level crossing: summary of finding and key human factors issues

HSE Health & Safety

Executive

Level crossings Summary of findings and key human factors issues

Prepared by Davis Associates Limited for the Health and Safety Executive 2005

RESEARCH REPORT 359

HSE Health & Safety

Executive

Level crossings Summary of findings and key human factors issues

Davis Associates Limited Wyllyotts Place

Potters Bar Hertfordshire

EN6 2JD

Level crossings currently present the largest risk of a multi-fatality incident on the railway network. Her Majesty’s Railway Inspectorate (HMRI), a division of the Health and Safety Executive (HSE), has a role in the approval, inspection and investigation of incidents involving level crossings. To ensure risks are better controlled, HMRI are seeking to develop their understanding of human factors issues at level crossings.

This report is the first of three reports being produced by Davis Associates for HMRI’s project, ‘Level crossings: Future Human Factors Priorities, new technologies and tools for inspectors’.

This report summarises the findings from a literature review, site visits, interviews with stakeholders and a validation exercise. The findings and key human factors issues are presented in a database format for ease of use and searching using keywords. It also provides a traceable source of information for the development of Inspectors’ tools and approaches.

This report and the work it describes were funded by the Health and Safety Executive (HSE). Its contents, including any opinions and/or conclusions expressed, are those of the authors alone and do not necessarily reflect HSE policy.

HSE BOOKS

© Crown copyright 2005

First published 2005

ISBN 0 7176 6132 6

All rights reserved. No part of this publication may bereproduced, stored in a retrieval system, or transmitted inany form or by any means (electronic, mechanical,photocopying, recording or otherwise) without the priorwritten permission of the copyright owner.

Applications for reproduction should be made in writing to:Licensing Division, Her Majesty's Stationery Office, St Clements House, 2-16 Colegate, Norwich NR3 1BQ or by e-mail to [email protected]

ii

+H]PZ�(ZZVJPH[LZ�3[K��

([HFXWLYH�6XPPDU\

3L]LS�JYVZZPUNZ�J\YYLU[S`�WYLZLU[�[OL�SHYNLZ[�YPZR�VM�H�T\S[P�MH[HSP[`�PUJPKLU[�VU�[OL�

YHPS^H`�UL[^VYR��/LY�4HQLZ[`»Z�9HPS^H`�0UZWLJ[VYH[L��/490��H�KP]PZPVU�VM�[OL�/LHS[O�

HUK�:HML[`�,_LJ\[P]L��/:,��OHZ�H�YVSL�PU�[OL�HWWYV]HS��PUZWLJ[PVU�HUK�PU]LZ[PNH[PVU�

VM�PUJPKLU[Z�PU]VS]PUN�SL]LS�JYVZZPUNZ��;V�LUZ\YL�YPZRZ�HYL�IL[[LY�JVU[YVSSLK��/490�HYL�

ZLLRPUN�[V�KL]LSVW�[OLPY�\UKLYZ[HUKPUN�VM�O\THU�MHJ[VYZ�PZZ\LZ�H[�SL]LS�JYVZZPUNZ�

;OPZ�YLWVY[�PZ�[OL�ÄYZ[�VM�[OYLL�YLWVY[Z�ILPUN�WYVK\JLK�I`�+H]PZ�(ZZVJPH[LZ�MVY�/490»Z�

WYVQLJ[��¶/HYHO�FURVVLQJV��)XWXUH�+XPDQ�)DFWRUV�3ULRULWLHV��QHZ�WHFKQRORJLHV�DQG�

WRROV�IRU�LQVSHFWRUV·��

;OPZ�YLWVY[�Z\TTHYPZLZ�[OL�ÄUKPUNZ�MYVT�H�SP[LYH[\YL�YL]PL^��ZP[L�]PZP[Z��PU[LY]PL^Z�^P[O�

Z[HRLOVSKLYZ�HUK�H�]HSPKH[PVU�L_LYJPZL��;OL�ÄUKPUNZ�HUK�RL`�O\THU�MHJ[VYZ�PZZ\LZ�HYL�

WYLZLU[LK�PU�H�KH[HIHZL�MVYTH[�MVY�LHZL�VM�\ZL�HUK�ZLHYJOPUN�\ZPUN�RL`^VYKZ��0[�HSZV�

WYV]PKLZ�H�[YHJLHISL�ZV\YJL�VM�PUMVYTH[PVU�MVY�[OL�KL]LSVWTLU[�VM�0UZWLJ[VYZ»�[VVSZ�

HUK�HWWYVHJOLZ��

(�Z\TTHY`�VM�[OL�ÄUKPUNZ�HYL!

�� ;V�KH[L��O\THU�MHJ[VYZ�PZZ\LZ�OH]L�ILLU�KLÄULK�

�� O\THU�MHJ[VYZ�PZZ\LZ�YLSH[L�[V�WYV[LJ[LK�SL]LS�JYVZZPUNZ�

�� PZZ\LZ�YLSH[L�[V�\UWYV[LJ[LK�JYVZZPUNZ�

�� ;OL�ZPNUHSSLY�PZ�YLMLYYLK�[V�^P[OPU��VM�[OL�PZZ\LZ��^P[O�YLNHYK�[V�JVTT\UPJH[PVU��

JVU[HJ[PUN��KL[LJ[PVU�VM�VIQLJ[Z�HUK�[YHJR�ZPKL�^VYRLYZ��JHTLYH�HUNSL�HUK�ZPNUHS�

ZLJ[PVUZ�

�� .YV\WZ�VM�SL]LS�JYVZZPUN�\ZLYZ�OH]L�ILLU�PKLU[PÄLK�HZ�PTWHJ[PUN�VU��VM�[OL�O\THU�

MHJ[VYZ�PZZ\LZ��;OLZL�YLMLY�[V�NYV\WZ�PU�NLULYHS��WVZP[PVU�VM�ZHML[ �̀�WLKLZ[YPHUZ�VU�

]LOPJ\SHY�JYVZZPUNZ��WHZZLUNLY�JVTWSPHUJL�^P[O�4>3��[YLZWHZZLYZ�HUK�^HSRLYZ�PU�

NYV\WZ��

�� 6M�WHY[PJ\SHY�UV[L��WLKLZ[YPHU�\ZLYZ�HYL�HMMLJ[LK�I`�VUS`�� PZZ\LZ��^OPSL�]LOPJSL�

KYP]LYZ��JHYZ��]HUZ��/.=Z� �TV[VYJ`JSPZ[Z��HYL�HMMLJ[LK�I`��O\THU�MHJ[VYZ�PZZ\LZ�

�� O\THU�MHJ[VYZ�PZZ\LZ�YLSH[L�[V�\ZLY�^VYRLK�JYVZZPUNZ��PUJS\KPUN�[OVZL�^P[O�

[LSLWOVULZ�VY�TPUPH[\YL�^HYUPUN�SPNO[Z��

�� (\[VTH[PJ�VWLU�SL]LS�JYVZZPUNZ�HYL�HMMLJ[LK�I`��VM�[OL�O\THU�MHJ[VYZ�PZZ\LZ�

iii

��


&RQWHQWV ��WHNL

,_LJ\[P]L�:\TTHY`�� iii

v*VU[LU[Z��

(JRUV^SLKNLTLU[Z�� vii

(IIYL]PH[PVUZ�� ix

+LÄUP[PVUZ�� xi

�� 0U[YVK\J[PVU ��

�� )HJRNYV\UK��

�� :JVWL ��

�� 6IQLJ[P]LZ ��

��

��4L[OVK��

�� 0U[YVK\J[PVU��

�� 3P[LYH[\YL�YL]PL^ ��

�� 3L]LS�JYVZZPUN�]PZP[Z ��

�� :PNUHS�IV_�]PZP[Z ��

�� 3L]LS�JYVZZPUN�[YHPUPUN ��

�� 0U[LY]PL^Z ��

��+H[HIHZL ��

�� 9LJVYKPUN�[OL�ÄUKPUNZ ��

�� +H[HIHZL�JVU[L_[ ��

�� (KKP[PVUHS�PUMVYTH[PVU��

��-PUKPUNZ

1

1

1

1

2

2

2

2

4

5

5

7

7

8

9

�� 10

�� :\TTHY`�VM�RL`�SP[LYH[\YL�ÄUKPUNZ �� 10

�� :\TTHY`�VM�THPU�KH[HIHZL�ÄUKPUNZ �� 11

�� 9LJ\YYPUN�/-�[OLTLZ �� 12

�� (KKYLZZPUN�/-�PZZ\LZ �� 15

�� 4V]PUN�MVYL^HYK�[V�[VVSZ�HUK�HWWYVHJOLZ�MVY�0UZWLJ[VYZ �� 16

�� +H[HIHZL�VM�/-�PZZ\LZ��WHNLZ�� 17-68

��=HSPKH[PVU �� 69

�� 6IQLJ[P]L �� 69

�� 4L[OVK �� 70

�� -PUKPUNZ �� 71

��

v

�� -LHZHIPSP[`�VM�YHURPUN�/-�PZZ\LZ �� 80�� =HS\L�VM�[OL�]HSPKH[PVU�L_LYJPZL�� 80

9LMLYLUJLZ � �� 81

(WWLUKP_�(� ��3L]LS�JYVZZPUN�]PZP[Z �� 91(WWLUKP_�)� ��/-�PZZ\LZ�I`�SL]LS�JYVZZPUN�[`WL �� 99

vi


$FNQRZOHGJHPHQWV

;OL�H\[OVYZ�^V\SK�SPRL�[V�HJRUV^SLKNL�[OL�MVSSV^PUN�WLVWSL�HUK�VYNHUPZH[PVUZ�MVY�

[OLPY�Z\WWVY[�HUK�JV�VWLYH[PVU�K\YPUN�[OL�KL]LSVWTLU[�VM�[OPZ�YLWVY[��7YLZLU[LK�PU�

HSWOHIL[PJHS�VYKLY��

2UJDQLVDWLRQ 1DPH -RE�WLWOH ,QWHUYLHZHG

(YYP]H 2LP[O�:[LWOLUZVU :LJ[PVU�4HUHNLY D (Y[O\Y�4LSSV^Z�*VSSLNL -YLK�4HUU >HYKLU D (\[VTVIPSL�(ZZVJPH[PVU�

�((�

(UKYL^�/V^HYK� /LHK�VM�9VHK�:HML[` D

)YP[PZO�;YHUZWVY[�7VSPJL )LJR`�1HJRZVU (J[PUN�:LYNLHU[

)YP[PZO�;YHUZWVY[�7VSPJL +H]L�9VILY[ZVU 7VSPJL�*VUZ[HISL D )YP[PZO�;YHUZWVY[�7VSPJL 1VOU�;OVTWZVU *OPLM�0UZWLJ[VY� D +LSHPUL�)\ZLZ (U[OVU`�+LSHPUL�

:TP[O

4HUHNPUN�+PYLJ[VY

+LSHPUL�)\ZLZ 4HYR�+LSHPUL�:TP[O 4HUHNLY D /LHS[O�HUK�:HML[`�

3HIVYH[VY`��/:3�

4HY`�4PSSLY /PNOLY�,YNVUVTPZ[ D

/LHS[O�HUK�:HML[`� 4PRL�.YH` /LHK�VM�,YNVUVTPJZ�

3HIVYH[VY`��/:3� :LJ[PVU

/LSWZ[VU�7HYPZO�*V\UJPS 1VL�+VIZVU� *V\UJPSSVY� D /LSWZ[VU�7HYPZO�*V\UJPS 2H[OPL�9V^IV[OHT 7HYPZO�*SLYR

/LY�4HQLZ[`»Z�9HPS^H`� (UKYL^�/HY]L` /4�0UZWLJ[VY�VM�9HPS^H`Z�

0UZWLJ[VYH[L��/490� �3L]LS�*YVZZPUN�ZLJ[PVU�

/LY�4HQLZ[`»Z�9HPS^H`�

0UZWLJ[VYH[L

+HYYLU�(UKLYZVU


0UZWLJ[VYH[L

1VOU�*\SSLU


0UZWLJ[VYH[L

1VOU�;PSS` /4�7YPUJPWHS�0UZWLJ[VY�VM�

9HPS^H`Z D


0UZWLJ[VYH[L

2LP[O�:OLWOLYK /4�0UZWLJ[VY�VM�9HPS^H`Z


0UZWLJ[VYH[L

7H\S�>PSRPUZVU 6WLYH[PVUZ�0U[LSSPNLUJL�

4HUHNLY


0UZWLJ[VYH[L

9VILY[�)L]LYPKNL 9HPS^H`�0UZWLJ[VYH[L�

*VU[HJ[�6MÄJLY��90*6� D


0UZWLJ[VYH[L

:PTVU�:TP[O


0UZWLJ[VYH[L

:\L�1VOUZ[VU

vii

��



0UZWLJ[VYH[L

4HYR�>OP[OHT 0UZWLJ[VY

/\THU�,UNPULLYPUN�3[K *SHPYL�;\YULY :LUPVY�,YNVUVTPZ[

5L[^VYR�9HPS )PSS�+PSSHYZ[VUL :PNUHSSLY��/LSWZ[VU�ZPNUHS�

IV_ D

5L[^VYR�9HPS +H]PK�1VULZ 3L]LS�*YVZZPUN�,UNPULLY D 5L[^VYR�9HPS ,TTH�3V^L /\THU�-HJ[VYZ�(K]PZVY

5L[^VYR�9HPS .H`UVY�-HYYPUN[VU 3L]LS�*YVZZPUN�9PZR�

4HUHNLY D

5L[^VYR�9HPS .PSILY[�-YHZLY :7(+�:[YH[LN`�4HUHNLY D 5L[^VYR�9HPS 1VOU�>OP[LOLHK 3L]LS�*YVZZPUN�9PZR�*VU[YVS�

*V�VYKPUH[VY D

5L[^VYR�9HPS 4HY[PU�:OVYL :PNUHSSLY��/LSWZ[VU�ZPNUHS�

IV_ D

5L[^VYR�9HPS 9VILY[�/H]LYJYVM[ 3L]LS�*YVZZPUN�9PZR�*VU[YVS�

*V�VYKPUH[VY D

5L[^VYR�9HPS :[L]L�9H` (ZZPZ[HU[�:PNUHSSLY�4HUHNLY�

�7L[LYIVYV\NO�:PNUHS�)V_�

5VY[OHTW[VUZOPYL�

*V\U[`�*V\UJPS�

�YLWYLZLU[Z�;YHMÄJ�HUK�

:HML[`�>VYRPUN�.YV\W�

9VIPU�/VKZKVU ;YHMÄJ�,UNPULLY D

9HPS�7HZZLUNLYZ�*V\UJPS�

�5VY[O�>LZ[�,UNSHUK�

0HU�>H[ZVU :HML[`�;HZR�-VYJL�TLTILY D


�:JV[SHUK�

1HTLZ�2PUN :HML[`�;HZR�-VYJL�TLTILY D


�,HZ[�VM�,UNSHUK�

1VOU�/H^RPUZ :HML[`�;HZR�-VYJL�TLTILY D

9HPS�7HZZLUNLYZ�*V\UJPS� :OLSSL`�.V\SK :HML[`�;HZR�;LHT�*V�

VYKPUH[VY

9HPS�:HML[`�HUK�

:[HUKHYKZ�)VHYK�

�5H[PVUHS�3L]LS�*YVZZPUN�

:HML[`�.YV\W�

(SHU�+H]PLZ 7YVQLJ[�4HUHNLY��5H[PVUHS�

3L]LS�*YVZZPUN�:HML[`�

.YV\W��:LJYL[HY`�


:[HUKHYKZ�)VHYK

+Y��(UU�4PSSZ 7YPUJPWHS�/\THU�-HJ[VYZ


:[HUKHYKZ�)VHYK

4PJOHLS�>VVKZ /LHK�VM�6WLYH[PVUZ�

9LZLHYJO

9L[PYLK��5L[^VYR�9HPS� /HYY`�;HIHLY[ ,_�3L]LS�*YVZZPUN�:[YH[LN`�

4HUHNLY D

viii

��


$EEUHYLDWLRQV

(( (\[VTVIPSL�(ZZVJPH[PVU��<2�

(JJVT� (JJVTTVKH[PVU�SL]LS�JYVZZPUN��<ZLY�^VYRLK�JYVZZPUN�

(/) (\[VTH[PJ�OHSM�IHYYPLY

()*3 (\[VTH[PJ�IHYYPLY�JYVZZPUN�SVJHSS`�TVUP[VYLK

(6*3 (\[VTH[PJ�VWLU�JYVZZPUN�SVJHSS`�TVUP[VYLK

(6*9 (\[VTH[PJ�VWLU�JYVZZPUN�YLTV[LS`�TVUP[VYLK

): )YP[PZO�:[HUKHYK

);7 )YP[PZO�;YHUZWVY[�7VSPJL

)> )YPKSL^H`�JYVZZPUN

*09(: *VUÄKLU[PHS�0UJPKLU[�9LWVY[PUN�HUK�(UHS`ZPZ�:`Z[LT

**;= *SVZLK�*PYJ\P[�;LSL]PZPVU

+( +H]PZ�(ZZVJPH[LZ�3PTP[LK

+M; +LWHY[TLU[�MVY�;YHUZWVY[��<2�

+6; +LWHY[TLU[�VM�;YHUZWVY[��<:(�

+;39 +LWHY[TLU[�MVY�;YHUZWVY[��3VJHS�.V]LYUTLU[�HUK�[OL�9LNPVUZ��<2�

-* -VV[WH[O�JYVZZPUN

-9( -LKLYHS�9HPSYVHK�(KTPUPZ[YH[PVU

/( /PNO^H`Z�(NLUJ`

/- /\THU�-HJ[VYZ

/.= /LH]`�NVVKZ�]LOPJSL

/4:6 /LY�4HQLZ[`»Z�:[H[PVULY`�6MÄJL��<2�

/490 /LY�4HQLZ[`»Z�9HPS^H`�0UZWLJ[VYH[L��<2�

59 5L[^VYR�9HPS��<2�

/:, /LHS[O�HUK�:HML[`�,_LJ\[P]L��<2�

/:3 /LHS[O�HUK�:HML[`�3HIVYH[VYPLZ�

3* 3L]LS�JYVZZPUN

4*. 4HU\HSS`�JVU[YVSSLK�NH[L

4*) 4HU\HSS`�JVU[YVSSLK�IHYYPLY��^VYRLK�MYVT�HKQHJLU[�JHIPU�ZPNUHS�IV_�

4*)�**;= 4HU\HSS`�JVU[YVSSLK�IHYYPLY�WYV[LJ[LK�I`�JSVZLK�JPYJ\P[�[LSL]PZPVU

4>3 4PUPH[\YL�^HYUPUN�SPNO[Z

59*0 5L[^VYR�9HPS�*VU[YVSSLK�0UMYHZ[Y\J[\YL

6* 6WLU�JYVZZPUN

6JJ\W� 6JJ\WH[PVU�SL]LS�JYVZZPUN��<ZLY�^VYRLK�JYVZZPUN�

97* 9HPS�7HZZLUNLY�*V\UJPS

9.: 9HPS^H`�.YV\W�:[HUKHYK

90++69 9LWVY[PUN�VM�PUQ\YPLZ��KPZLHZLZ�HUK�KHUNLYV\Z�VJJ\YYLUJLZ�

YLN\SH[PVUZ

ix

��


9:* 9HPS^H`�:HML[`�*HZL

9::) 9HPS�:HML[`�HUK�:[HUKHYKZ�)VHYK

:-? :[H[PVU�MVV[�JYVZZPUN

:40: :HML[`�4HUHNLTLU[�0UMVYTH[PVU�:`Z[LT

;93 ;YHUZWVY[�9LZLHYJO�3HIVYH[VY`

<2 <UP[LK�2PUNKVT��VM�.YLH[�)YP[HPU�

<:( <UP[LK�:[H[LZ�VM�(TLYPJH

<>* <ZLY�^VYRLK�JYVZZPUN

<>*�; <ZLY�^VYRLK�JYVZZPUN�^P[O�[LSLWOVUL

<>*�4>3 <ZLY�^VYRLK�JYVZZPUN�^P[O�TPUPH[\YL�^HYUPUN�SPNO[Z

^^^ >VYSK�>PKL�>LI

x

��


'HÀQLWLRQV 7HUP 'HÀQLWLRQ 6RXUFH (JJVTTVKH[PVU� (�WYP]H[L�]LOPJ\SHY�SL]LS�JYVZZPUN�JVUULJ[PUN�SHUK� 9.:��.2�

SL]LS�JYVZZPUN PU�[OL�ZHTL�VÛLYZOPW�ZLWHYH[LK�I`�H�YHPS^H`� .5��

SPUL��4VZ[�JVTTVUS`�YLMLYLK�[V�HZ�º<ZLY�>VYRLK»�

(J[P]L�^HYUPUN (�KL]PJL�ÔPJO�^HYUZ�\ZLYZ�VM�[OL�PTTPULU[� 9.:�.0�9;��

HYYP]HS�VM�H�[YHPU��:\JO�KL]PJLZ�TH`�IL�LP[OLY� ��

]PZPISL�VY�H\KPISL�

(\[VTH[PJ� (�SL]LS�JYVZZPUN�ÔLYL�[OL�WYV[LJ[P]L� 9.:��

JYVZZPUN LX\PWTLU[��L�N��IHYYPLYZ�HUK�HJ[P]L�^HYUPUNZ��PZ�

H\[VTH[PJHSS`�HJ[P]H[LK�I`�[OL�HWWYVHJOPUN�[YHPU

)HYYPLY (U`�LSLTLU[¯WLYTHULU[�VY�[LTWVYHY �̀�PU[LUKLK� +*4:��

[V�WYL]LU[�WLVWSL�MYVT�MHSSPUN��HUK�[V�YL[HPU��Z[VW�

VY�N\PKL�WLVWSL�

)LOH]PV\Y (�THUULY�VM�ILOH]PUN�VY�[OL�YLZWVUZL�VM�HU�

VYNHUPZT�[V�H�Z[PT\S\Z��

*VSSPUZ�

KPJ[PVUHY`

)SVJRPUN�IHJR ;OL�MVYTH[PVU�VM�H�Z[H[PVUHY`�VY�ZSV^�TV]PUN� 9.:��

X\L\L�VM�YVHK�[YHMÄJ�V]LY�H�SL]LS�JYVZZPUN�JH\ZPUN�

VIZ[Y\J[PVU�VM�[OL�SPUL�

*SVZ\YL�ZLX\LUJL ;OL�ZLX\LUJL�VM�L]LU[Z��PUP[PH[LK�I`�[OL�ZPNUHSSLY��

JYVZZPUN�RLLWLY�VY�[OL�HWWYVHJO�VM�H�[YHPU�

9.:��

�H\[VTH[PJHSS`��ÔPJO�HWWSPLZ�[OL�WYV[LJ[PVU�[V�

[OL�SL]LS�JYVZZPUN�[V�WYL]LU[�\ZLYZ�MYVT�JYVZZPUN�

[OL�YHPS^H �̀

*VTT\UPJH[PVU ;OL�PTWHY[PUN�VY�L_JOHUNL�VM�PUMVYTH[PVU� *VSSPUZ�

KPJ[PVUHY`

*YVZZPUN <ZLK�PU�SL]LS�JYVZZPUN�KVJ\TLU[H[PVU�[V�TLHU� 9.:��

ºSL]LS�JYVZZPUN»��ÔLYL�[OL�JVU[PU\LK�\ZL�VM�ºSL]LS�

JYVZZPUN»�ILJVTLZ�YLWL[P[P]L�HUK�SHIV\YLK�

*YVZZPUN�HI\ZL (U`�KLSPILYH[L�HJ[P]P[`�I`�H�\ZLY�H[�H�SL]LS� 9.:��

JYVZZPUN�ÔPJO�KPMMLYZ�MYVT�[OL�JVYYLJ[�WYVJLK\YL�

MVY�\ZPUN�[OL�JYVZZPUN

*YVZZPUN�RLLWLY (�WLYZVU�HWWVPU[LK�H[�H�WLYTHULU[�NH[L�IV_�[V� 9.:��

JHYY`�V\[�[OL�UVYTHS�VWLYH[PUN�WYVJLK\YL�VM�H�

SL]LS�JYVZZPUN�

*YVZZPUN�[PTL ;OL�[PTL�[HRLU�MVY�H�\ZLY�[V�[YHUZ]LYZL�[OL� 9.:��

JYVZZPUN�MYVT�[OL�KLJPZPVU�WVPU[�[V�H�WVZP[PVU�

VM�ZHML[`�VU�[OL�V[OLY�ZPKL�VM�[OL�YHPS^H`�SPULZ��

*YVZZPUN�[PTL�PUJS\KLZ�[PTL�[HRLU�MVY�[OL�\ZLY�[V�

THRL�H�KLJPZPVU�[V�JYVZZ��

+LJPZPVU�WVPU[ ;OL�WVPU[�H[�ÔPJO�H�SL]LS�JYVZZPUN�\ZLY�THRLZ�H�

KLJPZPVU�[V�JYVZZ�VY�^HP[�

9.:��

xi

��


,TLYNLUJ` (U�\UMVYLZLLU�VY�Z\KKLU�VJJ\YYLUJL��LZWLJPHSS`�

VM�KHUNLY��KLTHUKPUN�PTTLKPH[L�HJ[PVU�

*VSSPUZ�

+PJ[PVUHY`

3L]LS�JYVZZPUN (U�PU[LYZLJ[PVU�H[�[OL�ZHTL�SL]LS�VM�H�YVHK�� 9.:��

MVV[WH[O�VY�IYPKSL^H`�HUK�VUL�VY�TVYL�YHPS^H`�

[YHJRZ

6JJ\WH[PVU�SL]LS� (�WYP]H[L�SL]LS�JYVZZPUN�ÔPJO�NP]LZ�HJJLZZ� 9.:��.2�

JYVZZPUN IL[^LLU�WYLTPZLZ�HUK�H�W\ISPJ�OPNO^H �̀��4VZ[� .5��

JVTTVUS`�YLMLYLK�[V�HZ�º<ZLY�>VYRLK»� /490��

6WLUPUN� ;OL�ZLX\LUJL�VM�L]LU[Z��PUP[PH[LK�I`�[OL�ZPNUHSSLY� 9.:��

ZLX\LUJL VY�JYVZZPUN�RLLWLY�VY�[OL�[YHPU�JSLHYPUN�[OL�

JYVZZPUN��ÔPJO�^P[OKYH^Z�[OL�SL]LS�JYVZZPUN�

WYV[LJ[PVU��HSSV^PUN�\ZLYZ�[V�JYVZZ�[OL�YHPS^H �̀

7OVUL[PJ�(SWOHIL[ (�SPZ[�VM�^VYKZ�\ZLK�PU�JVTT\UPJH[PVUZ�[V� *VSSPUZ�,UNSPZO�

YLWYLZLU[�[OL�SL[[LYZ�VM�[OL�HSWOHIL[��HZ�PU�,�MVY� +PJ[PVUHY`

,JOV�HUK�;�MVY�;HUNV�

7YV[LJ[LK��3*� /H]PUN�NH[LZ�VY�IHYYPLYZ�VY�OH]PUN�YVHK�[YHMÄJ� /:,��

ZPNUHSZ�VY�TPUPH[\YL�YLK�NYLLU�SPNO[Z�NP]PUN�H�

WVZP[P]L�^HYUPUN�VM�[OL�HWWYVHJO�VM�[YHPUZ�

9\ZO�OV\Y (�WLYPVK�H[�[OL�ILNPUUPUN�HUK�LUK�VM�[OL�^VYRPUN� *VSSPUZ�,UNSPZO�

KH`�ÔLU�SHYNL�U\TILYZ�VM�WLVWSL�HYL�[YH]LSSPUN� +PJ[PVUHY`

[V�VY�MYVT�^VYR�

:PNUHSSLY (�JVTWL[LU[�WLYZVU�YLZWVUZPISL�MVY�[OL�VWLYH[PVU� 9.:��

VM�[OL�ZPNUHSSPUN�Z`Z[LT��[V�ZHMLS`�JVU[YVS�[OL�

WHZZHNL�HUK�YLN\SH[PVU�VM�[YHPUZ��\Z\HSS`�SVJH[LK�

PU�H�ZPNUHS�IV_�

;YHMÄJ�JHSTPUN� 9VHK�Q\UJ[PVU�Z��Z[YH[LNPJHSS`�WVZP[PVULK�[V� UH[PVUTHZ[LY�JVT

Z`Z[LT LUJV\YHNL�ZSV^LY�HUK�ZHMLY�KYP]PUN�ZWLLKZ�I`�

]LOPJSL�KYP]LYZ�

;`WL��VM�SL]LS� (�YLJVNUPZLK�JVTIPUH[PVU�VM�JVU[YVS�TLHZ\YLZ� 9.:��

JYVZZPUN� \ZLK�H[�SL]LS�JYVZZPUNZ��HWWYVWYPH[L�[V�WHY[PJ\SHY�

JPYJ\TZ[HUJLZ�

>PN�^HN�SPNO[ ��(�JVSSVX\PHS�[LYT�MVY�YVHK�[YHMÄJ�ZPNUHSZ��

��3PNO[�ZPNUHSZ�MVY�[OL�JVU[YVS�VM�[YHMÄJ�H[�SL]LS�

��9.:��

��;OL�;YHMÄJ�

JYVZZPUNZ��;OL�ZLX\LUJL�MVY�PSS\TPUH[PVU��H��H� :PNU�9LN\SH[PVUZ�

ZPUNSL�Z[LHK`�HTILY�SPNO[��I��[^V�PU[LYTP[[LU[�YLK� �.LULYHS�

SPNO[Z� +PYLJ[PVUZ��

APNaHNNPUN :OHYW�HUN\SHY�TV]LTLU[Z�MYVT�VUL�ZPKL�[V� +(��

HUV[OLY��0U�[OL�JHZL�VM�SL]LS�JYVZZPUNZ��[V�TV]L�

HYV\UK�[OL�IHYYPLYZ�H[�H�OHSM�IHYYPLY�JYVZZPUN�[V�

H]VPK�OH]PUN�[V�^HP[��

xii

��

-PN\YL�� :JVWL�VM�^VYR�KP]PKLK�I`� [HZRZ�HUK�KLSP]LYHISLZ

� �� ,QWURGXFWLRQ

�� %DFNJURXQG

+H]PZ�(ZZVJPH[LZ�3PTP[LK��+(��OHZ�WYLWHYLK�[OPZ�KVJ\TLU[�MVY�/LY�4HQLZ[`»Z�9HPS^H`�

0UZWLJ[VYH[L��/490��;OPZ�YLWVY[�YLWYLZLU[Z�[OL�ÄYZ[�VM�[OYLL�KLSP]LYHISLZ�[V�IL�

WYVK\JLK�I`�+(�HZ�WHY[�VM�[OL�/490�WYVQLJ[�¶/HYHO�FURVVLQJV��)XWXUH�KXPDQ�IDFWRUV�

SULRULWLHV��QHZ�WHFKQRORJLHV�DQG�WRROV�IRU�LQVSHFWRUV·��

+(�WYVWVZLK�[OL�MVSSV^PUN�ZJVWL�VM�^VYR�[V�IL�KLSP]LYLK��IYVRLU�KV^U�PU[V�H�U\TILY�

VM�[HZRZ��;OPZ�KLSP]LYHISL�PZ�OPNOSPNO[LK�PU�VYHUNL��ÄN\YL��

�� 6FRSH

;OPZ�YLWVY[�PKLU[PÄLZ�O\THU�MHJ[VYZ�PZZ\LZ�H[�SL]LS�JYVZZPUNZ�HUK�Z\TTHYPZLZ�[OL�

ÄUKPUNZ�VM�[OL�SP[LYH[\YL�YL]PL^��ZP[L�]PZP[Z�HUK�[YHPUPUN�\UKLY[HRLU�I`�+(�HUK�[OL�

ÄUKPUNZ�MYVT�[OL�PU[LY]PL^Z�^P[O�Z[HRLOVSKLYZ��0[�HSZV�PUJS\KLZ�[OL�YLZ\S[Z�MYVT�[OL�

]HSPKH[PVU�L_LYJPZL�

�� 2EMHFWLYHV

;OL�VIQLJ[P]LZ�VM�[OPZ�YLWVY[�HYL�[V!

�� KLÄUL�H�SPZ[�VM�O\THU�MHJ[VYZ�PZZ\LZ�H[�SL]LS�JYVZZPUNZ�

�� Z\TTHYPZL�[OL�ÄUKPUNZ�MYVT�[OL�SP[LYH[\YL�YL]PL^��ZP[LZ�]PZP[Z�HUK�PU[LY]PL^Z��^OPJO�

Z\WWVY[�[OL�PKLU[PÄLK�PZZ\LZ�

�� ]HSPKH[L�H�TL[OVK�MVY�HZZPNUPUN�/-�PZZ\LZ�[V�SL]LS�JYVZZPUNZ��

�� JHW[\YL�ÄUKPUNZ�ZV�HZ�[V�Z\WWVY[�[OL�KL]LSVWTLU[�VM�[VVSZ�HUK�HWWYVHJOLZ�MVY�

0UZWLJ[VYZ��

1

� �� 0HWKRG

�� ,QWURGXFWLRQ

;OL�MVSSV^PUN�ZLJ[PVU�IYPLÅ`�KLZJYPILZ�[OL�TL[OVKZ�LTWSV`LK�MVY�PKLU[PM`PUN�O\THU�

MHJ[VYZ�PZZ\LZ�MVY�PUJS\ZPVU�^P[OPU�[OL�KH[HIHZL��

�� /LWHUDWXUH�UHYLHZ

(�YL]PL^�VM�RL`�SP[LYH[\YL�MYVT�YHPS��YVHK��\ZLY�YPZR�WLYJLW[PVU�HUK�ILOH]PV\Y�^HZ�

\UKLY[HRLU��\ZPUN�H�]HYPL[`�VM�ZLHYJO�TL[OVKZ��;OLZL�PUJS\KLK�\ZPUN�[OL�PU�OV\ZL�

JH[HSVN\L�HUK�QV\YUHS�ZLHYJO�MHJPSP[PLZ�VM�[OL�;YHUZWVY[�9LZLHYJO�3HIVYH[VY`�HUK�[OL�

)YP[PZO�3PIYHY �̀�

(�YL]PL^�VM�SP[LYH[\YL�^HZ�THKL�MYVT�[OL�MVSSV^PUN�ZV\YJLZ�HUK�YLZLHYJO�HYLHZ!

�� 9::)�YLZLHYJO

�� /490�PUJPKLU[�YLWVY[Z

�� 9::)�HUK�5L[^VYR�9HPS�:[HUKHYKZ� �.\PKHUJL�UV[LZ

�� ,YNVUVTPJZ�0UMVYTH[PVU�(UHS`ZPZ�*LU[YL��,0(*��

�� ;OL�ÄUKPUNZ�VM�YLZLHYJO�JVTTPZZPVULK�I`�5L[^VYR�9HPS

�� ;OL�ÄUKPUNZ�VM�YLZLHYJO�JVTTPZZPVULK�I`�/:,

�� ;OL�ÄUKPUNZ�VM�YLZLHYJO�JVTTPZZPVULK�I`�YVHK�[YHUZWVY[�IVKPLZ��L�N��;93

�� /\THU�ILOH]PV\Y��L�N��O\THU�LYYVY��YPZR�[HRPUN�ILOH]PV\Y��O\THU�YLSPHIPSP[`

�� ;YLZWHZZ� �]HUKHSPZT�H[�SL]LS�JYVZZPUNZ

�� ,\YVWLHU�HUK�^VYSK�^PKL�SL]LS�JYVZZPUN�YLZLHYJO�HUK�PUJPKLU[Z

�� /HYHO�FURVVLQJ�YLVLWV�

;V�KH[L��H�[V[HS�VM��ZP[L�]PZP[Z�[V�RL`�L_HTWSLZ�VM�SL]LS�JYVZZPUN�[`WLZ�OH]L�ILLU�

\UKLY[HRLU�[V�I\PSK�H�NYLH[LY�\UKLYZ[HUKPUN�VM�[OL�PZZ\LZ�ÄYZ[�OHUK��:[PSS�WOV[VNYHWOZ�

HUK�]PKLV�YLJVYKPUNZ�^LYL�[HRLU�H[�LHJO�VM�[OL�ZP[L�]PZP[Z��

7OV[VNYHWOZ�MYVT�LHJO�JYVZZPUN�]PZP[LK�JHU�IL�MV\UK�PU�(WWLUKP_�(��

;HISL�� 3L]LS�JYVZZPUN�]PZP[Z��:[VWWPUN�^HZ� UV[�WVZZPISL�H[�HSS�ZP[LZ�HUK�[OLZL� ^LYL�]PL^LK�]PH�H�]LOPJSL�ºKYP]L�I`»�� ;OLZL�HYL�THYRLK�^P[O�HU�HZ[LYPZR�� PU�[OL�[HISL�

1HDUHVW�7RZQ /HYHO�&URVVLQJ�1DPH /HYHO�&URVVLQJ�7\SH

)LKMVYK 2LTWZ[VU�/HYK^PJR�:[H[PVU ()*3

)LKMVYK 4PSSIYVVR�:[H[PVU 4*.

)LKMVYK :[L^HY[I`�)YPJR^VYRZ 7YP]H[L�.H[LRLLWLY

)LKMVYK :[L^HY[I`�.YLLU�3HUL�:[H[PVU 4*.

2

-PN\YL�� )LYY`�3HUL�\ZLY�^VYRLK�SL]LS� JYVZZPUN

-PN\YL�� 3VSOHT�)YPKNLZ�**;=�SL]LS�JYVZZPUN

-PN\YL�� :[��4HYNHYL[Z�:[H[PVU�**;=�SL]LS� JYVZZPUN

-PN\YL�� >HYL�MVV[WH[O�JYVZZPUN��H�

1HDUHVW�7RZQ /HYHO�&URVVLQJ�1DPH /HYHO�&URVVLQJ�7\SH

)LKMVYK >VV[[VU�)YVHKTLHK�:[H[PVU ()*3

+VUJHZ[LY (YRZL`� 4*)�**;=

+VUJHZ[LY *YL`RLZ <>*�4>3

+VUJHZ[LY +H^�3HUL� 4*)�**;=

+VUJHZ[LY +VJROPSSZ 4*)�**;=

+VUJHZ[LY ,NNIVYV\NO�0UNZ -VV[WH[O

+VUJHZ[LY -PLSKZ�3HUL (6*3

+VUJHZ[LY /LUZHSS 4*)��

+VUJHZ[LY 1VHU�*YVM[� 4*.

+VUJHZ[LY 2PY[VU�3HUL� 4*)�**;=

+VUJHZ[LY 4HYZO�3HUL -VV[WH[O�

+VUJHZ[LY 4VH[OPSSZ� 4*)�**;=

+VUJHZ[LY :UHP[O�9VHK� (/)

+VUJHZ[LY :UHP[O�:[H[PVU (6*3

+VUJHZ[LY :UHP[O� �7VU[LMYHJ[ (/)

+VUJHZ[LY :[HPUMVY[O�9VHK (/)

+VUJHZ[LY ;OVYWL (6*3

+VUJHZ[LY ;OVYUL�4VVYLUKZ� (/)

+VUJHZ[LY ;OVYWL�9VHK� (/)

+VUJHZ[LY >OP[SL` 4*)�**;=

/LY[MVYK 9V`KVU 4*)�**;=

/LY[MVYK :[��4HYNHYL[Z�:[H[PVU��MPN\YL�� 4*)�**;=

/LY[MVYK >HYL�:[H[PVU 4*)�**;=

/LY[MVYK >HYL��H��MPN\YL�� -VV[WH[O

/LY[MVYK >HYL��I� -VV[WH[O

4PKKSLZIYV\NO 3VUN�)LJR 4*)

4PKKSLZIYV\NO 9LKJHY�3HUL 4*)�**;=

4PKKSLZIYV\NO >LZ[ZPKL�9VHK 4*)�**;=

4PS[VU�2LÙLZ )LYY`�3HUL��MPN\YL�� <>*�;

4PS[VU�2LÙLZ )V^�)YPJROPSS�:[H[PVU 4*)�**;=

4PS[VU�2LÙLZ >VI\YU�:HUKZ� -VV[WH[O

4PS[VU�2LÙLZ >VI\YU�:HUKZ�:[H[PVU 4*)

4PS[VU�2LÙLZ 3LPNO[VU�)\aaHYK 5H[PVUHS�/LYP[HNL�9HPS^H`�

6WLU�*YVZZPUN

7L[LYIVYV\NO )HPU[VU�.YLLU� (/)

7L[LYIVYV\NO )HPU[VU�=PSSHNL (/)

7L[LYIVYV\NO )HSSHZ[�7P[Z <>*�;

7L[LYIVYV\NO -V_�*V]LY[�9VHK -VV[WH[O

7L[LYIVYV\NO .YLH[MVYK 4*)�**;=

3

7L[LYIVYV\NO /LSWZ[VU 4*)�

7L[LYIVYV\NO 3VSOHT�)YPKNLZ��ZLL�MPN\YL�� 4*)�**;=

7L[LYIVYV\NO 3VSOHT� -VV[WH[O

7L[LYIVYV\NO 4H_L` 4*)�**;=

7L[LYIVYV\NO ;HSSPUN[VU 4*)�**;=

7L[LYIVYV\NO >VVKJYVM[ 4HUULK�NH[LZ

-PN\YL�� 7L[LYIVYV\NO�ZPNUHS�IV_��;OL�SL]LS� JYVZZPUNZ�JVU[YVS�WHULS�PZ�WVZP[PVULK� ^P[O�]PL^Z�VM�[OL�THPU�WHULS��

�� 6LJQDO�ER[�YLVLWV

=PZP[Z�^LYL�THKL�[V�7L[LYIVYV\NO�HUK�/LSWZ[VU�ZPNUHS�IV_LZ��([�LHJO�ZPNUHS�IV_��

[OL�WYVJLZZ�MVY�VWLYH[PUN�[OL�JSVZPUN�HUK�VWLUPUN�ZLX\LUJL�VM�LHJO�JYVZZPUN�^HZ�

VIZLY]LK�MVY�H�WLYPVK�VM�[PTL��0U�HKKP[PVU�[V�[OPZ��H�KL[HPSLK�L_WSHUH[PVU�VM�[OL�WYVJLZZ�

^HZ�WYV]PKLK�I`�[OL�ZPNUHSSLY�HZ�[OL`�WYVNYLZZLK�[OYV\NO�[OL�ZLX\LUJL�MVY�LHJO�

JYVZZPUN��

:PNUHSSLYZ�^LYL�HSZV�HZRLK�HIV\[�[OL�LMMLJ[P]LULZZ�VM�[OL�LX\PWTLU[�[V�KL[LJ[�VIQLJ[Z�

VU�[OL�JYVZZPUN�HUK�[OLPY�V^U�L_WLYPLUJLZ�VM�[OL�ILOH]PV\Y�VM�KPMMLYLU[�SL]LS�JYVZZPUN�

\ZLYZ��

�� 3HWHUERURXJK�

([�7L[LYIVYV\NO��ÄN\YL��[OL�WHULSZ�HYL�HYYHUNLK�[V�JVU[YVS�[OL�TV]LTLU[�VM�[YHPUZ�

HZ�^LSS�HZ�MVY�TVUP[VYPUN�HUK�JVU[YVSSPUN�Ä]L�SVJHS�SL]LS�JYVZZPUNZ��;^V�ZPNUHSSLYZ�

VWLYH[L�[OL�SL]LS�JYVZZPUN�JVU[YVS�WHULS�H[�HSS�[PTLZ��HUK�[OLPY�WVZP[PVU�Z\WWVY[Z�

JVTT\UPJH[PVU�^P[O�HUK�H�]PL^�VM�[OL�^VYR�VM�V[OLY�ZPNUHSSLYZ�JVU[YVSSPUN�[OL�

TV]LTLU[Z�VM�[YHPUZ�]PH�[OL�THPU�JVU[YVS�WHULS��

-PN\YL�� -PN\YL�� -PN\YL� ;OL�SL]LS�JYVZZPUN�JVU[YVS�WHULS� 4VUP[VYZ�MVY�LHJO�JYVZZPUN�HYL� ;OL�VYKLY�VM�[OL�JSVZPUN� TPTPJZ�[OL�VYKLY�VM�[OL�JYVZZPUNZ� WVZP[PVULK�KPYLJ[S`�HIV]L�[OL� WYVJLK\YL�JVU[YVS�I\[[VUZ� VU�[OL�YHPS�PUMYHZ[Y\J[\YL�� JYVZZPUN�VU�[OL�WHULS�� YLX\PYL�[OL�ZPNUHSSLY�[V�KV\ISL�

JOLJR�[OL�JYVZZPUN�PZ�JSLHY� WYPVY�[V�JVTWSL[PUN�[OL�JSVZPUN�

�� +HOSVWRQ

/LSWZ[VU�ZPNUHS�IV_��ÄN\YL� ��PZ�H�KLKPJH[LK�SL]LS�JYVZZPUN�IV_��;^V�ZPNUHSSLYZ�JVU[YVS�

[OL�JSVZPUN�HUK�VWLUPUN�ZLX\LUJL�VM�MV\Y�**;=��VUL�THUULK�NH[L��HUK�[OL�/LSWZ[VU�

4*)�JYVZZPUN��WVZP[PVULK�VU�[OL�:[HTMVYK�HUK�VY�,HZ[�*VHZ[�THPUSPUL�[YHPU�YV\[LZ��

;OL�JVU[YVS�WHULS�TPTPJZ�[OL�VYKLY�VM�[OL�JYVZZPUNZ�VU�[OL�YHPS�PUMYHZ[Y\J[\YL�HUK�HSZV�

-PN\YL�� ZOV^Z�HU�HKKP[PVUHS�MV\Y�JYVZZPUNZ��UV[�JVU[YVSSLK�I`�[OL�ZPNUHSSLYZ�� /LSWZ[VU�SL]LS�JYVZZPUN�ZPNUHS�IV_��

4

-VSSV^PUN�[OL�ZPNUHS�IV_�]PZP[��IYPLM�]PZP[Z�^LYL�THKL�[V�ZP_�VM�[OL�JYVZZPUNZ�PU�[OL�

/LSWZ[VU�HYLH��

-PN\YL�� -PN\YL�� -PN\YL�� ;OL�SL]LS�JYVZZPUN�JVU[YVS�WHULS� ;OL�]PL^�VM�[OL�/LSWZ[VU� ;OL�ZPNUHSSLYZ�YLJLP]L�JHSSZ� TPTPJZ�[OL�VYKLY�VM�[OL�JYVZZPUNZ� JYVZZPUN�MYVT�[OL�ZPNUHS�IV_� MYVT�JYVZZPUN�\ZLYZ��[YHJR�ZPKL� VU�[OL�YHPS�PUMYHZ[Y\J[\YL�� ^VYRLYZ�HUK�[OL�JYVZZPUN�RLLWLY�

H[�>VVKJYVM[��

�� /HYHO�FURVVLQJ�WUDLQLQJ

+(�H[[LUKLK�[OL�/:,�[^V�KH`�SL]LS�JYVZZPUN�[YHPUPUN�JV\YZL��OLSK�PU�+VUJHZ[LY�PU�1\S`�

��;OL�JV\YZL�JV]LYLK�[OL�MVSSV^PUN�SL]LS�JYVZZPUN�PZZ\LZ!

�� )HZPJ�SLNPZSH[PVU

�� 5L[^VYR�9HPS»Z�SL]LS�JYVZZPUN�YPZR�HZZLZZTLU[�WYVJLZZ

�� 3L]LS�JYVZZPUN�VYKLYZ

�� 5VYTHS�VWLYH[PVU�HUK�MHPS\YL�TVKLZ

�� 0U]LZ[PNH[PUN�SL]LS�JYVZZPUN�HJJPKLU[Z

�� /:,�SL]LS�JYVZZPUN�Z[YH[LN`�HUK�PU[LY]LU[PVU�WSHU

;OL�[^V�KH`�[YHPUPUN�JV\YZL�HSZV�PUJS\KLK�SL]LS�JYVZZPUN�]PZP[Z�PU�HUK�HYV\UK�[OL�

+VUJHZ[LY�HYLH��

�� ,QWHUYLHZV

3L]LS�JYVZZPUN�Z[HRLOVSKLYZ�^LYL�PU[LY]PL^LK�YLNHYKPUN�[OLPY�WHY[PJ\SHY�L_WLYPLUJL�

HUK�RUV^SLKNL�VM�JYVZZPUNZ�HUK�\ZLY�ILOH]PV\Y��(�JVTWSL[L�SPZ[�VM�HSS�Z[HRLOVSKLYZ�

PU[LY]PL^LK�JHU�IL�MV\UK�PU�[OL�º(JRUV^SLKNLTLU[Z»�ZLJ[PVU�H[�[OL�ILNPUUPUN�VM�[OPZ�

YLWVY[��

0U[LY]PL^Z�^LYL�JHYYPLK�V\[�H[�[OL�YLZWVUKLU[»Z�WSHJL�VM�^VYR�VY�V]LY�[OL�[LSLWOVUL��

0U[LY]PL^Z�SHZ[LK�IL[^LLU��HUK��OV\YZ��

,HJO�PU[LY]PL^LL�^HZ�WYV]PKLK�^P[O�HU�HNLUKH�HUK�SL[[LY�VM�H\[OVYP[`�WYPVY�[V�[OL�

TLL[PUN�VY�[LSLWOVUL�PU[LY]PL^�[HRPUN�WSHJL��,HJO�PU[LY]PL^�HNLUKH�MVSSV^LK�H�ZPTPSHY�

MVYTH[��OV^L]LY�[OL�X\LZ[PVUZ�^LYL�[HPSVYLK�[V�LHJO�YLZWVUKLU[»Z�HYLH�VM�L_WLY[PZL�

;OL�HNLUKH�MVYTH[�^HZ�HZ�MVSSV^Z!

5

�� 0U[YVK\J[PVU�[V�WYVQLJ[

�� 9VSL�VM�+H]PZ�(ZZVJPH[LZ

�� (PT�VM�WYVQLJ[�HUK�OV^�V\[W\[Z�MYVT�^VYR�^PSS�IL�HWWSPLK

�� 7LYZVUHS�L_WLYPLUJLZ�VM�VIZLY]PUN�SL]LS�JYVZZPUN�\ZLYZ

�� )LOH]PV\Y�WH[[LYUZ�VM�SL]LS�JYVZZPUN�\ZLYZ

�� *OHYHJ[LYPZ[PJZ�VM�JYVZZPUNZ�VY�Z\YYV\UKPUN�LU]PYVUTLU[�[OH[�KV�UV[�Z\WWVY[�VY�

PUÅ\LUJL�[OL�^H`�[OL�\ZLY�ILOH]LZ��

+VJ\TLU[Z�WYV]PKLK�I`�ZVTL�VM�[OL�YLZWVUKLU[Z�[V�Z\WWVY[�[OLPY�JVTTLU[Z�^LYL�

MVY�PU[LYUHS�\ZL�VUS �̀��;OLYLMVYL�[OLZL�OH]L�ILLU�YLMLYLUJLK�HZ�HU�PU[LYUHS�KVJ\TLU[�

^P[OPU�[OL�KH[HIHZL��OV^L]LY�UV�YLMLYLUJLZ�[V�UHTLZ�VY�SVJH[PVUZ�JVU[HPULK�^P[OPU�

[OLZL�KVJ\TLU[Z�OH]L�ILLU�PUJS\KLK��

�� ,QWHUYLHZ�ERXQGDULHV

;V�OLSW�KLÄUL�H�SPZ[�VM�Z\P[HISL�Z[HRLOVSKLYZ��IV[O�5L[^VYR�9HPS�HUK�/490�

YLJVTTLUKLK�H�JYVZZ�ZLJ[PVU�VM�PUKP]PK\HSZ�[V�Z\WWVY[�[OL�PU[LY]PL^�Z[HNL�VM�[OPZ�

WYVQLJ[��(S[OV\NO�[OLYL�HYL�THU`�TVYL�WV[LU[PHS�Z[HRLOVSKLYZ�^P[OPU�[OL�YHPS�PUK\Z[Y`�

^P[O�L_[LUZP]L�RUV^SLKNL�VM�SL]LS�JYVZZPUNZ��VUJL�JVTTVUHSP[PLZ�VM�O\THU�MHJ[VYZ�

PZZ\LZ�^LYL�PKLU[PÄLK�IL[^LLU�PUKP]PK\HSZ�[OPZ�^HZ�[HRLU�HZ�[OL�WVPU[�H[�^OPJO�

HKKP[PVUHS�Z[HRLOVSKLYZ�^LYL�UV[�PUJS\KLK�

�

6

� �� 'DWDEDVH

�� 5HFRUGLQJ�WKH�ÀQGLQJV�

;OL�ÄUKPUNZ�^LYL�YLJVYKLK�PU�H�KH[HIHZL��JYLH[LK�I`�+(�MVY�[OL�W\YWVZL�VM�[OPZ�

WYVQLJ[��(�KH[HIHZL�^HZ�\ZLK�HZ�[OL�TVZ[�LMÄJPLU[�^H`�VM�YLJVYKPUN�[OL�O\THU�

MHJ[VYZ�PZZ\LZ�ILJH\ZL!

�� [OL�ÄUKPUNZ�^LYL�UV[�ULJLZZHYPS`�\UPX\L�[V�VUL�WPLJL�VM�YLZLHYJO�VY�YLZWVUKLU[�

HUK�[OL�KH[HIHZL�HSSV^LK�[OPZ�[V�IL�JVU]L`LK�LHZPS`�HUK�^P[OV\[�K\WSPJH[PVU"��

�� [OL�KH[HIHZL�HSSV^LK�PKLU[PÄJH[PVU�VM�THU`�]HYPHISLZ�HZZVJPH[LK�^P[O�H�ZPUNSL�

PZZ\L��Z\JO�HZ�[OL�SL]LS�JYVZZPUN�[`WL�VY�[OL�ZWLJPÄJ�\ZLY"�

�� [OL�KH[HIHZL�^PSS�IL�[OL�WYPTHY`�ZV\YJL�VM�PUMVYTH[PVU�MVY�KL]LSVWPUN�;HZR��

º0UZWLJ[VYZ»�[VVSZ�HUK�HWWYVHJOLZ»��;OPZ�^PSS�HSSV^�[OL�KL]LSVWLK�[VVSZ�HUK�

HWWYVHJOLZ�[V�IL�[YHJLHISL�[V�H�ZV\YJL�VM�PUMVYTH[PVU"�HUK�

�� [OL�KH[HIHZL�HSSV^Z�MVY�LHZ`�ZLHYJOLZ�[V�IL�THKL�VM�P[Z�JVU[LU[Z��I`�JOVVZPUN�

[OL�YLX\PYLK�KH[H�LU[Y`�ÄLSKZ��L�N��SL]LS�JYVZZPUN�[`WL�VY�\ZLY�KL[HPSZ��VY�\ZPUN�

RL`^VYKZ�MVY�L_[YHJ[PUN�[OL�YLSL]HU[�O\THU�MHJ[VYZ�PZZ\LZ��(�SPZ[PUN�VM�PKLU[PÄLK�

/-�PZZ\LZ�I`�SL]LS�JYVZZPUN�[`WL�OHZ�ILLU�JVTWPSLK�PU�(WWLUKP_�)��;OPZ�ZLHYJO�

M\UJ[PVU�^PSS�HSZV�Z\WWVY[�[OL�KL]LSVWTLU[�VM�0UZWLJ[VYZ�[VVSZ�HUK�HWWYVHJOLZ��

,HJO�KH[HIHZL�LU[Y`�OHZ�H�ZL[�VM�KH[H�ÄLSKZ��HSSV^PUN�H�YHUNL�VM�PUMVYTH[PVU�[V�IL�

YLJVYKLK�HNHPUZ[�LHJO�O\THU�MHJ[VYZ�PZZ\L��;HISL��KLZJYPILZ�[OL�[`WL�VM�PUMVYTH[PVU�

YLJVYKLK�PU�LHJO�KH[H�LU[Y`�ÄLSK�

;HISL�� ;OL�[`WL�VM�PUMVYTH[PVU� YLJVYKLK�PU�LHJO�KH[H�LU[Y`� ÄLSK�

+H[H�LU[Y`�ÄLSK 0UMVYTH[PVU�YLJVYKLK

5HI� (�\UPX\L�U\TILY�MVY�LHJO�KH[HIHZL�LU[Y �̀

&UHDWLRQ�GDWH��/DVW�0RGLÀHG�

GDWH -VY�LMMLJ[P]L�THUHNLTLU[�VM�KH[H�PUW\[�HUK�

JOHUNLZ�

,VVXH )YPLM�[P[SL�VM�[OL�O\THU�MHJ[VYZ�PZZ\L��

/HYHO�FURVVLQJ�W\SH 0KLU[PÄLZ�[OL�[`WL�VM�SL]LS�JYVZZPUN�^OPJO�HYL�

YLSL]HU[�[V�[OL�O\THU�MHJ[VYZ�PZZ\L�

8VHU�GHWDLOV 0KLU[PÄLZ�[OL�\ZLYZ�^OPJO�HYL�YLSL]HU[�[V�[OL�

O\THU�MHJ[VYZ�PZZ\L�

,VVXH�DW�D�OHYHO�FURVVLQJ (U�L_HTWSL�VM�[OL�PKLU[PÄLK�PZZ\L�H[�H�<2�SL]LS�

JYVZZPUN��

'HVFULSWLRQ�RI�LVVXH� (�JVUJPZL�KLZJYPW[PVU�VM�[OL�O\THU�MHJ[VYZ�PZZ\L��

8VHU�EHKDYLRXU 0KLU[PÄLZ�[OL�ILOH]PV\Y�VM�[OL�SL]LS�JYVZZPUN�\ZLYZ�

HZ�H�YLZ\S[�VM�[OL�PZZ\L��

6RXUFHV�RI�LQIRUPDWLRQ 0KLU[PÄLZ�[OL�ZV\YJL�Z��VM�PUMVYTH[PVU�MVY�LHJO�

PZZ\L�

)DLOXUH�W\SH 0KLU[PÄLZ�[OL�[`WL�VM�MHPS\YL�JVTTP[[LK�I`�[OL�

\ZLY�HZ�H�YLZ\S[�VM�[OL�PZZ\L��:LL�ZLJ[PVU��MVY�

M\Y[OLY�JSHYPÄJH[PVU�

7

-PN\YL�� 3L]LS JYVZZPUNZ! JVTT\UPJH[PVU HUK \ZLY ILOH]PV\Y PZZ\LZ 9LM *YLH[PVU KH[L 3HZ[ TVKPMPLK (�ISHUR�KH[HIHZL�LU[Y �̀�7SLHZL� ,VVXH

YLMLY�[V�WHNL��MVY�JSHYPÄJH[PVU� VM�LHJO�HIIYL]PH[PVU� �� /HYHO &URVVLQJ W\SH

��3URWHFWHG ��8QSURWHFWHG

(/) ()*3 (6*9 (6*3 <>*�4>3 :-?��4>3

4*. 4*) 4*)�**;= <UKLMPULK

<>* <>*�;

6* -*

)> <UKLMPULK

� (JJVT� � 6JJ\W�

7LKLZ[YPHU 3HUKV^ULY *`JSPZ[

/.=�KYP]LY

4V[VYJ`JSPZ[ 7HZZLUNLY /VYZLYPKLY

6[OLY <UKLMPULK

��/HYHO�FURVVLQJ�XVHU�W\SH

��

�� <UKLMPULK

��$JH ��

0UKP]PK\HS .YV\W <UKLMPULK

��2Q�RZQ

*HY KYP]LY =HU KYP]LY

;YHPU KYP]LY

8VHU GHWDLOV

�� 'HVFULSWLRQ RI LVVXH � GHVLJQ IHDWXUH

�� 8VHU EHKDYLRXU

�,VVXH�DW�D�OHYHO�FURVVLQJ

�� (UURU W\SH

,YYVY =PVSH[PVU

�� 6RXUFHV RI LQIRUPDWLRQ ��,QWHUYLHZ�VRXUFH ��/HYHO�FURVVLQJ�YLVLW��DUHDV ��'RFXPHQW�VRXUFH ��'RFXPHQW�GHWDLOV

9(03�05+<:;9@

9::) /:,�/490 97* );7

96(+�05+<:;9@ ((

6;/,9:

9(03�05+<:;9@ /:,�/490

9::)

6[OLYZ

.6=,954,5; +M;��YHPS� +M;��YVHK�

6;/,9 ;93��YHPS� ;93��YVHK� 0UKLWLUKLU[ 5VU�<2

+VUJHZ[LY /LY[MVYK 7L[LYIVYV\NO )LKMVYK 9LKJHY

5L[^VYR 9HPS

)\Z KYP]LYZ 5L[^VYR 9HPS

9HPS^H` .: 6[OLY KLW[�

4PS[VU 2L`ULZ

�� 'DWDEDVH�FRQWHQW

�� 6RXUFHV�RI�LQIRUPDWLRQ

,HJO�KH[HIHZL�LU[Y`�PUKPJH[LZ�[OL�ZV\YJLZ�VM�[OL�PUMVYTH[PVU��>OLYL�H�YLMLYLUJL�

[V�H�WHY[PJ\SHY�WPLJL�VM�YLZLHYJO�OHZ�ILLU�THKL�PU�[OL�º<ZLY�ILOH]PV\Y»�ZLJ[PVU��[OL�

KVJ\TLU[�JVKL�JHU�IL�MV\UK�PU�ZLJ[PVU�º��+VJ\TLU[�KL[HPSZ»��(U�L_WSHUH[PVU�VM�OV^�

[OL�JVKPUN�HWWSPLZ�HUK�[OL�SPZ[�VM�YLMLYLUJLZ�P[�YLMLYZ�[V�HYL�WYV]PKLK�VU�WHNL� ��VM�[OPZ�

YLWVY[�

�� 8VHU�IDLOXUH�FODVVLÀFDWLRQ

;OL�KH[HIHZL�OHZ�H�KH[H�LU[Y`�ÄLSK�MVY�[OL�[`WL�VM�MHPS\YL�JVTTP[[LK�I`�[OL�\ZLY�HZ�

H�YLZ\S[�VM�[OL�O\THU�MHJ[VYZ�PZZ\L��;OPZ�O\THU�MHPS\YL�OHZ�ILLU�JSHZZPÄLK�PU[V�[^V�

LYYVY�TVKLZ��º,YYVY»�HUK�º=PVSH[PVU»��BYL�O\D� �B/:,�YLD��)V[O�º,YYVYZ»�HUK�º=PVSH[PVUZ»�

HYL�UVYTHSS`�Z\IKP]PKLK�[V�PKLU[PM`�[OL�\ZLYZ�WYLJLLKPUN�JVNUP[P]L�WYVJLZZLZZ��-VY�

[OL�W\YWVZLZ�VM�[OPZ�YLWVY[�H�ZPTWSL�LYYVY�JSHZZPÄJH[PVU�OHZ�ILLU�\ZLK��ILJH\ZL�P[�OHZ�

UV[�ILLU�^P[OPU�[OL�ZJVWL�VM�[OL�YLWVY[�[V�HUHS`ZL�[OL�KL[HPSLK�JVNUP[P]L�TLJOHUPZTZ�

PU]VS]LK�PU�LHJO�VM�[OL�O\THU�ILOH]PV\YZ�MVY�HSS�/-�PZZ\LZ��

;OL�O\THU�MHPS\YL�[`WLZ�OH]L�ILLU�KLÄULK�HZ�MVSSV^Z!

�� º,YYVY»�PZ�HU�\UPU[LU[PVUHS�HJ[�I`�H�\ZLY��OV^L]LY�P[�KL]PH[LZ�MYVT�[OL�JVYYLJ[�\ZLY�

ILOH]PV\Y��-VY�L_HTWSL��WVVYS`�^YP[[LU�ZPNUHNL�PUMVYTH[PVU�TH`�YLZ\S[�PU�[OL�\ZLY�

TPZPU[LYWYL[PUN�[OL�PUZ[Y\J[PVUZ�HUK�\UKLY[HRPUN�[OL�PUJVYYLJ[�JYVZZPUN�WYVJLK\YL��

�� º=PVSH[PVU»�YLMLYZ�[V�HU�PU[LU[PVUHS�HJ[�VU�ILOHSM�VM�[OL�\ZLY��;OL�\ZLY�RUV^PUNS`�

\UKLY[HRLZ�H�WHY[PJ\SHY�ILOH]PV\Y��[OH[�KL]PH[LZ�MYVT�[OL�JVYYLJ[�\ZLY�ILOH]PV\Y��

-VY�L_HTWSL��[OL�\ZLY�KVLZ�UV[�^HU[�[V�IL�OLSK�H[�[OL�JYVZZPUN�HUK�[OLYLMVYL�[OL`�

JOVVZL�[V�WHZZ�[OYV\NO�[OL�HJ[P]H[LK�^HYUPUN�PUMVYTH[PVU��

0KLU[PÄ`PUN�[OL�[`WL�VM�\ZLY�LYYVY�JVTTP[[LK�HZ�H�YLZ\S[�VM�[OL�/-�PZZ\L�^PSS�Z\WWVY[�

[OL�JVYYLJ[�HWWSPJH[PVU�VM�TLHZ\YLZ�[V�OLSW�JVU[YVS�[OL�SL]LS�VM�YPZR�H[�[OL�JYVZZPUN��

8

=PVSH[PVU�ILOH]PV\Y�PZ�HKKYLZZLK�[OYV\NO�LTWOHZPZPUN�[OL�JVUZLX\LUJLZ��^OPSL�ZSPWZ��

SHWZLZ�HUK�TPZ[HRLZ�HYL�HKKYLZZLK�I`�KLZPNUPUN�V\[�[OL�YLHZVU�MVY�[OL�LYYVY��

�� $GGLWLRQDO�LQIRUPDWLRQ

;V�THPU[HPU�H�\ZLHISL�KH[HIHZL��VUS`�PUMVYTH[PVU�VU�[OL�\ZLY�ILOH]PV\Y��P�L��[OL�\ZLY»Z�

HJ[PVUZ��[OH[�PZ�H�KPYLJ[�YLZ\S[�VM�[OL�PKLU[PÄLK�O\THU�MHJ[VYZ�PZZ\L�OH]L�ILLU�PUJS\KLK��

+L[HPSLK�ÄUKPUNZ�[OH[�KLZJYPIL�[OL�\UKLYS`PUN�[OLVYPLZ�ILOPUK�\ZLY�ILOH]PV\Y�HUK�YPZR�

WLYJLW[PVU�HYL�YLJVYKLK�ZLWHYH[LS`�VM�[OL�KH[HIHZL�PU�ZLJ[PVU��

9

� �� )LQGLQJV

�� 6XPPDU\�RI�NH\�OLWHUDWXUH�LQIRUPDWLRQ

(�[V[HS�VM��KVJ\TLU[Z�^LYL�YL]PL^LK�HZ�WHY[�VM�;HZR��3P[LYH[\YL�YL]PL^��(�

JVTWSL[L�SPZ[�VM�[OLZL�HYL�WYV]PKLK�PU�[OL�YLMLYLUJLZ�ZLJ[PVU�VM�[OPZ�YLWVY[�

6M�WHY[PJ\SHY�UV[L�HYL�[OL�MVSSV^PUN�KVJ\TLU[Z��^OPJO�WYV]PKL�HU�V]LY]PL^�VM�[OL�YHUNL�

VM�SP[LYH[\YL�YL]PL^LK�

��9HPS^H`�:HML[`�7YPUJPWSLZ�HUK�.\PKHUJL��WHY[��ZLJ[PVU�,!�.\PKHUJL�VU�SL]LS�JYVZZPUNZ�

�/:�.��B/:,�YHD

;OL�9:7.�WYV]PKLZ�N\PKHUJL�HUK�HK]PJL�[V�[OVZL�WLYZVUZ�PU]VS]LK�PU�[OL�WYV]PZPVU�

HUK�THPU[LUHUJL�VM�[OL�WYV[LJ[PVU�HYYHUNLTLU[Z�H[�SL]LS�JYVZZPUNZ��0[�PZ�HSZV�H�

ILUJOTHYR�MVY�JVTWSPHUJL�I`�[OL�0UZWLJ[VYH[L��;OL�N\PKHUJL�IVVR�KL[HPSZ�[OL�

JVUKP[PVUZ�VM�Z\P[HIPSP[`�MVY�WHY[PJ\SHY�[`WLZ�VM�JYVZZPUNZ�[V�[OL�NLULYHS�KLZJYPW[PVU��

TL[OVK�VM�VWLYH[PVU��YHPS^H`�ZPNUHSSPUN�HUK�JVU[YVS�MVY�LHJO�JYVZZPUN�[`WL��0[�HSZV�

WYV]PKLZ�H�KPHNYHT�ZOV^PUN�[OL�[`WPJHS�SH`V\[�MVY�LHJO�JYVZZPUN�[`WL��

��9LX\PYLTLU[Z�MVY�SL]LS�JYVZZPUNZ��PZZ\L��B.0�9;��D

;OL�9HPS^H`�.YV\W�:[HUKHYK�THUKH[LZ�[OL�YLX\PYLTLU[Z�MVY�HSS�HZWLJ[Z�VM�SL]LS�

JYVZZPUNZ��PUJS\KPUN�[OL�KLZPNU��JVUZ[Y\J[PVU��PUZWLJ[PVU��THPU[LUHUJL��VWLYH[PVU�

HUK�KLJVTTPZZPVUPUN��MVY�HSS�9HPS^H`�.YV\W�TLTILYZ��;OPZ�KVJ\TLU[�Z\WLYJLKLZ�

��ZLWHYH[L�SL]LS�JYVZZPUN�9.7�KVJ\TLU[Z��HUK�WYV]PKLZ�H�JVTWSL[L�SPZ[PUN�VM�[OL�

JYVZZPUN�JVU[YVS�TLHZ\YLZ��

��7YV]PZPVU��YPZR�HZZLZZTLU[�HUK�YL]PL^�VM�SL]LS�JYVZZPUNZ��PZZ\L��B.0�9;��D

��.\PKHUJL�VU�WYV]PZPVU��YPZR�HZZLZZTLU[�HUK�YL]PL^�VM�SL]LS�JYVZZPUNZ�B.0�.5��D

;OL�N\PKHUJL�UV[L�MVY�9HPS^H`�.YV\W�:[HUKHYK�.0�9;��KL[HPSZ�MHJ[VYZ�[V�IL�

PUJS\KLK�HZ�WHY[�VM�H�SL]LS�JYVZZPUN�YPZR�HZZLZZTLU[��:VTL�VM�[OL�MHJ[VYZ�PKLU[PÄLK�

HYL�ZPTPSHY�[V�[OVZL�^P[OPU�[OL�/-�PZZ\LZ�KH[HIHZL��OV^L]LY��[OL`�KV�UV[�KL[HPS�[OL�

ILOH]PV\YHS�[YHP[Z�VM�\ZLYZ�HZ�H�YLZ\S[�VM�[OL�PKLU[PÄLK�MHJ[VYZ��

��+L[LYTPUPUN�[OL�ÄUHS�KLJPZPVU�WVPU[�H[�\ZLY�^VYRLK�JYVZZPUNZ�BO\�KLD

��/\THU�-HJ[VYZ�HZZLZZTLU[�VM�[OL�YPZRZ�HZZVJPH[LK�^P[O�4>3�JYVZZPUNZ�BO\�O\D

;OPZ�YLZLHYJO�^HZ�JHYYPLK�V\[�I`�/\THU�,UNPULLYPUN��VU�ILOHSM�VM�9::)��;OL�

YLZLHYJO�KL[HPSZ�\ZLY�ILOH]PV\Y�H[�\ZLY�^VYRLK�JYVZZPUNZ��HUK�KYH^Z�JVUJS\ZPVUZ�

VU�YPZR�WLYJLW[PVU�VM�JYVZZPUN�\ZLYZ�HUK�[OL�YLHZVUZ�MVY�\ZLY�]PVSH[PVUZ��;OLZL�

KVJ\TLU[Z�WYV]PKL�H�ZV\YJL�VM�PUMVYTH[PVU�MVY�[OL�[`WLZ�VM�LYYVYZ�JVTTP[[LK�I`�\ZLYZ�

HUK�TH`�Z\WWVY[�[OL�HWWYVWYPH[L�ZLSLJ[PVU�VM�YPZR�JVU[YVS�TLHZ\YLZ��

��9VHK�]LOPJSL�SL]LS�JYVZZPUNZ�ZWLJPHS�[VWPJ�YLWVY[�BYZZI�YVD

;OPZ�YLWVY[�WYV]PKLZ�H�KL[HPSLK�YL]PL^�VM�[OL�U\TILYZ�VM�KPMMLYLU[�SL]LS�JYVZZPUN�[`WLZ�

HUK�[OL�U\TILYZ�VM�PUJPKLU[Z�PU]VS]PUN�YVHK�]LOPJSLZ�HUK�[YHPUZ�H[�JYVZZPUNZ��0[�HSZV�

PKLU[PÄLZ�[OL�OPNO�SL]LS�JH\ZLZ�VM�JVSSPZPVU�YPZR��VM�^OPJO�YVHK�]LOPJSL�KYP]LY�LYYVY�PZ�

10

[OL�TVZ[�JVTTVU�JH\ZL�HUK�]PVSH[PVUZ�[OL�ZLJVUK�TVZ[�JVTTVU��;OPZ�YLWVY[�KPMMLYZ�

MYVT�[OL�YVHK�]LOPJSL�YLWVY[��PU�[OH[�P[�WYV]PKLZ�PUMVYTH[PVU�HIV\[�KL[HPSLK�O\THU�

MHJ[VY�PZZ\LZ�[OH[�JHU�SLHK�[V�PUJPKLU[Z�H[�HSS�[`WLZ�VM�JYVZZPUNZ�

��9LK\JPUN�LYYVY�HUK�PUÅ\LUJPUN�ILOH]PV\Y�B/:,�YLD

;OPZ�KVJ\TLU[�N\PKLZ�[OVZL�^P[O�YLZWVUZPIPSPP[LZ�MVY�^VYRWSHJL�OLHS[O�HUK�ZHML[`�

[V�JVUZPKLY�[OL�ILULÄ[Z�VM�O\THU�MHJ[VYZ��0[�KLÄULZ�[OL�PTWHJ[�VM�O\THU�LYYVY�HUK�

ILOH]PV\Y�VU�OLHS[O�HUK�ZHML[ �̀�[OL�[`WLZ�VM�O\THU�LYYVY�HUK�TL[OVKZ�MVY�YLK\JPUN�

[OLT�HUK�[OL�PTWYV]LTLU[�VM�OLHS[O�HUK�ZHML[`�[OYV\NO�HWWYVWYPH[L�HWWSPJH[PVU�VM�

[HZRZ��LX\PWTLU[��WYVJLK\YLZ�HUK�^HYUPUNZ�

4HU`�VM�[OL�KVJ\TLU[Z�YL]PL^LK�WYV]PKLK�\ZLM\S�O\THU�MHJ[VYZ�PUMVYTH[PVU��`L[�MVJ\Z�

VU�SPTP[LK�JYVZZPUN�[`WLZ�VY�\ZLYZ��;OPZ�YLWVY[�IYPUNZ�[VNL[OLY�[OL�O\THU�MHJ[VYZ�

PUMVYTH[PVU�MYVT�HSS�[OL�YLMLYLUJLZ�YL]PL^LK�

�� 6XPPDU\�RI�PDLQ�GDWDEDVH�ÀQGLQJV

)LSV^�PZ�H�Z\TTHY`�VM�[OL�THPU�ÄUKPUNZ�MYVT�[OL�KH[HIHZL��

�� ;V�KH[L��O\THU�MHJ[VYZ�PZZ\LZ�OH]L�ILLU�KLÄULK�

�� O\THU�MHJ[VYZ�PZZ\LZ�YLSH[L�[V�WYV[LJ[LK�SL]LS�JYVZZPUNZ�

�� PZZ\LZ�YLSH[L�[V�\UWYV[LJ[LK�JYVZZPUNZ�

�� ;OL�ZPNUHSSLY�PZ�YLMLYYLK�[V�^P[OPU��VM�[OL�PZZ\LZ��^P[O�YLNHYK�[V"�JVTT\UPJH[PVU�

��JVU[HJ[PUN��KL[LJ[PVU�VM�VIQLJ[Z��HUK�[YHJR�ZPKL�^VYRLYZ�� JHTLYH�

HUNSL��HUK�ZPNUHS�ZLJ[PVUZ��

�� .YV\WZ�VM�SL]LS�JYVZZPUN�\ZLYZ�OH]L�ILLU�PKLU[PÄLK�HZ�PTWHJ[PUN�VU��VM�[OL�O\THU�

MHJ[VYZ�PZZ\LZ��;OLZL�YLMLY�[V"�NYV\WZ�PU�NLULYHS��WVZP[PVU�VM�ZHML[`��

WLKLZ[YPHUZ�VU�]LOPJ\SHY�JYVZZPUNZ��WHZZLUNLY�JVTWSPHUJL�^P[O�4>3��

[YLZWHZZLYZ�� HUK�^HSRLYZ�PU�NYV\WZ��

�� 6M�WHY[PJ\SHY�UV[L��WLKLZ[YPHU�\ZLYZ�HYL�HMMLJ[LK�I`�VUS`�� PZZ\LZ��^OPSL�]LOPJSL�

KYP]LYZ��JHYZ��]HUZ��/.=Z� �TV[VYJ`JSPZ[Z��HYL�HMMLJ[LK�I`��O\THU�MHJ[VYZ�PZZ\LZ�

�� O\THU�MHJ[VYZ�PZZ\LZ�YLSH[L�[V�\ZLY�^VYRLK�JYVZZPUNZ��PUJS\KPUN�[OVZL�^P[O�

[LSLWOVULZ�VY�TPUPH[\YL�^HYUPUN�SPNO[Z��

�� (\[VTH[PJ�VWLU�SL]LS�JYVZZPUNZ�HYL�HMMLJ[LK�I`��VM�[OL�O\THU�MHJ[VYZ�PZZ\LZ�

�� 5HFXUULQJ�+)�WKHPHV

(�YHUNL�VM�YLJ\YYPUN�/-�[OLTLZ�OH]L�ILLU�PKLU[PÄLK�MYVT�[OL�KH[HIHZL��;OLZL�[OLTLZ�

IYPLÅ`�KLZJYPIL�[OL�YLHZVUZ�MVY�\ZLY�ILOH]PV\YZ�HZ�H�YLZ\S[�VM�[OL�O\THU�MHJ[VYZ�

PZZ\LZ��

�� &RPSHWHQFH

*VTWL[LUJL�[OLTL�L_WSHPUZ�[OL�ILOH]PV\YZ�VM�\ZLYZ�HZ�H�YLZ\S[�VM�[OL�\ZLY�UV[�ILPUN�

11

H^HYL�VM�VY�MHPSPUN�[V�M\SS`�\UKLYZ[HUK�[OL�JVYYLJ[�Y\SLZ�HUK�WYVJLK\YLZ�MVY�\ZPUN�SL]LS�

JYVZZPUNZ��(U�L_HTWSL�VM�H�KH[HIHZL�PZZ\L�ÔPJO�KLTVUZ[YH[LZ�[OPZ�JVTWL[LUJL�

[OLTL��PZ�PZZ\L��!�/PNO^H`�*VKL!�[OL�OPNO^H`�JVKL�J\YYLU[S`�JVU[HPUZ��Y\SLZ�MVY�

]LOPJSL�KYP]LYZ��+\L�[V�[OL�J\YYLU[�TL[OVK�MVY�SLHYUPUN�[OL�JVKL�HUK�P[Z�KLW[O�HUK�

JVTWSL_P[`�VM�SLNHS�YLX\PYLTLU[Z��UV[�HSS�]LOPJSL�KYP]LYZ�HYL�M\SS`�H^HYL�VM�[OL�L_HJ[�

WYVJLK\YLZ�MVY�YLZWVUKPUN�JVYYLJ[S`�[V�SL]LS�JYVZZPUNZ��

;OL�JVTWL[LUJL�[OLTL�KPMMLYZ�MYVT�JVTWSPHUJL��ÔPJO�PZ�HKKYLZZLK�M\SS`�PU�ZLJ[PVU�

��*VTWSPHUJL�PZ�HZZVJPH[LK�^P[O�\ZLY�ILOH]PV\Y�[OH[�YLZ\S[Z�MYVT�ILPUN�H^HYL�

VM�[OL�Y\SLZ�HUK�WYVJLK\YLZ�MVY�JVYYLJ[S`�\ZPUN�SL]LS�JYVZZPUNZ��OV^L]LY�JOVVZPUN�UV[�

[V�JVTWS`�^P[O�[OLZL�SLNHS�YLX\PYLTLU[Z�MVY�]HYPV\Z�YLHZVUZ��MVY�L_HTWSL��WHZZPUN�

[OYV\NO�[OL�HJ[P]H[LK�^HYUPUN�Z`Z[LT�ZV�HZ�[V�H]VPK�OH]PUN�[V�^HP[��

�� 'LVWUDFWLRQ

+PZ[YHJ[PVU�OHZ�HSZV�ILLU�PKLU[PÄLK�HZ�H�/-�[OLTL�[OYV\NOV\[�[OL�KH[HIHZL��(U�

L_HTWSL�/-�PZZ\L�� !�5VPZL!�UVPZ`�Z\YYV\UKPUNZ�TH`�PTWHPY�[OL�WLMVYTHUJL�VM�[OL�

\ZLYZ�[V�KL[LJ[�[YHPUZ�H[�SL]LS�JYVZZPUNZ��5VPZ`�Z\YYV\UKPUNZ�JSVZL�[V�[OL�JYVZZPUN�JHU�

KPZ[YHJ[�[OL�SL]LS�JYVZZPUN�\ZLY�MYVT�HZZLZZPUN�MVY�[OL�WYLZLUJL�VM�H�[YHPU��

�� ,QDGHTXDWH�GHVLJQ�

0U�THU`�HYLHZ�VM�[OL�<2��SL]LS�JYVZZPUNZ�OH]L�ILLU�LZ[HISPZOLK�MVY�ZVTL�[PTL��;OL�

KL]LSVWTLU[�VM�HYLHZ�[V�PUJS\KL�TVYL�OVTLZ�HUK�SHYNLY�YVHK�PUMYHZ[Y\J[\YLZ�OHZ�ILLU�

HJJVTTVKH[LK�[OYV\NO�JOHUNLZ�[V�[OL�SL]LS�VM�WYV[LJ[PVU�H[�JYVZZPUNZ��/V^L]LY��[OL�

JVU[PU\LK�PUJYLHZLZ�PU�KL]LSVWTLU[�^PSS�TLHU�[OH[�H[�ZVTL�WVPU[�[OL�L_[LU[�VM�JOHUNL�

[V�SL]LS�JYVZZPUN�WYV[LJ[PVU�PZ�PUHKLX\H[L�HUK�\UHISL�[V�RLLW�WHJL��

;OL�PUHKLX\HJ`�VM�SL]LS�JYVZZPUN�KLZPNU�PZ�H�MLH[\YL�VM�ZVTL�VM�[OL�/-�PZZ\LZ��-VY�

L_HTWSL��PZZ\L��!�/V\ZPUN�KL]LSVWTLU[Z!�PUJYLHZLZ�YVHK�[YHMÄJ�HUK�SL]LS�JYVZZPUN�

\ZL��

�� %HKDYLRXU�DULVLQJ�IURP�ULVN�

(U�V\[SPUL�VM�LHJO�[`WL�VM�YPZR�ILOH]PV\Y�PZ�WYV]PKLK�^P[O�H�Z\TTHY`�VM�Z\WWVY[PUN�YPZR�

WLYJLW[PVU�YLZLHYJO��ÔPJO�MYHTLZ�[OL�IHJRNYV\UK�[V�[OL�YLZ\S[HU[�\ZLY�ILOH]PV\YZ�

^P[OPU�[OL�KH[HIHZL��

;OL�/:,�KVJ\TLU[��º9LK\JPUN�LYYVY�HUK�PUÅ\LUJPUN�ILOH]PV\Y»�B/:,�YLD�WYV]PKLZ�

WYHJ[PJHS�N\PKHUJL�[V�THU`�VM�[OL�MVSSV^PUN�YPZR�[OLTLZ��

�� ;̀ WL�VM�YPZRZ

9PZRZ�JHU�IL�L_WLYPLUJLK�[OYV\NO�H�WO`ZPJHS�VY�WZ`JOVSVNPJHS�^H �̀��(�SL]LS�JYVZZPUN�

\ZLY�TH`�L_WLYPLUJL�H�WO`ZPJHS�YPZR�[OYV\NO�[OL�WV[LU[PHS�VM�ILPUN�OP[�I`�H�[YHPU��(�

WZ`JOVSVNPJHS�YPZR�TH`�IL�L_WLYPLUJLK�[OYV\NO�[OL�WV[LU[PHS�VM�ILPUN�JH\NO[�I`�[OL�

WVSPJL�MVY�WHZZPUN�[OYV\NO�[OL�HJ[P]H[LK�^HYUPUN�SPNO[Z�

�� 0UKP]PK\HS�WLYJLP]LK�JVU[YVS

7LVWSL�HKVW[�[OLPY�VÛ�SL]LSZ�VM�YPZR�VYPLU[H[PVU��HUK�[OLZL�HYL�NLULYHSS`�KLÄULK�I`�[OL�

MVSSV^PUN�MHJ[VYZ!

12

� �� (U�PUKP]PK\HS»Z�VÛ�WLYZVUHSP[`�JOHYHJ[LYPZ[PJZ��;OVZL�[OH[�ZLLR�V\[�YPZR�HYL�

VM[LU�YLMLYYLK�[V�HZ�ZLUZH[PVU�ZLLRLYZ�HUK�OH]L�H�ULLK�MVY�T\JO�OPNOLY�SL]LSZ�VM�

Z[PT\SH[PVU��^L�YP� �HK�YP��

� �� ;OL�ZVJPHS�HMMLJ[�VU�H�WLYZVU»Z�ILOH]PV\Y��L�N��[OYV\NO�HWWYV]HS�VY�KPZHWWYV]HS�I`�

V[OLYZ�

� �� ;OLPY�VÛ�SVJ\Z�VM�JVU[YVS��ÔPJO�KL[LYTPULZ�OV^�PU�JVU[YVS�HU�PUKP]PK\HS�MLLSZ�

HIV\[�[OLPY�VÛ�ILOH]PV\Y��I\�YP��

;OL�SL]LS�VM�WLYJLP]LK�YPZR�JHU�JOHUNL�KLWLUKLU[�\WVU�[OL�\ZLY»Z�ZP[\H[PVU��=PVSH[PVUZ�

JHU�IL�L_WSHPULK�I`�HU�\UKLYZ[HUKPUN�VM�OV^�WLVWSL�HZZLZZ�[OL�WLYJLP]LK�YPZRZ��-VY�

L_HTWSL��/-�PZZ\L��!�;PTL�VM�KH`!�YPZR�[HRPUN�ILOH]PV\Y�H[�SL]LS�JYVZZPUNZ�PUJYLHZLZ�

K\YPUN�Y\ZO�OV\YZ��H[�TPKKH`�HUK�H[�[OL�ILNPUUPUN�HUK�LUK�VM�[OL�ZJOVVS�KH �̀��(�

]LOPJSL�KYP]LY�JHSJ\SH[LZ�[OL�WLYJLP]LK�YPZR�VM�JYVZZPUN�PSSLNHSS`�ÔLU�OH]PUN�[V�^HP[�

H[�[OL�JYVZZPUN��JVTWHYLK�^P[O�[OL�YPZRZ�VM�V[OLY�[OPUNZ��Z\JO�HZ�ILPUN�SH[L�MVY�HU�

HWWVPU[TLU[��;OL�ILULÄ[�VM�JYVZZPUN�PSSLNHSS`�PZ�VI]PV\Z�[V�[OL�KYP]LY"�UV[�OH]PUN�

[V�^HP[�H[�[OL�JYVZZPUN�HUK�YLHJOPUN�[OLPY�KLZPYLK�KLZ[PUH[PVU�VU�[PTL��0M�[OPZ�YPZR�

V\[^LPNOZ�[OLPY�HZZLZZTLU[�VM�[OL�WV[LU[PHS�JVZ[Z�VM�ILPUN�OP[�I`�[YHPU��[OLU�[OL�\ZLY�PZ�

SPRLS`�[V�JYVZZ��

�� 9PZR�JVTWLUZH[PVU

7LVWSL�YLZWVUK�[V�VY�JVTWLUZH[L�MVY�WLYJLP]LK�JOHUNLZ�PU�[OL�KHUNLYZ�[V�ÔPJO�

[OL`�HYL�L_WVZLK��I`�HKHW[PUN�[OLPY�ILOH]PV\Y��7LVWSL�HKVW[�JVNUP[P]L�Z[YH[LNPLZ�MVY�

JVWPUN�^P[O�[OLPY�ILOH]PV\Y�ÔLU�^P[OPU�YPZR�L_WVZLK�LU]PYVUTLU[Z��0[�PZ�IHZLK�VU�H�

ºYPZR�[OLYTVZ[H[»�TVKLS�[OH[�KLÄULZ�LHJO�VM�V\Y�VÛ�SL]LS�VM�YPZR��THPUS`�MYVT�VUL»Z�

WLYZVUHSP[ �̀��0[�T\Z[�IL�UV[LK�[OH[�[OL�YPZR�JVTWLUZH[PVU�[OLVY`�OHZ�Z[YVUN�HYN\TLU[Z�

IV[O�MVY�HUK�HNHPUZ[��

(U�PUKP]PK\HS»Z�WYVWLUZP[`�[V�[HRL�YPZRZ�PZ�PUÅ\LUJLK�I`�[OLPY�VÛ�L_WLYPLUJL�HUK�[OH[�

VM�V[OLYZ�HUK�[OPZ�TVKLS�HZZ\TLZ�[OH[�[OL�KLNYLL�[V�ÔPJO�^L�[HRL�YPZRZ�]HYPLZ�MYVT�

VUL�PUKP]PK\HS�[V�HUV[OLY��(U�PUKP]PK\HS»Z�[HYNL[�YPZR�SL]LS�JOHUNLZ�KLWLUKLU[�\WVU�

[OL�WVZP[P]L��P�L��ZH]PUN�PU�[PTL��VY�ULNH[P]L��P�L��PUQ\Y`��NHPUZ�^P[O�ÔPJO�YPZR`�ILOH]PV\Y�

HJOPL]LZ��;OLYLMVYL�PM�H�WLYZVU»Z�[HYNL[�YPZR�SL]LS�PZ�SV^�HUK�[OLPY�WLYJLW[PVU�VM�YPZR�PZ�

OPNO��[OLU�[OH[�WLYZVU�^PSS�ILOH]L�PU�H�JH\[PV\Z�THUULY��/V^L]LY��PM�[OL�[HYNL[�SL]LS�

YLTHPUZ�[OL�ZHTL��I\[�[OL�WLYJLW[PVU�VM�YPZR�PZ�HSZV�SV^��[OLU�P[�PZ�Z\NNLZ[LK�[OH[�[OL�

WLYZVU�^PSS�ILOH]L�PU�H�TVYL�YPZR`�THUULY�

9LJLU[�9::)�\UWYV[LJ[LK�JYVZZPUN�YLZLHYJO�HK]PZLZ�HNHPUZ[�SV^LYPUN�[OL�\ZLY»Z�

WLYJLW[PVU�VM�YPZR�H[�H�JYVZZPUN��^P[OV\[�HJ[\HSS`�PUJYLHZPUN�[OL�WYV[LJ[PVU�H[�[OL�SL]LS�

JYVZZPUN��0[�Z\NNLZ[Z�[OH[�[OPZ�JV\SK�WV[LU[PHSS`�SLHK�[V�HU�PUJYLHZL�PU�HJJPKLU[Z��[OPZ�

]PL^�JV\SK�HSZV�IL�HWWSPLK�[V�WYV[LJ[LK�SL]LS�JYVZZPUNZ��OV^L]LY�[OPZ�YLJVTTLUKH[PVU�

OHZ�`L[�[V�IL�]HSPKH[LK��/-�PZZ\L��!�:PNO[PUN�KPZ[HUJL!�NVVK�ZPNO[PUN�KPZ[HUJL�ZOV\SK�

PUKPJH[L�[OL�SL]LS�JYVZZPUN�HZ�OPNO�YPZR��PZ�HU�L_HTWSL�VM�\ZLY�YPZR�JVTWLUZH[PVU��

�� -HTPSPHYP[`�

(�WLYZVU»Z�MHTPSPHYP[`�^P[O�H�[HZR�JHU�HSZV�HMMLJ[�[OLPY�ILOH]PV\Y��/HIP[Z�MVYT�V]LY�H�

WLYPVK�VM�[PTL�[V�OLSW�WLVWSL�JVWL�^P[O�YLN\SHY�ZP[\H[PVUZ�HUK�LU]PYVUTLU[Z��[OYV\NO�

13

HWWS`PUN�ILOH]PV\YZ�[OH[�YLX\PYL�TPUPTHS�º[OPURPUN»��;OL�YLZ\S[HU[�ILOH]PV\Y�PU�H�

RUVÛ�ZP[\H[PVU��ÔPJO�^PSS�\S[PTH[LS`�IL�PUÅ\LUJLK�I`�VUL»Z�WLYZVUHSP[`��^PSS�IL�HZ�

HU�¸PTWSLTLU[H[PVU�PU[LU[PVU¹��I\�YP��ÔLYL�HU�HJ[PVU�PZ�JHYYPLK�V\[�PU�YLZWVUZL�[V�H�

ZP[\H[PVU��;OPZ�LUHISLZ�WLVWSL�[V�\UKLY[HRL�WHY[PJ\SHY�[HZRZ��HUK�THU`�[HZRZ�H[�VUJL��

^P[OV\[�OH]PUN�[V�JVUJLYU�[OLTZLS]LZ�^P[O�[OL�ÄULY�KL[HPSZ�VM�OV^�[OH[�[HZR�PZ�HJ[\HSS`�

MVYTLK��[O\Z�HSSV^PUN�[OLT�[V�JVUJLU[YH[L�SLZZ�

;OL�ÄULY�KL[HPSZ�[OH[�WLVWSL�NYHK\HSS`�MHPS�[V�[HRL�PU[V�HJJV\U[�ÔLU�\UKLY[HRPUN�

H�YLN\SHY�[HZR�JHU�IL�L_WSHPULK�HZ�HSS�[OL�PUMVYTH[PVU�WYLZLU[LK�[V�\Z�MYVT�[OL�

LU]PYVUTLU[��ÔPJO�^L�WYVJLZZ�[V�KL[LYTPUL�[OL�TVZ[�Z\P[HISL�ILOH]PV\YHS�YLZWVUZL�

/V^L]LY��I`�UV[�[OPURPUN�HIV\[�[OLZL�ÄULY�KL[HPSZ�VM�H�[HZR��\ZLYZ�[LUK�[V�TPZZ�[OL�

¸L_[LYUHS�J\LZ¹�MYVT�[OL�LU]PYVUTLU[�[OH[�^V\SK�UVYTHSS`�PUMVYT�[OLT�ÔL[OLY�[OL�

ILOH]PV\Y�[OL`�HYL�\UKLY[HRPUN�PZ�HWWYVWYPH[L��I\�YP��

-VY�L_HTWSL��/-�PZZ\L��!�7HZZLUNLY�JVTWSPHUJL�^P[O�4>3!�[OL�YLK�SPNO[�VM�H�4>3�

PZ�HZZVJPH[LK�^P[O�[OL�[YHPU�WHZZLUNLYZ�OH]L�HSPNO[LK�MYVT��(�WHZZLUNLY�\ZPUN�H�

Z[H[PVU�MVV[�JYVZZPUN�^P[O�TPUPH[\YL�^HYUPUN�SPNO[Z��VU�H�YLN\SHY�IHZPZ��TH`�L_OPIP[�[OPZ�

MHTPSPHYP[`�ILOH]PV\Y��;OL`�TH`�JYVZZ�HNHPUZ[�H�YLK�SPNO[��\UH^HYL�VM�[OL�PUMVYTH[PVU�

YLX\LZ[PUN�[OLT�[V�Z[VW��ILJH\ZL�[OL�ZP[\H[PVU�OHZ�[YPNNLYLK�HU�OHIP[\HS�YLZWVUZL��

;OL`�OH]L�MHPSLK�[V�[HRL�PU[V�HJJV\U[�[OL�ZP[\H[PVUHS�HUK�LU]PYVUTLU[HS�PUMVYTH[PVU�

ILMVYL�[OL`�OH]L�HJ[LK�

-HTPSPHYP[`�HSZV�WYLZLU[Z�V[OLY�WYVISLTZ��*VU[PU\LK�PTWSLTLU[H[PVU�VM�H�[HZR��

ÔPJO�KVLZ�UV[�WYLZLU[�KHUNLYZ�VU�H�YLN\SHY�IHZPZ�JHU�SLHK�H�\ZLY�[V�[OPUR�[OL`�HYL�

UL]LY�NVPUN�[V�IL�L_WVZLK�[V�[OL�YPZR��[OLYLMVYL�[OL`�ILOH]L�SLZZ�JH\[PV\ZS`�PU�[OLZL�

JPYJ\TZ[HUJLZ��-VY�L_HTWSL��/-�PZZ\L��!�-YLX\LUJ`�VM�[YHPUZ!�JYVZZPUNZ�^P[O�SV^�

MYLX\LUJ`�VM�[YHPUZ�HYL�SPRLS`�[V�PUJYLHZL�[OL�YPZR�[HRPUN�ILOH]PV\Y�VM�YLN\SHY�\ZLYZ��(�

]LOPJSL�KYP]LY�\ZPUN�H�JYVZZPUN�[OH[�OHZ�VUS`�H�ML^�[YHPUZ�WHZZPUN�LHJO�KH`�TH`�YLK\JL�

[OLPY�SL]LS�VM�JH\[PVU��;OL�JVTIPUH[PVU�VM�JVU[PU\LK�\ZL�HUK�VUS`�L]LY�ZLLPUN�H�ML^�VY�

WVZZPIS`�UV�[YHPUZ�K\PYUN�[OPZ�WLYPVK�VM�[PTL��YLTV]LZ�[OL�PUKP]PK\HSZ�¸HIPSP[`�[V�[OPUR�

SVNPJHSS`�HUK�YH[PVUHSS`�HIV\[�[OLPY�ILOH]PV\Y¹��I\�YP��

�� *VTWSHJLUJ`

0[�JV\SK�IL�Z\NNLZ[LK�[OH[�\ZLYZ�[HRL�H�¸P[�^VU»[�OHWWLU�[V�TL¹�HWWYVHJO�ÔPSL�

JYVZZPUN��2UVÛ�HZ�[OL�¸PUÅ\LUJL�VM�H[[YPI\[PVUHS�IPHZLZ�VU�WLVWSL»Z�JVTWHYH[P]L�YPZR�

L]HS\H[PVU¹��^L�YP��WLVWSL�^PSS�WLYJLP]L�[V�IL�H[�H�SLZZLY�YPZR�[OHU�V[OLYZ��VM[LU�YLSH[LK�

[V�Q\KNPUN�[OLTZLS]LZ�HZ�ILPUN�TVYL�ZRPSSLK��HUK�[OLYLMVYL�SLHKPUN�[V�YLK\JLK�SL]LSZ�VM�

JH\[PVU��

9::)�YLZLHYJO�PKLU[PÄLK�H�^LHR�JVYYLSH[PVU�IL[^LLU�H�\ZLYZ»�WLYJLW[PVU�VM�OV^�YPZR`�

H�ZP[\H[PVU�^HZ�HUK�[OLPY�RUV^SLKNL�VM�SL]LS�JYVZZPUNZ�^P[O�WYL]PV\Z�ULHY�TPZZLZ�VY�

HJJPKLU[Z��0[�WVPU[Z�V\[�OV^�[OPZ�JVTWSHJLUJ`�VM�JYVZZPUN�\ZLYZ�PZ�PU�JVU[YHZ[�[V�[OL�

YVHK�ZHML[`�ºISHJR�ZWV[»�[OLVY`�\ZLK�I`�[OL�.V]LYUTLU[��[V�PKLU[PM`�[V�]LOPJSL�KYP]LYZ�

WYL]PV\Z�HYLHZ�VM�OPNO�HJJPKLU[Z��[OLYLMVYL�KYP]LYZ�HKQ\Z[PUN�[OLPY�ILOH]PV\Y�[V�YLK\JL�

YPZR�[V�[OLTZLS]LZ��0U�ZVTL�VM�[OL�JHZLZ�VIZLY]LK��\ZLYZ�[OH[�JVUÄYTLK�[OL`�RUL^�VM�

H�WYL]PV\Z�PUJPKLU[��JVU[PU\LK�[V�SLH]L�NH[LZ�VWLU�H[�H�MVV[WH[O�JYVZZPUN��

14

�� 4LU[HS�4VKLSZ

<ZLYZ�MVYT�TLU[HS�TVKLSZ�VM�ZP[\H[PVUZ�[V�OLSW�[OLT�THRL�ZLUZL�VM�HUK�W\[�Z[Y\J[\YL�

PU[V�[OL�^VYSK�HYV\UK�[OLT��/V^L]LY��PM�[OL�TVKLS�KVLZ�UV[�JVU[HPU�HSS�[OL�JVYYLJ[�

PUMVYTH[PVU�VY�[OL`�OH]L�TPZYLWYLZLU[H[PVUZ�VM�[OL�LU]PYVUTLU[��[OL�\ZLY�TH`�

WLYJLP]L�[OLTZLS]LZ�HZ�ZHML�ÔLU�\UKLY[HRPUN�[HZRZ��ÔLU�PU�MHJ[�[OL`�HYL�L_WVZPUN�

[OLTZLS]LZ�[V�KHUNLY��^L�YP��

0U�[OL�JVU[L_[�VM�SL]LS�JYVZZPUNZ��\ZLYZ�VM[LU�OH]L�HU�PUJVYYLJ[�TLU[HS�TVKLS�VM�[YHPU�

ZWLLK�HUK�KPZ[HUJL��/-�PZZ\L��!�<ZLY�WLYJLW[PVU�VM�[YHPU�ZWLLK�HUK�KPZ[HUJL!�

[YHPU�ZWLLK�HUK�KPZ[HUJL�PZ�\UKLYLZ[PTH[LK�I`�\ZLYZ��ÔPJO�TH`�YLZ\S[�PU�PUJYLHZLK�

KLJPZPVU�THRPUN�LYYVYZ�I`�SL]LS�JYVZZPUN�\ZLYZ��;OLPY�TVKLS�PZ�IHZLK�\WVU�YVHK�

]LOPJSL�ZWLLK��ÔPJO�L_WVZLZ�[OLT�[V�PUJYLHZLK�YPZR�ÔLU�Q\KNPUN�[YHPU�TV]LTLU[��

�� $GGUHVVLQJ�+)�LVVXHV

;OL�KH[HIHZL�OHZ�PKLU[PÄLK�[OL�[`WL�VM�\ZLY�MHPS\YL�HZ�H�YLZ\S[�VM�LHJO�/-�PZZ\L��;OL�

[`WL�VM�MHPS\YL�JVTTP[[LK�I`�H�\ZLY�^PSS�KL[LYTPUL�[OL�HWWYVWYPH[L�YPZR�JVU[YVS�TLHZ\YL�

[V�IL�PTWSLTLU[LK�[V�LUZ\YL�[OL�YPZR�PZ�HZ�SV^�HZ�YLHZVUHIS`�WYHJ[PJHISL��

/V^�/490�HKKYLZZ�[OLZL�PZZ\LZ��PU�[LYTZ�VM�LUZ\YPUN�[OL�HWWYVWYPH[L�YPZR�JVU[YVS�

TLHZ\YLZ�HYL�PU�WSHJL��PZ�KLWLUKLU[�\WVU�RUV^PUN�[OL�[`WL�VM�MHPS\YL�JVTTP[[LK�I`�

[OL�\ZLY��;OL�O\THU�MHPS\YL�[`WLZ�OH]L�ILLU�ZPTWSPÄLK�MVY�[OL�W\YWVZLZ�VM�[OPZ�^VYR��

PU[V�[OL�MVSSV^PUN�JH[LNVYPLZ!

�� =PVSH[PVU�ILOH]PV\Y�PZ�H�KLSPILYH[L�KL]PH[PVU�MYVT�[OL�JVYYLJ[�WYVJLK\YL��;OL�\ZLY�

WLYJLP]LZ�[OL�ILULÄ[Z��P�L��ZH]PUN�[PTL��VM�\UKLY[HRPUN�[OL�]PVSH[PVU�V\[^LPNOZ�

[OVZL�YPZRZ�VM�JVTTP[[PUN�P[��P�L��YPZR�VM�ILPUN�OP[�I`�H�[YHPU��;OPZ�[`WL�VM�ILOH]PV\Y�

PZ�TVZ[�HWWYVWYPH[LS`�KLHS[�^P[O�[OYV\NO�LTWOHZPZPUN�[OL�JVUZLX\LUJLZ��

�� ,YYVY�ILOH]PV\Y�PZ�HU�\UPU[LU[PVUHS�ILOH]PV\Y�[OH[�KL]PH[LZ�MYVT�[OL�JVYYLJ[�

WYVJLK\YL��;OL�\ZLY�JHYYPLZ�V\[�H�[HZR��P�L��JYVZZPUN�[OL�YHPS^H`��I\[�MHPSZ�[V�[HRL�

HJJV\U[�VM�[OL�JVYYLJ[�JYVZZPUN�WYVJLK\YL��P�L��KVLZ�UV[�JVTWYLOLUK�JOHUNL�

PU�H\KPISL�^HYUPUN�[VUL��;OLZL�HYL�IL[[LY�HKKYLZZLK�[OYV\NO�[OL�HWWSPJH[PVU�VM�

HWWYVWYPH[L�TLHZ\YLZ�ÔPJO�KLZPNU�V\[�[OL�LYYVY��

�� ,VVXHV�EH\RQG�+6(�FRQWURO

0[�PZ�YLJVNUPZLK�[OH[�ZVTL�VM�[OL�PKLU[PÄLK�PZZ\LZ�HYL�V\[ZPKL�[OL�JVU[YVS�VM�[OL�YHPS^H`�

PUK\Z[Y`�HUK�MHSS�\UKLY�[OL�YLZWVUZPIPSP[`�VM�V[OLY�VYNHUPZH[PVUZ��/V^L]LY��[OL`�OH]L�

ILLU�THPU[HPULK�^P[OPU�[OL�KH[HIHZL�HZ�[OL`�JVU[PU\L�[V�PTWHJ[�VU�[OL�ILOH]PV\Y�VM�

SL]LS�JYVZZPUN�\ZLYZ��

*V�VYKPUH[PVU�^P[O�[OLZL�V\[ZPKL�VYNHUPZH[PVUZ�TH`�Z\WWVY[�[OL�KL]LSVWTLU[�VM�

TLHZ\YLZ�[V�KLHS�^P[O�ZVTL�VM�[OL�/-�PZZ\LZ��MVY�L_HTWSL��JVSSHIVYH[PVU�^P[O�/PNO^H`�

(\[OVYP[PLZ�[V�KYP]L�JOHUNLZ�PU�ZPNUHNL�KLZPNU��[V�HKKYLZZ�[OL�LYYVY�ILOH]PV\Y�VM�\ZLYZ��

/-�PZZ\LZ�Z\JO�HZ�[OLZL�TH`�WYLZLU[�HU�VWWVY[\UP[`�MVY�YL]PL^�I`�[OL�/:,»Z�9HPS^H`Z�

7VSPJ`�;LHT��)\[�SPTP[H[PVUZ�HYL�HNHPU�YLJVNUPZLK�ÔLYL�[OL�SL]LS�VM�YPZR�JVU[YVS�PZ�

ILUJOTHYRLK�I`�LZ[HISPZOLK�Y\SLZ�HUK�WYPUJPWSLZ��Z\JO�HZ�[OL�/PNO^H`�*VKL��

15

�� 0RYLQJ�IRUZDUG�WR�WRROV�DQG�DSSURDFKHV�IRU�,QVSHFWRUV

(WWS`PUN�[OL�O\THU�MHJ[VYZ�PZZ\LZ�K\YPUN�[OL�PUZWLJ[PVU�WYVJLZZ��MVY�KLÄUPUN�^OH[�

ZOV\SK�IL�L_WLJ[LK�H[�H�WHY[PJ\SHY�JYVZZPUN�[`WL��[V�LUZ\YL�HU`�YPZR�PZ�JVU[YVSSLK��^PSS�

IL�JV]LYLK�HZ�WHY[�VM�[OL�KL]LSVWTLU[�VM�[VVSZ�HUK�HWWYVHJOLZ��

�� 'DWDEDVH�RI�KXPDQ�IDFWRUV�LVVXHV

;OL�MVSSV^PUN�WHNLZ�JVU[HPU�[OL��O\THU�MHJ[VYZ�PZZ\LZ��;^V�PZZ\LZ�HYL�WYLZLU[LK�

WLY�WHNL��PU�U\TLYPJHS�VYKLY�\ZPUN�[OL�YLMLYLUJL�U\TILYZ��

16

Level crossings: communication and user behaviour issues Ref 01 Creation date 06.06.2004 Last modified 02.02.2005

Issue

2.1 Level crossing user type 2.2 Age

1. Level 2. 1.1 Protected 1.2 Unprotected 2.3 On own

Phone cabinet instructions

Crossing type User details

4. User behaviour

Issue at a level crossing

Berry Lane UWC: general wear

and tear have made the phone

box instructions at this crossing

difficult to read.

user.

safety critical information, but is not required to be learnt by UWC users.

Information should be provided within telephones cabinets at UWC, giving details to the user of how to call the signaller and

information regarding the location of the crossing. However, any information not clearly conveying the correct procedure nor the

necessary details required by the signaller to ascertain the location of the level crossing, may reduce the user’s willingness to carry

out the required phone call.

Superfluous information, not required by the level crossing user, may also hinder the communication between the signaller and

For example, the phonetic alphabet appears at some UWC+T. It forms part of the railway industry training to help convey

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC

Undefined Pedestrian

Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Unclear phone instructions provided within phone cabinets at UWC may result in users failing to communicate with the signaller.

3. Description of issue design feature

Error

Violation

6. Sources of information 6.1 Interview source 6.2 Level crossing visit - areas 6.3 Document source 6.4 Document details

RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER bi/hu

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) th/er

RSSB AA Hertford Network Rail DfT (rail) TRL (road)

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent

RPC Bedford Railway GS Other dept. Non-UK

BTP OTHERS Redcar Others


4. User behaviour


road. Distractions may be seasonal, such as fun fairs or other similar events that may be held only once a year.

crossing only a few times a year may not always identify these particular events.

Distractions at the side of the rail line may also impact on the attention of the train driver to observe the crossing.

The attention of vehicle drivers when approaching the level crossing may be diverted because of visual distractions at the side of the

Therefore visits to a

5. Error type

Issue


1. Level 2. 1.1 Protected 1.2 Unprotected 2.3 On own

Driver distractions

Crossing type User details

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Distractions on the approach to a level crossing may impair the performance of both vehicle and train drivers.

/3. Description of issue design feature

Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER GI/GN7611

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail)






Issue


1. Level 1.1 Protected 1.2 Unprotected 2.3 On own

Weather: Ice

Crossing type 2. User details

4. User behaviour

conditions.


Helpston: ice on the road has

previously caused a vehicle driver

to slide through the barriers onto

the level crossing.

Lolham, Greatford, Maxey:

crossings are all on ‘B’ roads and

are not gritted during icy weather

However, they are all

used as shortcuts by local vehicle

drivers during rush-hours.

Icy weather conditions may affect the capability of vehicles to stop when required at the crossing.

close to the train line because of the risk of sliding forward onto the tracks.

The effect on vehicle driver

behaviour may also be affected by the presence of ice, such as not wanting to stop for the initial warning activation when they are

Level crossings on ‘B’ roads may not be gritted during icy weather conditions and these may present a driving hazard to level

crossing users.

The risks to users on foot when walking over the level crossing may also be increased, resulting in slips and falls.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Icy weather conditions on the approach, exit and on the crossing affects the behaviour of crossing users.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER mp/001







4. User behaviour

them.


Maxey CCTV: People living very

close to the crossing often walk

very slowly across, knowing that

the signallers will have to wait for

They also raise their hand

to the CCTV cameras as a gesture

of defiance.

Regular users are also likely to lower their perceived level of risk and commit a violation.

Some locals disregard crossing procedures because they feel aggrieved at having to wait for trains to pass.

complaints regarding the reliability and level of safety measures used at the crossings.

between a vehicle and train has recently occurred at a local crossing.

When people continually encounter circumstances which they recognise, such as using a level crossing, they generalise the

circumstances in which they are within and miss the external cues from the surrounding environment. Level crossing users that live

or work in close proximity to a crossing can become familiar with the crossing attributes and user procedures required for crossing.

Their behaviour can become habitual, resulting in users failing to look for unexpected information, leaving them open to making

errors of judgment.

Vehicle driver behaviour research at

crossings showed 53% of red light runners at a range of testing locations used the crossings at least once a day.

Locals living close to a level crossing (often in old the railway cottages), may undertake risky behaviour when using the crossing.

Locals also raise many

These are more prevalent when a near miss 5. Error type

Error

Violation

6. Sources of information

Issue



Users familiarity with a crossing


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Regular users and those living close to level crossings are more likely to undertake risk taking behaviour when using the crossing.


6.1 Interview source 6.2 Level crossing visit - areas 6.3 Document source 6.4 Document details

RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER bu/ri

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) tr/ah

RSSB AA Hertford Network Rail DfT (rail) TRL (road) pi/ve

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent we/ri

RPC Bedford Railway GS Other dept. Non-UK HMRI internal report



Issue



Frequency of trains


4. User behaviour


User risk perception tends to be low where there are infrequent trains.

UWC’s with accident history are associated with train lines that have low train frequencies.

trains per week, the same regular user of the crossing has been hit twice by passing trains.

The risk compensation behaviour of users explains that users will behave less cautiously when they have a low perception of risk.

A regular user’s expectations of not seeing a train are

reinforced every time they use the crossing and a train does not pass, perceiving there to be a low chance of a train passing the next

time they cross. This results in the user adapting their behaviour to this condition, such as behaving less cautiously.

For example, at a train line with only two

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Crossings with a low frequency of trains are likely to increase the risk taking behaviour of regular users.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER ar/us

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) pi/ve

RSSB AA Hertford Network Rail DfT (rail) TRL (road) ar/us

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent ad/ri

RPC Bedford Railway GS Other dept. Non-UK GI/RN7611

BTP OTHERS Redcar Others ra/dr, ab/dr2


4. User behaviour


Woburn Sands MCB: the road

junction close to the crossing is

used by local people and

commercial traffic.

presented to the vehicle driver and therefore cause distraction.

the decisions and actions required at a level crossing.

warning system to concentrate on other vehicle drivers may increase their decision making errors at the crossing.

insufficient clearance on the other-side, it is in our opinion that vehicle drivers are:

Roads that intersect with the vehicle driver’s road before or after the level crossing may increase the amount of visual information

A vehicle driver’s primary focus of attention is likely to be on

assessing the presence and determining the actions of other road users movement in and around the junctions, and secondly on

This reduction in observation of the level crossing and/or the activated

Right turns on the exit of the level crossing pose a particular problem for vehicles blocking-back over the crossing, especially at

automatic crossings. While a vehicle is waiting to turn across the path of oncoming traffic, waiting traffic behind the turning vehicle,

queue over the crossing. Although there are no reasons provided by research for vehicle drivers continuing to cross when there is

Unaware of the dangers posed by waiting on the crossing;

(if immediately after the road has been opened to traffic) The vehicle drivers believe the warning system will not be activated so

soon after the previous warning;

Tailgating the vehicle in-front, to ensure they are already on the crossing, to avoid having to wait if the warning system is activated.

5. Error type

Error

Violation


Issue



Road junctions


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

3. Description of issue / design feature

Road junctions close to the level crossing may result in increased decision making and errors by vehicle drivers, and blocking-back

over the crossing.


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER ntsb/sa

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) tr/ah

RSSB AA Hertford Network Rail DfT (rail) TRL (road) st/au





Issue



Vehicle approach speed


4. User behaviour


Road vehicle research has suggested that speed is a factor in road accidents and therefore, speed could also be considered as a

contributor to vehicle drivers not stopping at level crossings.

activated warning at a level crossing.

drivers passing through at a higher average speed.

therefore they continue across the crossing which they perceive at the time to present a lesser risk to themselves.

With increased speed, vehicle drivers will have less time to react to an

Greater numbers of red light violations have been recorded at a level crossing with road vehicle

Vehicle drivers have responded to red light violations (or provide this reason when questioned to avoid potential prosecution) by

stating their concern that stopping when travelling at higher speeds will result in a vehicle-vehicle collision at the level crossing,

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

The speed of the road traversing a level crossing is a factor in vehicle driver errors.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER vi/re

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) st/au

RSSB AA Hertford Network Rail DfT (rail) TRL (road) wi/an2





4. User behaviour county.

However,


Lincolnshire is a retirement

They have a high

percentage of elderly drivers who

drive during the day and at

relatively low speeds.

there are problems with elderly

drivers passing through the

activated warning system.

Recently a elderly driver went

through a red light while travelling

at only 40mph in a 60mph zone.

crossings.

warning lights. This behaviour has been associated with lower reaction speed and lack of visual awareness of their immediate

High numbers of other age-groups within a geographical location may also contribute to increased violations or errors at level

crossings.

Local populations with higher numbers of a certain age-group may result in an increased number of violations or errors at level

At a red light camera testing site, a disproportionate number of more elderly people continued to travel past the red

surroundings, rather than being assigned to them purposefully crossing the activated warning system.

5. Error type

Issue



Age of drivers


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Violations at level crossings may be influenced by the age of the local population.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER vi/ve

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) hu/in

RSSB AA Hertford Network Rail DfT (rail) TRL (road) dft/in2

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent aa/re




Issue



Signal box: track side workers


4. User behaviour


However, this does not always happen and can create problems for signallers when checking via the CCTV monitors if a level

public standing track side.

them from the general public. However, these are not worn consistently by all workers, and this can again create problems for

Recent research has suggested the use of colour monitors as acceptable for use within signal boxes.

If track side workers are carrying out duties in the vicinity of a level crossing, they should phone the local signaller and inform them

of the type of work being carried out, the area they are working within and for how long.

crossing is clear. The high-visibility clothing worn by track-side workers appears white when viewed on black and white monitors.

If the signaller has not been made aware of any work being carried out, the signaller assumes the people to be members of the

It is now policy for track-side workers to wear hardhats, which can provide the signaller with an additional visual cue to help identify

distinguishing between workers and the general public. 5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

High-visibility clothing appears white on black & white monitors.



RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER







4. User behaviour

road.


Dockhills CCTV level crossing (&

Moathills in background): provides

access from a lorry park to a main

The crossings have been

reviewed and changes made to

accommodate for the large

volumes of HGV’s that use these

on a daily basis.

may

driver’s awareness of their vehicle’s poorer braking performance, and therefore considering it safer to continue.

A higher percentage of HGVs are involved in level crossings incidents than cars (total number of incidents from collisions with both

trains and level crossing equipment), when compared with the proportion of cars using level crossings and road miles travelled.

It has been proposed in a report on HGV accidents at level crossings that this may be due to the following.

The size of the vehicles; they have less room for error when compared to cars.

They may not be responding to the activation of the crossing warning system in sufficient time. The HGV study proposed they

attempt to traverse the crossing once the barriers have already started to descend, suggesting that it could be to do with the

5. Error type

Issue



Representation of HGV users


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

HGV drivers form a disproportionately high number of incidents at level crossings.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER vi/hg







Issue



Pedestrian access


4. User behaviour

crossing.


Roydon CCTV: as the barriers

descend, a school boy runs

underneath to gain access to the

platform at the other side of the

Once across, the

school boy realised the train was

a through-train and he casually

waited for the next train.

activated warning. At crossings with bridges, users are able to use an alternative access for crossing the railway lines.

continue to cross to ensure they catch their train.

Vehicular level crossings without pedestrian bridges influences the risk taking behaviour of both pedestrians and train passengers.

It has been observed that pedestrians and passengers approaching the level crossing, on seeing and/or hearing the activation of the

level crossing warning system, rush across the crossing to avoid having to wait. Users at crossing without bridges are more likely to

commit violations by attempting to run across the crossing, aware that they have no alternative means of crossing during the

Crossings without bridges, used by train passengers to gain access to other platforms at a nearby station may undertake particularly

risky behaviour to avoid missing their train. The activated warning informs the passenger that a train is approaching and they

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Pedestrian and passengers are more likely to undertake risky behaviour at vehicular level crossings where bridges are not provided.


Error

Violation









4. User behaviour


to cross.

times.

are not scheduled under passenger timetables.

knowledgeable of the train timetable.

a train and the reduced vigilance that they may therefore demonstrate in crossing”.

The supposed regularity of trains passing a point at a known time is being used by level crossing users to make judgments of when

Users are assuming trains to pass a crossing at a particular point in time, thus believing the crossing to be safe at certain

Many users also believe the timetable to be ‘set in stone’, thus allowing them to make an accurate assessment of when they

should and should not cross. However, users fail to consider the variations in train schedules and that many trains, such as freight

The research refers to a landowner who retains a train timetable within his tractor cab to allow him to make ‘safe’ assessments of

when he should cross. Other research also identified 4% of users considered a crossing to be ‘safe’ because they were

GI/GN7611 indicates that the regularity of trains to be a factor in posing a high risk to users, due to “the rarity of them encountering 5. Error type

Error

Violation


Issue



Regularity of trains


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


time.

Variations in train schedules, such as engineering works, unexpected delays to train services, and line speed restrictions etc., all

contribute to fluctuations in trains passing a point at a supposedly ‘known’



Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) GI/GN7611






Issue

Groups




4. User behaviour The


Helpston: youngsters use this

crossing mainly on bicycles.

signallers at Helpston signal box

are aware that a group of

youngsters riding bicycles up to

the crossing, will probably all

attempt to jump the lights if the

first youngster does so.

The nature of a group of people will mean they look and listen less at their surroundings and be more concerned with the dynamics

of the group. This may result in the first few of a groups of walkers crossing carefully, but the remaining group members

continuing to progress over the railway line without checking for oncoming trains. This may be a particular problems at footpath

and bridleway crossings on routes used often by ramblers.

Young people in groups also exhibit more risky behaviour. A young person’s perception of risk tends to be one of a ‘risk adopter’,

however, although most young people will not engage in extreme danger, their perception of risk is sufficient for them to behave

dangerously, especially when provided with opportunities.

Many of the behaviours exhibited by young people are driven by a particular motivation (an opportunity), for example, not being

picked upon or to just be accepted by others. When in groups, this type of motivation can further influence young people to

undertake very risky behaviours, more so than when on their own. 5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

People in groups may undertake more risky behaviour, than when on their own.










4. User behaviour


Helpston: ‘Parents’ have been

observed by the signallers at

Helpston signal, driving past the

activated warning lights, with

children in the vehicle.

Vehicle driver violations may be associated with the time of day.

lunch-hour.

specific times.

The rate of vehicle incidents increases at crossings during the

morning and evening rush-hours. Vehicle drivers needing to arrive somewhere on time (e.g.,meeting) may consider the risks of

passing through the activated warning lights to be lower than the perceived risks associated with being late. This may be further

compounded with the general increase in road traffic during rush-hours and at the beginning and end of the school day.

Increases in vehicle driver violations were also detected during the later afternoon hours and is suggested as being associated with

the school-run (vi/re). Parents on multi-school runs, prior to driving to work is also considered a factor in risk taking behaviour,

because of the need to drive to various locations within a short period of time. Crossings used as access routes for the school-run,

as well as those in close proximity to the school may have higher number of violations as a result.

Red light violations are also high for some sites at midday. This may be due to people trying to fit in activities within their

Factories and other similar industrial working environments have specific staff working hours, with workers arriving and

leaving on-mass. This may result in violations at crossings nearby because of the large volumes of traffic using the crossing at

5. Error type

Error

Violation


Issue



Time of day


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Risk taking at level crossings increases during rush-hours, at midday and at the beginning and end of the school day.



RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER pi/ve

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) vi/re

RSSB AA Hertford Network Rail DfT (rail) TRL (road) aa/re





Issue



Visual clutter


4. User behaviour The

attention.


Tallington CCTV: the approach to

this crossing is heavily cluttered

with additional information.

branding of the petrol station on

the right-hand side is of similar

colour to the crossing signs, thus

reducing the impact of the sign

information on the vehicle driver’s

reduce the impact of the level crossing information.

Vehicle drivers approaching the level crossing are presented with an array of standard level crossing information and warning signs.

However, superfluous information and roadside structures (both rail and other authorities) in the vehicle driver’s visual field may

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


Superfluous information and roadside structures on the approach to the crossing may reduce the user’s detection of level crossing

information and warning signs.

Error

Violation









4. User behaviour


Helpston: has had significant

maintenance over the last few

years and they often close the

main road to all vehicles.

However, because people see the

staff maintenance cars at the

crossing, they still perceive it

acceptable to use and since they

have made the effort to drive all

the way to the crossing, they

request permission to cross.

Rail staff are required to wear high-visibility clothing when working on or near the railway.

misinterpret an activated warning system as ‘safe’ when rail staff are present at the level crossing.

trains would be passing if staff are track-side.

Vehicle drivers and pedestrians may

Users often assume or inquire if

they can continue to pass through the activated warning as they believe the rail staff are are only testing the equipment or that no

Users at unprotected crossings may also interpret the presence of rail staff to mean the line is closed to trains, resulting in users

behaving less cautiously when crossing.

5. Error type

Issue



Presence of rail staff


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The presence of rail staff in high-visibility clothing may have an undesirable influence on level crossing user behaviour.


Error

Violation









Issue



Understanding of warning lights


4. User behaviour

The


Tallington CCTV: vehicle drivers

approaching the crossing in a

30mph zone, continue to drive

through the amber flashing light on

numerous occasions.

approaching vehicle was in a

position to stop at the lights,

however they continued through

the amber light.

Users

more for level crossings) interpreted the required action for an amber light incorrectly for both light warning systems.

routinely ignored by vehicle drivers.

Not all vehicle drivers fully understand the instruction given and the required user behaviour to the onset of an amber light.

understanding of the steady amber at road traffic lights and at level crossing lights was compared. Higher numbers of users (slightly

There is also evidence that some users incorrectly determine the required action upon the onset of the red lights at a level crossing.

Just over 50% of users correctly confirmed the required action at the onset of a red light compared to all users for road traffic lights.

The wigwag light system also used at fire stations to stop road traffic and allow the fire pumps to be driven onto the road, are

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


crossings.

The onset of the amber and proceeding red lights of the activated warning system lead to various vehicle driver behaviours at level

Error

Violation



Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) vi/hg






4. User behaviour


Vehicle drivers consider the warning time of the activated system (required to allow for safety margins) to be far too long.

drivers at automatic crossings also overestimate the time they are required to wait.

appointment to make’ were time related. The greater the time delay, the more risky behaviour of level crossing users.

crossings and after 60 seconds at barrier crossings.

UWC/MWL.

Vehicle

Over 50% of drivers who traversed a crossing

during the activated warning system said they were unwilling to stop. Reasons given for their actions, such as ‘having an

American

research suggests vehicle drivers expect trains to arrive within 20 seconds, but they begin to lose patience after 40 seconds at open

In particular, this overestimation of waiting time has been found to be a factor in why users cross during the red light phase at

5. Error type

Issue



Closure time


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The amount of time the user expects to wait at the level crossing may influence their risk taking behaviour.


Error

Violation



Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) gr/lm

RSSB AA Hertford Network Rail DfT (rail) TRL (road) tr/ah

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent tu/us

RPC Bedford Railway GS Other dept. Non-UK GI/RN7611

BTP OTHERS Redcar Others ab/dr, HMRI internal report


Issue



Open gates


4. User behaviour


UWC gates are provided closed across the road and open away from the railway lines. Footpath and Bridleway crossings have a

variety of gates fitted that are closed across the paths on the approach to both sides of the crossing.

without carrying out the required crossing procedure. It

Train drivers often report open gates to the local signaller.

Gates left open affect the behaviour of users approaching a crossing. It predisposes users to see the crossing as ‘safe’, and cross

This is especially relevant in the case of irregular or first time users at UWC.

has been suggested that these types of users may have a mental model of an open gate being similar to an automatic crossing. If

the gate is open, then it is safe to cross.

This impacts on the running of the trains as the signaller will request train

drivers to slow on approach and observe for any level crossing users.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Open gates increases the risk to approaching users.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER tu/us

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) ar/us

RSSB AA Hertford Network Rail DfT (rail) TRL (road) HMRI internal report

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent hu/hu




4. User behaviour


When two trains arrive at an automatic vehicular crossing without the minimum road opening time, users are provided with a

change in the tone of the audible warning.

Pedestrians waiting at the level crossing for a train to pass, do not detect or understand the continued warning system to apply to

another train coming, only to the train just passed. Users have traversed the level crossing while the second tone has been audible.

Human factors research into miniature warning lights at UWC/MWL also highlighted that users poorly understood the meaning of

the change of tone associated with a second train approaching. Other users have commented that the change in tone is not

distinctive enough.

5. Error type

Issue



Audible alarm


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Second audible warning tone is not detected and/or understood by level crossing users.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER tr/ah

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) HSE/ra, section E

RSSB AA Hertford Network Rail DfT (rail) TRL (road) tu/us

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent hu/hu




Issue

Darkness




4. User behaviour

During


Fox covert footpath: this crossing

is used by local school children as

an access point between their

homes and the school.

winter months, many children will

be using this crossing during the

hours of darkness.assessing speed, resulting in increased decision making errors by level crossing users.

use the crossing safely.

determine train speed remains a separate issue because it is a result of an environmental effect.

The speed of an object can be judged by assessing the moving object against the background. However, during the hours of

darkness, the background is not visible against the moving object and therefore users lose this important visual information cue for

Farmers often continue to use UWC’s during the hours of darkness, especially during harvesting time. The context of working

during darkness and under tight timescales to transport produce from their farms could impact on the behaviour of the farmer to

Issue 25 “Users perception of train speed and distance” addresses the use of an incorrect mental model of train speed and distance

as a factor in why level crossing users may cross during an unsafe period of time. The impact of darkness in impairing a user to

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


users.

Unprotected crossings (without MWL) used during the hours of darkness may lead to increased decision making errors by crossing

Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER ntsb/na

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) wa/ac






4. User behaviour


Folly Bank AHB: on the approach

to Glinton Village, the warning

lights are difficult to detect due to

the low position of the sun behind

the crossing.other users missing the activated warning system at level crossings.

accidents at crossings is an established cause.

lights. The previous grey back boarding remains legal, but replacement back boards are of the new style.

The combined affects of sun reflection and the use of limited light output in the warning lights may contribute to vehicle drivers and

At automatic open crossings, the lack of any barrier dropping

means vehicle drivers and others may continue to pass through the lights much later during the activated warning time.

Although it should be noted, of the drivers who stated they were unaware of the crossing when they had run a red light, only 1%

gave the sun as a reason for impairing their vision (UK based research). However, in non-UK research the sun as an affect on

In Scotland, the affects of low sun in winter present a particular problem, especially

at open crossings. Therefore the issue of the sun and its effect on the flashing warning lights remains a precursor for vehicle drivers

unintentionally passing the activated warning system.

The conspicuity of warning lights is improved with the use of the red and white chequered board surround, located behind the 5. Error type

Error

Violation


Issue



Conspicuity of flashing lights


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The effectiveness of flashing lights is limited by veiling glare, limited light output and their position.



RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER st/au

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) pi/ve

RSSB AA Hertford Network Rail DfT (rail) TRL (road) HMRI internal report

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent tr/ah

RPC Bedford Railway GS Other dept. Non-UK vi/ve

BTP OTHERS Redcar Others te/ca


Issue



Sunlight strobing


4. User behaviour


Kirknewton crossing: on the

approach to this crossing in

Scotland, sunlight strobing across

the road causes particular

problems for road vehicle users.road.

because of the lack of any physical barrier across the road to act as a final warning cue of the presence of a crossing.

Trees along the sides of the road, combined with sunlight passing through the trees can provide a strobe lighting affect along the

A vehicle driver approaching a level crossing is subjected to a broken line of shadow and light, which may affect the vehicle

driver’s detection of objects ahead of them. This may result in the vehicle driver continuing to cross over a level crossing, including

those with activated warning lights. This is a particular problem at open crossings, those with and without activated warning lights

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


the visibility of vehicle drivers.

Sunlight passing through lines of trees positioned on the side of the road imparts a strobing effect on the road which may impair

Error

Violation









4. User behaviour


the crossing. The exits from the crossing are left clear and therefore allow for vehicle drivers to clear the crossing.

barriers (pi/re, st/au).

Automatic half barriers are normally kept in the raised position and when lowered, the barriers extend only across the entrances to

Although half barriers increase the observance by drivers of the automatic warning system, they introduce another undesirable risk

taking behaviour, known as zigzagging. The vehicle driver not wanting to wait at the level crossing, weaves around the first barrier

onto the other side of the road and exits via the open gate side.

An earlier report stated that half of all accidents at AHB’s are due to the drivers violating user procedures and zigzagging around the

5. Error type

Issue



Half barrier


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Automatic half barriers facilitate vehicle drivers to undertake risk taking behaviour.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER HSE/Ra

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) vi/re

RSSB AA Hertford Network Rail DfT (rail) TRL (road) pi/re

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent HSE/ra, section E

RPC Bedford Railway GS Other dept. Non-UK mo/vi

BTP OTHERS Redcar Others st/au


Issue



User perception of train speed & distance


4. User behaviour


The speed at which trains travel and how far it takes for a train to stop is vastly underestimated by the general public.

various perceptual problems that may increase the decision making errors of users at level crossings.

Large objects appear to move more slowly than smaller objects travelling at the same speed.

much closer that it becomes easier to determine its actual speed and distance.

unprotected level crossings.

Users in vehicles are to some extent ‘shielded’ from the senses normally evoked from a high speed passing train. A greater

There are

When looking head-on to an approaching train, the rate of change of the trains size is extremely slow and it is not until the train is

The public are using an incorrect mental model of road vehicle movement for estimating train speed, distance travelled over time

and potential stopping distances. This may increase the decision making errors of users when crossing both protected and

understanding of train speed and its size is enhanced when standing close to a passing train.

5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


Train speed and distance is underestimated by users, which may result in increased decision making errors by users at level

crossings.


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER ntsb/sa

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) nu/de

RSSB AA Hertford Network Rail DfT (rail) TRL (road) de/ra





4. User behaviour side.


Maxey CCTV: foliage covers the

information sign on the left-hand

The information provided to

the vehicle driver is further

reduced because a maintenance

van has parked in front of the

crossing, blocking the view of the

warning light.

warning cue to vehicle drivers. Vehicle drivers have less time to react and respond accordingly through changing their driving

behaviour.

as the vehicle driver has even less time to respond to the required change in driving behaviour.

This issue is also applicable to train drivers.

Foliage that has been left to overgrow on the approach to the level crossing covers the information signs and removes the initial

This issue is further compounded when the level crossing is positioned on the bend in a road or on a high speed road,

Foliage on the lineside may impact on the train driver from obtaining a sufficient view

while on the approach to a crossing, of any information, objects or people on the crossing.

5. Error type

Issue

Foliage




AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The effectiveness of information on the approach to and at the level crossing is reduced by overgrown foliage.


Error

Violation









Issue



Harvesting time


4. User behaviour


Farmers will need to transport produce between fields and storage areas and from their farmland to other sites. The increased

crossing the railway line, results in increased risk taking behaviour by farmers.

their work progress.

frequency of use of UWC’s over a short period of time, the time critical factor of harvesting and the lengthy procedure required for

During harvesting, farmers are more likely to leave the gates open and fail to follow the correct crossing procedure to avoid hindering

Farmers may also adopt alternative crossing methods, such as positioning a ‘look-out’ at the UWC to observe for oncoming trains,

allowing the UWC users to cross with minimal disruption.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Harvesting time influences the risk taking behaviour of UWC users.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER hu/hu

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) HMRI internal report






4. User behaviour


internal vehicle features that may reduce the vehicle driver’s detection of the lights.

available for the vehicle driver to respond accordingly.

If a user is unable to clearly see the warning lights at a level crossing, from either a position of safety at the crossing, or a clear line of

sight from their direction of approach, this may result in the user moving into an unsafe area to read the lights or cross without

taking account of the warning information.

The 10cm diameter of the red and green miniature warning lights at UWC were found to be of adequate size for being discerned

from a distance of up to 15m. However, it was suggested that an ‘alternative’ to MWL’s be considered if they were to positioned

on the far side of the tracks and the total distance across the tracks was greater than 15m. There is currently on-going discussions

within NWR to address this issue.

The position of road vehicle wigwag lights is also critical for providing sufficient time for approaching vehicle drivers to observe and

respond to the lights. Their position should accommodate the approach route of all types of road vehicles and take account of any

Poorly positioned lights may reduce the time 5. Error type

Error

Violation


Issue



Position of warning lights


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The effectiveness of warning lights is influenced by their position.










Issue



Quantity of information


4. User behaviour

cross.


Information sign for indicating to

drivers of large or slow vehicles to

park at the sign and call the

signaller from the phone box at

crossing, to obtain permission to

The above sign is located on a

bend prior to the crossing on a

road with a national speed limit.

anyway.

A road transport study provided a minimum exposure time required (based upon a simple calculation using the amount of words

and driver speed) for drivers of vehicles to register and understand the information provided by a vehicle activated warning system.

Large quantities of information on signs with an inadequate time for users to register and interpret the information may result in two

user behaviours:

1. The time it takes the user to read all of the information and respond accordingly to its instructions, they have proceeded past the

sign and decide to ignore its requirements and continue across the crossing; or

2. The user does not have sufficient time to comprehend all of the information and makes a judgment that it does not apply to them

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The quantity of signage information that can be read and understood decreases with road speed.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER wi/ve







4. User behaviour

playground.


Woburn Sands: ladder for railway

use only, located at the entrance

to a footpath level crossing.

The crossing provided access

from a large housing area to both

a school and a children’s

The playground

provided children with similar

looking ‘climbing ladders’.

Level crossings can be perceived by some people as an accessible point to the railway infrastructure. Objects located at level

crossing, may also contribute to increased trespassing.

crossings, that resemble day-to-day objects or create opportunities for use may increase the likelihood of children or young people

playing in and around level crossings.

The position of the crossing close to housing areas, schools and other places where children and young people may utilise the

Youth perception of risk tends to be one of a ‘risk adopter’. Although most young people will not engage in extreme danger, their

perception of risk is sufficient for them to behave dangerously, especially when provided with opportunities.

5. Error type

Issue



Trespassing on rail structures


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


Rail structures located at the entrance and exit areas to crossings that appear suitable for climbing may result in undesirable risk

taking behaviour by members of the public.

Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER dr/yo







Issue



Location near rail stations


4. User behaviour


St.Margarets CCTV: this crossing

is positioned next to the station.

The barrier downtime is lengthy,

especially during the evening

rush-hour when there is an

increase in train traffic.

deactivated.

the vicinity of a station.

Level crossings located adjacent to a rail station can increase the length of time the warning system is activated, and therefore

require users to wait for longer periods of time at the crossing. This is due to slower trains pulling into and out of the station in

close proximity from either direction and the interval between the trains being too short to allow the warning system to be

At level crossings located next to a rail station, users estimated their waiting time to be much higher than at crossings not located in

It is suggested that users (for example regular, local users who are aware of the increased waiting times)

may have been encouraged to violate the warning system because of the potential for a prolonged delay to their journey.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Level crossings adjacent to rail stations influence the risk taking behaviour of vehicle drivers and other users.


Error

Violation



Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) wi/an2






4. User behaviour


Circumstances which present a lower perceived risk, often result in changes to a user’s behaviour.

users perceive UWC and footpath crossings to be safer when trains are slower. In this case, the users are responding to the

perceived low level of risk presented by slower trains by behaving less cautiously.

the barrier.

crossings. However, slow trains speeds are also a factor because of the effect it may have upon the user’s perception of risk.

It has been established that

For example, users may cross while a train is in

view, they may not cross as quickly or they may look less often while crossing.

At open crossings with slow moving trains, vehicle drivers (and pedestrians) may be inclined to think “I can beat the train”. By being

able to edge forward past a point of safety and look along the railway line, they may believe they have ample time to make a safe

crossing in front of a slower train. This behaviour may also be prevalent at half barrier crossings, where users may zigzag around

Railway Group Standard GI/GN7611 identifies “maximum train speed” as a factor for consideration within risk assessments at level 5. Error type

Error

Violation


Issue



Train speeds


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Low train speeds may increase the risk taking behaviour of users.




Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) GI/GN7611






Issue



Sighting distance


4. User behaviour crossing.


Marsh Lane: the sighting distance

is good at this footpath level

established view that good sighting times will always reduce the risk of accidents at unprotected level crossings.

sufficient time to move past the activated warning system and cross the railway line.

There is a low occurrence of accidents at UWC and footpath crossings where the sighting distance is poor. This contradicts the

Research at UWCs

confirmed the issue of risk compensation by users, as discussed in the AD Little report. Level crossing users aware of the poor

sight times, perceive the crossing as dangerous and therefore compensate by being extra vigilant. But, where sight times are good,

the user perception of risk is low, and they may adapt their behaviour, acting less cautiously, such as failing to look or look less

often for approaching trains.

Note: the research does not suggest that poor sighting times should be permitted, however it identifies that those with good

sighting times should also be considered as ‘high risk’.

Clear sighting distance of a train at AHB, AOCR and AOCL crossings may also provide vehicle drivers with the opportunity to move

close to the tracks and check for oncoming trains, thus making a decision of whether to cross, during the activated warning system.

Good sighting of the railway line from the road, may also encourage some vehicle drivers to make a judgment that they have

5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Good sighting distance should indicate the level crossing as high risk.




Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) me/an






4. User behaviour


St.Margarets CCTV: cars parked

on the side of the road affect the

flow of traffic over the level

crossing. As vehicle drivers

continue to drive across, they

then stop on the crossing because

the cars they are following are

prevented from moving forwards.

Parked cars before and after the level crossing affect the flow of traffic approaching and moving over the crossing.

The are tailgating the car in front to avoid being held at the crossing if the warning system is activated;

They do not expect the level crossing to be activated so soon after the road has just been opened to road traffic again.

As vehicle drivers

progress over the crossing, parked cars in the road ahead of them, coupled with oncoming traffic prevents them from moving

forwards, resulting in vehicles stopping on the level crossing.

Although users should wait until there is sufficient clearance on the other side, before moving forwards, it has been observed on

many occasions that vehicle drivers fail to do this. It is in our opinion that vehicle drivers do this for various reasons:

They fail to comprehend the danger associated with stopping on the crossing;

In our opinion, parked cars are often a result of home owners that do not have off-street parking, leaving their vehicles on the

roadside. Previous railway cottages, now privately owned, are often a source of this problem. Customers of local village or town

shops with limited or no parking also park on the approach and exit roads to level crossings.

5. Error type

Error

Violation


Issue



Parked cars


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Parked cars before and after the level crossing may result in vehicle drivers slowing and stopping while on the level crossing.










Issue



Position of safety


4. User behaviour


trackside position to clearly check for any oncoming trains before moving over the railway line.

track may result in users obstructing the railway line with the bicycle or pushchair.

Footpath and bridleway crossings are often used by cyclists and people with pushchairs. These users will need to stand at a

However, insufficient space trackside

(between the railway line and gate they have just moved through) to stand with their bicycle or pushchair and observe along the

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Insufficient space between the trackside gate and rail results in potential obstruction of the track by bicycles and pushchairs.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER hu/de







4. User behaviour


Visitors, workers and local people who use a UWC must all follow the required crossing procedures. However, it is apparent that

users are not complying with the telephone procedures of calling the signaller to request permission to cross. 17 UWC accidents in

the last 10 years are associated with users not using the telephone prior to crossing.

Research has highlighted, for example, a female resident crossing up to three times a day, chose not to use the telephone, because

she regarded the crossing as safe due to good sighting distances. It is also common for regular UWC users to call the signaller only

at the beginning of the day to inform them they will be using the crossing all day but will not be phoning for each crossing made.

5. Error type

Issue



Telephone use


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Level crossing users failure to use the telephone is a factor in incidents at UWC.


Error

Violation









Issue



Traffic moment


4. User behaviour


Traffic moment = traverses (by user) per day X trains per day.

Research has identified high traffic moment as a feature of those crossings with accident histories.

Traffic moment is a measure of the frequency of trains and utilisation of the crossing by users.

Research has identified a total of

56% of crossings surveyed to have traffic moments in excess of 1000. A high percentage of these had accident history (44%

versus 12%).

It should be noted that the HSE, Railway Safety Principles, Part 2, Section E, Guidance on level crossings, does not give a maximum

traffic moment for UWC’s or footpath crossings. The only reference to daily road usage (not traffic moment) is that telephones or

MWL’s should be provided on both sides of the crossing when usage exceeds 50. 5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

High levels of traffic moment at user worked crossings increase the chances of an incident.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER st/au

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) ar/au

RSSB AA Hertford Network Rail DfT (rail) TRL (road) HSE/ra, section E





4. User behaviour crossing.

lines.


Bainton Green AHB: Contractors

park on the road in front of the

Vehicle drivers

approaching from the Lolham

bridges level crossing are forced

to drive on the opposite of the

road, crossing the double white

maintenance.

location of where the visitor parks their vehicle can influence the behaviour of other road drivers.

‘Visitor’ parking refers to those persons using the level crossing for any kind of associated business with the crossing, i.e.,

It differs from Issue 34: Parked cars, as the position of these vehicles are often located in places other than just on

the approach and exit roads of the crossing.

Because of the remote position of many level crossings, people tend to drive their vehicles when visiting a level crossing. The

For example, if they park in the ‘long/slow’ parking bay this will prevent drivers of long or slow vehicles from stopping and therefore

influence them to drive straight over the crossing without informing the signaller.

Parking on the immediate approach or exit to the crossing may force other drivers to take evasive action, such as driving into the

middle of the crossing or it may cause blocking-back of vehicles over the crossing.

The position of their parked vehicle can also block from view the warning information from other approaching vehicle drivers.

5. Error type

Error

Violation


Issue



Visitor parking


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

The position of visitors parked vehicles at a level crossing may affect the behaviour of other road drivers.










Issue



Crossing utilisation


4. User behaviour


effects on utilisation which may not be captured during specific visits, and therefore suggests that to determine utilisation,

and therefore they are likely to be regular users of the crossing.

dominant risk factor at level crossings that have previous accident history.

Research has shown that 100+ pedestrian users equates to ‘high’ crossing utilisation. It warns of daily, weekly or even seasonal

numerous visits must be made to each crossing.

Where there is high pedestrian utilisation, this usually means the crossing is located as an access point between places such as a

school, a housing estate, places of work or a local shopping area. Pedestrians may be using the crossing a couple of times a day

It is unclear from research the exact behavioural traits of users at

these crossings, however it can be assumed that with continued use, the user becomes less sensitive to the risks posed by the

crossing, resulting in less cautious crossing behaviour. This research has shown that ‘high’ pedestrian utilisation appears to be a

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Level crossings with high crossing utilisation increases the risks to users.


Error

Violation









4. User behaviour


Lolham Footpath: is used regularly

by the Peterborough Bird Watching

Club for access to a local wildlife

area. Both freight and passenger

trains pass this crossing.

Both passenger and freight trains using a train line route will affect the behaviour of users at a level crossing.

behaviours:

and attempt to cross immediately before the train passes;

a freight train that passes (user’s perception of speed based on their previous knowledge).

Freight trains are often longer than passenger trains and travel at much slower speeds. This may result in the following user

Users knowing they will have to wait for longer periods of time and therefore they may demonstrate increased impatience to wait

Users seeing a train in the distance and judging they have sufficient time to cross because it appears to be or it is normally always

5. Error type

Issue



Type of trains


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Train lines with high frequency of both freight and passenger services may influence the risk taking behaviour of users.


Error

Violation



Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) ntsb/sa






Issue



Vehicle-activated signs


4. User behaviour sign.


A 40mph vehicle-activated speed

displays a message relating to the road conditions to specific drivers that are exceeding a particular speed threshold.

the effectiveness of the message could also be applied successfully to advising vehicle drivers of level crossing hazards.

Note: vehicle activated signs are due to be tested at various level crossing sites.

The road industry has devised a range of measures to encourage drivers to adopt a safe speed on the approach to hazards, for

example, junctions or bends. One method currently in use at various sites within the UK, are vehicle-activated signing. The sign

The signs are

effective in reducing the habitual nature of vehicle drivers, resulting in drivers continuing to respond to the messages over a long

period of time.

It has been suggested by the road industry that the benefits demonstrated in reducing accidents at road hazards and maintaining

5. Error type

Pedestrian

Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC Undefined

UWC/T

UWC/MWL

OC

FP/MWL

FC

Over a period of time, vehicle drivers remain responsive to the specific message given by vehicle-activated signs.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER wi/wh







4. User behaviour


The occurrence of crossing accidents by vehicle drivers have been associated with specific days of the week.

Saturday and even fewer for Sundays.

The journeys undertaken at weekends differ from those during the week. At weekdays, people are under considerable more

pressure to reach destinations at a specific time, for example, school-runs, work and meetings.

likely to need to meet stringent time scales and therefore be in a more relaxed mind frame, resulting in improved behaviour at

crossings.

rates at level crossings. However, reduced exposure was not judged to be the main factor in the dramatic decrease in crossing

accidents at the weekends.)

There is a higher rate

of crossing accidents at both protected and unprotected level crossings for Monday through to Friday, compared to those for

At weekends, vehicle drivers are less

(Note: the research considered both the reduced road traffic and frequency of trains at weekends and its effect on lower incident

5. Error type

Error

Violation


Issue



Days of the week


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Risk taking behaviour at level crossings increases on working days.










Issue

Suicide




4. User behaviour


With access onto the UK railways, level crossings could be used by persons wanting to committ suicide. This could have a severe

impact on both railway employees and passengers.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Level crossings are a potential target for use by persons attempting to commit suicide


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER hse/tr







4. User behaviour


warning system.

A higher percentage of vehicle drivers cross AOCL’s at between 20 and 40 seconds after the warning system has been activated, a

time at which they are at a greater chance of being hit by a train.

Without a

present.

Automatic open crossings have wigwag lights, but there is no physical barrier that closes the road off to traffic during the activated

Without a barrier present, vehicle drivers or pedestrians can quite easily choose to violate the crossing procedures.

This is often due to vehicle drivers becoming agitated at the time required to wait at the lights and perceiving there to be time

available to cross before the train arrives, or that the system is faulty, resulting in users crossing later in the crossing cycle.

barrier present, vehicle drivers can also move past a point of safety and look for oncoming trains more easily than when a barrier is

5. Error type

Issue



Automatic open crossings


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Automatic open level crossings result in increased risk taking behaviour, later in the crossing cycle.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER vi/re







Issue



Animals: Horses


4. User behaviour


Activated crossings used as access by horse riders, may result in undesirable horse behaviour. The flashing lights and audible

alarms can affect the behaviour of horses on the approach to and while waiting at the level crossing. This may result in horses

moving across the crossing or along the train lines during the activated warning system.

Normal courteous behaviour exhibited by the majority of vehicle drivers are often not followed when approaching a crossing being

used by horses. The vehicle driver not wanting to risk being caught at the crossing, continues to drive at speed. This may frighten

the horse and result in the horse failing to respond to guidance provided by its rider.

Level crossings located on-route to local stables or farm yards may have high numbers of horses and riders using the crossing.

5. Error type

Error

Violation


Pedestrian

Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

UWC Undefined

UWC/T

UWC/MWL

OC

FP/MWL

FC

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB


Activated warnings at level crossings may result in undesirable behaviour by horses, and influence the behaviour of other road

vehicle users.








4. User behaviour


Vehicle tailgating or vehicles following later-on;

First-time or irregular users not aware of the correct crossing procedure.

crossings.

fairly simple.

The most common violation at UWC/MWL was found to be users leaving gates open. Reasons for this behaviour are:

Gates left open during the whole day to allow easier access to homes and places of work either side of the crossing;

Gates open for short periods of the day to accommodate shorter visits, such as deliveries to a farm;

Only one gate closed for the purposes of fencing off the owner’s land;

Adverse weather conditions, i.e., users wanting to reduce the amount of time they are exposed to the weather;

Tractor drivers are the most likely abusers of gate procedures, when their work procedures would require them to undertake multiple

It is suggested that following the correct procedures for gate opening and closing may hinder their work progress.

In general, users perceive the process for crossing correctly as complex, compared with the aim of crossing which is regarded as

5. Error type

Error

Violation


Issue



Gate crossing procedure


UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB


The requirement to open and close the gate, following a procedure of crossing the tracks five times, is a factor in why gates are left

open at UWC’s.




RSSB AA Hertford Network Rail DfT (rail) TRL (road) th/me

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent bi/hu




Issue



Violations at MWL


4. User behaviour


indicates that users feel they have time to make the violation ‘safely’.

take to complete the full crossing procedure. 80% of vehicular users were observed to take longer to complete the crossing

procedure than the actual allocated crossing time.

Users are underestimating the level of risk associated with violating the crossing procedures.

A suggestion of why crossing violations are likely to occur is provided by those users who say they would consider violating a red

warning light.

A combination of underestimating their crossing time and overestimating the time between the warning onset and train arrival

The research suggests, the user is more likely to make a crossing if they believe they have more time than the actual warning time.

Of those that would consider violating a red light at a UWC/MWL, car and truck drivers regularly underestimated how long it would

5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Over estimation of warning time and underestimation of crossing leads to risk taking behaviour.










4. User behaviour


Once the crossing closure procedure has been activated, the amber light of the road traffic lights immediately shows for

approximately 3 seconds. After this period, the intermittent red lights immediately show.

activated for provides vehicle drivers with limited viewing time to react and stop prior to the crossing.

Vehicle drivers approaching the level crossing often continue to drive through the amber light stage. The length of time the light is

5. Error type

Issue



Observation of amber light


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The length of activation time of the amber light has little affect on the behaviour of the vehicle driver.


Error

Violation









Issue



Road access


4. User behaviour


behaviour.

may violate the activated warning system.

Vehicle drivers using level crossings that provide the only access to roads and locations within the area, may increase their risk taking

Knowing they will be held at the crossing for some time and without an opportunity to seek an alternative route, they

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


drivers.

Level crossings that provide the only access to routes either side of the crossing influences the risk taking behaviour of vehicle

Error

Violation









4. User behaviour

vehicles.


Roydon CCTV: vehicle drivers

parking before the level crossing

to drop passengers off for the

train station. On many occasions,

other vehicle drivers were

observed driving onto the opposite

side of the road, just prior to the

crossing and ahead of oncoming

traffic, to avoid the parked

short periods of time to allow their passengers to exit the vehicle.

also distracts other vehicle drivers from observing the warning information and general road procedures.

Problems are caused by vehicle drivers parking in side turnings or with two wheels on the pavement, close to the level crossing for

This results in traffic flow problems over the level crossing and

5. Error type

Issue



Passenger drop-off points


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Non-designated passenger drop-off points close to level crossings affects the flow and behaviour of traffic approaching a crossing.


Error

Violation









Issue



See-through effect


4. User behaviour


therefore fail to respond with the required change in vehicle driver behaviour.

and road traffic lights, where the result of the see-through effect has the most adverse impact.

to see any lights at all.

This effect is also an issue for vehicle drivers approaching a level crossing.

regarding the level crossing.

The see-through effect is an established road design effect that results in the failure of the vehicle driver to observe road features and

This effect is most often observed at road junctions

Vehicle drivers approaching a set of

traffic lights continue to drive straight past the red light and have later reported that they have not only missed the red light, but failed

As the vehicle driver looks ahead, the rail line and

surrounding crossing information is lost within the immediate environment because of its position within a dip or on a brow of the

road, resulting in the vehicle driver fixating their vision further along the road. The driver unintentionally misses the information

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Level crossing located in a dip or on a brow of a long straight road may result in increases of red-light running.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER trl/ar







4. User behaviour


St.Margarets CCTV: a HGV driver

parked in front of the station. The

driver vehicle completely blocked

the view of the warning light from

approaching traffic.station facilities.

Information signs and warning lights can be blocked from the view of approaching traffic by HGV drivers parking their vehicle to use

5. Error type

Issue



HGV drivers using rail station facilities


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The effectiveness of information is reduced by HGV drivers parking in front of signs and warning devices.


Error

Violation









Issue

Events




4. User behaviour September. Horse-trailers,


Helpston: the Burghley horse trials

are held for a few days each

caravans and the overall increase

in local traffic cause

blocking-back and result in

increased risk taking behaviour at

the Helpston crossing.when visitors may have additional vehicle equipment, such as horse trailers and caravans.

Events can attract enormous increases in visitors to an area, often for only short periods of time and at certain times of the year.

Visitors may be needing to arrive at their destination at a particular time or have a had a long and difficult journey, resulting in users

wanting to avoid any further delays by being held at a crossing. This may result in increased risk taking behaviour by these users.

The general increase in vehicle and pedestrian traffic also affects the flow of traffic on the level crossings, and this is further impaired

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Events increase the amount of irregular users at level crossings.


Error

Violation









4. User behaviour road.


Lolham CCTV: both sides of this

crossing are accessed by a single

Passing points are provided

further along the road and vehicle

drivers move slowly or stop on the

crossing to accommodate for

oncoming traffic.

Stopping on the crossing occurs

more often during rush hours.

Narrow roads before and after the crossing affect the traffic flow over the level crossing. As vehicle drivers progress over the

crossing, they may have to slow to accommodate the narrow road or stop to allow oncoming vehicles to pass. Vehicle drivers may

have to wait for some time before they can move off from the crossing.

The road infrastructure around the crossing could further impact on the risk taking behaviour of vehicle drivers. If the narrow roads

force the level crossing users to have to wait for longer periods of time, while other vehicles pass, it may influence them to attempt

to jump the red lights to avoid having to wait.

5. Error type

Issue

Narrow roads




AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Narrow roads before and after the level crossing may result in vehicle drivers slowing and stopping while on the level crossing.


Error

Violation









Issue

Contractors




4. User behaviour


to gain access to their land.

development of wind farms in recent years, bringing contractors into areas that require the use of UWC.

Landowners should always inform new contractors of the restrictions and any implications for using vehicles over the level crossing

Users not fully aware of the restrictions the level crossing imposes on their vehicles, may experience problems when traversing the

crossing. For example, while transporting goods they may not be aware of restrictions on vehicle size and therefore unable to

manoeuvre their vehicle easily or without creating an obstruction on the crossing.

In Scotland, crossings only previously used by the forestry commission are now being used by contractors, because of the rapid

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


may increase the risk of an incident.

Landowners failure to inform new contractors of the procedures and restrictions for using their vehicles across the level crossing

Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER HMRI internal report







4. User behaviour


creating a queue of traffic over the crossing.

Long traffic queues onto and off of major roads and motorways result in queues forming on either side of the level crossings.

While the crossing is open to road traffic, users do not wait for traffic to exit the other side before progressing across, therefore

5. Error type

Issue



Location near major roads


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


located on roads with direct access to major roads or motorways.

The risk of vehicle drivers blocking-back over the level crossing, or general risk taking behaviour is increased when the crossing is

Error

Violation









Issue



Traffic calming systems


4. User behaviour

approach.


Helpston signal box: signallers

discouraged the installation of

more traffic calming islands on the

eastside approach to the Helpston

level crossing because of

blocking-back already caused by

islands situated on the westside While the crossing is active, and the road closed to traffic, queues form along the road.

This

creates slow moving traffic and momentarily causes vehicles to block-back over the crossing.

Traffic calming systems positioned on the approach roads to a level crossing may increase the risk of vehicle drivers blocking-back

onto the crossing.

Vehicle drivers position themselves around

the traffic islands, so they are located in a stationary position on the opposite side of the road. When the road is then opened to

traffic again, oncoming vehicles cannot continue along the road because of other vehicles positioned around the traffic islands.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Road traffic calming systems on the approaches to a level crossing may increase the risk of vehicles blocking-back.


Error

Violation









4. User behaviour


procedures.

It is also resulting in additional vehicles using UWC, including vehicles completely unsuitable for certain crossings.

Farming is changing the use of its land to ensure the survival of many farming businesses. Instead of using traditional farming

methods, many are encouraging the public to access their land for leisure activities, such as open farms and golf courses.

However, members of the public are using UWC to access farm land, and the types of activities undertaken do not allow for new

users to be informed of how to correctly use these crossings. This results is many untrained users passing through a crossing

which relies upon the user to take full responsibility in opening and closing the gates, ensuring they follow all the correct crossing

5. Error type

Issue



Diversification in farming


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Diversification in farming increases public access to user-worked crossings.


Error

Violation









Issue



Foreign vehicle drivers


4. User behaviour


followed. Vehicle drivers are unlikely to be familiar with UK procedures and they may also have some difficulty in correctly

interpreting written information.

This is particularly prevalent in areas with high volumes of continental HGV drivers.

Other countries have alternative measures in place for controlling access across level crossings and require different procedures to be

Although they are legally required to be aware of

the rules and procedures for using UK crossings, it is unlikely that all foreign HGV drivers will be aware of these. This may result in

them failing to make any necessary calls to a signaller if their vehicle is too long or slow for passing over a crossing without

previously obtaining permission.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


Areas with high levels of foreign vehicle drivers may result in increased decision making errors at level crossings.

evident during seasonal periods.

This may be more

Error

Violation









4. User behaviour


park clear of the crossing.

lay-by;

The local council have allocated the lay-by as an official stop.

A lay-by is often provided at the approach and exit of AHB’s, so vehicles required to call the signaller for permission to cross, can

However, the lay-by is often used as an unofficial bus stop, sometimes preventing large or slow vehicles from stopping, forcing

them to continue across the crossing without calling the signaller.

These unofficial bus stops can arise for various reasons, such as:

The lay-by is closer to bus users’ homes than the official bus stop, and users make a request for the bus driver to stop in the

The bus company is temporarily using the lay-by because roadworks have blocked the official bus stop;

5. Error type

Issue

Bus stops




AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Unofficial bus stops in the level crossing lay-by, affects the behaviour of large or slow vehicle drivers.


Error

Violation









Issue

Crossing surface




4. User behaviour


Woburn Sands: the crossing

surface was heavily worn in parts

at this level crossing.Poor crossing surfaces increases the difficulty for users traversing the level crossing.

carefully at where they are stepping and this may also increase user crossing time.

horseriders, elderly, visually or physically impaired crossing users.

in general as well as a hazard to trains.

Users may be distracted by having to look

It may present particular problems for cyclists,

The crossing surface may also present a hazard to road vehicles

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Uneven and slippery level crossing surface may present a potential hazard to those using the crossing.


Error

Violation




RSSB AA Hertford Network Rail DfT (rail) TRL (road) bi/hu

HSE/HMRI Bus drivers Peterborough RSSB DfT (road) Independent sp/fa




4. User behaviour


Roadworks located on roads around a level crossing can impact on vehicles blocking-back over the crossing. Vehicle drivers

system.

Blocking-back from roadworks is a particular problem at automatic level crossings.

expecting to be able to move forwards over the crossing, may be impeded by slow moving traffic as a result of the road works.

This is further compounded by vehicle drivers tailgating the vehicle in-front to avoid potentially being held by an activated warning

Blocking-back is also not just associated with roadworks located in the immediate vicinity, they may continue to have an impact on

the crossing when located up to 3 kilometres away.

5. Error type

Issue

Roadworks




AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Roadworks positioned up to 3 kilometres from the level crossing may still impact on vehicles blocking-back.


Error

Violation









Issue



Housing developments


4. User behaviour


behaviour of both vehicle drivers and pedestrians over the crossing.

levels and the existing crossing type may be unsuitable for accommodating these increased levels.

Vehicle

housing.

New housing developments near to crossings used as access to major towns or other key locations will affect the use and

These developments will increase vehicle and pedestrian traffic

An additional factor in affecting the risk taking behaviour of vehicle drivers is the overall congestion of traffic in the local area.

drivers may be less inclined to stop at a level crossing if their overall journey time has increased since the development of new

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Housing developments increase road traffic and level crossing use.


Error

Violation









4. User behaviour


Vehicle drivers may increase their risk taking behaviour when using level crossings on shortcut roads.

Changes to road infrastructures.

Shortcuts are in themselves a

means of the vehicle driver saving time, and their mindset is one of maintaining movement at all costs. In some cases, the vehicle

driver may be more inclined to attempt to ‘beat the lights’, as waiting at the crossing has a negative impact on their goal of using the

shortcut to save time.

Shortcuts may have been established for a period of time and generally used by regular users to avoid busy main roads. However,

new shortcuts may develop, both permanently and for interim periods, for the following reasons:

Temporary roadworks;

New housing developments;

5. Error type

Issue



Vehicle shortcuts


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Level crossings on roads used as shortcuts result in increased risk taking behaviour by vehicle drivers.


Error

Violation









Issue



Crossing instructions


4. User behaviour


Users at UWC are provided with instructions to guide them in carrying out the crossing procedure in the correct order.

has a large impact on the overall time taken by the user to cross, as well as impacting on their safety while crossing.

However, it is

not always apparent to users the exact order in which they should undertake the crossing procedure. For example, should they

phone the signaller first to obtain permission to cross or open the first gate. If the user has incorrectly followed the procedure, this

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Ambiguous crossing instructions may result in users failing to undertake the correct crossing procedure.


Error

Violation



Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) Railtrack internal report (ra/hu)






4. User behaviour

The sign ‘ANOTHER TRAIN


COMING if lights continue to

show’ is positioned underneath

the wigwag lights.

flash.

to confirm whether another train is coming.

attempting to traverse the crossing, especially if they do not see a train approaching.

arrive, and not that they are just being held at the crossing for longer than necessary.

to advise vehicle drivers.

When another train is approaching the level crossing (and without sufficient road opening time), the wigwag lights will continue to

However, the static sign provided to inform users, has minimal impact in providing vehicle drivers with sufficient information

The increase in waiting time at the crossing, increases the likelihood of vehicle drivers

It was suggested that UK vehicle drivers do

not mind waiting, however it is important that they are provided with sufficient information to indicate that another train is about to

A change in audible warning is provided to warn pedestrians of a second train arriving. It is not intended as an information source

However, the second audible warning has been suggested by level crossing users as not being detected

and/or understood (Issue 20).

5. Error type

Issue



Another train approaching


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


information.

The ‘Another Train Coming if lights continue to show’ sign has minimal impact in providing vehicle drivers with sufficient

Error

Violation









Issue



Animals: Dogs


4. User behaviour


restraint.

Train drivers also have reported seeing unrestrained dogs along side the tracks with their owners standing at the crossing.

their dog from the tracks.

capable of maintaining control of their pet.

An observation of users at UWC level crossings saw over a quarter of all people walking with dogs failing to use any form of dog

A sign requesting dog walkers to put their dog on a lead was positioned on the majority of these UWC’s.

There

have also been near-misses and an incident involving a collision between a train and a pedestrian who was attempting to retrieve

It appears that the risk of not restraining a dog is not evident to dog owners, possibly because of their assumption that they are

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Unrestrained dogs may impair their owner’s concentration while on the level crossing.


Error

Violation




RSSB AA Hertford Network Rail DfT (rail) TRL (road) bi/hu





4. User behaviour


line.

Information is provided at UWC to indicate which types of users must call the signaller to request permission to cross the railway

Prior to crossing, all users must determine from this information, whether they should first contact the signaller. However,

non-specific and unclear ‘user-type’ information may result in users failing to contact the signaller.

5. Error type

Issue



Contacting the signaller


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Unclear ‘user-type’ information may result in users failing to contact the signaller prior to crossing.


Error

Violation









Issue



Rural level crossings


4. User behaviour


drivers.

Rural level crossings, positioned amongst roads with few surrounding roadside structures are often missed by approaching vehicle

The vehicle driver, progressing through country roads, is in a mind-set that is unlikely to be expecting hazard information or

a warning system to appear. They may not register the presence of a crossing until they are nearly driving over it or they may miss it

completely. The problem is further increased when crossings are located on bends, hills or foliage covers information signs.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

The environmental context of a rural level crossing reduces the awareness of approaching vehicle drivers.


Error

Violation









4. User behaviour


vehicle too close to the train lines.

locate their vehicle.

Dramatic

surfaces.

Road markings are provided at some level crossings to help vehicle drivers stop their vehicle in a safe location during the activated

warning system. It is important in preventing vehicles from parking underneath the lowering barriers and from positioning their

Road markings that have been worn away reduce the effectiveness of informing vehicle drivers

where they should stop. Markings are also a particularly important element in informing an irregular user of where they should

The importance of road markings in providing vehicle drivers with information has been highlighted by the road industry.

reductions in vehicle drivers running through red lights have been recorded when the ‘STOP’ line has been newly painted on road

5. Error type

Issue



Road markings


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

The effectiveness of vehicle drivers stopping in the correct location is impaired by worn road markings.


Error

Violation









Issue



Number of train lines


4. User behaviour


Users may perceive a single train line to present less of a risk than double train lines.

crossings.

Therefore users may see the opportunity to

drive over or walk across the lines without observing the activated warning system or by behaving less cautiously at unprotected

This user behaviour is in line with the risk compensation theory; the user perceiving there to be less of a risk to themselves results in

them behaving less cautiously.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Single train lines may increase the risk taking behaviour of both vehicle drivers and pedestrians.


Error

Violation









4. User behaviour land.


Bainton Green: a tractor using the

crossing after leaving nearby farm

Tractors combined with the

position of the crossing on a

straight road, its proximity to

Lolham crossing and use as a

regular shortcut route could

impact heavily on the behaviour of

other vehicle drivers.

vehicles traversing the level crossing.

Farm traffic tends to move at a much slower pace and impacts on the speed and general driving behaviour of other road vehicles.

High volumes of farm traffic using local roads to transport produce or move between farm land will impact on the behaviour of other

This may increase vehicle driver frustration and result in them overtaking on the approach to

and while on the level crossing to avoid being held at the activated warning system.

5. Error type

Issue



Location near farms


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

High volumes of farm traffic impact on the speed and behaviour of other vehicles traversing the crossing.


Error

Violation









Issue



Commercial traffic


4. User behaviour


having to wait at the crossing, or they may fail to obey the correct crossing procedure at unprotected crossings.

Commercial vehicle drivers, such as salespersons, work to strict timescales and therefore their driving behaviour is often influenced

by having to reach destinations on time. Commercial drivers using a level crossing may be inclined to ‘beat the lights’ to avoid

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Level crossings with high volumes of commercial traffic may result in increased risk taking behaviour.


Error

Violation









4. User behaviour


Lolham CCTV & Bainton Green

AHB: vehicle drivers are often held

at Lolham crossing for a

considerable amount of time, and

then also held at Bainton Green.

The lengthy barrier downtimes at

the Lolham crossing, which is

used frequently as a shortcut

route by vehicle drivers adds to

their frustration when they are

held at both crossings.

A road or geographical area may have more than one level crossings located in close proximity.

level crossing and then at the next, and so on, this may affect their risk taking behaviour.

time.

If a driver is required to wait at one

The vehicle driver may become aggitated

at being delayed at each level crossing and exhibit behaviour such as speeding to the approach of the next crossing to try and avoid

being held again or crossing during the activated warning lights.

This risk taking behaviour may be further increased at level crossings with lengthy barrier downtimes on busy rail lines or those with

CCTV, as vehicle drivers know that if they are unable to get over each crossing they may be held at the crossing for a considerable

5. Error type

Issue



Proximity of level crossing to another


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Level crossings located in close proximity to another may influence the risk taking behaviour of vehicle drivers.


Error

Violation









Issue



Public houses


4. User behaviour

alcohol.


Tallington CCTV: the public house

is located on the left-hand side of

the crossing. The nearest homes

are located on the other side and

some locals often use the

crossing in their vehicle or on foot

while under the influence of behaviour.

may be an increased chance of being apprehended by the police.

Level crossings on routes between homes and public houses may present additional problems because of the type of users using

the crossing. Users under the influence of alcohol may be more inclined to ignore normal crossing procedures and undertake risky

Rural level crossings may also be used by local vehicle drivers under the influence of alcohol to avoid using main routes where they

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Crossings located on route to public houses may result in increased violations of crossing procedures.


Error

Violation









4. User behaviour


them only applicable to vehicle drivers.

and onto the train line.

barrier.

Both pedestrians and cyclists ignore the activated warning information and barriers on vehicular crossings because many perceive

At AHB crossings, pedestrians and cyclists on the opposite side of the barrier can continue to progress past the line of the barrier

This is a particular problem when there are large volumes of pedestrian and cycle users because of the affect

of group activity on an individual’s behaviour. For example, once a few users have crossed during the activated warning, others will

follow their behaviour.

Users may also unintentionally progress past the barrier line and move onto the train tracks because of the lack of any physical

5. Error type

Issue



Pedestrians on vehicular crossings


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Large volumes of pedestrians and cyclists using road level crossings ignore the activated warning information and barriers.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER va/sa







Issue



Decision point


4. User behaviour


Ware footpath: the user can stand

in various positions to observe for

oncoming trains, however it is

unclear where they should not

stand while observing for trains.

A decision point is the position at which the user can view along both sides of the tracks but not be standing past a point of safety.

This point is designated at 3 metres from the nearest running rail, however it is normally determined by the physical characteristics

around the level crossing, for example, foliage and other obstructions at the side of the line may force the user to stand closer to the

rail lines to ensure they have a clear view. The areas where a user should not stand while observing for oncoming trains may also

be unclear, resulting in users standing in a position that is too close to the railway line.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

An obvious decision point is critical for users at unprotected level crossings.


Error

Violation









4. User behaviour


the signaller.

minutes. However,

Additional factors which may further increase the risk taking behaviour of users include:

UWC crossings positioned within long signal sections affect the behaviour of users and the communication between the user and

If a train is within a section, the signaller will normally request that the user calls back after a period of time, for example, in 15

The signaller is then able to inform the user whether the train is now out of the section and past the UWC.

users do not understand why the signaller cannot provide an exact indication of where the train is. The user becomes frustrated at

waiting for an unknown and often lengthy period of time and decides to cross without confirmation from the signaller.

When the user is crossing multiple times during the day;

While the user is waiting, they continue not to see a train for a lengthy period of time and perceive they have a sufficient period of

safe time to cross within;

If one train passes (but another may be within the section) this gives a clear message to the user, “I can go”, without receiving

confirmation from the signaller.

5. Error type

Error

Violation


Issue



Signal sections


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Long signal sections increase the risk taking behaviour of users at UWC’s.



RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER ro/hu







Issue



Combined environmental features


4. User behaviour


of complex environmental features.

An environmental feature on the approach to a level crossing may require the vehicle driver to divide their attention, however they

can continue to concentrate on and manage the information regarding the crossing.

However, the combined affect of many environmental features, such as bends, hills, trees and hedges on the approach to a

crossing, may result in increased decision making errors by the vehicle driver as their attention is diverted in accommodating a range

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


making errors of vehicle drivers.

Level crossings with a combination of environmental features, such as bends, hills, trees and hedges, may increase the decision

Error

Violation









4. User behaviour


road contour.

the contour of the exit road.

their effectiveness in ‘guiding’ the vehicle driver along the road.

Cats-eyes are located along the centre line and left hand-side of the road. They help vehicle drivers to see in advance the changes in

Cats-eyes support approaching vehicle drivers to assess the position of the level crossing in relation to the road and

However, cats-eyes do deteriorate over a period of time and gradually fail to reflect any light, reducing

Cats-eyes are particularly important in rural locations when lighting from surrounding roadside structures will be at a minimum.

5. Error type

Issue

Cats-eyes




AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


Deteriorated ‘cats-eyes’ on the approach or on the level crossing may reduce the vehicle driver’s ability to negotiate the road layout

at night.

Error

Violation









Issue



Sign pictogram


4. User behaviour


Sign 771, Schedule 3, The Traffic

Signs Regulations and General

Directions 2002

that conveying the appropriate information of protection type prior to each crossing can help users to adapt their behaviour

accordingly.

correct level crossing procedures.

The information presented to the vehicle driver or pedestrian on approaching the level crossing should identify the ‘potential hazard’

ahead of them and support them to adjust their behaviour accordingly.

Subject matter experts in the road industry have suggested the image of a ‘steam’ train does not support users in identifying with

the modern standards of the railway and conveys no relevant information to approaching crossing users. Research has suggested

There is no guidance in how this might affect user behaviour, but in our opinion it may lead to vehicle drivers not following the

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The ‘Puffer’ sign does not convey any directly useful information to users.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER tsr/2002

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) mo/vi






4. User behaviour


An image of a level crossing from

the Highway Code.

possible.

intervals, and as a minimum are only required to learn the code to obtain a full driving licence.

The current issue of the Highway Code contains 278 rules. Since 1959, the rules have increased from just 90. With this quantity of

rules to remember, the influence on vehicle drivers making errors in interpreting and understanding level crossing procedures is

This is especially relevant considering vehicle drivers are not required to update their knowledge on the highway code at regular

The presence of any level crossings

in the area where a learner vehicle driver is trained may also influence their competence in correctly obeying level crossing rules.

5. Error type

Issue

Highway Code




AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The highway code currently contains 278 rules for vehicle drivers.


Error

Violation









Issue



Road descents


4. User behaviour


increased. The road industry report increased red-light running at traffic lights when situated at the end of a road descent. This is

also an issue that could apply level crossings.

Vehicle speed is easily increased when travelling downhill, and with increased speed a vehicles stopping distance is also greatly

Previous rail research suggested vehicle drivers may also be concerned at causing vehicle-vehicle collisions if they were to stop

suddenly, which may further suggest why red-light running may be more prevalent at the end of a descent.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Level crossings located at the end of a descent may result in increased red-light running by vehicle drivers.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER pi/re







4. User behaviour


into the camera at certain times of the day or year).

vehicles, people or other objects.

The position of a CCTV camera varies from crossing to crossing. It may be located to the side of the crossing or positioned at one

end. Various factors influence the effectiveness of the camera location, such as the direction of the sun (which could shine directly

However, the angle at which the camera is positioned also affects the signaller’s ability to assess whether the crossing is clear of

5. Error type

Issue



Signal box: camera angle


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Position of the camera at a level crossing influences the signallers ability to detect objects.


Error

Violation









Issue



Passenger compliance with MWL


4. User behaviour

active.


Farnborough North: there have

been near-misses for both tourists

and regular passengers when they

have crossed while the red light is

the train they have just alighted from.

the active warning system.

When passengers alight at a station, the active red light at the station foot crossing is assumed by passengers to be associated with

Passengers continue to walk across the train tracks, even though the red light is active.

The mindset of a commuter passenger may also contribute to them violating the red light. For example, they may be thinking about

getting home and not concentrating on the immediate surroundings. These passengers may also use their knowledge about train

times to make an assessment that a train is not scheduled to pass so it is therefore acceptable to walk while the red light is on.

Group behaviour may also have an impact on many users choosing to cross once they have seen other passengers do so during

This issue is a problem at many train stations that have a station foot crossing with MWL. To help deal with the problem, some

train companies are reminding passengers via the train public address system not to cross while the red light is active as it may refer

to an oncoming train on the other line(s). 5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The red light of a MWL is associated with the train the passengers have alighted from.



RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER rpc/st

Network Rail ROAD INDUSTRY Doncaster HSE/HMRI GOVERNMENT TRL (rail) Railtrack internal report (ra/ki)






4. User behaviour

him.


Woodcroft: a train enthusiast went

track-side and refused to move to

a position of safety, as he

believed he was not compromisng

his own safety or those of others.

The BTP were called to remove

This crossing is used

regularly by enthusiasts as it

provides a long clear view of

approaching trains.

barrier to obtain a clear and unobstructed view of passing trains.

Some level crossings attract many train enthusiasts on a regular basis.

local papers, indicating which crossings are suitable for obtaining a good view of particular trains.

The vehicles parked by the enthusiasts on the approaches to level crossings also cause obstructions for other vehicle drivers

Level crossings provide an accessible point onto rail infrastructure and are often used by train enthusiasts, standing inside of the

These are organised meetings and are often advertised in

Level crossings positioned prior

to a curve in the track are often used by enthusiasts as these provide a clear view of the train for a much longer period of time.

approaching the crossing.

5. Error type

Issue



Train enthusiasts


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

To view trains closely, people undertake risky behaviour at level crossings.


Error

Violation









Issue



School parking


4. User behaviour


The position of these parked cars causes problems for other vehicle drivers traversing the level crossing.

means that vehicles may be parked from some time.

Level crossings in the vicinity of schools are used by parents as accessible drop-off and collection points for their children, with

vehicle drivers stopping on the crossing as well as on the approach and exit roads.

Their attention is diverted

from the level crossing, to concentrate on avoiding and manoeuvering around the parked vehicles. They are also forced to drive

down the centre line, resulting in conflicts with oncoming vehicles. The practice of dropping children at or collecting from school

5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC Undefined

UWC/T

UWC/MWL

OC

FP/MWL

FC

Pedestrian

Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


crossing.

School drop-off and collection points close to level crossings affects the flow and behaviour of other vehicle drivers approaching the








4. User behaviour

speed.


A manned crossing in Ridgmont

(Bedford to Bletchley line) is

positioned on a low speed road.

However, its proximity to the M1

motorway means vehicle drivers

continue to pass the crossing at

The attendant at this

crossing has been knocked over

on several occasions.

Different road speeds in close proximity may affect the speed at which vehicle drivers approach a level crossing.

Any small reduction in speed is perceived as considerable, even if it continues to be higher than the lower speed road limit.

The vehicle driver may then continue to cross over the level crossing at a speed which is inappropriate.

This may influence

the vehicle driver in the following ways:

The vehicle driver is conditioned to driving at the higher speed and maintains the same speed on the lower speed limit road;

5. Error type

Issue



Proximity of different road speeds


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver


High road speeds in close proximity to a level crossing on a lower speed road influences the speed at which vehicle drivers approach

the crossing.

Error

Violation









Issue



Level crossing equipment


4. User behaviour


credible by crossing users.

warning system, if they perceive the warning as false and want to avoid being kept at the crossing for a perceived unnecessary

Operational feedback from experts indicates that level crossing warnings lose their effectiveness when they are not perceived as

Regular users aware that a crossing has frequent reliability problems may choose to ignore an activated

period of time. Certain conditions, combined with this perception may increase the chances of users crossing during an activated

warning, such as having a clear view of the railway line and not seeing a train approach.

The perception of reliability may also affect the behaviour of other users. For example, if people inform others of how unreliable they

perceive the crossing to be, this may influence them to ignore the activated warning system.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The reliability and/or perception of reliability of the level crossing equipment affects the risk taking behaviour of regular users.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER le/dr







4. User behaviour


crossing.

of the crossing. A vehicle driver is less likely to be aware and suitably prepared for the hazard if they cannot see together

was required were seen together.

A user’s detection of a hazard is improved when information about the danger is presented together with the imminent danger.

Therefore, the position of information warning vehicle drivers of the level crossing should be presented while also in view of the

An information ‘void’ that does not convey the message nor the danger together does not strongly reinforce the presence

information about the crossing hazard and the actual level crossing.

The road industry has undertaken similar research on the position of information signs on motorways and the point at which an

action is required by the vehicle driver. The response to a prompt was most evident when the sign and point of where the action

5. Error type

Issue



Position of information


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Perception of a hazard is improved when information referencing the imminent danger are associated together.


Error

Violation









Issue



Vehicle speed zones


4. User behaviour

enough.


Helpston CCTV: The 30mph zone

was positioned to take account of

the amount of homes it had an

impact on. The crossing and

potential approach speed of

vehicle drivers was not considered

as part of the decision process for

positioning the speed zones.

Vehicles coming into the village

are not encouraged to slow early

vehicle drivers approach and pass over the crossing.

The position of incremental speed restriction signs on the approach to a level crossing can have an effect on the speed at which

Towns or villages often have a low speed zone within the central residential areas and then apply an incremental increase in speed

zones as the roads progress further from housing areas. A level crossing situated just on the outskirts of a town or village is often

excluded from the lower speed zones, or positioned too close to the change in road speeds. This fails to accommodate for vehicle

drivers slowing with sufficient time or gradually increasing their speed above the specified limits, so when they are approaching the

crossing they are moving at fairly high speeds.

The allocation of lower speed zones to incorporate a crossing on the outskirts of a town or village would help encourage the speed

at which drivers approach and pass over the crossing, thus having the potential to reduce errors and violations. 5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The position of incremental speed restriction signs influences the speed of vehicle drivers when approaching the crossing.


Error

Violation









4. User behaviour


used by vehicle drivers and pedestrians when they are already on the crossing and see the lights being activated. They fail to

continue moving over the crossing, believing the middle section a suitable and safe area to wait until the train passes.

Doubles sets of trains lines can be positioned so that the crossing has a ‘refuge’ point in the middle section. This section is often

5. Error type

Issue



Double train lines


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The space between two sets of double train lines provides users with a refuge point.


Error

Violation









Issue



Distance between gates


4. User behaviour


If the overall distance between the gates is fairly wide, this will greatly increase the overall time taken to undertake the correct

procedure of crossing 5 times. This impacts on the users willingness to comply with the correct crossing procedure.

If there is sufficient space to park a vehicle inside of the gate, but in front of the train track, users will prefer to do this to reduce the

amount of crossings required to manoeuvre their vehicle across the tracks. Instead of following the correct procedure of crossing 5

times, the user only moves across the tracks once. Users benefit through a dramatic saving in time by choosing to park their vehicle

inside of the gate.

However, the user may not be aware that the front of their vehicle might be too close or even protruding over the tracks. UWC users

may also use vehicles of different lengths when crossing, some which may clear the tracks when parked inside the gate, while

others may not. 5. Error type

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB


vehicle users.

The overall distance between UWC gates and the distance between the gate and first train line effects the risk taking behaviour of

Error

Violation









4. User behaviour


Young people are often happy to congregate around train lines and level crossings. Food and drink leftovers, such as takeaway

cartons and drink cans can indicate that the crossing is not only being used as access but as a meeting place for groups of friends.

The use of crossings as a social area and over a continued period of time may lower the users’ perception of how dangerous the

crossing is, resulting in risk taking behaviour.

5. Error type

Issue

Trespassers




AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC Undefined

UWC/T

UWC/MWL

OC

FP/MWL

FC

Pedestrian

Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Food and drink rubbish at a level crossing is often an indicator of young people using the crossing as a meeting place.


Error

Violation









Issue

Noise




4. User behaviour

line.


Fox Covert Road Footpath: the

crossing is positioned close to two

roads which pass over the railway

The noise of passing road

vehicles is further increased as

they move over the bridges,

dramatically reducing the users

sense of hearing to check for

oncoming trains.

impair the ability of the user to listen for trains.

visual checks correctly.

protected level crossings.

Users rely heavily on their hearing and/or vision to detect for oncoming trains at crossings without additional protection systems

such as miniature warning lights. Noisy surroundings, such as motorways, vehicle bridges, industrial units, schools etc., may

Noise not only impairs the user’s hearing, it may also affect their ability to carry out

Although the issue of noise is most prevalent at unprotected crossings, it may also hinder the performance of other users at

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Noisy surroundings may impair the performance of the users to detect trains at level crossings.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER bi/hu







4. User behaviour


A straight road provides vehicle drivers with improved visibility of oncoming cars, resulting in opportunities for passing slower cars or

traffic queues. This results in vehicle drivers often moving on to the opposite side of the road when approaching and going over a

level crossing. This issue is further compounded if the vehicle at the front of the queue has been progressing slowly and other

vehicle drivers now resent the possibility of having to wait at the crossing.

5. Error type

Issue



Straight roads


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

Straight roads increase the opportunities for vehicle drivers to undertake risky behaviour, to avoid having to wait at the level crossing.


Error

Violation









Issue



Stereotypical crossing users


4. User behaviour


‘Boy Racer’.

Parents with children;

Coach drivers with tourists;

Taxi drivers with passengers;

Salespersons;

Ramblers;

Cyclists & Motorcyclists.

Users that fail to obey level crossing procedures are not always the stereotypical male in his twenties, sometimes referred to as the

Other groups of users, often perceived as law abiders, are known to cross without obeying crossing procedures. The following

have all been identified as prominent groups of users who fail to follow level crossing procedures:

Middle-aged family women and men;

People from ‘upper-class’ groups;

5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Users who violate crossing procedures are not always male and in their twenties.










4. User behaviour


Passengers are using the activation of the warning lights as an indicator of their train arriving at the station.

moment.

crossing to the other platform once the lights were activated.

Because users are

leaving their decision to progress to the platform on the light activation, users are dashing across the level crossing at the last

Passengers walking on the approach to the level crossing know whether they need to run over the crossing to catch their train, by

observing the warning lights.

At one level crossing, a board has been positioned next to the station car park to block the view of the warning lights from

passengers sitting in their cars. Passengers were waiting in the warmth and comfort of their cars and then rushing across the level

5. Error type

Issue



Train arrival


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Activation of the warning lights is used by passengers as a train arrival indicator.


Error

Violation









Issue

Sightlines




4. User behaviour


This may be a particular problem at AOCL’s because of the lack of any physical barrier across the road.

time, vehicle drivers may creep forward past a point of safety to view along the tracks.

At crossings that have restricted sightlines along the tracks, this may result in users moving beyond a position of safety to view for

oncoming trains along the tracks.

After waiting a period of

Without the driver knowing, their vehicle may

be positioned over the tracks and in the path of an oncoming train.

5. Error type

AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Restricted or blocked sightlines may encourage users to move past a point of safety.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER trl/ar







4. User behaviour


Rail specific terminology used by the signaller may be misunderstood and incorrectly interpreted by the user.

The information provided by the user also affects the decisions and replies provided by the signaller.

The type of dialogue used between the user and the signaller may affect the behaviour of the user at the level crossing.

Inconsistencies in information provided by the signaller from one call to another may also result in misinterpretation of instructions

by the user. This may come about from heavy use of a crossing, with the signaller having to provide continued feedback to users,

therefore affecting the depth and quality of information provided on each phonecall.

If the user provides inaccurate or false information, or through continued use of a crossing, provides insufficient detail during each

phonecall, this may result in the signaller giving permission for the user to cross when in fact it is unsafe for them to do so.

5. Error type

Issue



Communication with signaller


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The dialogue between the level crossing user and the signaller may impact on the behaviour of the user.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER th/er







Issue



Signal box: detection of objects


4. User behaviour


During rainy weather conditions, the signaller’s ability to detect people or objects through the CCTV is impaired from:

The ability of the signaller to detect objects is also impaired by the following:

Electric trains can interfere with the quality of the CCTV screen image;

Cobwebs on the camera lens also impair the signaller from clearly seeing the full view of the crossing;

side to side.

White and dark clothing can also be very difficult to detect.

or walking over the rubber floor surfaces.

Rain directly hitting the lens of the CCTV camera (even with the use of lens wipers).

Combination of rain and car headlights reflecting light up from the rubberised flooring toward the CCTV camera lens.

Windy weather moves the camera position, omitting different sections of the crossing from the signallers view, as it sways from

If a person is standing near the barrier in white clothing, the signaller can

find it difficult to ascertain whether they are standing outside or inside the barrier. Dark clothing disguises people when standing on 5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Certain conditions impair the signallers ability to detect objects on the level crossing.










4. User behaviour


in their design and level of control measures in accommodating for large vehicles passing over the crossing on a regualr basis.

risk taking behaviour at level crossings to avoid being delayed.

Many disused railway sidings are now being sold off to private companies, who utilise the sidings for holding and transporting large

quantities of heavy goods by HGVs. Level crossings located on the access routes into and out of the sidings are often inadequate

The issue is further compounded by the nature of HGV drivers needing to work within strict delivery timescales, resulting in possible

5. Error type

Issue



Railway sidings


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Alternative uses of railways sidings may alter the type of traffic using a level crossing.


Error

Violation









Issue



Emergency services


4. User behaviour


No vehicles, including those of the emergency services, are legally permitted to pass the activated warning system at a level

crossing.

Level crossings may present a dilemma of ‘work ethics’ to some emergency service vehicle drivers.

Level crossings located on roads used frequently by the emergency services may result in these vehicle drivers undertaking further

risky behaviour to avoid having to wait at the lights.

An emergency service driver’s perception of risk (when on an emergency call) associated with passing the activated lights may be

lower than the risk compared with not reaching their required destination in time. For example, going through the initial warning

lights and knowing that they will probably miss the train if they go early enough, compared to arriving late at their required

destination and knowing lives may have been lost.

5. Error type

Error

Violation


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC Undefined

UWC/T

UWC/MWL

OC

FP/MWL

FC

Pedestrian

Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

Crossings located on routes used by emergency service vehicles may result in increased risk taking behaviour.










4. User behaviour


The ability of the vehicle drivers or other users to detect the presence of a level crossing, hazard information, warning lights or an

approaching train is impaired by fog. The impact of fog on users behaviour may result in users undertaking risky behaviour, such

as failing to take account of warning information or failing to see oncoming trains.

5. Error type

Issue



Weather: Fog


AOCL MCBcctv

AOCR Undefined

ABCL

AHB

MG

MCB

UWC

UWC/T

UWC/MWL

OC

FP/MWL

FC


Farmer

Cyclist

HGV driver

Motorcyclist

Passenger

Horserider

Other

Undefined

0-10

11-15

16-20

20-35

35-50

50-60

60+

Undefined

Individual

Group

Undefined

Car driver

Van driver

Train driver

/

The effectiveness of visual information is impaired by fog.


Error

Violation


RAIL INDUSTRY Milton Keynes RAIL INDUSTRY OTHER mp/001






-PN\YL�� /LSWZ[VU�HUK�[OL�Z\YYV\UKPUN� ]PSSHNLZ��

� �� 9DOLGDWLRQ�

�� 2EMHFWLYH

;OL�]HSPKH[PVU�L_LYJPZL�^HZ�JHYYPLK�V\[�[V�HZZLZZ�[OL�MLHZPIPSP[`�VM�HZZPNUPUN�/-�PZZ\LZ�

[V�SL]LS�JYVZZPUNZ��;OPZ�PZ�H�WYLJ\YZVY�[V�[OL�KL]LSVWTLU[�VM�[VVSZ�HUK�HWWYVHJOLZ�MVY�

0UZWLJ[VYZ��

�� 0HWKRG

�� /RFDWLRQ�

;OL�HYLH�VM�/LSWZ[VU��ÄN\YL��ULHY�7L[LYIVYV\NO��^HZ�ZLSLJ[LK�MVY�JHYY`PUN�V\[�[OL�

]HSPKH[PVU�L_LYJPZL��;OL�ZPNUHS�IV_�PU�/LSWZ[VU��X\HU[P[`�VM�SL]LS�JYVZZPUNZ��KPMMLYLU[�

YVHK�PUMYHZ[Y\J[\YLZ�HUK�SL]LS�JYVZZPUN�\ZLYZ�^P[OPU�H�YLSH[P]LS`�ZTHSS�NLVNYHWOPJHS�

HYLH��THKL�P[�HU�PKLHS�SVJH[PVU��

;OL�MVSSV^PUN�SL]LS�JYVZZPUNZ�^LYL�\ZLK�MVY�[OL�]HSPKH[PVU�L_LYJPZL"

�� /LSWZ[VU!�4*)

�� 4H_L`!�**;=

�� 3VSOHT!�**;=

�� ;HSSPUN[VU!�**;=

�� )HPU[VU�.YLLU!�(/)

�� -V_�*V]LY[!�-7

�� 7LPHVFDOH

;OL�L_LYJPZL�^HZ�JVUK\J[LK�V]LY�H�[V[HS�VM�MV\Y�KH`Z��[O�6J[VILY�HUK�� Z[�

6J[VILY��

�� 3URFHVV

;OL�WYVJLZZ�\ZLK�MVY�HZZPNUPUN�ZWLJPÄJ�/-�PZZ\LZ�[V�SL]LS�JYVZZPUNZ�PZ�IYVRLU�KV^U�

PU[V�[OL�MVSSV^PUN�[HZRZ"�H��I��J��HUK�K��ÄN\YL��

�� ;HZR�H!�ZLSLJ[�SL]LS�JYVZZPUN�[`WLZ�[V�IL�YL]PL^LK�HUK�L_[YHJ[�YLSL]HU[�/-�PZZ\LZ�

MYVT�KH[HIHZL�

�� ;HZR�I!�PZZ\LZ�YLSL]HU[�[V�LHJO�JYVZZPUN�[`WL�HYL�HZZLZZLK�\ZPUN�º6IZLY]H[PVUZ»��

º7O`ZPJHS�L]PKLUJL»�HUK�º0U[LY]PL^Z»��

�� ;HZR�J!�H�ZL[�VM�ÄUHS�/-�PZZ\LZ�HYL�HZZPNULK�[V�LHJO�JYVZZPUN�

�� ;HZR�K!�UL^�/-�PZZ\LZ�PKLU[PÄLK�MYVT�[HZR�I�HYL�MLK�IHJR�PU[V�KH[HIHZL�

69

-PN\YL�� 7YVJLZZ�\ZLK�MVY�HZZPNUPUN� /-�PZZ\LZ�[V�SL]LS�JYVZZPUNZ�

;OYLL�[LJOUPX\LZ�^LYL�HWWSPLK�MVY�HZZPNUPUN�[OL�O\THU�MHJ[VYZ�PZZ\LZ�H[�LHJO�VM�[OL�

SL]LS�JYVZZPUNZ"�6IZLY]H[PVUZ��7O`ZPJHS�L]PKLUJL�HUK�0U[LY]PL^Z��[HZR�I��

�� 6IZLY]H[PVUZ

+\YPUN�[OL�]HSPKH[PVU�L_LYJPZL��VIZLY]H[PVUZ�^LYL�JHYYPLK�V\[�H[�[OL�SL]LS�JYVZZPUNZ��

;OPZ�PU]VS]LK�ZWLUKPUN�WLYPVKZ�VM�[PTL�H[�[OL�JYVZZPUN�HUK�VIZLY]PUN�[OL�ILOH]PV\Y�VM�

\ZLYZ��(U`�PZZ\LZ�MYVT�[OL�KH[HIHZL�[OH[�^LYL�JVUÄYTLK�MYVT�VIZLY]PUN�\ZLYZ�^LYL�

YLJVYKLK�HNHPUZ[�H�KH[H�ZOLL[�^P[O�PZZ\LZ�YLSL]HU[�[V�[OH[�ZWLJPÄJ�[`WL�VM�JYVZZPUN��

(SS�VIZLY]H[PVUZ�^LYL�]PKLV�YLJVYKLK��

�� 7O`ZPJHS�L]PKLUJL

(�YL]PL^�VM�[OL�WO`ZPJHS�HZWLJ[Z�VM�LHJO�JYVZZPUN�HUK�P[Z�PTTLKPH[L�Z\YYV\UKPUNZ�^LYL�

THKL�

;OPZ�PU]VS]LK�]LYPM`PUN�[OL�WYLZLUJL�VM�PZZ\LZ�MYVT�HU`�WO`ZPJHS�L]PKLUJL��-VY�

L_HTWSL��H�ULHYI`�ºYVHK�Q\UJ[PVU»��ºMHYT�SHUK»�PU�[OL�]PJPUP[`�VM�[OL�JYVZZPUN��º[YHMÄJ�

JHSTPUN�Z`Z[LT»�VY�º[`WL�VM�[YHPUZ»��(U�HZZLZZTLU[�VM�[OL�JYVZZPUN�MYVT�H�\ZLY»Z�

WLYZWLJ[P]L��IV[O�VU�MVV[�HUK�MYVT�H�]LOPJSL�^HZ�HSZV�THKL�[V�LUZ\YL�HSS�WO`ZPJHS�

L]PKLUJL�^HZ�JVUÄYTLK��(U`�PZZ\LZ�LZ[HISPZOLK�[OYV\NO�[OPZ�WYVJLZZ�^LYL�YLJVYKLK�

VU�[OL�KH[H�ZOLL[��

:[PSS�WOV[VNYHWOZ�HUK�]PKLV�MVV[HNL�^LYL�[HRLU�[V�YLJVYK�LHJO�PKLU[PÄLK�PZZ\L��

�� 0U[LY]PL^Z

*VU[HJ[�^HZ�THKL�^P[O�RL`�WLYZVUZ�^P[OPU�[OL�/LSWZ[VU�HYLH��;OLZL�JVU[HJ[Z�^LYL�

\ZLK�MVY�[OL�PU[LY]PL^�Z[HNLZ�VM�[OL�]HSPKH[PVU�L_LYJPZL�

;OL�[`WL�VM�\ZLYZ�ZV\YJLK�MVY�[OL�PU[LY]PL^Z�^LYL�JOVZLU�[V�LUZ\YL�[OH[�LHJO�VM�[OL�

MVSSV^PUN�ºJOHYHJ[LYPZ[PJZ»�^LYL�JV]LYLK�I`�H[�SLHZ[�VUL�WLYZVU"

�� 3VJHS�[V�HYLH

�� 9LWYLZLU[LK�JVTT\UP[`�

70


2L`! 6�$�6IZLY]H[PVUZ 7�$�7O`ZPJHS�L]PKLUJL 0�$�0U[LY]PL^Z

2 3 ,

�� )\ZPULZZ�\ZLY

�� 9HPS�PUK\Z[Y`�TLTILY

9LZWVUZL�MYVT�[OL�SVJHS�JVTT\UP[`�HUK�YHPS^H`�PUK\Z[Y`�^HZ�MVY[OJVTPUN�HUK�[OL�

MVSSV^PUN�\ZLYZ�HNYLLK�[V�WHY[PJPWH[L"

�� 1VL�+VIZVU��7HYPZO�*V\UJPSSVY�MVY�/LSWZ[VU�

�� 7J�+H]L�9VILYZ[VU��);7

�� -YLK�4HUU��>HYKLU�VM�SVJHS�.SPU[VU�*VSSLNL

�� 4HYR�+LSHPUL�:TP[O��+LSHPUL�)\ZLZ��HUK�KYP]LYZ�

�� :PNUHSSLYZ�H[�/LSWZ[VU�ZPNUHS�IV_

;OL�\ZL�VM�SVJHS�RUV^SLKNL�PZ�H�]HS\HISL�TL[OVK�MVY�NHPUPUN�PUZPNO[Z�PU[V�[OL�ILOH]PV\Y�

VM�SL]LS�JYVZZPUN�\ZLYZ��/V^L]LY��JVYYLJ[S`�KLÄUPUN�[OL�IV\UKHYPLZ�VM�LHJO�PU[LY]PL^�

PZ�RL`�[V�LUZ\YPUN�[OL�KPZJ\ZZPVU�NLULYH[LZ�/-�PZZ\LZ�HUK�[OL�YLHZVUZ�ILOPUK�\ZLY�

ILOH]PV\Y��HUK�UV[�VU�ºMH\S[�ÄUKPUN»�^P[O�PUKP]PK\HS�\ZLYZ�VY�HU`�PUK\Z[Y �̀��,HJO�

PU[LY]PL^LL�^HZ�WYV]PKLK�^P[O�H�ZL[�VM�N\PKLSPULZ�WYPVY�[V�[OL�PU[LY]PL^��^OPJO�

KL[HPSLK�ZVTL�L_HTWSLZ�VM�/-�PZZ\LZ��;OLZL�L_HTWSLZ�WYV]PKLK�H�MYHTL^VYR�MVY�[OL�

KPZJ\ZZPVU�HUK�MHJPSP[H[LK�\ZLYZ�[V�[HSR�HYV\UK�[OL�PZZ\LZ��LUZ\YPUN�TH_PT\T�V\[W\[�

MYVT�[OL�PU[LY]PL^�

0U[LY]PL^Z�^LYL�JHYYPLK�V\[�^P[O�WLVWSL�LP[OLY�H[�[OLPY�WSHJL�VM�^VYR��OVTL�VY�K\YPUN�

]PZP[Z�[V�[OL�SVJHS�SL]LS�JYVZZPUNZ��;OL�]PZP[Z�[V�JYVZZPUNZ�^P[O�\ZLYZ�JHU�HZZPZ[�PU�

JVUÄYTPUN�THU`�/-�PZZ\LZ��;OL�JVU[L_[�ZWLJPÄJ�LU]PYVUTLU[�Z\WWVY[LK�[OL�\ZLY�

PU�[OLPY�KPZJ\ZZPVU�VM�PZZ\LZ�HUK�OLSWLK�\UJV]LY�HKKP[PVUHS�TPUVY�KL[HPSZ�HIV\[�\ZLY�

ILOH]PV\Y�YLSL]HU[�[V�LHJO�PUKP]PK\HS�JYVZZPUN��

+\YPUN�LHJO�PU[LY]PL^��[OL�/-�PZZ\LZ�WYL]PV\ZS`�JVUÄYTLK�HZ�YLSL]HU[�[V�LHJO�SL]LS�

JYVZZPUN�^LYL�YL]PL^LK��HZ�^LSS�HZ�HSS�/-�PZZ\LZ�YLSL]HU[�[V�[OL�[`WL�Z��VM�JYVZZPUN��

�� )LQGLQJV

;OL�MVSSV^PUN�[HISLZ�SPZ[�[OL�PKLU[PÄLK�O\THU�MHJ[VYZ�PZZ\LZ�MVY�LHJO�SL]LS�JYVZZPUN��

,HJO�[HISL�NP]LZ�[OL�YLMLYLUJL�U\TILY��UHTL�HUK�KLZJYPW[PVU�MVY�LHJO�PZZ\L��;OL�

PZZ\LZ�HYL�UV[�YHURLK�PU�[LYTZ�VM�[OLPY�SL]LS�VM�YPZR��I\[�HYL�WYLZLU[LK�PU�U\TLYPJHS�

VYKLY�

(U�PUKPJH[PVU�VM�OV^�[OL�O\THU�MHJ[VYZ�PZZ\LZ�^LYL�PKLU[PÄLK�PZ�HSZV�WYV]PKLK��(�

JVSV\Y�JVKPUN�RL`�OHZ�ILLU�\ZLK�[V�ZOV^�^OL[OLY�HU�PZZ\L�^HZ�PKLU[PÄLK�[OYV\NO�

6IZLY]H[PVU��7O`ZPJHS�L]PKLUJL�VY�0U[LY]PL^��(U�PZZ\L�TH`�OH]L�ILLU�PKLU[PÄLK�I`�

VUL��[^V�VY�HSS�[OYLL�VM�[OL�[LJOUPX\LZ��

�� *HQHUDWLQJ�LQIRUPDWLRQ�WKURXJK�LQWHUYLHZV

;OL�JVSV\Y�JVKPUN�JSLHYS`�ZOV^Z�[OH[�[OL�PU[LY]PL^�[LJOUPX\L�PKLU[PÄLK�[OL�THQVYP[`�VM�

PZZ\LZ�MVY�HSS�SL]LS�JYVZZPUNZ��MVSSV^LK�I`�WO`ZPJHS�L]PKLUJL�HUK�[OLU�VIZLY]H[PVUZ�

71

��

5V[�VUS`�KPK�[OL�PU[LY]PL^Z�PKLU[PM`�ÔPJO�PZZ\LZ�^LYL�YLSL]HU[��[OL`�HSZV�\UJV]LYLK�

H�IYLHK[O�VM�RUV^SLKNL�HIV\[�[OL�YLZ\S[HU[�ILOH]PV\Y�VM�\ZLYZ��;OPZ�HKKP[PVUHS�

PUMVYTH[PVU�VU�\ZLY�ILOH]PV\Y�OHZ�ILLU�PUJS\KLK�^P[OPU�[OL�KH[HIHZL�

4HU`�VM�[OL�PZZ\LZ�HUK�HZZVJPH[LK�ILOH]PV\YZ�VM�\ZLYZ�^V\SK�UV[�OH]L�ILLU�JHW[\YLK�

[OYV\NO�\ZPUN�Q\Z[�L]PKLUJL�H[�[OL�JYVZZPUN�VY�MYVT�VIZLY]PUN�\ZLYZ�MVY�PU[LYPT�WLYPVKZ�

VM�[PTL��;OL�PUJS\ZPVU�VM�PU[LY]PL^Z�^P[O�SVJHS�\ZLYZ�HUK�[OVZL�MYVT�[OL�YHPS�PUK\Z[Y`�

OHZ�NLULYH[LK�L_[LUZP]L�MLLKIHJR�VU�/-�PZZ\LZ�HUK�\ZLY�ILOH]PV\Y��

�� $VVLJQHG�+)�LVVXHV

;HISLZ�HYL�WYV]PKLK�MVY�/LSWZ[VU��[HISL��;HSSPUN[VU��[HISL��4H_L`��[HISL��

3VSOHT��[HISL��)HPU[VU�.YLLU��[HISL��HUK�-V_�*V]LY[��[HISL��SL]LS�JYVZZPUNZ��

7OV[VNYHWOPJ�L]PKLUJL�VM�ZVTL�VM�[OL�PZZ\LZ�HYL�WYV]PKLK�H[�[OL�LUK�VM�LHJO�[HISL��

;HISL�� /LSWZ[VU!�4*)

5HI ,VVXH�LGHQWLÀHG 'HVFULSWLRQ 2 3 ,

�� >LH[OLY!�0JL 0J`�^LH[OLY�JVUKP[PVUZ�VU�[OL�HWWYVHJO��L_P[�HUK�VU�[OL�JYVZZPUN�

HMMLJ[Z�[OL�ILOH]PV\Y�VM�\ZLYZ�

�� <ZLYZ�MHTPSPHYP[`�

^P[O�H�JYVZZPUN

9LN\SHY�\ZLYZ�HYL�TVYL�SPRLS`�[V�\UKLY[HRL�YPZR`�ILOH]PV\Y�ÔLU�

JYVZZPUN��;OVZL�SP]PUN�JSVZL�[V�SL]LS�JYVZZPUNZ�VM[LU�ILOH]L�SLZZ�

JH\[PV\ZS`�ÔLU�\ZPUN�[OL�JYVZZPUN�

�� =LOPJSL�HWWYVHJO�

ZWLLK

;OL�ZWLLK�VM�[OL�YVHK�[YH]LYZPUN�H�SL]LS�JYVZZPUN�PZ�H�MHJ[VY�PU�]LOPJSL�

KYP]LY�LYYVYZ�

�� 7LKLZ[YPHU�HJJLZZ 7LKLZ[YPHU�HUK�WHZZLUNLYZ�HYL�TVYL�SPRLS`�[V�\UKLY[HRL�YPZR`�

ILOH]PV\Y�H[�]LOPJ\SHY�SL]LS�JYVZZPUNZ�ÔLYL�IYPKNLZ�HYL�UV[�WYV]PKLK�

�� .YV\WZ 7LVWSL�PU�NYV\WZ�TH`�\UKLY[HRL�TVYL�YPZR`�ILOH]PV\Y��[OHU�ÔLU�VU�

[OLPY�VÛ��MPN\YL��

�� ;PTL�VM�KH` 9PZR�[HRPUN�H[�SL]LS�JYVZZPUNZ�PUJYLHZLZ�K\YPUN�Y\ZO�OV\YZ��H[�TPKKH`��

HUK�H[�[OL�ILNPUUPUN�HUK�LUK�VM�[OL�ZJOVVS�KH �̀

�� 7YLZLUJL�VM�YHPS�

Z[HMM

;OL�WYLZLUJL�VM�YHPS�Z[HMM�PU�OPNO�]PZPIPSP[`�JSV[OPUN�JHU�OH]L�HU�

\UKLZPYHISL�PTWHJ[�VU�SL]LS�JYVZZPUN�\ZLY�ILOH]PV\Y�

�� *SVZ\YL�[PTL ;OL�HTV\U[�VM�[PTL�[OL�\ZLY�L_WLJ[Z�[V�^HP[�H[�[OL�SL]LS�JYVZZPUN�TH`�

PUMS\LUJL�[OLPY�YPZR�[HRPUN�ILOH]PV\Y�

�� (\KPISL�HSHYT :LJVUK�H\KPISL�^HYUPUN�[VUL�PZ�UV[�KL[LJ[LK�HUK�VY�\UKLYZ[VVK�I`�

SL]LS�JYVZZPUN�\ZLYZ�

�� *VUZWPJ\P[`�VM�

MSHZOPUN�SPNO[Z

;OL�LMMLJ[P]LULZZ�VM�MSHZOPUN�SPNO[Z�PZ�SPTP[LK�IL�]LPSPUN�NSHYL��SPTP[LK�

SPNO[�V\[W\[�HUK�[OLPY�WVZP[PVU�

�� ;̀ WL�VM�[YHPUZ ;YHPU�SPULZ�^P[O�OPNO�MYLX\LUJ`�VM�IV[O�MYLPNO[�HUK�WHZZLUNLY�ZLY]PJLZ�

TH`�PUMS\LUJL�[OL�YPZR�[HRPUN�ILOH]PV\Y�VM�\ZLYZ�

�� +H`Z�VM�[OL�^LLR 9PZR�[HRPUN�ILOH]PV\Y�H[�SL]LS�JYVZZPUNZ�PUJYLHZLZ�VU�^VYRPUN�KH`Z�

�� (UPTHSZ!�/VYZLZ (J[P]H[LK�WYV[LJ[LK�SL]LS�JYVZZPUNZ�TH`�YLZ\S[�PU�\UKLZPYHISL�ILOH]PV\Y�

I`�OVYZLZ��HUK�PUMS\LUJL�[OL�ILOH]PV\Y�VM�V[OLY�YVHK�\ZLYZ�

�� 6IZLY]H[PVU�VM�

HTILY�SPNO[

;OL�SLUN[O�VM�HJ[P]H[PVU�VM�[OL�HTILY�SPNO[�OHZ�SP[[SL�HMMLJ[�VU�[OL�

ILOH]PV\Y�VM�]LOPJSL�KYP]LYZ�

72

�� ,]LU[Z ,]LU[Z�PUJYLHZL�[OL�HTV\U[�VM�PYYLN\SHY�\ZLYZ�H[�SL]LS�JYVZZPUNZ�

�� 3VJH[PVU�ULHY�

THQVY�YVHKZ

;OL�YPZR�VM�]LOPJSL�KYP]LYZ�ISVJRPUN�IHJR�V]LY�[OL�SL]LS�JYVZZPUN�VY�

NLULYHS�YPZR�[HRPUN�ILOH]PV\Y�PZ�PUJYLHZLK�ÔLU�[OL�JYVZZPUN�PZ�SVJH[LK�

VU�YVHKZ�^P[O�KPYLJ[�HJJLZZ�[V�THQVY�YVHKZ�HUK�TV[VY^H`Z�

�� ;YHMMPJ�JHSTPUN�

Z`Z[LTZ

9VHK�[YHMMPJ�JHSTPUN�Z`Z[LTZ�VU�[OL�HWWYVHJOLZ�[V�H�SL]LS�JYVZZPUN�

TH`�PUJYLHZL�[OL�YPZR�VM�]LOPJSLZ�ISVJRPUN�IHJR��MPN\YL��


MHYTZ

/PNO�]VS\TLZ�VM�MHYT�[YHMMPJ�PTWHJ[�VU�[OL�ZWLLK�HUK�ILOH]PV\Y�VM�

V[OLY�]LOPJSLZ�[YH]LYZPUN�[OL�JYVZZPUN�

�� 7\ISPJ�OV\ZLZ *YVZZPUN�SVJH[LK�VU�YV\[L�[V�W\ISPJ�OV\ZLZ�TH`�YLZ\S[�PU�PUJYLHZLK�

]PVSH[PVUZ�VM�JYVZZPUN�WYVJLK\YLZ�

�� ;YHPU�LU[O\ZPHZ[Z ;V�]PL^�[YHPUZ�JSVZLS �̀�WLVWSL�\UKLY[HRL�YPZR`�ILOH]PV\Y�H[�SL]LS�

JYVZZPUNZ�

�� 7YV_PTP[`�VM�

KPMMLYLU[�YVHK�

ZWLLKZ

/PNO�YVHK�ZWLLKZ�PU�JSVZL�WYV_PTP[`�[V�H�SL]LS�JYVZZPUN�VU�H�SV^LY�

ZWLLK�YVHK�PUMS\LUJLZ�[OL�ZWLLK�H[�ÔPJO�]LOPJSL�KYP]LYZ�HWWYVHJO�[OL�

JYVZZPUN��MPN\YL��

� =LOPJSL�ZWLLK�

aVULZ

;OL�WVZP[PVU�VM�PUJYLTLU[HS�ZWLLK�YLZ[YPJ[PVU�ZPNUZ�PUMS\LUJLZ�[OL�

ZWLLK�VM�]LOPJSL�KYP]LYZ�VU�HWWYVHJOPUN�[OL�JYVZZPUN�

� +V\ISL�[YHPU�SPULZ ;OL�ZWHJL�IL[^LLU�[^V�ZL[Z�VM�KV\ISL�[YHPU�SPULZ�WYV]PKLZ�\ZLYZ�^P[O�H�

YLM\NL�WVPU[�

� :[YHPNO[�YVHKZ :[YHPNO[�YVHKZ�PUJYLHZL�[OL�VWWVY[\UP[PLZ�MVY�]LOPJSL�KYP]LYZ�[V�

\UKLY[HRL�YPZR`�ILOH]PV\Y��[V�H]VPK�OH]PUN�[V�^HP[�H[�H�SL]LS�JYVZZPUN�

� :[LYLV[`WPJHS�

JYVZZPUN�\ZLYZ

<ZLYZ�ÔV�]PVSH[L�JYVZZPUN�WYVJLK\YLZ�HYL�UV[�HS^H`Z�THSL�HUK�PU�

[OLPY�[^LU[PLZ�

�� >LH[OLY!�-VN ;OL�LMMLJ[P]LULZZ�VM�]PZ\HS�PUMVYTH[PVU�PZ�PTWHPYLK�I`�MVN�

-PN\YL�� !�THU`�`V\UN�JOPSKYLU�\ZL�[OL� /LSWZ[VU�JYVZZPUN��ILMVYL�HUK�HM[LY� ZJOVVS�VU�J`JSLZ�HUK�I`�MVV[��*OPSKYLU� PU�NYV\WZ�\UKLY[HRL�TVYL�YPZR`� ILOH]PV\Y�[OHU�JOPSKYLU�VU�[OLPY�VÛ��

-PN\YL�� !�;OL�SVJHS�[YHMÄJ�JHSTPUN�ZJOLTL� JHU�JH\ZL�ISVJRPUN�IHJR�WYVISLTZ� V]LY�[OL�JYVZZPUN��(KKP[PVUHS�ZJOLTLZ� VU�[OL�V[OLY�ZPKL�VM�[OL�JYVZZPUN�^HZ� JVUZPKLYLK�PUHWWYVWYPH[L�

-PN\YL�� !�[OL��TWO�aVUL�PZ�WVZP[PVULK�]LY`� JSVZL�[V�[OL�JYVZZPUN��HM[LY�H��TWO� Z[YHPNO[�YVHK��0[�WYV]PKLZ�]LY`�SPTP[LK� [PTL�MVY�]LOPJSLZ�KYP]LYZ�[V�HKQ\Z[�[OLPY� ILOH]PV\Y�

73

;HISL�� ;HSSPUN[VU!�**;=





^P[O�H�JYVZZPUN

9LN\SHY�\ZLYZ�HUK�[OVZL�SP]PUN�JSVZL�[V�SL]LS�JYVZZPUNZ�HYL�TVYL�SPRLS`�

[V�\UKLY[HRL�YPZR`�ILOH]PV\Y�ÔLU�\ZPUN�[OL�JYVZZPUN�

�� 9LWYLZLU[H[PVU�VM�

/.=�\ZLYZ

/.=�KYP]LYZ�MVYT�H�KPZWYVWVY[PVUH[LS`�OPNO�U\TILY�VM�PUJPKLU[Z�H[�SL]LS�

JYVZZPUNZ�

�� ;PTL�VM�KH`� 9PZR�[HRPUN�H[�SL]LS�JYVZZPUNZ�PUJYLHZLZ�K\YPUN�Y\ZO�OV\YZ��H[�TPKKH`��


�� =PZ\HS�JS\[[LY :\WLYMS\V\Z�PUMVYTH[PVU�HUK�YVHKZPKL�Z[Y\J[\YLZ�VU�[OL�HWWYVHJO�[V�

[OL�JYVZZPUN�TH`�YLK\JL�\ZLY»Z�KL[LJ[PVU�VM�SL]LS�JYVZZPUN�PUMVYTH[PVU�

HUK�^HYUPUN�ZPNUZ��MPN\YL��







HTILY�SPNO[


ILOH]PV\Y�VM�]LOPJSL�KYP]LYZ��MPN\YL��


MHYTZ




]PVSH[PVUZ�VM�JYVZZPUN�WYVJLK\YLZ��MPN\YL��


JYVZZPUNZ�


JYVZZPUN�\ZLYZ

<ZLYZ�ÔV�]PVSH[L�JYVZZPUN�WYVJLK\YLZ�HYL�UV[�HS^H`Z�THSL�HUK�PU�[OLPY�

[^LU[PLZ�

-PN\YL�� !�[OL�HWWYVHJO�[V�;HSSPUN[VU�PZ� JS\[[LYLK�^P[O�`LSSV^�HK]LY[PZPUN�ZPNUZ� HUK�H�`LSSV^�IYHUKLK�WL[YVS�Z[H[PVU�� ;OLZL�HSS�THRL�P[�]LY`�KPMÄJ\S[�MVY� HWWYVHJOPUN�]LOPJSL�KYP]LYZ�[V�PKLU[PM`� [OL�ZPTPSHY�JVSV\YLK�JYVZZPUN�ZPNUHNL��

-PN\YL�� !�KYP]LYZ�OH]L�ILLU�VIZLY]LK�PNUVYPUN� [OL�HTILY�SPNO[��HS[OV\NO�[OL`�OH]L�OHK� Z\MÄJPLU[�[PTL�[V�Z[VW�H[�[OL�SPNO[Z��;OL� ]LOPJSL�KYP]LY�HWWYVHJOPUN�[OL�JYVZZPUN� JVU[PU\LZ�[V�KYP]L�Z[YHPNO[�V]LY��

-PN\YL�� !�ZVTL�\ZLYZ�VM�[OL�SVJHS�W\ISPJ� OV\ZL�\ZL�[OL�JYVZZPUN�ÔPSL�\UKLY� [OL�PUÅ\LUJL�VM�HSJVOVS��;OL�);7�OH]L� ILLU�JHSSLK�[V�[OPZ�JYVZZPUN�[V�JSLHY�P[�VM� U\ZPHUJL�\ZLYZ�ÔV�Q\TW�[OL�IHYYPLYZ��

74

;HISL�� 4H_L`!�**;=





^P[O�H�JYVZZPUN


[V�\UKLY[HRL�YPZR`�ILOH]PV\Y�ÔLU�JYVZZPUN�ÔLU�\ZPUN�[OL�JYVZZPUN�

�MPN\YL��

�� 7LKLZ[YPHU�HJJLZZ 7LKLZ[YPHU�HUK�WHZZLUNLYZ�HYL�TVYL�SPRLS`�[V�\UKLY[HRL�YPZR`�

ILOH]PV\Y�H[�]LOPJ\SHY�SL]LS�JYVZZPUNZ�ÔLYL�IYPKNLZ�HYL�UV[�WYV]PKLK�

�� ;PTL�VM�KH` 9PZR�[HRPUN�H[�SL]LS�JYVZZPUNZ�PUJYLHZLZ�K\YPUN�Y\ZO�OV\YZ��H[�TPKKH`��



Z[HMM





�� (\KPISL�HSHYT :LJVUK�H\KPISL�^HYUPUN�[VUL�PZ�UV[�KL[LJ[LK�HUK�VY�\UKLYZ[VVK�I`�

SL]LS�JYVZZPUN�\ZLYZ�

�� *VUZWPJ\P[`�VM�

MSHZOPUN�SPNO[Z

;OL�LMMLJ[P]LULZZ�VM�MSHZOPUN�SPNO[Z�PZ�SPTP[LK�IL�]LPSPUN�NSHYL��SPTP[LK�

SPNO[�V\[W\[�HUK�[OLPY�WVZP[PVU�

�� <ZLYZ�WLYJLW[PVU�

VM�[YHPU�ZWLLK�HUK�

KPZ[HUJL

;YHPU�ZWLLK�HUK�KPZ[HUJL�PZ�\UKLYLZ[PTH[LK�I`�\ZLYZ��ÔPJO�TH`�YLZ\S[�

PU�PUJYLHZLK�KLJPZPVU�THRPUN�LYYVYZ�I`�\ZLYZ�H[�SL]LS�JYVZZPUNZ�

�� -VSPHNL�VU�

YVHKZPKL

;OL�LMMLJ[P]LULZZ�VM�PUMVYTH[PVU�VU�[OL�HWWYVHJO�[V�[OL�SL]LS�JYVZZPUN�

PZ�YLK\JLK�I`�V]LYNYVÛ�MVSPHNL��MPN\YL��





I`�OVYZLZ��HUK�PUMS\LUJL�[OL�ILOH]PV\Y�VM�V[OLY�YVHK�]LOPJSL�\ZLYZ�


HTILY�SPNO[



�� /V\ZPUN�

KL]LSVWTLU[Z

/V\ZPUN�KL]LSVWTLU[Z�PUJYLHZL�YVHK�[YHMMPJ�HUK�SL]LS�JYVZZPUN�\ZL�

�� 9VHK�THYRPUNZ ;OL�LMMLJ[P]LULZZ�VM�]LOPJSL�KYP]LYZ�Z[VWWPUN�PU�[OL�JVYYLJ[�SVJH[PVU�PZ�

PTWHPYLK�I`�^VYU�YVHK�THYRPUNZ��


MHYTZ




JYVZZPUNZ�


KPMMLYLU[�YVHK�

ZWLLKZ

/PNO�YVHK�ZWLLKZ�PU�JSVZL�WYV_PTP[`�[V�H�SL]LS�JYVZZPUN�VU�H�SV^LY�

ZWLLK�YVHK�PUMS\LUJLZ�[OL�ZWLLK�H[�ÔPJO�]LOPJSL�KYP]LYZ�HWWYVHJO�[OL�

JYVZZPUN��MPN\YL��

� +V\ISL�[YHPU�SPULZ ;OL�ZWHJL�IL[^LLU�[^V�ZL[Z�VM�KV\ISL�[YHPU�SPULZ�WYV]PKLZ�\ZLYZ�^P[O�H�

YLM\NL�WVPU[�

75


JYVZZPUN�\ZLYZ


[OLPY�[^LU[PLZ�


-PN\YL�� !��SVJHS�\ZLYZ�SP]PUN�UL_[�[V�[OL� JYVZZPUN�OH]L�JVUZPZ[LU[S`�\UKLY[HRLU� YPZR`�ILOH]PV\Y�ÔLU�JYVZZPUN�H[�4H_L �̀��

;HISL�� 3VSOHT!�**;=

-PN\YL�� !��[OL�SL]LS�JYVZZPUN�ZPNU��WVZP[PVULK� VU�[OL�SLM[�OHUK�ZPKL�PZ�VIZJ\YLK�MYVT� [OL�]LOPJSL�KYP]LY»Z�]PL �̂��

-PN\YL�� !�[OL��TWO�aVUL�PZ�WVZP[PVULK�JSVZL� [V�[OL�JYVZZPUN��HM[LY�H��TWO�aVUL�VU�H� SVUN�Z[YHPNO[�YVHK��





^P[O�H�JYVZZPUN


[V�\UKLY[HRL�YPZR`�ILOH]PV\Y�\ZPUN�[OL�JYVZZPUN��




YVHKZPKL

;OL�LMMLJ[P]LULZZ�VM�PUMVYTH[PVU�VU�[OL�HWWYVHJO�[V�[OL�SL]LS�JYVZZPUN�

PZ�YLK\JLK�I`�V]LYNYVÛ�MVSPHNL�







HTILY�SPNO[



�� 5HYYV^�YVHKZ 5HYYV^�YVHKZ�ILMVYL�HUK�HM[LY�[OL�SL]LS�JYVZZPUN�TH`�YLZ\S[�PU�KYP]LYZ�

ZSV^PUN�HUK�Z[VWWPUN�ÔPSL�VU�[OL�SL]LS�JYVZZPUN��MPN\YL��

�� =LOPJSL�ZOVY[J\[Z 3L]LS�JYVZZPUNZ�VU�YVHKZ�\ZLK�HZ�ZOVY[J\[Z�YLZ\S[�PU�PUJYLHZLK�YPZR�

[HRPUN�ILOH]PV\Y�I`�]LOPJSL�KYP]LYZ��MPN\YL��

�� 9VHK�THYRPUNZ ;OL�LMMLJ[P]LULZZ�VM�KYP]LYZ�Z[VWWPUN�PU�[OL�JVYYLJ[�SVJH[PVU�PZ�PTWHPYLK�

I`�^VYU�YVHK�THYRPUNZ��


MHYTZ



76

�� 7YV_PTP[`�VM�SL]LS�

JYVZZPUNZ�[V�

HUV[OLY

3L]LS�JYVZZPUNZ�SVJH[LK�PU�JSVZL�WYV_PTP[`�VM�HUV[OLY�TH`�PUMS\LUJL�[OL�

YPZR�[HRPUN�ILOH]PV\Y�VM�]LOPJSL�KYP]LYZ��MPN\YL��


]PVSH[PVUZ�VM�JYVZZPUN�WYVJLK\YLZ��

�� *H[Z�L`LZ +L[LYPVYH[LK�JH[Z�L`LZ�VU�[OL�HWWYVHJO�VY�VU�[OL�SL]LS�JYVZZPUN�TH`�

YLK\JL�[OL�]LOPJSL�KYP]LY»Z�HIPSP[`�[V�ULNV[PH[L�[OL�YVHK�SH`V\[�H[�UPNO[�


JYVZZPUNZ�


JYVZZPUN�\ZLYZ


[OLPY�[^LU[PLZ�


-PN\YL�� !�[OL�HWWYVHJOLZ�[V�IV[O�ZPKLZ�VM� 3VSOHT�IYPKNLZ�PZ�]LY`�UHYYV �̂��;OLYL�PZ� VUS`�YVVT�MVY�VUL�]LOPJSL�[V�WHZZ�H[�H� [PTL��

;HISL�� )HPU[VU�.YLLU!�(/)

-PN\YL�� !�[OL�3VSOHT�IYPKNLZ�JYVZZPUN�PZ� WVZP[PVULK�PU�JSVZL�WYV_PTP[`�[V�)HPU[VU� .YLLU��(M[LY�ILPUN�OLSK�H[�3VSOHT��THU`� ]LOPJSL�KYP]LYZ�ZWLLK�HSVUN�[OL�Z[YHPNO[� YVHK�[V�H]VPK�ILPUN�JH\NO[�H[�[OL�UL_[� JYVZZPUN��

-PN\YL�� !�[OL�3VSOHT�IYPKNLZ�JYVZZPUN�PZ�VM[LU� \ZLK�HZ�H�ZOVY[J\[�MVY�]LOPJSL�KYP]LYZ� H]VPKPUN�[OL�I\Z`�(��IL[^LLU�:[HTMVYK� HUK�7L[LYIVYV\NO��



^P[O�H�JYVZZPUN

9LN\SHY�\ZLYZ�HYL�TVYL�SPRLS`�[V�\UKLY[HRL�YPZR`�ILOH]PV\Y�ÔLU�

JYVZZPUN��;OVZL�SP]PUN�JSVZL�[V�SL]LS�JYVZZPUNZ�VM[LU�ILOH]L�SLZZ�

JH\[PV\ZS`�ÔLU�\ZPUN�[OL�JYVZZPUN�

�� 9VHK�Q\UJ[PVUZ 9VHK�Q\UJ[PVUZ�JSVZL�[V�[OL�SL]LS�JYVZZPUN�TH`�YLZ\S[�PU�PUJYLHZLK�

KLJPZPVU�THRPUN��WVZZPISL�LYYVYZ�I`�]LOPJSL�KYP]LYZ�HUK�ISVJRPUN�IHJR�

V]LY�[OL�JYVZZPUN��MPN\YL��

�� =LOPJSL�HWWYVHJO�

ZWLLK

;OL�ZWLLK�VM�[OL�YVHK�[YH]LYZPUN�H�SL]LS�JYVZZPUN�PZ�H�MHJ[VY�PU�]LOPJSL�

KYP]LY�LYYVYZ�


Z[HMM



�� :\USPNO[�Z[YVIPUN :\USPNO[�WHZZPUN�[OYV\NO�SPULZ�VM�[YLLZ�WVZP[PVULK�VU�[OL�ZPKL�VM�[OL�

YVHK��PTWHY[Z�H�Z[YVIPUN�LMMLJ[�VU�[OL�YVHK�ÔPJO�TH`�PTWHPY�[OL�

]PZPIPSP[`�VM�]LOPJSL�KYP]LYZ�

77

�� /HSM�IHYYPLY (\[VTH[PJ�OHSM�IHYYPLYZ�MHJPSP[H[L�]LOPJSL�KYP]LYZ�[V�\UKLY[HRL�YPZR�[HRPUN�

ILOH]PV\Y��MPN\YL��

�� <ZLY�WLYJLW[PVU�


KPZ[HUJL

;YHPU�ZWLLK�HUK�KPZ[HUJL�PZ�\UKLYLZ[PTH[LK�I`�\ZLYZ��ÔPJO�TH`�

PUJYLHZL�[OL�KLJPZPVU�THRPUN�LYYVYZ�VM�\ZLYZ�H[�SL]LS�JYVZZPUNZ��


YVHKZPKL

;OL�LMMLJ[P]LULZZ�VM�PUMVYTH[PVU�VU�[OL�HWWYVHJO�[V�H�SL]LS�JYVZZPUN�PZ�

YLK\JLK�I`�V]LYNYVÛ�MVSPHNL��

�� =PZP[VY�WHYRPUN ;OL�WVZP[PVU�VM�]PZP[VY»Z�WHYRLK�]LOPJSLZ�H[�H�SL]LS�JYVZZPUN�TH`�HMMLJ[�

[OL�ILOH]PV\Y�VM�V[OLY�YVHK�\ZLYZ��







HTILY�SPNO[



�� =LOPJSL�ZOVY[J\[Z 3L]LS�JYVZZPUNZ�VU�YVHKZ�\ZLK�HZ�ZOVY[J\[Z�YLZ\S[�PU�PUJYLHZLK�YPZR�

[HRPUN�ILOH]PV\Y�I`�]LOPJSL�KYP]LYZ��


MHYTZ


V[OLY�]LOPJSLZ�[YH]LYZPUN�[OL�JYVZZPUN��MPN\YL��


SL]LS�JYVZZPUN�[V�

HUV[OLY

3L]LS�JYVZZPUNZ�SVJH[LK�PU�JSVZL�WYV_PTP[`�[V�HUV[OLY�TH`�PUMS\LUJL�[OL�

YPZR�[HRPUN�ILOH]PV\Y�VM�]LOPJSL�KYP]LYZ��


]PVSH[PVUZ�VM�JYVZZPUN�WYVJLK\YLZ�

� :[YHPNO[�YVHKZ :[YHPNO[�YVHKZ�PUJYLHZL�[OL�VWWVY[\UP[PLZ�MVY�]LOPJSL�KYP]LYZ�[V�

\UKLY[HRL�YPZR`�ILOH]PV\Y��[V�H]VPK�OH]PUN�[V�^HP[�H[�H�SL]LS�JYVZZPUN�


JYVZZPUN�\ZLYZ

<ZLYZ�ÔV�]PVSH[L�JYVZZPUN�WYVJLK\YLZ�HYL�UV[�HS^H`Z�THSL�HUK�PU�[OLPY�

[^LU[PLZ�


-PN\YL�� !�[^V�YVHK�Q\UJ[PVUZ�JYVZZ�ILMVYL� SLHKPUN�[V�)HPU[VU�.YLLU�JYVZZPUN�� ;OL�JVTWSL_P[`�VM�[OPZ�Q\UJ[PVU�SLHKZ� [V�]LOPJSL�KYP]LYZ�OH]PUN�[V�MVJ\Z�VU� H�]HYPL[`�VM�KPMMLYLU[�PUMVYTH[PVU�J\LZ�� LZWLJPHSS`�K\YPUN�Y\ZO�OV\YZ�ÔLU�[OPZ�PZ� \ZLK�HZ�H�ZOVY[J\[�YV\[L��

-PN\YL�� !�)HPU[VU�.YLLU�PZ�H�OHSM�IHYYPLY� JYVZZPUN��APN�aHNNPUN�OHZ�ILLU� VIZLY]LK�I`�SVJHSZ��

78

-PN\YL�� !�[OL�YV\[L�V]LY�)HPU[VU�PZ�\ZLK� OLH]PS`�I`�SVJHS�MHYTLYZ��;OL�Z[YHPNO[� YVHK�HUK�ZOVY[J\[�YV\[L�JVTIPULK� ^P[O�ZSV^�MHYTPUN�[YHMÄJ�TH`�PUÅ\LUJL� ZVTL�]LOPJSL�KYP]LYZ�[V�V]LY[HRL�ÔPSL� HWWYVHJOPUN�[OL�JYVZZPUN��

;HISL�� -V_�*V]LY[!�-7



^P[O�H�JYVZZPUN


[V�\UKLY[HRL�YPZR`�ILOH]PV\Y�ÔLU�\ZPUN�SL]LS�JYVZZPUNZ��MPN\YL��

�� -YLX\LUJ`�VM�

[YHPUZ

*YVZZPUN�^P[O�H�SV^�MYLX\LUJ`�VM�[YHPUZ�HYL�SPRLS`�[V�PUJYLHZL�[OL�YPZR�

[HRPUN�ILOH]PV\Y�VM�YLN\SHY�\ZLYZ��MPN\YL��

�� 9LN\SHYP[`��VM�

[YHPUZ

=HYPH[PVUZ�PU�[YHPU�ZJOLK\SLZ��Z\JO�HZ�LUNPULLYPUN�^VYR��\UL_WLJ[LK�

KLSH`Z�[V�[YHPU�ZLY]PJLZ��HUK�SPUL�ZWLLK�YLZ[YPJ[PVUZ�L[J��HSS�JVU[YPI\[L�

[V�MS\J[\H[PVUZ�PU�[YHPUZ�WHZZPUN�H�WVPU[�H[�H�Z\WWVZLKS`�ºRUVÛ»�[PTL��

�� .YV\WZ 7LVWSL�PU�NYV\WZ�TH`�\UKLY[HRL�TVYL�YPZR`�ILOH]PV\Y��[OHU�ÔLU�VU�

[OLPY�VÛ�

�� ;PTL�VM�KH` 9PZR�[HRPUN�ILOH]PV\Y�PUJYLHZLZ�K\YPUN�Y\ZO�OV\YZ��H[�TPKKH`�HUK�H[�

[OL�ILNPUUPUN�HUK�LUK�VM�[OL�ZJOVVS�KH �̀

�� +HYRULZZ <UWYV[LJ[LK�JYVZZPUNZ�\ZLK�K\YPUN�OV\YZ�VM�KHYRULZZ�TH`�SLHK�[V�

PUJYLHZLK�KLJPZPVU�THRPUN�LYYVYZ�I`�JYVZZPUN�\ZLYZ��

�� <ZLY�WLYJLW[PVU�


KPZ[HUJL

;YHPU�ZWLLK�HUK�KPZ[HUJL�PZ�\UKLYLZ[PTH[LK�I`�\ZLYZ��ÔPJO�TH`�

PUJYLHZL�[OL�KLJPZPVU�THRPUN�LYYVYZ�VM�\ZLYZ�H[�SL]LS�JYVZZPUNZ��

�� ;YLZWHZZPUN�VU�YHPS�

Z[Y\J[\YLZ

9HPS�Z[Y\J[\YLZ�SVJH[LK�H[�[OL�LU[YHUJL�HUK�L_P[�HYLHZ�[V�JYVZZPUNZ�

[OH[�HWWLHY�Z\P[HISL�MVY�JSPTIPUN�TH`�YLZ\S[�PU�\UKLZPYHISL�YPZR�[HRPUN�

ILOH]PV\Y�I`�TLTILYZ�VM�[OL�W\ISPJ��

�� ;YHPU�ZWLLKZ 3V^�[YHPU�ZWLLKZ�TH`�PUJYLHZL�[OL�YPZR�[HRPUN�ILOH]PV\Y�VM�\ZLYZ�

�� :PNO[PUN�KPZ[HUJL .VVK�ZPNO[PUN�KPZ[HUJL�ZOV\SK�PUKPJH[L�[OL�JYVZZPUN�HZ�OPNO�YPZR��MPN\YL��

��

� *YVZZPUN�

\[PSPZH[PVU

3L]LS�JYVZZPUNZ�^P[O�OPNO�JYVZZPUN�\[PSPZH[PVU�PUJYLHZLZ�[OL�YPZRZ�[V�

\ZLYZ��


TH`�PUMS\LUJL�[OL�YPZR�[HRPUN�ILOH]PV\Y�VM�\ZLYZ��

� ;YLZWHZZLYZ -VVK�HUK�KYPUR�Y\IIPZO�H[�H�SL]LS�JYVZZPUN�PZ�VM[LU�HU�PUKPJH[VY�VM�

`V\UN�WLVWSL�\ZPUN�[OL�JYVZZPUN�HZ�H�TLL[PUN�WSHJL��MPN\YL��

� 5VPZL 5VPZ`�Z\YYV\UKPUNZ�TH`�PTWHPY�[OL�WLYMVYTHUJL�VM�\ZLYZ�[V�KL[LJ[�

[YHPUZ�H[�SL]LS�JYVZZPUNZ��MPN\YL��

-PN\YL�� !�YHPS^H`�JVUZ[Y\J[PVU�TH[LYPHS�OHK� ILLU�SLM[�HSVUNZPKL�[OL�JYVZZPUN��^P[O� LHZ`�HJJLZZ�MVY�JOPSKYLU�� !�L]PKLUJL�VM�MVVK�HUK�KYPUR�Y\IIPZO� PUKPJH[LK�P[�^HZ�\ZLK�HZ�H�TLL[PUN� WSHJL�

-PN\YL�� !�[OL�ZPNO[PUN�KPZ[HUJL�PZ�SVUN�PU�IV[O� KPYLJ[PVUZ��HUK�MYVT�IV[O�ZPKLZ�VM�[OL� JYVZZPUN�� !�[OL�SVJHS�I`�WHZZ�IYPKNL�PU�[OL� KPZ[HUJL�WYVK\JLZ�JVUZPKLYHISL�UVPZL� MYVT�WHZZPUN�]LOPJSLZ��

79

-PN\YL�� !��SVJHS�ZJOVVS�JOPSKYLU�\ZL�[OPZ� JYVZZPUN�VU�H�YLN\SHY�IHZPZ��;OPZ�J`JSL� YPKLY�MHPSLK�[V�SVVR�ÔLU�JYVZZPUN�� !��[OL�J`JSPZ[�HSZV�JVTTLU[LK�VU�[OL� SV^�MYLX\LUJ`�VM�[YHPUZ��HUK�VM[LU�UL]LY� ZLLPUN�H�[YHPU�ÔLU�JYVZZPUN�PU�[OL� TVYUPUN�VY�L]LUPUN�


�� )HDVLELOLW\�RI�UDQNLQJ�LVVXHV

;OL�O\THU�MHJ[VYZ�PZZ\LZ�PKLU[PÄLK�MYVT�[OL�]HSPKH[PVU�L_LYJPZL�OH]L�UV[�ILLU�YHURLK�

PU�[LYTZ�VM�[OLPY�PTWVY[HUJL�VY�I`�SL]LS�VM�YPZR��;OL�PU[LY]PL^�[LJOUPX\L�WYV]PKLZ�HU�

L_JLSSLU[�ZV\YJL�MVY�LZ[HISPZOPUN�^OH[�PZZ\LZ�KV�L_PZ[��OV^L]LY�ZVTL�PZZ\LZ�TH`�OH]L�

TVYL�VM�HU�PTWHJ[�VU�JLY[HPU�PUKP]PK\HSZ��;OLYLMVYL�HU`�Z`Z[LT�VM�YHURPUN�^V\SK�IL�

NYLH[S`�KLWLUKLU[�\WVU�OV^�PTWVY[HU[�[OL`�^LYL�[V�H�SVJHS�\ZLY��

�� 9DOXH�RI�WKH�YDOLGDWLRQ�H[HUFLVH

;OL�HWWSPJH[PVU�VM�6IZLY]H[PVUZ��7O`ZPJHS�L]PKLUJL�HUK�0U[LY]PL^Z�OHZ�ILLU�

Z\JJLZZM\S�PU�HZZPNUPUN�O\THU�MHJ[VYZ�PZZ\LZ�[V�SL]LS�JYVZZPUNZ��;OPZ�WYVJLZZ�^PSS�IL�

\ZLK�HZ�H�N\PKL�MVY�KL]LSVWPUN�[OL�[VVSZ�HUK�HWWYVHJOLZ�MVY�0UZWLJ[VYZ��

�

(�TH[YP_�VM�HSS�KH[HIHZL�PZZ\LZ�PZ�WYV]PKLK�PU�HWWLUKP_�)��0[�WYV]PKLZ�HU�V]LY]PL^�VM�

[OVZL�PZZ\LZ�HZZPNULK�H[�LHJO�JYVZZPUN�HUK�[OL�TL[OVK�I`�^OPJO�PZ�^HZ�JVUÄYTLK��

80

��

5HIHUHQFHV (SS�YLMLYLUJLZ�HYL�JVKLK�[V�OLSW�PKLU[PM`�[OL�ZV\YJLZ�VM�PUMVYTH[PVU�PUJS\KLK�^P[OPU�

[OL�KH[HIHZL��.LULYHSS �̀�JVKPUN�PZ�HWWSPLK�I`�\ZPUN�[OL�ÄYZ[�[^V�SL[[LYZ�VM�[OL�H\[OVYZ�

Z\YUHTL�HUK�[OLU�[OL�ÄYZ[�[^V�SL[[LYZ�VM�[OL�KVJ\TLU[�[P[SL��

0�L��:LSKL��.�1�:��/H �̀�4�*�� )YP[LZ��1�5�� $Q�DQDO\VLV�RI�YLGHR�UHFRUGHG� GULYHU�EHKDYLRXU�DW�OHYHO�UDLOZD\�FURVVLQJV��7YVJLLKPUNZ�VM�[OL�/\THU�-HJ[VYZ�

(ZZVJPH[PVU�VM�*HUHKH��UK�(UU\HS�*VUMLYLUJL��;VYVU[V��6U[HYPV�� WW��

B^P�HUD�

-VY�KVJ\TLU[Z�^P[O�HU�VYNHUPZH[PVU�HZ�[OL�H\[OVY��Z\JO�HZ�/LHS[O� �:HML[`�,_LJ\[P]L��

VY�(\Z[YHSPHU�;YHUZWVY[�*V\UJPS��[OL�VYNHUPZH[PVUZ�HJYVU`T�^PSS�IL�\ZLK�HUK�[OLU�

MVSSV^LK�I`�[OL�ÄYZ[�[^V�SL[[LYZ�VM�[OL�KVJ\TLU[�[P[SL��

0�L��$\Z[YHSPHU�7YHUZWVY[�&V\UJPS��1DWLRQDO�5DLOZD\�/HYHO�&URVVLQJ�6DIHW\� 6WUDWHJ\��^^^�H[JV\UJPS�NV]�H\�YHPS�BH[J�UHD�

>OLYL�H�9HPS^H`�.YV\W�:[HUKHYK�PZ�YLMLYLUJLK��[OL�KVJ\TLU[�JVKL�PZ�[OL�Z[HUKHYKZ�

M\SS�YLMLYLUJL�U\TILY��P�L��B.*�9;��D�

-VY�HSS�>VYSK�>PKL�>LI�ZV\YJLZ�^P[OV\[�H�ZWLJPÄJ�H\[OVY��MVY�L_HTWSL�HU�PUMVYTH[PVU�

ZOLL[��[OL�KVJ\TLU[�JVKL�\ZLZ�[OL�ÄYZ[�[^V�SL[[LYZ�VM�[OL�^LI�WHNL�[P[SL�HUK�PZ�

WYVJLLKLK�^P[O�^^^��0�L��ZZZ�IL[[LYYVHKZ�JVT�HY[PJSLZ�IYKLJ��H�O[T��$W�NYHKL� PUJPKLU[Z�HUK�MH[HSP[PLZ�JVU[PU\L�[V�KLJSPUL�B^^^�H[D�

BHH�YLD��((�-V\UKH[PVU�MVY�9VHK�:HML[`�9LZLHYJO� �)PYTPUNOHT�*P[`�*V\UJPS��

5HG�OLJKW�UXQQLQJ��DFFLGHQWV�DQG�VXUYHLOODQFH�FDPHUDV��9LWVY[�UV��((�)**��

BHI�KY�D��(IYHOHT��1��+H[[H��;�2��+H[[H��:�� 'ULYHU�EHKDYLRXU�DW�UDLO�KLJKZD\� JUDGH�FURVVLQJV��7YVJLLKPUNZ�VM�[OL��[O�(UU\HS�4LL[PUN�VM�[OL�;YHUZWVY[H[PVU�

9LZLHYJO�)VHYK��>HZOPUN[VU��+�*��WW��

BHI�KY�D��(ILYN��3�� 'ULYHU�EHKDYLRXU�DW�ÁDVKLQJ�OLJKW��UDLO�KLJKZD\� FURVVLQJV��(JJPKLU[�(UHS`ZPZ� �7YL]LU[PVU��]VS��PZZ\L��WW��

BHK�YPD��(KHTZ��1�� 5LVN��9V\[SLKNL��;H`SVY� �-YHUJPZ�!�3VUKVU

BHY�\ZD��(Y[O\Y�+�3P[[SL��8VHU�ZRUNHG�DQG�IRRWSDWK�OHYHO�FURVVLQJ��5LVN�UHYLHZ�� 9;�� YLW�KVJ��^^^�YZZI�JV�\R�

BH[J�UHD��(\Z[YHSPHU�;YHUZWVY[�*V\UJPS��1DWLRQDO�5DLOZD\�/HYHO�&URVVLQJ�6DIHW\� 6WUDWHJ\��^^^�H[JV\UJPS�NV]�H\�YHPS�

BIP�O\D��)PII �̀�1�� 9LNHU��1�� +XPDQ�IDFWRUV�UHVHDUFK�LQWR�XVH�RI�XVHU�ZRUNHG�

81

OHYHO�FURVVLQJV��D�UHSRUW�SURGXFHG�IRU�WKH�+HDOWK�DQG�6DIHW\�([HFXWLYH��(,(� ;LJOUVSVN �̀�^^^�OZL�NV]�\R�

BIY�Y\D��)YVÛ��4��(UURUV��HUURUV�HYHU\ZKHUH��QRU�DQ\�WKLQJ�LV�ULJKW�� 7YLZLU[LK�H[�9\SLZ��7YVJLK\YLZ�HUK�=PVSH[PVUZ�*VUMLYLUJL��3VUKVU

BI\�YPD��)\YNLZZ��*��5LVN�EHKDYLRXU��^^^�L_�HJ�\R

BJV�N\D��*VKL�VM�WYHJ[PJL�MVY�[OL�JV�VYKPUH[PVU�VM�Z[YLL[�^VYRZ�L[J��*XLGHOLQHV�IRU� :RUNV�DW�RU�QHDU�5DLOWUDFN�OHYHO�FURVVLQJV��$SSHQGL[�)��:[YLL[�^VYRZ�H[�VY�ULHY� SL]LS�JYVZZPUNZ

BJ\�YHD��*\USPMML��1�7�� 5DLO�+LJKZD\�JUDGH�FURVVLQJV��$Q�RYHUYLHZ�RI�GHVLJQ�� RSHUDWLRQ�DQG�DFFLGHQW�LQYHVWLJDWLRQ��7YVMLZZPVUHS�:HML[ �̀�]VS��PZZ\L��WW��

BKM[�JVD��+LWHY[TLU[�MVY�;YHUZWVY[��&RQJHVWLRQ�DQG�DFFLGHQW�ULVN��9VHK�ZHML[`� 9LZLHYJO�9LWVY[�UV��

BKM[�PU�D��+LWHY[TLU[�MVY�;YHUZWVY[��KH[L�\URUVÛ��,QÁXHQFLQJ�GULYHU�DWWLWXGHV�DQG� EHKDYLRXU��QR��^^^�KM[�NV]�\R

BKM[�PU�D��+LWHY[TLU[�MVY�;YHUZWVY[��,QWHUQDWLRQDO�UHYLHZ�RI�WKH�LQGLYLGXDO� IDFWRUV�FRQWULEXWLQJ�WR�GULYLQJ�EHKDYLRXU��^^^�KM[�NV]�\R�

BKM[�VSD��+LWHY[TLU[�MVY�;YHUZWVY[��KH[L�\URUVÛ��2OGHU�GULYHUV��D�OLWHUDWXUH�UHYLHZ� �QR��^^^�KM[�NV]�\R

BKM[�[OD��+LWHY[TLU[�MVY�;YHUZWVY[��7KH�DJHLQJ�GULYHU��D�SURJUDPPH�RI� UHVHDUFK��9VHK�ZHML[`�9LZLHYJO�9LWVY[�UV��

BKM[�[YD��+LWHY[TLU[�MVY�;YHUZWVY[��7UDLQLQJ�FKLOGUHQ�LQ�VDIH�XVH�RI�GHVLJQDWHG� FURVVLQJV��9VHK�ZHML[`�9LZLHYJO�9LWVY[�UV��

BKY�`VD��+YV\PU��.��<RXWK�SHUFHSWLRQ�RI�ULVN��:K\�GR�\RXWK�ULVN�WKHLU�OLYHV� DQG�KRZ�WR�FKDQJH�\RXWK�EHKDYLRXU�LQ�UDLO�VDIHW\"��;YHUZWVY[�*HUHKH��7HWLY� WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�

:LTPUHY��:OLMÄLSK��<2�

BLS�HKD��,SSPV[[��4�(�� )H\NOHU��*�1��$GROHVFHQW�URDG�XVHU�EHKDYLRXU��$� VXUYH\�RI��\HDU�ROGV��;93�YLWVY[�UV��MVY�+LWHY[TLU[�MVY�;YHUZWVY[

BM\�[OD��-\SSLY��9�� 7KH�SV\FKRORJ\�RI�URDG�XVHU�EHKDYLRXU��+LWHY[TLU[�VM�

7Z`JOVSVN �̀�;YPUP[`�*VSSLNL��+\ISPU

.*�9;�� &LYLO�(QJLQHHULQJ�5HTXLUHPHQWV�IRU�/HYHO�&URVVLQJV��PZZ\L��

.,�9;��;>��/HYHO�FURVVLQJV��PZZ\L��

82

.0�9;��3URYLVLRQ��5LVN�$VVHVVPHQW�DQG�5HYLHZ�RI�/HYHO�&URVVLQJV�� PZZ\L��

.0�9;��5HTXLUHPHQWV�IRU�/HYHO�&URVVLQJV��PZZ\L��

.0�95��*XLGDQFH�RQ�3URYLVLRQ��5LVN�$VVHVVPHQW�DQG�5HYLHZ�RI�/HYHO� &URVVLQJV��PZZ\L��

.2�9;�� /HYHO�&URVVLQJ�$XGLEOH�:DUQLQJV��PZZ\L��

BNY�YPD��.YH`ZVU��.�)��4H`JVJR��.��.YVLNLY��1�(��/HTTVUK�:�4�� -PLSK��+�;��

5LVN��KD]DUG�SHUFHSWLRQ�DQG�SHUFHLYHG�FRQWURO��;93�YLWVY[�UV��MVY�+LWHY[TLU[�

MVY�;YHUZWVY[

BNY�L`D��.YLNVY �̀�9�3��(\H�DQG�EUDLQ��WKH�SV\FKRORJ\�RI�VHHLQJ��ÀIWK�HGLWLRQ�� 6_MVYK�<UP]LYZP[`�7YLZZ!�6_MVYK

BNY�PTD��.YPMÄVLU��,��,PSURYLQJ�OHYHO�FURVVLQJV�XVLQJ�ÀQGLQJV�IURP�KXPDQ� EHKDYLRXU�VWXGLHV��5L[OLYSHUKZ�9HPS��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS� *YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

BOH�WYD��/HNH��:�� 3UHYHQWLRQ�RI�DFFLGHQWV�DW�URDG�UDLO�OHYHO�FURVVLQJV� SURWHFWHG�ZLWK�DXWRPDWLF�EDUULHUV��9PKPUN�[OL�>H]L�VM�0UUV]H[PVU��7YVJLLKPUNZ�VM�

[OL�/\THU�-HJ[VYZ�:VJPL[`��UK�(UU\HS�4LL[PUN��(UHOLPT��*HSPMVYUPH�� WW� ��

��

BOH�HUD��/HNH��:��>H[HUHIL��2�� 2\Z\RHTP��2�� $�QHZ�ZDUQLQJ�V\VWHP�IRU� SURWHFWHG�OHYHO�FURVVLQJV��7LYZWLJ[P]LZ��7YVJLLKPUNZ�VM�[OL�/\THU�-HJ[VYZ�:VJPL[`�

��YK�(UU\HS�4LL[PUN��+LU]LY��*VSVYHKV��6J[VILY�� WW� ��

BOH�TVD��/HPSL��1��0RGHOOLQJ�XVHU�HUURU�DW�SDVVLYH�OHYHO�FURVVLQJV��/HSJYV^� *VUZ\S[PUN��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�

4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2��(WYPS��(WYPS��

BOH�TVD��/HSS��:��0RGHUQ�VLJQDOOLQJ�KDQGERRN��WKLUG�HGLWLRQ��0HU�(SSHU� 7\ISPZOPUN!�:\YYL`

BOH�YHD��/HSS��:�� 5DLOZD\�GLVDVWHUV��FDXVH�DQG�HIIHFW��;OL�7YVTV[PVUHS�9LWYPU[�

*VTWHU`!�3LPJLZ[LY

BOH�O\D��/HYYPZ�[LJOUPJHS�ZLY]PJLZ��+XPDQ�IDFWRUV��^^^�OHYYPZ[LJOUPJHS�JVT�

O\THU�O[T

BOZL�SLD��/LHS[O� �:HML[`�,_LJ\[P]L��/HYHO�&URVVLQJV��^^^�OZL�NV]�\R�YHPS^H`Z�

BOZL�YHD��/LHS[O� �:HML[`�,_LJ\[P]L�� 5DLOZD\�6DIHW\�3ULQFLSOHV�DQG�*XLGDQFH�� SDUW��VHFWLRQ�(��JXLGDQFH�RQ�OHYHO�FURVVLQJV��/4:6�)VVRZ!�3VUKVU�

83

BOZL�YLD��/LHS[O� �:HML[`�,_LJ\[P]L��5HGXFLQJ�HUURU�DQG�LQÁXHQFLQJ� EHKDYLRXU��/:.��/4:6�)VVRZ!�5VY^PJO

BOZL�[OD��/LHS[O� �:HML[`�,_LJ\[P]L�� 7KH�&DU�/DQH�$FFLGHQW��/4:6�)VVRZ!�

3VUKVU

BOZL�[YD��/LHS[O� �:HML[`�,_LJ\[P]L��7UDLQ�GHUDLOPHQW�DW�8IWRQ�OHYHO�FURVVLQJ�� QHDU�8IWRQ�1HUYHW��%HUNVKLUH��+6(�LQWHULP�UHSRUW��/:,�^LIZP[L

BOL�THD��/LH[VU��1�� 0DNLQJ�RFFXSDWLRQ�FURVVLQJV�VDIHU��4VKLYU�9HPS^H`Z��

� ��PZZ\L� ��WW��

BOL�SLD��/LSSTHU��(�+�� *HYYVSS��(�(��/HVVRQV�OHDUQHG�IURP�WKH�HYDOXDWLRQ�RI�D� IXU�TXDGUDQW�JDWH�JUDGH�FURVVLQJ�ZLWK�REVWUXFWLRQ�GHWHFWLRQ��=VSWL�5H[PVUHS� ;YHUZWVY[H[PVU�:`Z[LTZ��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�

:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

BO\�PUD��/\THU�,UNPULLYPUN��,QYHVWLJDWLRQ�LQWR�XVHU�DFFHSWDQFH�RI�D�QRYHO� ZDUQLQJ�GHYLFH��9LWVY[�WYLWHYLK�MVY�9HPS�:HML[`�HUK�:[HUKHYKZ�)VHYK��;�� <ZLY� ILOH]PV\Y�H[�\ZLY�^VYRLK�JYVZZPUNZZ

BO\�O\D��/\THU�,UNPULLYPUN��+XPDQ�IDFWRUV�DVVHVVPHQW�RI�WKH�ULVNV� DVVRFLDWHG�ZLWK�0:/�&URVVLQJV��9LWVY[�WYLWHYLK�MVY�9HPS�:HML[`�HUK�:[HUKHYKZ� )VHYK��;�� <ZLY�ILOH]PV\Y�H[�\ZLY�^VYRLK�JYVZZPUNZ

BPU�[LD��7HFKQLFDO�WRXU��'HOHJDWH�SDFN��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUN�:`TWVZP\T�

HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

BSL�KYD��3LYULY��5�+�� 9H[[L��+�1�� 'ULYHUV�DV�GHFLVLRQ�PDNHUV�DW�UDLO�KLJKZD\� JUDGH�FURVVLQJV��*V\U[KV^U�[V�[OL��Z[�*LU[\Y �̀��7YVJLLKPUNZ�VM�[OL�/\THU�-HJ[VYZ�

:VJPL[`��[O�(UU\HS�4LL[PUN��VYSHUKV��-SVYPKH��6J[VILY�� WW��

BTH�YVD�4H`JVJR��.��)YVJRSLIHUR��7�1�� /HSS��9�+�� 5RDG�OD\RXW�GHVLJQ� VWDQGDUGV�DQG�GULYHU�EHKDYLRXU��;93�YLWVY[�UV��MVY�/PNO^H`Z�(NLUJ`

BTJ�PUD��4J7OLYZVU��*�+��+HMM��4��,QQRYDWLRQV�LQ�GLVDELOLW\�DFFHVV�DW�SHGHVWULDQ� UDLO�FURVVLQJV��:PUJSHPY�2UPNO[�4LYa��(\Z[YHSPH��7HWLY�WYLZLU[LK�H[�[OL��[O�

0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��

:OLMÄLSK��<2�

BTL�HUD��4LLRLY��-�3�� )HYY��9�(�� $Q�REVHUYDWLRQDO�VWXG\�RI�GULYHU�EHKDYLRXU� DW�D�SURWHFWHG�JUDGH�FURVVLQJ�DV�WUDLQV�DSSURDFK��(JJPKLU[�(UHS`ZPZ� �7YL]LU[PVU�� ]VS��PZZ\L��WW��

BTL�HJD��4LLRLY��-��-V_��+�� >LILY��*�� $�FRPSDULVRQ�RI�GULYHU�EHKDYLRXU�DW� UDLOURDG�JUDGH�FURVVLQJV�ZLWK�WZR�GLIIHUHQW�SURWHFWLRQ�V\VWHPV��(JJPKLU[�(UHS`ZPZ� �7YL]LU[PVU��]VS�� PZZ\L��WW��

84

BTL�VWD��4LSI �̀�.��5VVRHSH��4�� ;HH]VSH��+��2SHUDWLRQDO�WHVW�RI�ORZ�FRVW� DFWLYH�ZDUQLQJ�V\VWHP�IRU�ORZ�YROXPH�KLJKZD\�UDLO�LQWHUVHFWLRQV�LQ�0LQQHVRWD�� 7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�

;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

BTV�H\D��4VY[PTLY��9�.�� $XWRPRWLYH�HQJLQHHULQJ�DQG�OLWLJDWLRQ��=VS\TL��

LKP[LK�I`�.�(�7L[LYZ�HUK�)�1��7L[LYZ��.HYSHUK�3H^�7\ISPZOPUN��5L^�@VYR��WW��

BTV�]PD��4VY[PTLY��9�.�� 9LVXDO�IDFWRUV�LQ�UDLO�KLJKZD\�JUDGH�FURVVLQJ� DFFLGHQWV��=PZPVUZ��7YVJLLKPUNZ�VM�[OL�/\THU�-HJ[VYZ�:VJPL[`��[O�(UU\HS�4LL[PUN��

]VS��WW��

BU[ZI�ZHD��5H[PVUHS�;YHUZWVY[H[PVU�:HML[`�)VHYK�� 6DIHW\�DW�3DVVLYH�*UDGH� &URVVLQJV��9ROXPH��$QDO\VLV��>HZOPUN[VU��+�*�� ^^^�U[ZI�NV]�W\ISPJ[U�

YFZ[\�O[T

BUL�[OD��5LSZVU��(��7KH�8.�DSSURDFK�WR�PDQJDJLQJ�ULVN�DW�SDVVLYH�OHYHO� FURVVLQJV��9HPS�:HML[`� �:[HUKHYKZ�)VHYK��3VUKVU��<2��7HWLY�WYLZLU[LK�H[�[OL��[O� 0U[LYUH[PVUHS�:`TWVZP\T�VU�9HPSYVHK�/PNO^H`�.YHKL�*YVZZPUN�9LZLHYJO�HUK�:HML[ �̀�

-LIY\HY`��^^^�Y[H�H\�JVUMLYLUJLZ�JYVZZPUNZ�HIZ[YHJ[Z�WYVNYHT�O[T�

BUL�SLD��5LSZVU��(��;PSS �̀�1�� +H]PLZ��(��/HYHO�FURVVLQJ�VDIHW\�DFURVV�WKH� (XURSHDQ�8QLRQ��9HPS�:HML[`� �:[HUKHYKZ�)VHYK��7HWLY�WYLZLU[LK�H[�[OL��[O� 0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��


BUL�YPD�5L^ZVTL��3��9�� 5LVN�WDNLQJ�DV�D�GHFLVLRQ�SURFHVV�LQ�GULYLQJ��;93� YLWVY[�UV��:9��MVY�+LWHY[TLU[�VM�[OL�,U]PYVUTLU[�;YHUZWVY[�9LNPVUZ��UV^�RUV^U�HZ�

+LWHY[TLU[�MVY�;YHUZWVY[�

BUV�WYD��5VY[O�*HYVSPUH�+LWHY[TLU[�VM�;YHUZWVY[H[PVU�9HPS�+P]PZPVU�� 3ULRU�GULYHU� SHUIRUPDQFH�DQG�H[SUHVVHG�DWWLWXGHV�WRZDUGV�ULVN�IDFWRUV�DV�IDFWRUV�DVVRFLDWHG� ZLWK�UDLOURDG�JUDGH�FURVVLQJ�YLRODWLRQV��^^^�OZYJ�\UJ�LK\�YLZLHYJO�O\THUF

KYP]LY�O[T�

BVO�HUD��6O[H��4��:OPIH`HTH��5�� /HUH^H��2��$Q�REVWDFOH�GHWHFWLRQ�V\VWHP� IRU�OHYHO�FURVVLQJV�XVLQJ�VWHUHR�FDPHUDV��9HPS^H`�;LJOUPJHS�9LZLHYJO�0UZ[P[\[L� YLWVY[��1HWHU��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�

HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

BWH�SVD��7HQ\ULU��2��/RZ�FRVW�PHDVXUHV�DW�)LQQLVK�OHYHO�FURVVLQJV��=;;� )\PSKPUN�HUK�;YHUZWVY[��-PUSHUK��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�

*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

BWL�^OD��7LHZL��(�� 7LHZL��)��:K\�PHQ�GRQ·W�OLVWHQ�DQG�ZRPHQ�FDQ·W�UHDG� PDSV��6YPVU�)VVRZ!�3VUKVU

85

BWP�]LD��7PJRL[[��4�>�� .YH`ZVU��.�)�� 9HKLFOH�'ULYHU�%HKDYLRXU�DW�/HYHO� &URVVLQJV��;93�9LWVY[�MVY�/:,��5V��

BYZZI�W\D��9HPS�:HML[`� �:[HUKHYKZ�)VHYK��3XEOLF�%HKDYLRXU��*HWWLQJ�WKH�%HVW� 8VH�RXW�RI�&&79�LQ�WKH�5DLOZD\V��1HZ�DQG�(PHUJLQJ�7HFKQRORJLHV��;6�� 9ZLY]��@��^^^�YZZI�JV�\R�

BYZZI�YHD��9HPS�:HML[`� �:[HUKHYKZ�)VHYK��5DLOZD\�6DIHW\�5HVHDUFK�3URJUDPPH� ��7KHPH�VWUDWHJ\��/HYHO�&URVVLQJV��^^^�YZZI�JV�\R�

BYZZI�YVD��9HPS�:HML[`� �:[HUKHYKZ�)VHYK��5RDG�YHKLFOH�OHYHO�FURVVLQJV�VSHFLDO� WRSLF�UHSRUW��^^^�YZZI�JV�\R�

BYH�HYD��9HPS[YHJR��$�UHYLHZ�RI�ULVNV�DW�D�VHOHFWLRQ�RI�DXWRPDWLF�RSHQ�OHYHO� FURVVLQJV��$2&/��6LWHV�DQG�LGHQWLÀFDWLRQ�RI�VDIHW\�LPSURYHPHQWV�IRU�YDULRXV� VLWH�FRQGLWLRQV��:HML[`�9LWVY[��;93�

BYH�KYD��9HZSLHY��;�.�� 'ULYHU�EHKDYLRXU�DW�UDLO�KLJKZD\�JUDGH�FURVVLQJV��D� VLJQDO�GHWHFWLRQ�WKHRU\�DQDO\VLV��-LKLYHS�9HPSYVHK�(KTPUPZ[YH[PVU��>HZOPUN[VU��<:(��

^^�MYH�KV[�NV]�

BYL�ILD��9LHZVU��1�� -YLL��9�� %HQGLQJ�WKH�UXOHV��7KH�SV\FKRORJ\�RI� YLRODWLRQV��9::)!�/\THU�MHJ[VYZ�*+�964��

BYL�O\D��9LHZVU��1�� +XPDQ�HUURU��*HTIYPKNL�<UP]LYZP[`�7YLZZ!�*HTIYPKNL

BYP�TVD��9PJOHYKZ��:�/�� /LH[OPUN[VU��2�>�� 0RWRULVW�XQGHUVWDQGLQJ�RI� UDLOURDG�KLJKZD\�JUDGH�FURVVLQJ�WUDIÀF�FRQWURO�GHYLFHV�DQG�DVVRFLDWHG�WUDIÀF� ODZV��;YHMÄJ�*VU[YVS�+L]PJLZ�� ;YHUZWVY[H[PVU�)VHYK��;YHUZWVY[H[PVU�9LZLHYJO�

YLJVYK��

9;�3:�:��,QVSHFWLRQ�DQG�ULVN�DVVHVVPHQW�IRUPV�IRU�XVHU�ZRUNHG�� IRRWSDWK�DQG�EULGOHZD\�OHYHO�FURVVLQJV��PZZ\L��5L[^VYR�9HPS�

9;�3:�7��,QVSHFWLRQ�DQG�ULVN�DVVHVVPHQW�PHWKRGRORJ\�IRU�XVHU� ZRUNHG��IRRWSDWK�DQG�EULGOHZD\�OHYHO�FURVVLQJV��PZZ\L��5L[^VYR�9HPS�

9;�,�:�� /HYHO�FURVVLQJ�JURXQG�SODQV��5DLOWUDFN�/LQH�VSHFLÀFDWLRQ�� 5L[^VYR�9HPS�

9;�,�:�� /HYHO�FURVVLQJ�LQIUDVWUXFWXUH��LQVSHFWLRQ��PDLQWHQDQFH�� KDQGERRN��5L[^VYR�9HPS�

9;�*,�:�� /HYHO�FURVVLQJ�VXUIDFH�V\VWHPV��5DLOWUDFN�OLQH�VSHFLÀFDWLRQ�� 5L[^VYR�9HPS�

9;�+�7��0DQDJHPHQW�RI�ULVN�DW�OHYHO�FURVVLQJV��5L[^VYR�9HPS�

86

9;�,�:�� 2SHUDWLRQDO�UHTXLUHPHQWV�IRU�PLQLDWXUH�VWRS�OLJKW�OHYHO� FURVVLQJV��5L[^VYR�9HPS�

BY`�L]D��9`Z��4�1��9\ZZLSS��,�9�� 3LLKOHT��)�� (YDOXDWLRQ�RI�D�WUDLQ�LOOXPLQDWHG� SDVVLYH�ZDUQLQJ�VLJQ��(K]HUJLZ�PU�0UK\Z[YPHS�,YNVUVTPJZ�HUK�:HML[`�=00��LKP[LK�I`�

(�*��)P[[ULY�HUK�7�*�*OHTWUL �̀�;H`SVY� �-YHUJPZ��3VUKVU��WW� � � ��

BZO�[OD��:OHURZ��4�� -YHZLY��*��7KH�LQWURGXFWLRQ�RI�5HG�/LJKW�(QIRUFHPHQW� &DPHUDV�DW�OHYHO�FURVVLQJV�LQ�WKH�8.��5L[^VYR�9HPS��<2��7HWLY�WYLZLU[LK�H[�[OL� �[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��

:OLMÄLSK��<2��(WYPS��(WYPS��

BZ[�H\D��:[V[[��7�-�� $XWRPDWLF�RSHQ�OHYHO�FURVVLQJV��$�UHYLHZ�RI�VDIHW\�� +LWHY[TLU[�VM�;YHUZWVY[��UV^�+LWHY[TLU[�MVY�;YHUZWVY[��/4:6��3VUKVU

BZW�MHD��:WPJLY��;��)DWDO�DFFLGHQWV��GLVDELOLW\�DFFHVV�DW�UDLOZD\�SHGHVWULDQ� FURVVLQJV�LQ�9LFWRULD��$XVWUDOLD��+LWHY[TLU[�VM�0UMYHZ[Y\J[\YL��(\Z[YHSPH��7HWLY�

WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�


B[H�HJD��;H`SVY��4�*��/HSS��9�+�� *OH[[LYQLL��2�� $FFLGHQWV�DW��DUP�WUDIÀF� VLJQDOV�RQ�XUEDQ�VLQJOH�FDUULDJHZD\�URDGV��;93�YLWVY[�UV��MVY�+LWHY[TLU[�MVY�

;YHUZWVY[

B[L�JHD��;LURPUR��,�� =HU�+LY�/VYZ[��9�� &DU�GULYHU�EHKDYLRXU�DW�ÁDVKLQJ�OLJKW� UDLOURDG�JUDGH�FURVVLQJV��(JJPKLU[�(UHS`ZPZ� �7YL]LU[PVU��]VS\TL��PZZ\L��WW��

��

B/4:6�[OD��7KH�7UDIÀF�6LJQV�UHJXODWLRQV�DQG�*HQHUDO�'LUHFWLRQV��UV�� /4:6!�3VUKVU

B[P�HUD��;PSS �̀�1��$Q�LQWURGXFWLRQ�WR�OHYHO�FURVVLQJ�SUDFWLFH�LQ�WKH�8QLWHG� .LQJGRP��7\SHV�RI�OHYHO�FURVVLQJ�LQ�XVH�LQ�WKH�8QLWHG�.LQJGRP�DQG�SULQFLSDO� OHJLVODWLRQ�LQYROYHG��/LY�4HQLZ[`»Z�9HPS^H`�0UZWLJ[VYH[L��3VUKVU��<2��7HWLY�

WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�


B[V�PUD��;VWOHT��.��,QWURGXFWLRQ�DQG�DSSURYDO�RI�5HG�/LJKW�(QIRUFHPHQW� (TXLSPHQW�RQ�WKH�8.�5DLOZD\��3SV`K»Z�9LNPZ[LY�9HPS��7HWLY�WYLZLU[LK�H[�[OL��[O� 0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��


B[Y�HOD��;YHUZWVY[�*HUHKH��$�KXPDQ�IDFWRUV�DQDO\VLV�RI�KLJKZD\�UDLOZD\�JUDGH� FURVVLQJ�DFFLGHQWV�LQ�&DQDGD��;7�� ,��^^^�[J�NJ�JH�JK[�ZVTTHPYL��

TLU\�O[T�

87

B[Y�SLD��;YHUZWVY[�*HUHKH��/('�WHFKQRORJ\�IRU�LPSURYHG�FRQVSLFXLW\�RI�VLJQDO� OLJKWV�DW�KLJKZD\�UDLOZD\�JUDGH�FURVVLQJV��;7��,��^^^�[J�NJ�JH�[KJ�WYVQLJ[Z� YHPS�I� ��O[T�

B[YS�SLD��;93��$�UHYLHZ�RI�ULVNV�DW�D�VOHFWLRQ�RI�DXWRPDWLF�RSHQ�OHYHO�FURVVLQJ� VLWHV�DQG�LGHQWLÀFDWLRQ�RI�VDIHW\�LPSURYHPHQWV�IRU�YDULRXV�VLWH�FRQGLWLRQV��6DIHW\� UHSRUW��WYLWHYLK�MVY�9HPS[YHJR��PU[LYUHS�KVJ\TLU[�VUS`�

BKV[�L]D��<�:��+LWHY[TLU[�VM�;YHUZWVY[H[PVU��+6;�� (YDOXDWLRQ�RI� 5HWURUHÁHFWLYH�0DUNLQJV�WR�,QFUHDVH�5DLO�&DU�&RQVSLFXLW\��6DIHW\�RI�+LJKZD\� 5DLOURDG�*UDGH�&URVVLQJV��+6;�=5;:*�99� ��74� ��^^^�MYH�KV[�NV]�

B]H�ZHD��=HU�KLY�/VYZ[��9�� )HRRLY��7��6DIHW\�PHDVXUHV�DW�UDLOZD\�OHYHO� FURVVLQJV�DQG�URDG�XVHU�EHKDYLRXU��;56�/\THU�MHJ[VYZ��7HWLY�WYLZLU[LK�H[�[OL�

�[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��


B]P�OND��=PQLUKYHU��4��)LHYK��4�� :[L]LUZ��.��+*9�DFFLGHQWV�DW�OHYHO� FURVVLQJV��(Y[O\Y�+�3P[[SL��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ� :`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

B]P�YLD��=PQLUKYHU��4��)LHYK��4�� :[L]LUZ��.��5HG�OLJKW�YLRODWLRQV�DW�OHYHO� FURVVLQJV��(Y[O\Y�+�3P[[SL��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ� :`TWVZP\T�HUK�4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

B]P�ILD��=PUL��2�� 2PUN��*�� %HUNV�DQG�+DQWV�OHYHO�FURVVLQJ�PRGHUQLVDWLRQ� IHDVLELOLW\�VWXG\��4/(�(ZZVJPH[LZ�MVY�9HPS[YHJR�.YLH[�>LZ[LYU��

B^H�HJD��>HYK��5�1�� >PSKL��.�1�:�� $�FRPSDULVLRQ�RI�YHKLFXODU�DSSURDFK� VSHHG�DQG�EUDNLQJ�EHWZHHQ�GD\�DQG�QLJKWWLPH�SHULRGV�DW�DQ�DXWRPDWHG�UDLOZD\� FURVVLQJ��:HML[`�:JPLUJL��]VS�� PZZ\L��WW��

B^H�KYD��>HYK��5�1�� >PSKL��.�1�:�� 'ULYHU�DSSURDFK�EHKDYLRXU�DW�DQ� XQSURWHFWHG�UDLOZD\�FURVVLQJ�EHIRUH�DQG�DIWHU�HQKDQFHPHQW�RI�ODWHUDO�VLJKW� GLVWDQFHV��$Q�H[SHULPHQWDO�LQYHVWLJDWLRQ�RI�D�ULVN�SHUFHSWLRQ�DQG�EHKDYLRXUDO� FRPSHQVDWLRQ�K\SRWKHVLV��:HML[`�:JPLUJL��]VS��PZZ\L��WW��

B^H�ÄD��>HYK��5�1�� >PSKL��.�1�:�� )LHOG�REVHUYDWLRQ�RI�DGYDQFH�ZDUQLQJ� DGYLVRU\�VLJQDJH�IRU�SDVVLYH�UDLOZD\�FURVVLQJV�ZLWK�UHVWULFWHG�ODWHUDO�VLJKWOLQH� YLVLELOLW\��$Q�H[SHULPHQWDO�LQYHVWLJDWLRQ��(JJPKLU[�(UHS`ZPZ� �7YL]LU[PVU��]VS�� PZZ\L��WW��

B^L�YPD�>L`THU��(�2�� 2LSS �̀�*�1�� 5LVN�SHUFHSWLRQ�DQG�ULVN�FRPPXQLFDWLRQ��$� UHYLHZ�RI�OLWHUDWXUH��/LHS[O�HUK�:HML[`�3HIVYH[VY`

B^P�LYD��>PNNSLZ^VY[O��,�*�� (UJRQRPLFV�DQG�$FFLGHQWV��7KH�HIIHFWLYHQHVV�RI� ERRP�EDUULHUV�LQ�UHGXFLQJ�DFFLGHQWV�DW�UDLOZD\�OHYHO�FURVVLQJV��,YNVUVTPJ�+LZPNU�

88


VM�7YVK\J[Z�MVY�[OL�*VUZ\TLY��7YVJLLKPUNZ�VM�[OL��[O�(UU\HS�*VUMLYLUJL�VM�[OL�

,YNVUVTPJZ�:VJPL[`�VM�(\Z[YHSPH��(KLSHPKL��(\Z[YHSPH��WW��

B^P�WHD��>PNNSLZ^VY[O��,�*��KH[L�\URUV^U��3DVVLYH�UDLOURDG�KLJKZD\�JUDGH� FURVVLQJV��:KDW�DUH�WKH�UHVHDUFK�SULRULWLHV"��^^^�Y[H�JVT�H\�JVUMLYLUJLZ�

JYVZZPUNZ��HIZ[YHJ[Z�WYVNYHT�O[T�

B^P�HU�D��>PNNSLZ^VY[O��,�*�� <ILY��*�)�� $Q�HYDOXDWLRQ�RI�WKH�UDLOZD\�OHYHO� FURVVLQJ�ERRP�EDUULHU�SURJUDP�LQ�9LFWRULD��$XVWUDOLD��1V\YUHS�VM�:HML[`�9LZLHYJO�� ]VS��PZZ\L��WW��

B^P�HU�D��>PSKL��.�1�:��/H �̀�4�*�� )YP[LZ��1�5�� $Q�DQDO\VLV�RI�YLGHR�UHFRUGHG� GULYHU�EHKDYLRXU�DW�OHYHO�UDLOZD\�FURVVLQJV��7YVJLLKPUNZ�VM�[OL�/\THU�-HJ[VYZ�

(ZZVJPH[PVU�VM�*HUHKH��UK�(UU\HS�*VUMLYLUJL��;VYVU[V��6U[HYPV�� WW��

B^P�]LD�>PUUL[[��4�(�� >OLLSLY��(�/��9HKLFOH�DFWLYDWHG�VLJQV��D�ODUJH�VFDOH� HYDOXDWLRQ��;93�YLWVY[�UV��MVY�+LWHY[TLU[�MVY�;YHUZWVY[

B^P�HJD��>P[[PUR��9�+�� $FFLGHQWV�DW�OHYHO�FURVVLQJV��&RQWUDU\�WR�SRSXODU� EHOLHI��FDUHOHVV�EHKDYLRXU�LV�QRW�WKH�RQO\�FDXVH��7HWLY�MVY�[OL�7HZZLUNLY�;YHUZWVY[� 9LZLHYJO�*V\UJPS

B^V�KLD��>VVKZ��4��'HYHORSPHQW�RI�D�SURJUDPPH�RI�OHYHO�FURVVLQJ�UHVHDUFK� WR�LPSURYH�UDLOZD\�VDIHW\�LQ�*UHDW�%ULWDLQ��9HPS�:HML[`� �:[HUKHYKZ�)VHYK��9::)�� 3VUKVU��<2��7HWLY�WYLZLU[LK�H[�[OL��[O�0U[LYUH[PVUHS�3L]LS�*YVZZPUNZ�:`TWVZP\T�HUK�

4HUHNPUN�;YLZWHZZ�:LTPUHY��:OLMÄLSK��<2�

89

��


$SSHQGLFHV

$ ��/HYHO�FURVVLQJ�YLVLWV

;OPZ�HWWLUKP_�PZ�Z\WWSLTLU[HY`�[V�ZLJ[PVU��3L]LS�JYVZZPUN�]PZP[Z�H[�[OL�ILNPUUPUN�VM�

[OPZ�YLWVY[��0[�WYV]PKLZ�WOV[VNYHWOZ�VM��VM�[OL��SL]LS�JYVZZPUNZ�]PZP[LK��

% ��+)�LVVXHV�E\�OHYHO�FURVVLQJ�W\SH

;OPZ�HWWLUKP_�JVU[HPUZ�H�SPZ[�VM�[OL�/-�PZZ\LZ�YLSL]HU[�[V�LHJO�SL]LS�JYVZZPUN�[`WL��

90

��


$SSHQGL[�$��/HYHO�FURVVLQJ�YLVLWV

%HGIRUG� .HPSVWRQ�+DUGZLFN��$%&/��

0LOOEURRN�6WDWLRQ��0&*

6WHZDUWE\�%ULFNZRUNV��0&*��3ULYDWH�&URVVLQJ�.HHSHU

6WHZDUWE\�*UHHQ�/DQH�6WDWLRQ��0&*

91

��


:RRWWRQ�%URDGPHDG��$+%

'RQFDVWHU�

&UH\NHV��$+%

'RFNKLOOV��0&%�&&79

(JJERURXJK��)3

92

��


)LHOGV�/DQH��$2&/

+HQVDOO�6WDWLRQ��0&*

0DUVK�/DQH��)3

6QDLWK��3RQWHIUDFW��0&%�&&79

93

��


6WDLQIRUWK�5RDG��0&%�&&79

7KRUSH��$2&/

+HUWIRUG 5R\GRQ�6WDWLRQ��0&%�&&79

6W�0DUJDUHWV�6WDWLRQ��0&%�&&79

94

��


:DUH�6WDWLRQ��0&%�&&79

:DUH��D��)3

:DUH��E��)3

0LOWRQ�.H\QHV %HUU\�/DQH��8:&�7

95

��


%RZ�%ULFNKLOO�6WDWLRQ��$+%

/HLJKWRQ�%X]]DUG��1DWLRQDO�+HULWDJH�5DLOZD\��2SHQ�&URVVLQJ

:REXUQ�6DQGV��)3

:REXUQ�6DQGV�6WDWLRQ��0&%

96

��


3HWHUERURXJK

%DLQWRQ�*UHHQ��$+%

)R[�&RYHUW��)3

/ROKDP�%ULGJHV��0&%�&&79

/ROKDP��)3

97

��


0D[H\��0&%�&&79

7DOOLQJWRQ��0&%�&&79

:RRGFURIW��0&*

98

��


$SSHQGL[�%��+)�LVVXHV�E\�FURVVLQJ�W\SH

;OL�MVSSV^PUN�WHNLZ�JVU[HPU�H�SPZ[�VM�[OL�/\THU�-HJ[VYZ�PZZ\LZ�I`�SL]LS�JYVZZPUN�[`WL��

99

��

02

03

07

08

11

15

Level crossing type: AOCLDriver distractions


Weather: Ice


Regular users and those living close to level crossings are more likely to undertake risk taking behaviour when

using the crossing.

04


05

Road junctions close to the level crossing may result in increased decision making and errors by vehicle drivers,

and blocking-back over the crossing.

06


Frequency of trains

Road junctions



Age of drivers


10



Pedestrian access

Pedestrian and passengers are more likely to undertake risky behaviour at vehicular level crossings where

Variations in train schedules, such as engineering works, unexpected delays to train services, and line speed

restrictions etc., all contribute to fluctuations in trains passing a point at a supposedly ‘known’ time.

12

bridges are not provided.


13 Groups


Risk taking at level crossings increases during rush-hours, at midday and at the beginning and end of the school

day.

14 Time of day

Visual clutter

Superfluous information and roadside structures on the approach to the crossing may reduce the user’s

detection of level crossing information and warning signs.


The presence of rail staff in high-visibility clothing can have an undesirable influence on level crossing user

behaviour.

The onset of the amber and proceeding red lights of the activated warning system lead to various vehicle driver

behaviours at level crossings.

17 Understanding of warning lights

Audible alarm

Closure time



16

18

20

28

29

31

32

38

40

Level crossing type: AOCL22



26 Foliage






Rail structures located at the entrance and exit areas to crossings that appear suitable for climbing may result in

undesirable risk taking behaviour by members of the public.

30 Trespassing on rail structures



Train speeds



33

Parked cars before and after the level crossing may result in drivers slowing and stopping while on the level

crossing.

34

Sighting distance

Parked cars

Visitor parking


Type of trains

Train lines with high frequency of both freight and passenger services may influence the risk taking behaviour of

users.


42 Days of the week

43 Suicide






Road access

Level crossings that provide the only access to routes either side of the crossing influences the risk taking

behaviour of vehicle drivers.

Non-designated passenger drop-off points close to level crossings affects the flow and behaviour of traffic

approaching a level crossing.

50 Passenger drop-off points

44

48

49

57

62

63

64

66

Level crossing type: AOCL


51


52

See-through effect


53 Events


Narrow roads before and after the level crossing may result in vehicle drivers slowing and stopping while on the

level crossing.

54

The risk of vehicle drivers blocking-back over the level crossing, or general risk taking behaviour is increased

56

Narrow roads

when the crossing is located on roads with direct access to major roads or motorways.



Road traffic calming systems on the approaches to a level crossing may increase the risk of vehicles

blocking-back.

Areas with high levels of foreign vehicle drivers may have increases in decision making errors at level crossings.

This may be more evident during seasonal periods.

59


61


Crossing surface

Roadworks




Vehicle shortcuts



The ‘Another Train Coming if lights continue to show’ sign has minimal impact in providing vehicle drivers with

sufficient information.


69 Rural level crossings

Road markings




Commercial traffic

Location near farms



70

71

72

73

79

80

81

83

86

90

Level crossing type: AOCL


74 Proximity of level crossing to another


Level crossings with a combination of environmental features, such as bends, hills, trees and hedges, may

increase the decision making errors of vehicle drivers.

Cats-eyes

Deteriorated ‘cats-eyes’ on the approach or on the level crossing may reduce the vehicle driver’s ability to

negotiate the road layout at night.

Sign pictogram


Road descents


Train enthusiasts


School drop-off and collection points close to level crossings affects the flow and behaviour of other vehicle

87

High road speeds in close proximity to a level crossing on a lower speed road influences the speed at which

vehicle drivers approach the crossing.

88

The reliability and/or perception of reliability of the level crossing equipment affects the risk taking behaviour of

regular users.

89

drivers approaching the crossing.

School parking





The position of incremental speed restriction signs influences the speed of vehicle drivers when approaching the

crossing.

91 Vehicle speed zones

95 Noise


wait at the level crossing.

96


97

Straight roads increase the opportunities for vehicle drivers to undertake risky behaviour, to avoid having to

Straight roads


Train arrival


102 Railway sidings



103 Emergency services

98

75

45

99

Level crossing type: AOCL104 Weather: Fog


Public houses


Animals: Horses

Activated warnings at protected level crossings may result in undesirable behaviour by horses, and influence the

behaviour of other road vehicle users.

Sunlight passing through lines of trees positioned on the side of the road imparts a strobing effect on the road

which may impair the visibility of vehicle drivers.

23 Sunlight strobing

Sightlines


02

03

07

08

11

15

Level crossing type: AOCRDriver distractions


Weather: Ice



using the crossing.

04


05



06


Frequency of trains

Road junctions



Age of drivers


10



Pedestrian access




12



13 Groups



day.

14 Time of day

Visual clutter





behaviour.




Audible alarm

Closure time



16

18

20

28

29

31

32

38

40

Level crossing type: AOCR22



26 Foliage











Train speeds



33


crossing.

34

Sighting distance

Parked cars

Visitor parking


Type of trains


users.


42 Days of the week

43 Suicide






Road access





50 Passenger drop-off points

44

48

49

57

62

63

64

66

Level crossing type: AOCR


51


52

See-through effect


53 Events



level crossing.

54


56

Narrow roads





blocking-back.



59


61


Crossing surface

Roadworks




Vehicle shortcuts







Road markings




Commercial traffic

Location near farms



70

71

72

73

79

80

81

83

86

90

Level crossing type: AOCR






Cats-eyes



Sign pictogram


Road descents


Train enthusiasts



87



88


regular users.

89


School parking






crossing.


95 Noise



96


97


Straight roads


Train arrival


102 Railway sidings




98

75

45

99

Level crossing type: AOCR104 Weather: Fog


Public houses


Animals: Horses






Sightlines


02

03

07

08

11

15

16

Level crossing type: ABCLDriver distractions


Weather: Ice



using the crossing.

04


05



06


Frequency of trains

Road junctions



Age of drivers


10



Pedestrian access



13 Groups



day.

14 Time of day

Visual clutter





behaviour.




Closure time


Audible alarm


22



18

20

28

29

31

38

40

48

49

50

Level crossing type: ABCL26 Foliage












crossing.

34 Parked cars

Visitor parking


Type of trains


users.


42 Days of the week

43 Suicide




Road access







51


52

See-through effect


53 Events



level crossing.

54 Narrow roads

57

62

63

64

66

70

71

72

73

Level crossing type: ABCL


56





blocking-back.



59


61


Crossing surface

Roadworks




Vehicle shortcuts







Road markings




Location near farms


Commercial traffic







Road descents

Cats-eyes




79

80

83

86

90

98

Level crossing type: ABCLTrain enthusiasts



87



88


regular users.

89


School parking






crossing.


95 Noise



96


97


Straight roads


Train arrival


102 Railway sidings




104 Weather: Fog


Public houses


Animals: Horses






75

45

Level crossing type: AHB02 Driver distractions


03 Weather: Ice



using the crossing.

04


05



06


Frequency of trains

Road junctions

07 Vehicle approach speed


08 Age of drivers


10



11 Pedestrian access




12



13 Groups



day.

14 Time of day

15 Visual clutter



16 Presence of rail staff


behaviour.




20 Audible alarm

18 Closure time



Level crossing type: AHB22



24 Half barrier

Automatic half barriers facilitate vehicle drivers to undertake risk taking behaviour.

Train speed and distance is underestimated by users, which may result in increased decision making errors by

users at level crossings.

25 Users perception of train speed & distance

26 Foliage


28 Position of warning lights


29 Quantity of information





31 Location near rail stations


32 Train speeds



33


crossing.

34

Sighting distance

Parked cars

38 Visitor parking


40 Type of trains


users.


42 Days of the week

43 Suicide


49 Road access

48 Observation of amber light




Level crossing type: AHB



50


51


52


See-through effect


53 Events



level crossing.

54


56

Narrow roads



57 Traffic calming systems


blocking-back.



59 Foreign vehicle drivers

60 Bus stops

Unofficial bus stops in the level crossing lay-by, affects the behaviour of large or slow vehicle drivers.


61 Crossing surface

62 Roadworks


63 Housing developments


64 Vehicle shortcuts


66 Another train approaching





71 Number of train lines

70 Road markings



72

73

79

80

83

86

90

Level crossing type: AHB Location near farms


Commercial traffic



74

Large volumes of pedestrians and cyclists using road level crossings ignore the activated warning information

and barriers.

76

Proximity of level crossing to another

Pedestrians on vehicular crossings




Cats-eyes



Road descents


Train enthusiasts



87



88


regular users.

89


School parking






crossing.


95 Noise



96


97


Straight roads


Train arrival


98

Level crossing type: AHB102 Railway sidings




104 Weather: Fog


75 Public houses


45 Animals: Horses






03

16

63

64

Level crossing type: MCG

Weather: Ice



using the crossing.

04


05


Frequency of trains

13 Groups




behaviour.

26 Foliage




30


42


Days of the week

43 Suicide



59


61



Crossing surface



Vehicle shortcuts




Location near farms




Train enthusiasts


71

72

86

90

75

Level crossing type: MCG



88 Proximity of different road speeds




97 Stereotypical crossing users

102 Railway sidings




104 Weather: Fog


Public houses





02

03

07

08

11

15

16

Level crossing type: MCB

Driver distractions


Weather: Ice



using the crossing.

04


05



06


Frequency of trains

Road junctions



Age of drivers


10



Pedestrian access



13 Groups



day.

14 Time of day

Visual clutter





behaviour.




Closure time


Audible alarm


22



18

20

28

31

38

40

48

49


26 Foliage










crossing.

34 Parked cars

Visitor parking


Type of trains


users.


42 Days of the week

43 Suicide




Road access





50


51


52


See-through effect


53 Events



level crossing.

54


56

Narrow roads



57

62

63

64

70

71

72

73

79

Level crossing type: MCB Traffic calming systems


blocking-back.



59


61


Crossing surface

Roadworks




Vehicle shortcuts




Road markings




Location near farms


Commercial traffic







Cats-eyes



Road descents


Train enthusiasts



87


School parking

80

83

86

90

98

92

84




88


regular users.

89






crossing.

91


96


97

Vehicle speed zones


Straight roads


Train arrival


101



102 Railway sidings




104 Weather: Fog


Double train lines




Public houses


Animals: Horses



09



23



Sunlight strobing

75

45

02

03

07

08

11

15

16

Level crossing type: MCB+CCTV

Driver distractions


Weather: Ice



using the crossing.

04


05



06


Frequency of trains

Road junctions



Age of drivers


10



Pedestrian access



13 Groups



day.

14 Time of day

Visual clutter





behaviour.




Closure time


Audible alarm


22



18

20

28

38

40

48

49


26 Foliage






30


crossing.

34


Parked cars

Visitor parking


Type of trains


users.


42 Days of the week

43 Suicide




Road access





50


51


52


See-through effect


53 Events



level crossing.

54


56

Narrow roads





blocking-back.

57

62

63

64

70

71

72

73

79

80




59


61


Crossing surface

Roadworks




Vehicle shortcuts




Road markings




Location near farms


Commercial traffic







Cats-eyes



Road descents


Train enthusiasts



87



88


School parking


83

86

90

98

92

84

75



regular users.

89 Level crossing equipment




crossing.

91


96


97

Vehicle speed zones


Straight roads


Train arrival


101



102 Railway sidings




104 Weather: Fog


Double train lines




Public houses


Animals: Horses



09



23



Sunlight strobing

45

03

16

27

Level crossing type: UWC

Unclear phone instructions provided within phone boxes at UWC may result in users failing to communicate with

the signaller.

01 Phone box instructions

Weather: Ice



using the crossing.

04


05



12


Frequency of trains


13 Groups




behaviour.

19 Open gates


Unprotected crossings used during the hours of darkness may lead to increased decision making errors by

crossing users.

Darkness21




26 Foliage


Harvesting time





Train speeds



33 Sighting distance

Traffic moment

Telephone use

Level crossing users failure to use the telephone is a factor in incidents at UWC crossings.


32

36

37

40

58

64

65

67

68

71

73



39 Crossing utilisation

Type of trains


users.

43 Suicide

The requirement to open and close the gate, following a procedure of crossing the tracks five times, is a factor in

why gates are left open at UWC’s.

46

Landowners failure to inform new contractors of the procedures and restrictions for using their vehicles across

the level crossing may increase the risk of an incident.

Contractors55






61 Crossing surface

Vehicle shortcuts




Animals: Dogs

Unrestrained dogs may impair their owners concentration while on the level crossing.





Commercial traffic


Decision point


Signal sections


Train enthusiasts





77

78

86

75

99


The overall distance between UWC gates and the distance between the gate and first train line effects the risk

taking behaviour of vehicle users.

93 Distance between gates

95 Noise



97


100



104 Weather: Fog


Public houses





Sightlines


03

16

27

Level crossing type: UWC+T


the signaller.


Weather: Ice



using the crossing.

04


05



12


Frequency of trains


13 Groups




behaviour.

19 Open gates



crossing users.

Darkness21




26 Foliage


Harvesting time





Train speeds




Traffic moment

Telephone use



32

36

37

40

58

64

65

67

68

71

73




Type of trains


users.

43 Suicide



46



Contractors55






61 Crossing surface

Vehicle shortcuts




Animals: Dogs






Commercial traffic


Decision point


Signal sections


Train enthusiasts





77

78

86

75

99




93 Distance between gates

95 Noise



97


100



104 Weather: Fog


Public houses





Sightlines


02

03

08

16

18

20

27

Level crossing type: UWC+MWL

Driver distractions


Weather: Ice



using the crossing.

04


05


Frequency of trains

Age of drivers




12 Regularity of trains

13 Groups




behaviour.

Closure time


19 Open gates


Audible alarm


26 Foliage


Harvesting time







Train speeds




28

32

36

37

40

47

58

64


Telephone use


Traffic moment




Type of trains


users.


42 Days of the week

43 Suicide



46



Violations at MWL

Over estimation of warning time and underestimation of crossing leads to risk taking behaviour.



Contractors55





59


61


Crossing surface

Vehicle shortcuts




Animals: Dogs



Road markings



65

67

70

71

73

86

75

99


Commercial traffic


Train enthusiasts




88


regular users.

89



93



Distance between gates

95 Noise




104 Weather: Fog


Public houses





Sightlines


03

16

20

Level crossing type: OC


the signaller.


Weather: Ice



using the crossing.

04


05



12


Frequency of trains


13 Groups



day.

14 Time of day



behaviour.

19 Open gates


Audible alarm



crossing users.

Darkness21




26 Foliage


Harvesting time





Train speeds




27

32




40 Type of trains


users.

43 Suicide



46



53 Events




Contractors55


61 Crossing surface



67 Animals: Dogs




73 Commercial traffic


77 Decision point


83 Road descents


86 Train enthusiasts


95 Noise




104 Weather: Fog



75 Public houses





99 Sightlines


03

16

28

Level crossing type: FC Weather: Ice



using the crossing.

04


05



12


Frequency of trains


13 Groups



day.

14 Time of day



behaviour.

19 Open gates



crossing users.

Darkness21




26 Foliage







Train speeds



33

Insufficient space between trackside gate and rail results in potential obstruction of track by bicycles and

pushchairs.

35


39

Sighting distance

Position of safety

Crossing utilisation

32

Level crossing type: FC

40 Type of trains


users.

43 Suicide



59


61



Crossing surface



67 Animals: Dogs




77 Decision point


86 Train enthusiasts


Food and drink rubbish at a level crossing is often an indicator of young people using the crossing as a meeting

place.

Trespassers94

95 Noise




104 Weather: Fog


75 Public houses


99 Sightlines


Printed and published by the Health and Safety ExecutiveC30 1/98

Printed and published by the Health and Safety Executive C1.10 06/05

ISBN 0-7176-6132-6

RR 359

78071 7 661 329£30.00 9

level crossing: summary of finding and key human factors issues

Documents