Text consolidated by Tulkošanas un terminoloģijas centrs (Translation and Terminology Centre) with amending regulations of

4 June 2002 (No. 224);

27 March 2007 (No. 223);

26 June 2007 (No. 426).

If a whole or part of a paragraph has been amended, the date of the amending regulation appears in square brackets at the end of the paragraph. If a whole paragraph or sub-paragraph has been deleted, the date of the deletion appears in square brackets beside the deleted paragraph or sub-paragraph.

Republic of Latvia

Regulation No. 393

Adopted 10 June 1998

Procedures for the Investigation of Railway Traffic Accidents

3. On the basis of the results of the investigation, the railway undertaking or the possessor of the rolling stock (hereinafter – railway undertaking), or the railway infrastructure manager, or the railway undertaking together with the railway infrastructure manager shall plan and take measures for the prevention of similar railway traffic accidents.

5.1. an accident;

5.2. a serious railway accident;

5.3. a traffic safety violation; and

5.4. an accident in which a person has suffered.

[27 March 2007]
6. An accident shall be a collision of the railway rolling stock with other railway rolling stock or derailment that has caused the following consequences:

6.1. serious bodily injuries have been caused for at least one person; and

6.2. the railway rolling stock has been damaged and the technical state thereof does not conform with technical regulations, does not guarantee safe exploitation and should be deleted from the rolling stock inventory. .

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6.¹ A serious railway accident shall be a collision of the railway rolling stock with other railway rolling stock or derailment that has caused the following consequences:

6.¹1. at least one person has died;

6.¹2. moderate bodily injuries have been caused for at least five people; and

6.¹3. damage has been caused to the rolling stock, railway infrastructure or the environment in the amount of at least two million euro according to the foreign exchange rate determined by the Bank of Latvia on the day when the railway traffic accident took place.

6.² A serious railway accident is also an accident which has a manifestly adverse impact on the safety control or safety management of the railway.

7. A traffic safety violation shall be:

7.2. the acceptance of a train on an occupied track;

7.3. the routing of the railway rolling stock to an occupied part of the track;

7.4. the acceptance or routing of the railway rolling stock to an unprepared route;

7.5. the railway rolling stock passing by the restrictive signal;

7.6. the transposition of the switch if the railway rolling stock is located on it;

7.7. the rolling of the railway rolling stock to another acceptance or routing route or part of the track;

7.8. the breaking of an axle, bogie frame, mainspring beam, wheelset axle neck or wheel, or the rupture of the central beam of the railway rolling stock;

7.9. the routing of a train if the main brake stop valves are closed;

7.10. arbitrary detachment of the automatic coupling of the train;

7.11. the non-instalment of limiting fixed signals in dangerous locations if a track repair is performed;

7.12. the switching on of a more permitting signal light in signal lights;

7.13. the turning of a switch;

7.14. the disengagement of automatic coupling;

7.15. such damage of traction units of a passenger or freight train due to which it is not possible to perform a full route up to the place of destination and a replacement locomotive has to be called for;

7.16. the uncoupling of a car from the passenger or freight train due to the heating of the axle box or other technical reasons;

7.17. the collision of the railway rolling stock with a road traffic vehicle due to the fault of a railway specialist;

7.18. the switching of the permitting signal of signal lights to the prohibiting due to which the railway rolling stock passes by the prohibiting signal;

7.19. the falling out of freight from the railway rolling stock while in motion thereof;

7.20. the failure to observe technical regulations that endangers railway traffic safety and due to which a car has to be uncoupled;

7.21. the damage of railway rolling stock, track, electricity supply, catenary, communication, signalling, central control and interlocking equipment (SCB) or other technical means due to which the movement of trains has to be suspended in the relevant part of the road at least along one track or the train has to be detained in the station for at least one hour or more than it is intended in the train traffic timetable (if the suspension or detention is not related to a planned change of the rail);

7.22. the unexpected damage of the track due to which the movement of trains has to be suspended or the speed of movement has to be limited up to 15 km/h;

7.23. the damage of signalling or basic means of communication for the prevention of which the operation thereof has to be suspended for more than four hours;

7.24. the damage of the automatic control apparatus of the technical state of the railway rolling stock for the elimination of which more than eight hours are necessary; and

7.25. fire that has occurred in the railway rolling stock due to technical reasons.

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7.¹ If several traffic safety violations have been allowed in the railway traffic accident, the railway traffic accident shall be classified in conformity with the initial type of the traffic safety violation.

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8. An accident in which a person has suffered shall be determined if:

8.2. the railway rolling stock has run over a person or a person has suffered in other circumstances during the movement of the railway rolling stock.

9.1. the State Railway Technical Inspectorate;

9.2. the Railway Police;

9.3. the emergency medical assistance if a person has suffered in the railway traffic accident;

9.4. the relevant local government – if an accident or serious railway accident has taken place; and

9.5. the Transport Accident and Incident Investigation Bureau (hereinafter – investigation body).

10. The railway infrastructure manager and the railway undertaking shall determine the procedures as to how railway specialists shall notify regarding the railway traffic accident and the procedures for the registration of the railway traffic accidents. The railway traffic accidents shall be registered in the registration journal of the railway traffic accidents (Annex 1).

11.¹ The investigation body shall invite representatives of another European Union Member State investigation body in the investigation of an accident, if the railway undertaking that is registered and licensed in the relevant Member State is involved in the accident.

11.² If it is not possible to determine in which European Union Member State the accident has taken place or if the accident has taken place on the border construction or in its immediate vicinity of the Republic of Latvia and another European Member State, the investigation body shall agree with the relevant European Union Member State investigation body who of them shall perform the investigation or shall agree to perform the investigation in cooperation. If an agreement has been achieved that the accident shall be investigated by the relevant European Union Member State investigation body, the investigation body may participate in the investigation of the accident and use in full the results thereof.

11.³ After the receipt of notification regarding the accident, the investigation body shall immediately commence the investigation thereof. Within a period of seven days after the commencement of the investigation, the investigation body shall inform thereof the European Railway Agency, the State Railway Technical Inspectorate, the Railway Police, the railway infrastructure manager and the railway undertaking, involved in the railway traffic accident. The date, time and location of the accident, the type of accident and consequences – the number of deceased and injured people, as well as the amount of damage shall be indicated in the information.

11.⁴ The investigation body shall inform the State Railway Technical Inspectorate, the railway infrastructure manager, involved in the railway traffic accident, the railway undertaking, the victims and their relatives, the possessors of the damaged property, the manufacturers, the relevant emergency services, the representatives of personnel and users regarding the investigation process of the accident and, as far as it is possible, shall provide them with an opportunity to provide their opinions and views, as well as commentaries regarding the information provided in the draft reports.

11.⁵ The investigation body may ask for assistance of another European Union Member State investigation body or European Railway Agency in order to receive the opinions of experts or to perform technical inspections, analyses, or to provide assessments.

11.⁶ The investigation shall be conducted by the director of the investigation body (hereinafter - investigator-in-charge). The investigator-in-charge shall assign a responsible investigator for the investigation of railway accidents, who shall be responsible for the organisation, performance and control of investigative actions.

11.⁷ The investigation body may take a decision regarding the railway traffic accident referred to in Subparagraphs 5.3 and 5.4 of these Regulations, as well as investigation of other accidents related to the movement of trains if they have an adverse impact on the safety of movement. The rules for the investigation of accidents specified in these Regulations shall be applied for the investigation. If the commission referred to in Paragraph 12, 13 or 14 of these Regulations has commenced the investigation of the relevant railway traffic accident and the decision regarding the investigation thereof is taken by the investigation body, the investigation of the relevant railway traffic accident shall be taken over by the investigation body and the commission shall terminate the activity thereof.

12. The accidents referred to in Sub-paragraph 8.2 of these Regulations and such traffic safety violations to which the railway undertaking is related (except for the traffic safety violations referred to in Sub-paragraphs 7.1, 7.2, 7.3, 7.4, 7.5, 7.6, 7.7, 7.8 and 7.9 of these Regulations) shall be investigated by the railway infrastructure manager and the commission established jointly by the railway undertaking. The commission shall consist of at least two representatives of the railway infrastructure manager and at least two representatives of the railway undertaking. The Chairperson of the investigation commission shall be a representative of the railway infrastructure manager.

13. Such traffic safety violations to which the manager is not related and the accident referred to in Sub-paragraph 8.1 of these Regulations shall be investigated by the commission established by the railway infrastructure manager. The commission shall consist of at least three members of the commission.

14. The traffic safety violations referred to in Sub-paragraphs 7.1, 7.2, 7.3, 7.4, 7.5, 7.6, 7.7, 7.8 and 7.9 of these Regulations shall be investigated by the commission established by the State Railway Technical Inspectorate, the railway infrastructure manager and the railway undertaking. The Chairperson of the commission shall be a representative of the State Railway Technical Inspectorate.

15. If an accident or traffic safety violation is being investigated, the investigation body or the relevant commission shall co-ordinate the activity thereof with representatives of the Office of the Prosecutor or the police.

16.1. withdrawal of the speedometer ribbons, voice communication recording installations, content of installations registering the operation of signalling and traffic management system, certificates regarding brakes, warning forms, train wheel reports and the journal of the technical state of a locomotive;

16.2. the layout diagrams of track damages and railway rolling stock, as well as creation of the diagrams of accident scene if the railway rolling stock has derailed. The starting point of derailment, the location of the locomotive and cars shall be marked in the diagrams, as well as in which kilometre and picket the accident has taken place shall be indicated;

16.3. the making of photographs of the general view of the consequences of the railway traffic accident, the state of the damaged track, railway rolling stock, control apparatus of the locomotive, as well as, if necessary, photographs of the wrongly loaded railcar, turned off stop-valve of the main brake, external objects and broken parts found on the track;

16.4. the compiling of a location inspection report, reports on the technical state of the tracks, signalling equipment, central control and interlocking equipment, communication and other equipment;

16.5. the examination of the state of health of the locomotive team and other railway specialists related to the accident (examination regarding the use of alcohol, narcotic and psychotropic substances shall be performed in all cases); and

16.6. the provision of written explanations of the railway specialists and other witnesses.

[27 March 2007]

17. The railway infrastructure manager and the railway undertaking shall be responsible for the preservation of real evidence existing at the location of the railway traffic accident.

17.¹ The responsible investigator has the following rights:

17.¹1. to take a decision in matters related to the conduct, methodology and practice of the investigation;

17.¹2. to issue orders and instructions to the participants in the investigation;

17.¹3. to provide recommendations regarding urgent measures for the improvement of the movement of railway transport if the necessity thereof is determined during the investigation process;

17.¹4. to organise the necessary tests and studies;

17.¹5. to involve in the investigation the relevant specialists, to request and receive the information and documents necessary for the investigation from legal and natural persons;

17.¹6. to suspend from participation in the investigation persons who have violated these Regulations or who systematically ignore the instructions of the investigator-in-charge;

17.¹7. to request that the foreign specialists and experts, who participate in the investigation, hand over all information at their disposal which is related to the investigation;

17.¹8. to provide information regarding the investigation process and the determined circumstances; and

17.¹9. the rights referred to in Paragraph 17.² of these Regulations.

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17.² The investigators of the investigation body have the right:

17.²2. to immediately commence the collection of direct evidence and wreck, equipment of the railway infrastructure or components thereof for examinations and analyses;

17.²3. to access the content of the equipment registering data of the operation of the rolling stock, voice communication recording equipment, signalling and traffic management system and to use them;

17.²4. to familiarise with the results of the examination of the remains of the victims and bodies of injured persons;

17.²5. to familiarise with the results of the examination and testimonies of railway specialists involved in the accident and other witnesses;

17.²6. to question railway specialists involved in the accident and other witnesses; and

17.²7. to access significant information or documentation of the State Railway Technical Inspectorate, the railway infrastructure manager and the railway undertaking, involved in the accident.

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17.³ The investigation body shall complete the examinations at the place of occurrence as soon as possible so that the railway infrastructure manager would be able to renew the railway infrastructure and it would be opened for the provision of railway services.

19. [27 March 2007]

21. If a person has suffer in the accident, the relevant investigation commission, within a period of six working days after the accident, shall compile a report regarding the accident in which a person has suffered (Annex 4). Within a period of three working days, the copy thereof together with all investigation materials (for example, the explanations of the team of traction units and witnesses, the extract from an itemised list of speedometer ribbons, the diagram of the accident, the minutes of the meeting of the relevant commission) shall be sent to the Railway Police, the investigation body, the State Railway Technical Inspectorate, the railway infrastructure manager and the railway undertaking involved in the railway traffic accident.

21.¹ The investigation body as soon as possible but not later than 12 months after the accident shall draw up the final report of the investigation (Annex 5) and shall sent it to the addressees referred to in Paragraph 11.⁴ of these Regulations, as well as to the European Railway Agency. The final report of the investigation shall be signed by the investigator-in-charge and all the participants in the investigation. If a dispute occurs regarding the content of the report, the final report of the investigation shall be prepared in the version approved by the investigator-in-charge. The participant in the investigation, who disagrees with the content of the final report shall sign it with a note regarding his or her differing opinion and shall substantiate this opinion.

21.² The investigation body, each year until 30 September shall publish an annual report regarding the accidents investigated in the previous year, the provided safety recommendations and activities that have been performed in conformity with the previously issued recommendations and shall send the account to the European Railway Agency.

21.³ The State Railway Technical Inspectorate and other institutions to which safety recommendations have been addressed shall ensure that the safety recommendations for the prevention of the causes and circumstances of the railway traffic accidents, issued by the investigation bodies, as well as for giving an assurance for the railway traffic safety are taken into account and put into effect. The State Railway Technical Inspectorate and institutions to which safety recommendations have been addressed at least once per year shall notify the investigation body regarding the fulfilment of the measures referred to in safety recommendations.

22. The reports referred to in Paragraphs 20 and 21 of these Regulations together with all investigation materials shall be preserved by the railway infrastructure manager for 25 years from the day of the railway traffic accident. After the date referred to, all documents shall be handed over to the State Archives in accordance with the Law On Archives.

23. [27 March 2007]

These Regulations contain legal norms arising from Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 on safety on the Community’s railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification (Railway Safety Directive).

Prime Minister G. Krasts

Minister for Transport V.Krištopans

Cabinet Regulation No. 393

6 October 1998

 

Railway infrastructure manager
(name of the merchant)
Railway undertaking
(name of the merchant)

Registration Journal of Railway Traffic Accidents

No	Date and time when the accident has taken place	Date and time when a notification regarding the accident has been received	Place of the accident: station, track, track stage, kilometre and picket	Type of accident. Last point of the technical inspection of cars (if a car has uncoupled). Undertaking (company) to which the traction unit belongs (if a traction unit has been damaged)	Information regarding the accident in which a person has suffered: given name, surname of the injured person and a short description of the accident	Responsible persons to whom information regarding the accident has been provided

[27 March 2007]

Minister for Transport V.Krištopans

Cabinet Regulation No. 393

6 October 1998
[27 March 2007]
Annex 3

Cabinet Regulation No. 393

Cabinet Regulation No. 393

Cabinet Regulation No. 393

6 October 1998
Information to be Included in the Final Report of the Investigation of the Accident
1. Information regarding the accident:

1.1. the date, exact time and place of the accident;

1.2. description of the accident and the place of accident, as well as the measures of the rescue and emergency services;

1.3. the decision regarding the conduct of the investigation, persons, who conducted the investigation, the investigation process;

1.4. the railway undertaking and the railway infrastructure manager related to the accident, railway specialists, other parties and witnesses;

1.5. trains and their composition, series and registration number of the rolling stock;

1.6. description of the railway infrastructure and equipment thereof;

1.7. works carried out at or in the vicinity of the place of accident;

1.8. the trigger of the railway undertaking and the railway infrastructure manager plan and its chain of events;

1.9. the trigger of the emergency plan of the public rescue services, the police and the medical services and its chain of events;

1.10. persons who have deceased or to whom bodily injuries have been caused;

1.11. financial losses:

1.11.1. the cargo, luggage and other property;

1.11.2. the rolling stock, railway infrastructure, harm to the environment; and

1.12. weather conditions and geographical references.

2. The summary of testimonies of railway specialists and other witnesses.

3. Information regarding the safety management system:

3.1. the framework of the company, instructions of the management and fulfilment thereof;

3.2. requirements for the personnel and observance thereof; and

3.3. routines for internal checks and audits and their results.

4. Regulatory enactments regulating traffic safety and internal documents.

5. Data of the speedometer registering the technical state and operation of the rolling stock, railway infrastructure and equipment thereof and of other registering installations.

6. Documentation on the operation of the operating system:

6.2. exchange of verbal messages regarding the accident, including documentation of conversation recordings; and

6.3. measures taken to protect and safeguard the place of the accident.

7. Organisation of the man and machine interface:

7.2. the state of health and personal circumstances that have influenced the occurrence, including physical and psychological overload; and

7.3. the design of equipment that has impact on the man and machine interface.

8. Information regarding previous occurrences of a similar character.

9. Analysis of the determined facts in order to make conclusions regarding the causes of the accident and performance of the rescue service.

10. Conclusions:

10.2. underlying causes related to the relevant procedures, maintenance of railway infrastructure technical installations and skills of railway employees; and

10.3. root causes related to the conditions of regulatory enactments and the safety management system.

11. Deficiencies and shortcomings established during the investigation that are not related to the causes of the accident.

12. Description of measures that have been taken or are intended.

13. Safety recommendations.

Translation © 2008 Tulkošanas un terminoloģijas centrs (Translation and Terminology Centre)