Policy paper

Investigation of Railway Accidents and Incidents by RAIU and RAIB

Published 1 January 2021

1. Purpose of Memorandum

The Rail Accident Investigation Branch (RAIB) and the Railway Accident Investigation Unit (RAIU) are the permanent investigating bodies for railway accidents and incidents in the UK and the Republic of Ireland respectively. The purpose of this memorandum of co-operation is to organise co-operation between RAIB and the RAIU when investigating accidents in the following circumstances:

• an accident or incident that occurred on or close to the border
• an accident or incident which occurred anywhere in the jurisdiction of the RAIB or the RAIU involving a train or vehicle from the other jurisdiction

1.1 Status of the memorandum

The status of this memorandum is that of an operational guidance document for the assistance of both parties and it is not a legally binding contract or otherwise legally binding.

1.2 Application of this memorandum

This memorandum will apply from the date of its signature; each party has a right to cancel it after a notification to the other party.

2. Legal framework for technical investigations

Requirements for co-operation between RAIB and RAIU are set out in the relevant national legislation for Ireland and the United Kingdom.

For Ireland, this legislation includes:

• Railway Safety Act 2005 (as amended)
• Transport (Railway Infrastructure) Act 2001
• S I No. 430/2020 - European Union (Railway Safety) (Reporting and Investigation of Serious Accidents, Accidents and Incidents) Regulations

The above legislation has the effect of transposing the requirements of the EU Railway Safety Directive 2016/798 into the national law of the Republic of Ireland.

For the United Kingdom, this legislation includes:

• Railways and Transport Safety Act 2003 (Chapter 20)
• Railways (Accident Investigation and Reporting) Regulations 2005

3. Exchange of information on becoming aware of an accident or incident

Each investigating body will inform the other when it becomes aware of an incident or accident that meets the criteria listed in Lists A and B of Annex 1. In all such cases the notification of the other body will be at the earliest opportunity and by the quickest means.

When either investigating body becomes aware of any other accidents or incidents which satisfy the criteria in list A and list C of Annex 1 it will notify the other investigating body as soon as practical but not later than 3 days.

Contact details for RAIU and RAIB are set out in Annex 2.

4. Opening of investigations

When either RAIU or RAIB plans to open an investigation, it will contact the other to inform it of its position and consider which of the investigation strategies outlined in clause 5.1 and clause 5.2 applies.

5. Co-ordination of RAIU and RAIB activities during an investigation

RAIB and RAIU have agreed that an investigation can be opened by one investigation body (clause 5.1) or by both bodies simultaneously (clause 5.2).

5.1 Investigation opened by one investigating body

Such an investigation can only be opened by the investigating body in whose territory the accident has occurred (the ‘lead body’).

The lead body will involve the other investigating body (‘partner body’) in its investigation. The partner body nominates a representative to serve as the contact between the two bodies.

In all such cases the partner body will have the right to be informed of progress and will be consulted on matters of importance. If it wishes, it may attend the meetings held by the lead body. It will as far as reasonably practicable respond to reasonable requests from the lead body. It acts as a relay in its country for all needs for action, information or documentation, within the limit of its powers given that it has opened no investigation of its own.

5.2 Co-operative investigations opened by both investigating bodies

When both investigating bodies open an investigation into the same accident or incident, they shall co-operate with a view to conducting a joint investigation and producing a joint report.

As soon as the two bodies decide to launch an investigation, they consult to decide how to ensure the cohesion of their investigation activities. They agree methods of investigation, and determine the principles of division of effort and work organisation. The two investigating bodies also examine the remit and scope of the investigation. The body leading the investigation will then draft a plan, which it refers to the other investigating body for its opinion.

During the investigation, within the limits of the applicable national regulations, they will regularly exchange information gained. They will grant the fullest possible access to the documents and recordings in their possession. They will co-ordinate their work programmes and co-operate in writing the published documents (including communications with the parties concerned and drafting of the investigation report).

This memorandum establishes the principle that one or other of the investigating bodies will always lead the management of a joint investigation and that this decision will be taken quickly in order to facilitate an effective investigation.

The choice of body to lead the investigation depends on where the accident happened. RAIU will lead the investigation if the accident occurred in the Republic of Ireland; RAIB if it occurs in Northern Ireland. If the accident occurred on a moving train the lead investigating body will be the body in whose territory the majority of the injuries occurred.

If this in unclear (for example in the instance of a fire on a moving train that crosses the international frontier), the two investigating bodies will consult to agree which body will lead the investigation and any special management arrangements which are to apply.

5.3 Expenses incurred in investigations

These are of two types:

• each body’s own expenses
• spending on external services

For all types of investigation each body will meet its own expenses, which are mainly the costs of the investigators and their travelling expenses.

If an investigation is opened by only one body (clause 5.1), the cost of external services will be met by the body requesting the service (in principle, this is the body implementing the investigation).

In the case of a co-operative investigation (clause 5.2), the cost-sharing formula for external services is decided jointly at the start of the investigation. This formula may be revised during the investigation, with the agreement of both parties.

6. Liaison with national authorities and others involved

The two investigating bodies will strive for effective working relations with the national police forces, the judicial authorities and other national authorities during an investigation into an accident. In particular, each body will endeavour to facilitate access to national officials for investigators from the other nation’s investigating body if this is necessary to the conduct of an investigation.

Likewise, the two investigating bodies will try to facilitate relations with other bodies (for example railway companies) for the investigating body in the other country.

7. Investigators’ powers and confidentiality

The investigators of each of the bodies act in their countries by the powers granted to them at national level, in accordance with the national regulations, especially concerning confidentiality.

Any activity by an investigating body outside its national territory will take place with the agreement of, and in co-operation with, the other. Clearly, therefore, this memorandum grants no powers to investigators outside their national territories unless they have been formally appointed under the relevant national regulations.

8. Management of evidence and information to be released

Both investigating bodies will co-operate to ensure that both parties are content with any proposals to share information and evidence with external bodies. Information releases will take into account the requirements of relevant national laws and the needs of both parties.

For investigations conducted under clause 5.1, the body conducting the investigation will pass to the partner body any information it proposes to release. The partner may comment if it feels necessary.

For co-operative investigations as per clause 5.2, the information (for example. press releases) proposed by either body will be referred to the other for approval before use or distribution. In case of difficulty, the two bodies will together seek joint wording.

In addition, the timing and method of any planned release will be discussed by both bodies, and agreed so far as is reasonably practicable. In the event of ‘door-stepping’ or fast time media demands, the investigating body will not release information beyond confirmation of their presence on the incident site and the fact that they are investigating the incident without first consulting the other body.

9. Investigation reports and recommendations

The following arrangements apply to:

• final reports
• interim reports
• urgent recommendations or safety advice

Reports on investigations carried out as per clause 5.1 are drawn up under the direction of the investigating body responsible. Before any distribution, reports are passed to the partner body, which may comment.

Joint reports and recommendations on co-operative investigations as per clause 5.2 are drawn up jointly and agreed by both bodies.

If a difference emerges between the two investigating bodies, it will be submitted to the Chief Investigator of RAIU and the Chief Inspector of RAIB, who will seek a common position.

If the difference cannot be resolved:

• the main text is drawn up by the lead body with, as an annex, a statement of the viewpoint of the partner body
• the existence of the disagreement is mentioned in the summary and conclusions

Drafts of the reports and recommendations will be transmitted for consultation to involved or relevant parties; the list of consulted parties will be agreed jointly by RAIB and RAIU.

The structure and presentation of the report will be agreed by the investigating bodies.

The two bodies jointly will sign the submission of their joint report.

Each investigating body distributes the report to the recipients it considers useful, in accordance with the established national rules.

Information on follow-up of the recommendations received by either body is passed to the partner body for information.

The investigating bodies will likewise seek agreement on the drafting of urgent safety advice which they consider needs publishing during an investigation. If the need for such safety advice is not recognised, each investigating body will have an opportunity to publish its safety advice to the appropriate bodies in its own territory.

10. Annual reports

Any international investigations will be included within a specific section of the overall annual report produced by each investigating body. This will include a nil return if no such investigations have taken place during the year.

11. Operational review

The Chief Inspector of the RAIB and the Chief Investigator of the RAIU shall undertake a review of their cross border co-operation and the effectiveness of this Memorandum either as circumstances require and at least once every three years. It may take the form of a meeting or telephone call, depending on need.

12. Annex 1

12.1 Types of accidents and incidents to be notified by one national investigating body to the other

An accident or incident occurring within the national territory of a national investigating body will be notified to the other at the earliest opportunity and by the quickest means (such as by telephone), when the statements at list A and list B are both true.

An accident or incident occurring within the national territory of a national investigating body will be notified to the other within 3 days when the statement at list A and list C are both true and the incident is not sufficiently serious to be included in list B.

12.2 List A

The accident or incident has occurred in one or more of the following circumstances:

1. It occurred within 2 miles of the international border
2. It involved a train that was formed in part, or in full, with rolling stock owned or operated within the territory of the other investigating body
3. It involved a train that had received significant maintenance, or repairs within the territory of the other investigating body
4. It involved one or more train crew employed within the territory of the other investigating body
5. It involved actions of signallers, or other operating staff within the territory of the other investigating body
6. It occurred on a cross border service and the primary cause was associated with an element common to operations on both sides of the border (for example the train)

12.3 List B

The accident or incident was of one or more of the following types:

1. An accident resulting in the death of a person or serious injury to a person
2. A collision between rolling stock on a running line which blocks a running line that was open to railway traffic at the time of the collision
3. A derailment of rolling stock on a running line that was open to railway traffic at the time of the derailment, or which blocks a running line that was open to railway traffic at the time of the derailment
4. A collision of rolling stock with an arrestor mechanism or buffer stop, other than in a siding, that causes significant damage to the rolling stock
5. An accident involving the release or combustion of dangerous goods being carried on rolling stock that necessitates the evacuation of the area
6. An accident that causes extensive damage to rolling stock, the infrastructure or the environment
7. An accident or incident which under slightly different conditions might have led to a death, serious injury or extensive damage to rolling stock, the infrastructure or the environment

12.4 List C

The accident or incident was of one or more of the following types:

1. An accident resulting in serious injury to one person only
2. The failure of rolling stock on the track caused by wheel failure, axle failure, a serious fire or severe electrical arcing

13. Annex 2

13.1 RAIB and RAIU contacts

Accidents listed in Annex 1 List B

RAIB 24 hour telephone line 00 44 1332 253333

RAIU 24 hour telephone line 00 353 87 6948830

Once first contact is established further details can be transmitted by e-mail to the home or office of the responsible officer. The e-mail addresses to be used for the notification are:

RAIB notify@raib.gov.uk

RAIU notify@raiu.ie

Less serious accidents and incidents

RAIB Telephone (general enquiries during office hours) 00 44 1332 253338

E-mail notify@raib.gov.uk

RAIU Telephone (general enquiries during office hours) 003531 2068110

E-mail notify@raiu.ie