauled by one or more locomotives or railcars, or one railcar travelling alone, running under a given number or specific designation from an initial fixed point to a terminal fixed

point. A light engine, i.e. a locomotive travelling on its own, is considered to be a train4.

Also maintenance vehicles such as road-rail vehicle, on-track machine, tamper, rail-mounted maintenance machine shall be considered as a train if they comply with the requirements above.

1.5 Collision of trains

1.5 ‘collision of trains, including collisions with obstacles within the clearance gauge’ means a front to front, front to end or a side collision between a part of a train and a part of another train, as well as with:

I. shunting rolling stock,

II. fixed or temporarily present objects on or near the track (except at level crossings if lost by crossing vehicle/user).

Non exhaustive list of fixed objects: - buffer stops;

4 In Eurostat rail statistics, light engine is not considered as a train.

Page 13: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 13 of 40

- (part of) infrastructure (equipment) within clearance gauge

Non exhaustive list of temporarily present objects: - rocks; - landslides; - trees; - lost parts of railway vehicles; - lost or displaced loads; - vehicles and machines or equipment for track maintenance.

A collision that results in a derailment is counted as a collision. For the purpose of these statistics, animals are counted as objects. Collisions between shunting rolling stock/maintenance machines are classified as type of accident “others”. Collisions against objects lost by a crossing vehicle/user at a level crossing are classified as a level crossing accident. Collisions purposefully caused by applying safety procedures in response to an emergency are to be classified as “others”.

Note: The classification of an event may depend on whether the train or other rail vehicle is involved, as summarized in the table below.

Where a train is involved Where the accident involves other rail vehicles

Derailment Other

Collision Other

Level crossing accident Level crossing accident

Person hit by rolling stock in motion Person hit by rolling stock in motion

Fire Fire

Other Other

SPAD (not reported)

1.6 Train derailment

1.6 ‘train derailment’ means any case in which at least one wheel of a train leaves the rails.

Re-rail cases (if the accidents are significant) are to be included; derailments purposefully caused by applying safety procedures in response to an emergency are to be classified as “others”. Derailment of shunting rolling stock/maintenance machines/vehicles are classified as “others”; Collisions against rolling stock/obstacles followed by a derailment are not included, these events are classified as collisions.

1.7 Level crossing accidents

1.7 ‘level crossing accidents’ means accidents at level crossings involving at least one railway vehicle and one or more crossing vehicles, other crossing users such as pedestrians or other objects temporarily present on or near the track if lost by a crossing vehicle/user.

Collisions with objects on level crossings are classified as collisions, not as level crossing accidents, except when the obstacle has been lost by a crossing user or has fallen from a non-railway vehicle using the crossing.

Collisions with animals under supervision at a level crossing should be included. Collision with wild animals and animals not under supervision occurring on a level crossing should be included under train collisions or other accidents (depending on the rail vehicle involved).

Crossing users include all persons in or on vehicles, motorized or not, and pedestrians.

Page 14: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 14 of 40

For definition of level crossing see 6.2 and for the definition of passage see 6.3.

1.8 Accidents to persons caused by rolling stock in motion

1.8 ‘accidents to persons caused by rolling stock in motion’ means accidents to one or more persons that are either hit by a railway vehicle or by an object attached to or that has become detached from the vehicle. Persons that fall from railway vehicles are included, as well as persons that fall or are hit by loose objects when travelling on-board vehicles.

The following non exhaustive list of events is included, even when relating to stationary trains: - Persons using passages between platforms and struck by a train; - Persons falling from trains onto the railway line; - Persons falling from carriages which remain out of platforms; - Persons falling from trains due to doors opening on the wrong side when in a platform;

All events at level crossings are excluded and classified as level crossing accidents, where related to the use of the crossing.

e.g.: a passenger falling from a train standing at a level crossing is to be classified as ‘accidents to persons caused by rolling stock in motion’.

Persons travelling on trains that are seriously injured or killed not in connection with the train movement are excluded.

Persons hit by a train on a passage between platforms are classified as “others” if authorised, otherwise as “unauthorised”.

1.9 Fires in rolling stock

1.9 ‘fires in rolling stock’ means fires and explosions that occur in railway vehicles (including their load) when they are running between the departure station and the destination, including when stopped at the departure station, the destination or intermediate stops, as well as during re-marshalling operations.

Fires in marshalling yards or in stabling yards are excluded.

Re-marshalling operations are operations carried out between the departure station and the destination

Smoke, heat or blast resulting from fire or explosions leading to a significant accident should also be included.

1.10 Other types of accidents

1.10 ‘other types of accidents’ means all accidents other than train collisions, train derailments, at level crossing, to persons caused by rolling stock in motion and fires in rolling stock.

The main cases belonging to this category should be:

- Collisions and derailments of shunting rolling stock/maintenance machines; including those on tracks closed for maintenance operations;

- Collisions and derailments purposefully caused by applying safety procedures in response to an emergency;

- Dangerous goods release during transport;

- Objects projected by trains, like ballast, ice, etc.

- electrocution related to rolling stock in motion

Page 15: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 15 of 40

1.11 Passenger

1.11 ‘passenger’ means any person, excluding members of the train crew, who makes a trip by rail. For accident statistics, passengers trying to embark/disembark onto/from a moving train are included.

A passenger is a person, other than workforce, who is on board a train or in the act of boarding or alighting from a train. A passenger dying after jumping from a running train, with the intention to commit a suicide should be classified as a suicide.

Where involved in accidents, people other than workforce crossing the track at stations are classified as follows:

- “unauthorised persons on railway premises” if they are not authorised to cross,

- as “others” if authorised.

In addition, the following cases are classified as passengers:

- persons who fall between the train and the platform while boarding or alighting from a ‘standing train’ and the train departs unaware of their presence

- persons other than workforce in driving cabs without authorisation

1.12 Employees

1.12 “employees (staff of contractors and self-employed contractors are included)” means any person whose employment is in connection with a railway and is at work at the time of the accident. It includes the crew of the train and persons handling rolling stock and infrastructure installations.”

Sub-contractors should be regarded as contractors.

1.13 Level crossing users

1.13 “level crossing users” means all persons using a level crossing to cross the railway line by any mean of transport or by foot.

Pedestrians are included.

1.14 Unauthorised persons on railway premises

1.14 “unauthorised persons on railway premises” means any person present on railway premises where such presence is forbidden, with the exception of level crossing users.

The definition makes reference to persons other than workforce trespassing on the railway, both at platforms and not at platforms, where this is forbidden. Train surfers are included (train surfer is a person intentionally riding or climbing on the outside of the train). Events referred to in section 1.15 are excluded.

1.15 Others (third parties)

1.15 “others (third parties)” means all persons not defined as “passengers”, “employees including the staff of contractors”, “level crossing users” or “unauthorised persons on railway premises”.

The following cases are classified as others and divided into ‘others at platforms’ and ‘others not at platforms’. NSAs are invited to report the two categories separately:

Page 16: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 16 of 40

At platforms

o Person standing on a platform:

Struck by an open train door or other out of gauge item

Struck by an item fallen from a train

Infringing the normal kinematic envelope of a train and struck by the train

o Person who falls from a platform and is struck by a train

o Person other than workforce authorised to cross railways between platforms and struck by a train

Please note that persons boarding or alighting from moving trains are classified as passengers. Events related to

persons boarding or alighting from standing trains are not to be reported.

Not at platforms

o Person in a road vehicle that impinges on the railway (not a level crossings) and is struck by a train

o Person outside the railway struck by

a derailed train

an object fallen from a train

1.16 Deaths (killed person)

2.1 1.16. “deaths (killed person)” means any person killed immediately or dying within 30 days as a result of an accident, excluding suicides.

1.17 Injuries (seriously injured person)

2.2 1.17. “injuries (seriously injured person)” means any person injured who was hospitalised for more than 24 hours as a result of an accident, excluding attempted suicides.

All admissions to the hospital when the person does not leave the hospital within at least 24 hours should be included.

Page 17: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 17 of 40

2 Indicator relating to dangerous goods

Annex I

Total and relative (to train-kilometres) number of accidents involving the transport of dangerous goods divided into the following categories: - accidents involving at least one railway vehicle transporting dangerous goods, as defined by the Appendix, - number of such accidents in which dangerous goods are released.

2.1 Accident involving the transport of dangerous goods

2.3 2.1 “accident involving the transport of dangerous goods” means any accident or incident that is subject to reporting in accordance with RID (1)/ADR section 1.8.5.

Accidents not meeting the definition of a significant accident are also included. E.g. wagons not in motion.

2.2 Dangerous goods

2.2 “dangerous goods” means those substances and articles the carriage of which is prohibited by RID, or authorised only under the conditions prescribed therein.

For the text of Annex 1:

Example 1: Derailment of a train with wagons carrying dangerous goods. There is no release of dangerous goods. This case is to be reported under the first indent above.

Example 2: Derailment of a train with wagons carrying dangerous goods. There is release of dangerous goods. This event is to be reported twice, under the first and under the second indent above.

Accidents subject to report according to the RID (1.5: Notifications of occurrences involving dangerous goods)

An occurrence subject to report in accordance with 1.8.5.1 has occurred if dangerous goods were released or if there was an imminent risk of loss of product, if personal injury, material or environmental damage occurred, or if the authorities were involved and one or more of the following criteria has/have been met: Personal injury means an occurrence in which death or injury directly relating to the dangerous goods carried has occurred, and where the injury

(a) requires intensive medical treatment,

(b) requires a stay in hospital of at least one day, or

(c) results in the inability to work for at least three consecutive days.

Loss of product means the release of dangerous goods

(a) of transport category 0* or 1* in quantities of 50 kg / 50 l or more,

(b) of transport category 2* in quantities of 333 kg / 333 l or more, or

(c) of transport category 3* or 4* in quantities of 1 000 kg / 1 000 l or more.

*) see RID 1.1.3.6.3 for more guidance. The loss of product criterion also applies if there was an imminent risk of loss of product in the abovementioned quantities. As a rule, this has to be assumed if, owing to structural damage, the means of containment is no longer suitable for further carriage or if, for any other reason, a sufficient level of safety is no longer ensured (e.g. owing to distortion of tanks or containers, overturning of a tank or fire in the immediate vicinity).

Page 18: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 18 of 40

If dangerous goods of Class 6.2 are involved, the obligation to report applies without quantity limitation. In occurrences involving Class 7 material, the criteria for loss of product are: (a) Any release of radioactive material from the packages;

(b) Exposure leading to a breach of the limits set out in the regulations for protection of workers and members of the public against ionizing radiation (Schedule II of IAEA Safety Series No. 115 – "International Basic Safety Standards for Protection Against Ionizing Radiation and for Safety of Radiation Sources"); or

(c) Where there is reason to believe that there has been a significant degradation in any package safety function (containment, shielding, thermal protection or criticality) that may have rendered the package unsuitable for continued carriage without additional safety measures.

NOTE: See the requirements of 7.5.11 CW33 (6) for undeliverable consignments. Material damage or environmental damage means the release of dangerous goods, irrespective of the quantity, where the estimated amount of damage exceeds 50,000 Euros. Damage to any directly involved means of carriage containing dangerous goods and to the modal infrastructure shall not be taken into account for this purpose. Involvement of authorities means the direct involvement of the authorities or emergency services during the occurrence involving dangerous goods and the evacuation of persons or closure of public traffic routes (roads/railways) for at least three hours owing to the danger posed by the dangerous goods.

Note that the threshold adopted by the UIC was set at 150,000€ in 2007 and that the RSD threshold for the significant damage is also 150,000€ (both internal and external damage).

An accident involving dangerous goods resulting in external damage of less than 50,000€, is not reported. An accident involving dangerous goods with external damage between 50,000€ to 150,000€, is reported as an accident involving dangerous goods. A significant accident involving dangerous goods with external damage over 150,000€ should be reported twice: as a significant accident and as an accident involving dangerous goods. Each accident with damage (both internal and external) exceeding 150,000€ is to be reported as significant accident.

Page 19: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 19 of 40

3 Indicator relating to suicides

3.1 Suicide

3.1 ‘suicide’ means an act to deliberately injure oneself resulting in death, as recorded and classified by the competent national authority.

Designation of individual suicide must be determined by a coroner, public police officer or other public authority independent from RU/IM. In the absence of above, the Ovenstone criteria should be applied (see open verdicts below).

Attempted suicide as an act of deliberately injuring oneself (not leading to the death) is excluded.

Only the death of the individual(s) who committed suicide is to be reported as suicide. Therefore, a fatality caused to a person by another person who committed suicide or who attempted to commit suicide is not to be reported as a suicide.

Involuntary victims

Should suicides or attempted suicides result in the injury/death of other people not wishing to commit suicide, such deaths and injuries will be reported within the CSIs under heading 1.2 of Annex 1 to Directive 2004/49/EC, according to the categories of persons involved. The exception to this rule is a passenger of a vehicle driven by a person committing suicide at level crossing. Suicides are to be reported under the CSI on suicides.

For the years when at least one suicide or attempted suicide resulted in involuntary victims, the National Safety Authorities are invited to report the occurrences under heading 1.1 of Annex 1 to Directive 2004/49/EC and:

Classify them as collisions, derailments, level crossing accidents, accidents caused by rolling stock in motion, fires or others;

Specify in a footnote to their annual report on safety how many events were due to suicides.

E.g.: should a suicide by car at a level crossing result in the death/injury of people on board a train, these will be classified as killed/injured passengers or employees in a level crossing accident. The car driver will be classified as a suicide. However, other occupants of the car not wanting to commit suicide will not be reported in the CSI statistics, this event is to be considered a murder and outside the scope of the CSIs, even if it meets the cost or disruption criteria for a significant accident.

Open verdicts

Every year, the competent national authority will classify Ns number of suicides, Nu killed unauthorised persons and leave Nx open verdicts, the latter when they appraise there was insufficient evidence to conclude that an event was a suicide or not.

One of the following three methods should be used to classify open verdicts; Member States are invited to report the one they have chosen when submitting CSIs:

1) The Ovenstone criteria (recommended method):

Each of the following, on its own, may be treated as evidence of suspected suicide:

- Suicide note - Clear statement of suicidal intent to an informant - Behaviour demonstrates suicidal intent - Previous suicide attempts

Page 20: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 20 of 40

- Prolonged depression - Instability; that is, a marked emotional reaction to recent stress or evidence of failure to cope (such

as a breakdown).

2) Nx are to be considered as unauthorised persons

NSAs would report to ERA:

Number of killed unauthorised persons = Nu + Nx

Number of suicides = Ns

3) The ratio Ns / Nu applies to Nx

NSAs would report to ERA:

Number of killed unauthorised persons = Nu + Nx* [Nu/(Nu+Ns)]

Number of suicides = Ns + Nx * [Ns /(Nu + Ns)]

Page 21: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 21 of 40

4 Indicators related to precursors of accidents

All precursors are to be reported, both resulting and not resulting in accidents. Precursors resulting in an accident shall be reported under the CSIs on precursors; the accidents that occurred, if significant, shall be reported under the CSIs on accidents referred to in heading 1.

The geographical scope of reporting is identical to that of significant accidents, as described under 1.1.

Broken wheels, axles identified as a part of a planned maintenance (diagnosis) should not be included. Broken rails and track buckles should always be included regardless the detection mode and time.

4.1 Broken rails

4.1 “broken rails” means any rail which is separated in two or more pieces, or any rail from which a piece of metal becomes detached, causing a gap of more than 50 mm in length and more than 10 mm in depth on the running surface.

Fracture of a rail, failure of a weld and failure of a fish-plate assembly are included.

Both track rails and rails in switches and crossing noses (frogs) are included. Failures at fishplate are also included.

4.2 Track buckles

4.2 “track buckles” means faults related to the continuum and the geometry of track, requiring track obstruction or immediate reduction of permitted speed to maintain safety.

If the decision is taken to reduce the speed in a section with several consecutive buckles, one track buckle should be counted.

4.3 Wrong side signalling failure

4.3 ‘wrong side signalling failure’ means any failure of a signalling system (either to infrastructure or to rolling stock), resulting in signalling information less restrictive than that demanded.

Wrong side signalling failure refers to signalling system technical failures.

The following non exhaustive list of events is to be included:

a green light aspect presented instead of an indication at danger, signal warning to slow down, caution signal announcing a stop signal or a speed restriction signal;

any signal less restrictive than a stop signal that is presented instead of a stop signal; the presentation failure of a distant signal announcing a stop signal or a speed restriction signal; Incorrect detection of points

The following events are to be excluded:

Malfunctions of the interlocking which do not lead to information less restrictive than a stop; e.g. automatic release of route locking before the train has left the section concerned;

Malfunctions related to degraded modes.

Track circuits not operating (e.g. due to leaf mulch/contamination)

Page 22: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 22 of 40

4.4 Signal passed at danger

4.4 “Signal Passed at Danger (SPAD)” means any occasion when any part of a train proceeds beyond its authorised movement. Unauthorised movement means to pass: — a trackside colour light signal or semaphore at danger, order to STOP, where an Automatic Train Control System (ATCS) or ATP system is not operational, — the end of a safety related movement authority provided in an ATCS or ATP system, — a point communicated by verbal or written authorisation laid down in regulations, — stop boards (buffer stops are not included) or hand signals. Cases in which vehicles without any traction unit attached or a train that is unattended run away past a signal at danger are not included. Cases in which, for any reason, the signal is not turned to danger in time to allow the driver to stop the train before the signal are not included. National Safety Authorities may report separately on the four indexes and shall report at least an aggregate indicator containing data on all four items.

If the signal on an ATP line is at the same time the end of the safety related movement authority, the SPAD occurring on that line should be counted.

4.5 Broken wheels and broken axles

4.5 ‘broken wheels and broken axles’ means a break affecting the essential parts of the wheel or the axle and creating a risk of accident (derailment or collision).

The number of broken wheels and broken axles should include:

Defects - Fractures (complete separation of the material) having caused an accident; Defects - Fractures or cracks identified during pre-departure checks of a severity to exclude the rolling

stock from running; Defects - Fractures or cracks detected on the essential parts of the wheel or the axle of train-sets in

operation of a severity to exclude the rolling stock from running;

Defects - Fractures or cracks detected in workshops during planned maintenance operations should be excluded.

Page 23: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 23 of 40

5 Common methodologies to calculate the economic impact of accidents

Indicators to calculate the economic impact of accidents

5 Safety authorities shall report either the economic impact of all accidents or the economic impact of significant accidents only. This choice shall be clearly indicated in the annual report referred to in Article 18.

Reporting of the economic impact of significant accidents is preferred and should be given precedence when values for both scopes are available.

Unit of measurement

All values of indicators allowing for calculation of economic impacts of accidents should be given in EUR. For conversion from national currencies, a cumulative annual average exchange rate produced by the European or

National Central bank should be used.5

5.1 Value of Preventing a Casualty (VPC)

5.1 The Value of Preventing a Casualty (VPC) is composed of:

1) Value of safety per se: Willingness to Pay (WTP) values based on stated preference studies carried out in the Member State for which they are applied.

2) Direct and indirect economic costs: cost values appraised in the Member State, composed of: - medical and rehabilitation cost, - legal court cost, cost for police, private crash investigations, the emergency service and administrative costs of insurance, - production losses: value to society of goods and services that could have been produced by the person if the accident had not occurred.

Definition

By VPC we mean the value of preventing a fatality or a serious injury.

The Value of Preventing a Fatality (VPF) is a common concept in economic analysis, the Oxford University has provided the following definition:

“The VPF is aggregate willingness to pay for typically very small reductions in individual risk of death (which, realistically, is what most safety improvements actually offer at the individual level). This reflects people’s normal approach to risks which they face in everyday life, where they trade off cost or convenience against real, but very small, risks”.

(Definition of VPF & the Impact of Societal Concerns, by Oxford Risk Research and Analysis – Rail Safety Standards Board, 30/01/2006.)

This definition also applies to the value of preventing a serious injury, which is therefore the willingness to pay for typically very small reductions in individual risk of serious injury.

Relevance to public policy

The relevance of valuing improved safety should be seen in the context of formulation of public policy actions with limited budget resources. In this case it becomes necessary to prioritise across the different actions in order to select those initiatives that ensure value for money and efficient allocation of resources. This process can be aided by using a

5 See also Eurostat, Conversion factors for euro fixed series into euro/ECU - Annual data (ert_bil_conv_a)

Page 24: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 24 of 40

common metric for the impacts (positive and negative) of each action and one pertinent metric is monetary based values. In this context, safety improvements, notably reduced risk of mortality, requires a monetary value. This monetary value of mortality risk reduction is commonly referred as the ‘VPF’. Indeed this value reflects the monetary value of a small reduction in mortality risk among a population that would prevent one statistical death. It does not reflect the value assigned to saving one identified life.

The need for monetary values of mortality risk reductions in the case of public transport safety is put forward in the aforementioned research report by Oxford Risk Research and Analysis for the UK Rail Safety Standards Board (ORRA, 2006):

“Given that members of the public not only stand to benefit from an improved level of public transport safety, but also ultimately have to pay for it (e.g. through fares and/or taxation) – and therefore have to forego some alternative goods that they could otherwise spend that money on – what is needed is a monetary measure of the value of the benefit which can be compared with the costs of providing it”.

Fall back values for the VPC

Same text as reported under 5.1

National values should be used where possible, provided that they have been developed using the Stated Preference (SP) methodology depicted in § 5.2. If such values are not available, the values provided in values in

Table1 may be used. Table 1 values are reported from the HEATCO6 project, these are WTP values based on

stated preference studies carried out in the country for which they are applied.

These values are to be updated by Member States annually by linear increase of the growth of Gross Domestic Product (GDP) per capita.

NB: The HEATCO project’s ‘severe injury’ is equivalent to ’serious injury’ according to the Appendix to Annex I, section 1.17.

5.2 Methods to calculate the VPC

5.2 Common principles to appraise value of safety per se and direct/indirect economic costs: For the value of safety per se, the assessment of whether available estimates are appropriate or not shall be based on the following elements: - Estimates shall concern a system valuation of mortality risk reduction in the transport sector and follow a WTP

approach according to stated preference methods, - Respondent sample used for the values shall be representative of the population concerned. In particular, the

sample has to reflect the age / income distribution along with other relevant socio-economic / demographic characteristics of the population,

- Method for eliciting WTP values: survey design shall be such that questions are clear / meaningful to respondents.

- Direct and indirect economic costs shall be appraised on the basis of the real costs borne by society. -

Various approaches to derive values for VPC are available, it is usually described the safety situation for a given transport mode and then it is asked for the Willingness to Pay (WTP) of the respondents with respect to a public action or a product that changes the level of safety by a given percentage.

6 Developing Harmonised European Approaches for Transport Costing and Project Assessment (see deliverable 5, Proposal for

Harmonised Guidelines: http://heatco.ier.uni-stuttgart.de/)

Page 25: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 25 of 40

It is advised to apply the so called Stated Preference (SP) methods7, which use hypothetical market scenarios

and are appropriate to apply when information about decision alternatives and their consequences on individuals is limited, or data from existing markets are not available.

The main advantage of this approach is its flexibility to allow the analysis to be tailored to the specific information requirements, regarding the risk area involved and the policy action in question.

The main disadvantage is that the SP methods are all based on hypothetical choices. This highlights the requirement to assure that the choices presented to the respondents are meaningful and understandable. Otherwise, the risk is that WTP values do not reflect preferences but rather guesses, given the hypothetical character of the analysis. Survey design and information correctly perceived by the participants in such surveys are critical. One particular problem mentioned in HEATCO is so-called scale insensitivity. In this case respondents would report the same WTP for a larger safety improvement as for a smaller improvement. By using effective visual aids and by training the respondents in trading wealth for safety, scale sensitivity in line with the

theoretical predictions can be reached8.

Advice to identify a representative sample to calculate the VPC

Same text as reported under 5.2

The sample of respondents to be used for establishing the values should be representative of the population concerned. In particular, the sample should reflect the age / income distribution along with other relevant socio-economic / demographic characteristics of the population. This aspect is of importance in order to avoid biases in the estimated VPC value.

The identification of a representative sample of a population can be based on available state-of-the-art

approaches for sampling statistics9. Key issues in the process to obtain a representative sample are:

Defining the population of concern

Sampling method

Sample size

For the calculation of VPC the population of concern is the entire population as each person is at risk of being involved in a railway accident. From the entire population the representative sample should be drawn to ensure that the sample reflects all ages and socio economic groups.

For the calculation of VPC based on SP surveys, the sampling method may be based on different approaches. In particular, random sampling, also known as probability sampling, is a useful approach to ensure representativeness. For sample size determination, statistical theory yields exact recommendations on sample size if the population and frame is identical. In particular, with a decision on the desired sampling error the sample size can be calculated. Generally, the lower the desired sampling error is the larger the sample.

7 Empirical VPC estimates have been derived using another methodology as well, the Revealed Preference (RP) methods, which

derive the estimates on the basis of the actual choices by individuals in existing markets (e.g. consumer decisions regarding purchase of car models).

“The main disadvantage with revealed preference studies is the difficulty to find a distinctive traffic safety product on the market.” (HEATCO project 2005) This means that those markets where safety may enter into the consumer choice decision other non-safety related factors will also be taken into consideration. 8 Andersson (2007)

9 see e.g. Sampling of Populations: Methods and Applications (Wiley Series in Survey Methodology), by Paul S. Levy and Stanley

Lemeshow, 2008 edition.

Page 26: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 26 of 40

5.3 Definition of ‘cost of damages to environment’

5.3 ‘Cost of damages to environment’ means costs that are to be met by Railway Undertakings/Infrastructure Managers, appraised on the basis of their experience, in order to restore the damaged area to its state before the railway accident.

The main cases belonging to this category should be:

- Pollution of an area by liquid, solid or gas release of goods. - Material damages to an area (e.g. trees pulled down by rolling stock in motion) - Fires in an area inside or outside the railway premises (e.g. fires of trees caused by rolling stock in motion )

5.4 Cost of material damage to rolling stock or infrastructure

5.4 “Cost of material damage to rolling stock or infrastructure” means the cost of providing new rolling stock or infrastructure, with the same functionalities and technical parameters as that damaged beyond repair, and the cost of restoring repairable rolling stock or infrastructure to its state before the accident. Both are to be estimated by Railway Undertakings/Infrastructure Managers on the basis of their experience. Also includes costs related to leasing rolling stock, as a consequence of not availability due to damaged vehicles.

5.5 Methods to calculate the Value of Time (VT)

5.5 Cost of delays as a consequence of accidents

means the monetary value of delays incurred by users of rail transport (passengers and freight customers) as a consequence of accidents, calculated by the following model:

VT = monetary value of travel time savings Value of time for a passenger of a train (an hour):

VTP = [VT of work passengers]*[Average percentage of work passengers per year] + [VT of non-work passengers]*[Average percentage of non-work passengers per year] VT measured in € per passenger per hour

Value of time for a freight train (an hour) VTF = [VT of freight trains]*[(Tonne-Km)/(Freight Train-Km)] VT is measured in € per freight tonne per hour Average tonnes of goods transported per train in one year = (Tonne-Km)/(Freight Train-Km)

CM = Cost of 1 minute of delay of a train

Passenger train: CMP = K1*(VTP/60)*[(Passenger-Km)/(Passenger Train-Km)] Average number of passengers per train in one year = (Passenger-Km)/(Passenger Train-Km) Freight train: CMF = K2* (VTF/60) Factors K1 and K2 are between the value of time and the value of delay, as estimated by stated preference studies, to take into account that the time lost as a result of delays is perceived significantly more negative than normal travel time. Cost of delays of an accident = CMP*(Minutes of delay of passenger trains) + CMF*(Minutes of delay of freight trains)

Page 27: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 27 of 40

Scope of the model Cost of delays is to be calculated for all accidents, both significant and non-significant or for significant accidents only, depending on the choice by MS on the scope of reporting. Delays are to be calculated as follows: real delays on the railway lines where accidents occurred, real delays or, if not possible, estimated delays on the other affected lines.

Work-passengers are those passengers travelling in connection with their professional activities excluding

commuting passengers.10

(Commuters are not classified as work passengers.)

The HEATCO project reports the following methodologies to calculate the Value of Time (VT).

The following methods are advised for calculating the VT:

- “Cost saving” for work passengers11

and commercial goods traffic; - “Willingness to pay” for non-work passengers

HEATCO provides an overview of these methodologies:

“The cost saving approach is based on a theoretical argument regarding the marginal productivity of labour. Such an approach assumes that there is no utility impact on the worker and that all travel time savings can be transferred to productive output.”

“For commercial goods traffic a pure willingness-to-pay approach has also been used. Theoretically such an approach encapsulates all the cost savings that can be utilised by the firm from a reduction in the time associated with the transportation of goods – including vehicle operating costs and whether or not the time saved can be transferred to other productive output.

“Whilst this WTP approach may seem more appealing than the cost saving approach a key issue in underlying its reliability is a robust survey design. This is because it is absolutely critical that interviewees have a complete overview of the total impact of time savings, within the logistics chain, on the overall operations of the business. This is a challenging requirement and therefore the WTP approach is more sophisticated than the cost saving approach for deriving a value of travel time savings (VTTS) for commercial goods traffic. For an application see de Jong et al. (2004).”

“There is no economic basis for saying that non work passenger time savings vary directly proportionately with the wage rate. Consequently the minimum recommended approach to valuing non-work passenger time savings is some form of willingness-to-pay survey drawn from revealed and/or stated preference.”

10

HEATCO, Deliverable D5: Proposal for Harmonised Guidelines, Table 4.2, p.57. 11

HEATCO: “For business travellers (passenger-work) the more sophisticated Hensher approach (Hensher, 1977) allows for the fact that not all travel time is unproductive and not all savings are transferred to extra work.”

Page 28: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 28 of 40

Fall back values for the calculation of cost of delays as a consequence of accidents

Same text as reported under 5.5

Fall back values

National values should be used where possible, provided that they have been developed using the methodology depicted in 5.1; if such values are not available, the values provided by the HEATCO project may be used:

[The Value of Time (VT) of work passengers] is measured in € per passenger and hour and is reported in Table2, column “Work (business)”

[VT of non-work passengers] is approximately 1/3 of the values reported in Table 2, column “Work (business)”

[VT of freight trains] is measured in € per freight tonne per hour and is reported in Table 3.

Factors K1 = 2.5 and K2 = 2.15, between VT and the value of delay are to take into account that the time lost as a result of delays is perceived significantly more negative than normal travel time. These values are based on the findings of SP studies.

Table 2 and Table 3 values are to be updated by Member States annually by linear increase of the growth of Gross Domestic Product (GDP) per capita.

Page 29: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 29 of 40

6 Guidance for “Indicators related to technical safety of infrastructure and its implementation”

6.1 Automatic Train Protection (ATP)

6.1 ‘Automatic Train Protection (ATP)’ means a system that enforces obedience to signals and speed restrictions by speed supervision, including automatic stop at signals.

Systems where track signalling information is substituted and/or supplemented by cab signalling are included.

The part of the definition relating to “automatic stop at signals” is intended to include also automatic stops at conflict points between clearance gauges.

6.2 Level crossing

6.2 “level crossing” means any level intersection between the railway and a passage, as recognised by the infrastructure manager and open to public or private users. Passages between platforms within stations are excluded, as well as passages over tracks for the sole use of employees.

6.3 Passage

6.3 “passage” means any public or private road, street or highway, including footpaths and bicycle paths, or other route provided for the passage of people, animals, vehicles or machinery.

6.4 Definition of ‘active level crossing’

6.4(1) ‘Level crossing with crossing user side automatic protection and/or warning’ means a level crossing where the crossing protection and/or warning are activated by the approaching train. These level crossings are classified by:

i. automatic user side warning ii. automatic user side protection

iii. automatic user side protection and warning iv. automatic user side protection and warning, and rail side protection

Rail side protection means, signal or other train protection system that only permits a train to proceed if the level crossing is user-side protected and free from incursion; the latter by means of surveillance and/or obstacle detection. 6.4(2) “Level crossing with crossing-user-side manual protection and/or warning” means a level crossing where protection and/or warning is manually activated and there is not an interlocked railway signal showing, to the train, a running aspect only when protection and/or warning of level crossing are activated.

These level crossings are classified as:

v. (v) manual user-side warning, vi. (vi) manual user-side protection,

vii. (vii) manual user-side protection and warning.

Page 30: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 30 of 40

Level crossings with protection and/or warning activated manually by a railway employee (signaller, crossing keeper or a member of the train crew) are also included when these are equipped with: an interlocked signal showing a running aspect to the train only when protection and/or warning of the level crossing are activated. These should be classified as automatic level crossings.

6.5 Definition of ‘passive level crossing’

6.5 ‘Passive level crossing’ means a level crossing without any form of warning system and/or protection activated when it is unsafe for the user to traverse the crossing.

These may be pedestrian only and/or vehicle crossings. The main examples of level crossings suitable for vehicle use, which fall into this category, include:

user-worked crossings (UWC), user-worked crossings with a telephone (UWC+T), open crossings (OC), temporary crossing as recognised by the IM.

Crossings with only user side static signs, which inform of the presence of the crossing only, are included.

User-Worked Crossings (UWC)

These crossings have gates or full lifting barriers, which the user must operate prior to crossing. The user is responsible for ensuring that it is safe to cross. These crossings are usually found in rural areas, providing access between a farm and fields, but can also be found on small roads. They often have a defined user, some of whom keep the crossing gates padlocked to prevent unauthorised access.

User-Worked Crossing with Telephone (UWC+T)

These are similar to the standard user worked crossing, but a telephone is provided and the crossing user must contact the signaller for permission to cross.

Open Crossings (OC)

At open crossings, the interface between road and rail is completely open. Signs might warn passage users to give way to trains.

Page 31: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 31 of 40

Classification of level crossings:

Page 32: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 32 of 40

7 Guidance for “Indicators relating to the management of safety”

7 Internal audits accomplished by infrastructure managers and railway undertakings as set out in the documentation of the safety management system. Total number of audits accomplished and the number as a percentage of audits required (and/or planned).

7.1 Definition of ‘audit’

7.1 ‘audit’ means systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled.

This indicator is related to internal audits only; inspections are not to be considered.

Internal audits and inspections are defined by ISO 9000:

“Internal audits, sometimes called first-party audits, are conducted by, or on behalf of, the organization itself for management review and other internal purposes, and may form the basis for an organization’s declaration of conformity. In many cases, particularly in smaller organizations, independence can be demonstrated by the freedom from responsibility for the activity being audited.” “Inspection: conformity evaluation by observation and judgement accompanied as appropriate by measurement, testing or gauging”

A process of internal audits in the railway sector is described in CSM on conformity assessment (Regulations (EU) No. 1158/2010 for RUs and (EU) No. 1169/2010 for IMs); these documents are published on the website of the European Railway Agency.

Audits accomplished but not foreseen in the documentation for the SMS should not be considered.

Page 33: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 33 of 40

8 Reference data traffic and infrastructure

Passenger train

Each train primarily used for transport of passengers including at least one passenger railway vehicle. A train mainly carrying road vehicles, even though it includes a passenger railway vehicle should not be considered as passenger train.12

Railway vehicle is a vehicle for the conveyance of passengers, even if it comprises one or more compartments with spaces specially reserved for luggage, parcels, mail, etc.. These vehicles include special vehicles such as sleeping cars, saloon cars, dining cars, ambulance cars and vans carrying accompanied road passenger vehicles. Each separate vehicle of an indivisible set for the conveyance of passengers is counted as a passenger railway vehicle. Included are railcars if they are designed for passenger transport. 13

8.1 Train-km

8.1 “train-km” means the unit of measure representing the movement of a train over one kilometre. The distance used is the distance actually run, if available, otherwise the standard network distance between the origin and destination shall be used. Only the distance on the national territory of the reporting country shall be taken into account.

For the definition of train see 1.4.

8.2 Passenger-km

8.2 “passenger-km” means the unit of measure representing the transport of one passenger by rail over a distance of one kilometre. Only the distance on the national territory of the reporting country shall be taken into account.

For the definition of passenger, see 1.11.

8.3 Line-km

8.3 “line km” means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. For multiple-track railway lines, only the distance between origin and destination is to be counted.

Line: One or more adjacent running tracks forming a route between two points. Where a section of network comprises two or more lines running alongside one another, there are as many lines as routes to which tracks are allotted exclusively.

8.4 Track-km

8.4 “track km” means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. Each track of a multiple-track railway line is to be counted.’

12

Eurostat/ITF/UNECE Glossary for Transport Statistics 13

Eurostat/ITF/UNECE Glossary for Transport Statistics

Page 34: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 34 of 40

Track and line length should include tracks which are used for train operations; sidings at stations which are used for train operations are included. Private sidings are excluded.

Tracks at warehouses/depots/workshops should be excluded. The boundary of the workshop/warehouse/depot is the point at which the railway vehicle leaving the depot/warehouse/depot cannot pass without having an authorization to access the mainline or other similar line. This point is usually identified by a signal.

Tracks of the marshalling yard are excluded apart from tracks used for train operations.

Marshalling yard (classification yard): Station or part of a station especially equipped with a number of tracks or other equipment for railway vehicle marshalling (switching) operations. Sometimes referred to as classification yard.

Sidings: Tracks branching off running tracks. The length of sidings is included in the length of tracks if the sidings are managed by the infrastructure manager, private sidings being excluded.

Private sidings: Track or set of tracks which are not managed by the infrastructure manager but are linked up with the track of an infrastructure manager so that:

a) Railway transport operators or supportive functions can perform necessary activities.

b) Industrial, commercial or port, etc. establishment or group of establishments can be served by rail without transhipment.

Page 35: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 35 of 40

Annex: Values for economic indicators

Table 1 - Estimated values for casualties avoided (€ 2002, factor prices14

)

a) Value of safety per se b) Direct and indirect costs VPC (a+b)

Country Fatality

Serious injury

8

Slight injury

15

Fatality Serious injury

Slight injury

Fatality Serious injury

Slight injury

Austria 1,600,000 208,000 16,000 160,000 32,300 3,000 1,760,000 240,300 19,000

Belgium 1,490,000 194,000 14,900 149,000 55,000 1,100 1,639,000 249,000 16,000

Cyprus 640,000 83,000 6,400 64,000 9,900 400 704,000 92,900 6,800

Czech Rep. 450,000 59,000 4,500 45,000 8,100 300 495,000 67,100 4,800

Denmark 2,000,000 260,000 20,000 200,000 12,300 1,300 2,200,000 272,300 21,300

Estonia 320,000 41,000 3,200 32,000 5,500 200 352,000 46,500 3,400

Finland 1,580,000 205,000 15,800 158,000 25,600 1,500 1,738,000 230,600 17,300

France 1,470,000 191,000 14,700 147,000 34,800 2,300 1,617,000 225,800 17,000

Germany 1,510,000 196,000 15,100 151,000 33,400 3,500 1,661,000 229,400 18,600

Greece 760,000 99,000 7,600 76,000 10,500 800 836,000 109,500 8,400

Hungary 400,000 52,000 4,000 40,000 7,000 300 440,000 59,000 4,300

Ireland 1,940,000 252,000 19,400 194,000 18,100 1,300 2,134,000 270,100 20,700

Italy 1,300,000 169,000 13,000 130,000 14,700 1,100 1,430,000 183,700 14,100

Latvia 250,000 32,000 2,500 25,000 4,700 200 275,000 36,700 2,700

Lithuania 250,000 33,000 2,500 25,000 5,000 200 275,000 38,000 2,700

Luxembourg 2,120,000 276,000 21,200 212,000 87,700 700 2,332,000 363,700 21,900

Malta 910,000 119,000 9,100 91,000 8,800 400 1,001,000 127,800 9,500

Netherlands 1,620,000 211,000 16,200 162,000 25,600 2,800 1,782,000 236,600 19,000

Norway 2,630,000 342,000 26,300 263,000 64,000 2,800 2,893,000 406,000 29,100

Poland 310,000 41,000 3,100 31,000 5,500 200 341,000 46,500 3,300

Portugal 730,000 95,000 7,300 73,000 12,400 100 803,000 107,400 7,400

Slovakia 280,000 36,000 2,800 28,000 6,100 200 308,000 42,100 3,000

Slovenia 690,000 90,000 6,900 69,000 9,000 400 759,000 99,000 7,300

Spain 1,020,000 132,000 10,200 102,000 6,900 300 1,122,000 138,900 10,500

Sweden 1,700,000 220,000 17,000 170,000 53,300 2,700 1,870,000 273,300 19,700

UK 1,650,000 215,000 16,500 165,000 20,100 2,100 1,815,000 235,100 18,600

Note that these values should not be used as given but updated annually with GDP per capita values. They should be taken from the EUROSTAT database of EU statistics.

14

Items are valued as if no indirect taxation or subsidy were applied 15

Values in grey columns are reported from the HEATCO project though they are not relevant to this guidance.

Page 36: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 36 of 40

Table 2 - Work passenger trips - VT

(2002 in € per passenger per hour)

Country Work

Austria 28.40

Belgium 27.44

Cyprus 21.08

Czech Republic 14.27

Denmark 31.54

Estonia 12.82

Finland 28.15

France 27.70

Germany 27.86

Greece 19.42

Hungary 13.52

Ireland 29.87

Italy 25.63

Latvia 11.73

Lithuania 11.58

Luxembourg 38.02

Malta 18.64

Netherlands 28.00

Poland 12.87

Portugal 19.34

Slovakia 12.36

Slovenia 18.80

Spain 22.34

Sweden 30.30

United Kingdom 29.02

EU (25 Countries) 23.82

Page 37: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 37 of 40

Table 3 - Freight trips VT

(2002 in € per freight tonne per hour)

Country Per tonne of freight carried

Road Rail

Austria 3.37 1.38

Belgium 3.29 1.35

Cyprus 2.73 1.12

Czech Republic 2.06 0.84

Denmark 3.63 1.49

Estonia 1.90 0.78

Finland 3.34 1.37

France 3.32 1.36

Germany 3.34 1.37

Greece 2.55 1.05

Hungary 1.99 0.82

Ireland 3.48 1.43

Italy 3.14 1.30

Latvia 1.78 0.73

Lithuania 1.76 0.72

Luxembourg 4.14 1.70

Malta 2.52 1.04

Netherlands 3.35 1.38

Poland 1.92 0.78

Portugal 2.58 1.06

Slovakia 1.86 0.77

Slovenia 2.51 1.03

Spain 2.84 1.17

Sweden 3.53 1.45

United Kingdom 3.42 1.40

EU (25 Countries) 2.98 1.22

Please note that these values should not be used as given but updated annually with GDP per capita values.

Page 38: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 38 of 40

Values of tables 1-3 for other countries

The values provided in Tables 1-3 are limited to 25 EU countries, a limitation rising from the scope of the HEATCO project. Nominative values for other countries had to be artificially attributed as follows:

Bulgaria Average of values for Hungary and Slovakia

Channel Tunnel Average of values for France and United Kingdom

Romania Average of values for Hungary and Slovakia

Page 39: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 39 of 40

Table 4 – Costs of damage to environment

Recommended value for the calculation of other economic CSIs.

Costs of damage to the environment

Soil and water pollution

The area harmed can be considered being equal to the area needed for the transport infrastructure and 5 m on both sides of the infrastructure and the depth of pollution assumed to be 20 cm.

The costs are then expressed in EUR per m3 of soil/water polluted, price level 2008.

Country Value

Austria 45.71 Belgium 43.55 Bulgaria 6.20 Channel Tunnel 40.04 Czech Republic 19.96 Germany 40.58 Denmark 57.71 Estonia 16.45 Greece 27.91 Spain 32.22 Finland 47.06 France 40.58 Croatia 14.56 Hungary 14.16 Ireland 54.61 Italy 35.46 Lithuania 13.08 Luxembourg 108.94 Latvia 13.62 Netherlands 48.81 Norway 86.56 Poland 12.81 Portugal 21.84 Romania 8.76 Sweden 48.67 Slovenia 24.81 Slovakia 16.04 Switzerland 60.00 United Kingdom 39.51

Source: External costs of transport in Europe (2008), CE Delft, Pg. 69-70

Page 40: IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF … Guidance...IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE 2009/149/EC Reference: ERA/GUI/09-2013

ERA (Safety Unit)

IMPLEMENTATION GUIDANCE FOR CSIs, ANNEX 1 OF DIRECTIVE 2004/49/EC AS AMENDED BY DIRECTIVE

2009/149/EC

Reference: ERA/GUI/09-2013 Version: 2.3 Page 40 of 40

Table 5 – Percentage of work passengers

If no national data are available, the estimates of the Eurobarometer 261 on Survey on passengers’ satisfaction with rail services (March 2011) can be used instead.

Country Value

AT 13

BE 4

BG 8

CT

CZ 10

DE 12

DK 8

EE 4

EL 18

ES 11

FI 12

FR 9

HU 3

IE 14

IT 21

LT 8

LU 8

LV 5

NL 10

NO

PL 13

PT 5

RO 6

SE 24

SI 7

SK 12

UK 12