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Disciplinary Code

Middleton Railway Trust Ltd. (MRT) Policy Directive

Reference: TOP/3 (4/96)

Subject: Disciplinary Code.

For the attention of: All Senior Engineers.

This Directive forms part of the Safety Management System.

Revision History

Previous versions of this Directive were as follows. Reference 2/92/1 was the initial version.

Reference 9/92/1 replaced it, in the light of operational experience. Reference 4/96/1 replaced it, in the light of further operational experience.

This version implemented the revised numbering scheme for directives, but made no other changes to the content.

Content Summary

This Directive contains the following sections: Introduction

Category 1 Offences

Category 2 Offences

Category 3 Offences

Category 4 Offences Disciplinary Procedures

Introduction

  1. This Directive defines how disciplinary action will be taken in the event of incidents which constitute breaches of the Train Operating Regulations, or which may demonstrate unacceptable standards of operation, except for those which appear to constitute deliberate vandalism. All incidents which could be regarded as coming within the scope of this Directive are referred to as offences for the purposes of this directive.
  • All disciplinary matters will be dealt with by the Rules and Disciplinary Sub-Committee (R&DSC), which shall consist of not less than three and not more than five members, to be appointed by the Council. Chairmen for meetings of the R&DSC will be appointed as required by the members of the R&DSC from amongst their numbers.
  • In this directive, the phrase serious injury means one which is reportable to the Railway Inspectorate under current legislation, and the phrase minor injury means any other injury. Possible offences are then divided into four categories, as follows:
    • category 1 - any offence that results in serious injury to a member of the public or staff;
    • category 2 - other offences that are likely to lead directly to an accident;
    • category 3 - other offences that could lead directly to an accident, but where one is unlikely; and
    • category 4 - other offences that create situations which are unsafe, but which are only likely to cause accidents if other things also go seriously wrong.

Except where stated, these categories are determined by the nature of the offence, and not by whether an accident actually occurs. Where typical offences are given for a category they are intended only as examples, and any such list is not meant to be exhaustive, as the R&DSC will need to interpret any individual case in the light of its circumstances.

Category 1 Offences (ones that result in serious injury)

  • Any member of a train crew who commits an offence in this category will be downgraded by at least one grade for a minimum of one year. They will only be allowed to resume their original grade once they have been retested in accordance with the normal procedures, and have satisfied the R&DSC that they are not likely to commit the same offence again.

Category 2 Offences (other offences that are likely to lead directly to an accident)

  • Any member of a train crew who commits an offence in this category will either be suspended from all train operating duties for up to a maximum of 20 operating days, or will be downgraded by at least one grade for a minimum of one year. If downgraded, they will only be allowed to resume their original grade once they have been retested in accordance with the normal procedures, and have satisfied the R&DSC that they are not likely to commit the same offence again.
  • Typical offences in this category would be: ignoring stop signals of any kind; failing to work to guard's or shunter's signals when setting off; failing to ensure that points are set correctly when shunting; entering a single line token section without the token under any circumstances where other trains may also be being operated, and so could be in that section at the same time; undertaking any train operating duty while under the influence of drink or drugs; or any mismanagement of a steam engine that is serious enough to cause melting of a fusible plug.

Category 3 Offences (ones that could lead directly to an accident, but where one is unlikely)

  • Any member of a train crew who commits an offence in this category will not be downgraded, but may be suspended from all train operating duties for up to a maximum of 20 operating days, or given a verbal or written warning.
  • Typical offences in this category are: entering a single line token section without the token under circumstances where no other train could be being operated (so that a collision could not occur and accidents could only result from ground frames not being locked); any impact with vehicles where the engine is not under proper control, such that it could cause minor but not serious injury to passengers or to staff working in them, or minor damage (ie not structural) to any vehicles; any impact with the vehicles of a passenger train due to them being foul of the clearance markers at a turnout; or causing damage to a locomotive through bad handling, or through failure to notice a defect, either during operation or when examining the locomotive.

Category 4 Offences (ones that create unsafe situations, but are only likely to cause accidents if other things also go seriously wrong)

  • Any offences in this category will normally be dealt with by means of a written or verbal warning, and will not lead to suspension.
  1. Typical offences in this category are: handling a locomotive carelessly, or not being in total control of it; careless inspection of a locomotive, or failure to give sufficient attention to a defect when found; or any other incident that causes disruption to services (other than for good cause), or causes other serious damage to our public image to customers.
  1. If an offence that would normally be in this category is repeated after a written warning has been issued to a person concerned, then it may be treated for that person as though in category 3.

Disciplinary Procedures

  1. In applying this code, the driver of a train will normally be held at least partly responsible for any offences committed by other members of the crew of that train.
  1. Where an accident has occurred, or where any incident has occurred which might indicate that an offence has been committed, it is the responsibility of the members of the train crew concerned to report the situation, in accordance with the rules and regulations. Any member of MRT staff who has good reason to believe that an offence may have been committed should report the matter immediately to a senior engineer, in accordance with the rules and regulations.
  1. Whether or not any formal report of a possible offence is received, the Traffic Manager or his deputy may issue forms to members of any train crews concerned, and to any other individuals who may be in a position to supply relevant information, requesting an explanation of the circumstances of the situation. Individuals receiving such forms should supply any relevant information that they have, and should not assume that the receipt of such a form indicates that they are necessarily regarded as having been at fault.
  1. Where a report on a situation gives reason to believe that an offence may have been committed, the Traffic Manager or the Safety Officer will normally convene a meeting of the R&DSC to consider the details of the incident, and determine what disciplinary action (if any) may be appropriate in accordance with this code. If the report gives good reason to believe that an offence in categories 1 or 2 may have been committed, then the Traffic Manager will normally suspend the individuals concerned from all train operating duties until this meeting of the R&DSC. If, however, it is clear from the report that any offence will only be in category 4, and if after reference to the members of the R&DSC it is clear that the offence will only be the subject of a verbal warning, then a formal meeting of the R&DSC is not required unless one is requested by any member of the train crew concerned.
  1. When the R&DSC is to meet in order to receive any report of a situation which may require disciplinary action, all members of the train crew concerned will be invited to attend the R&DSC meeting for the discussion of that report, and will be given all opportunity to provide information about the incident, or to state any case that they may wish to make.
  1. Once the R&DSC have established to their satisfaction the details of any incident, and have determined what disciplinary action may be appropriate, then a summary of their findings and the action to be taken will be reported to the Council, but there shall be no reconsideration of the incident or appeal against the action that is decided on unless genuinely new information becomes available.
  1. For determining the length of a suspension from train operating duties that is imposed under clauses 5 or 7 above, operating days are defined to be those on which the operation of regular passenger trains is advertised in the time table, although the suspension also covers any other train operations on intervening days. Any suspension imposed under clause 15 above will be included as part of the total suspension, and not added to it.
  1. The lengths of the suspensions prescribed by clauses 5 and 7 above are determined on the basis that there are approximately 80 operating days in a year, and if the normal pattern of operations shall change significantly from this then these lengths will be suitably amended by the council.

Drafted by A.J. Cowling, A. McKenna and J.R. Wilkinson, and approved on 17th April 1996.