COMMISSION IMPLEMENTING REGULATION (EU) 2020/572
of 24 April 2020
on the reporting structure to be followed for railway accident and incident investigation reports
(Text with EEA relevance)
Article 1
Subject matter and scope
Article 2
Definitions
Article 3
Reporting structure
Article 4
Transition
Article 5
Entry into force and application
ANNEX
The structure to follow on the reporting
1.
Summary
2.
The investigation and its context
1. |
The decision to establish an investigation: |
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2. |
The motivation to the decision to establish an investigation, e.g. by reference to Art. 20.1 (serious accident) or Art. 20 (2) a) – d): |
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3. |
The scope and limits of the investigation including a justification thereof, as well as an explanation of any delay that are considered a risk or other impact to the conduct of the investigation or its conclusions: |
Information on scope and limits may further be detailed under point 4. |
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4. |
An aggregated description of the technical capabilities and the functions in the team of investigators. This includes those belonging to other investigation bodies or external parties involved, as well as evidence for their independence from parties involved in the occurrence: |
If anonymity is granted to persons or entities please clarify. |
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5. |
A description of the communication and consultation process established with persons or entities involved in the occurrence during the investigation and in relation to the information provided: |
If anonymity is granted to persons or entities please clarify. |
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6. |
A description of the level of cooperation offered by the entities involved: |
If anonymity is granted to persons or entities please clarify. |
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7. |
A description of the investigation methods and techniques as well as analysis methods applied to establish the facts and findings referred to in the report. The facts shall at least establish:
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e.g. interviews, access to documentation and recordings on the operating system, |
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8. |
A description of the difficulties and specific challenges encountered during the investigation. |
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9. |
Any interaction with the judicial authorities, where appropriate |
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10. |
Where appropriate, any other information relevant in the context of the investigation. |
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3.
Description of the occurrence
(a)
The occurrence and background information:
1. |
The description of the occurrence type: |
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2. |
The date, exact time and location of the occurrence: |
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3. |
The description of the occurrence site, including weather and geographical conditions at the moment of the occurrence and if any works were carried out at or in the vicinity of the site: |
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4. |
Deaths, injuries and material damage:
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If anonymity is granted to persons or entities please clarify. |
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5. |
The description of other consequences, including the impact of the occurrence in the regular operations of the actors involved: |
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6. |
The identification of the persons, their functions, and entities involved, including possible interfaces to contractors and/or other relevant parties: |
If anonymity is granted to persons or entities please clarify. |
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7. |
The description and identifiers of train(s) and their composition including the rolling stock involved and their registration numbers: |
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8. |
A description of the relevant parts of the infrastructure and signalling system – track type, switch, interlocking, signal, train protection systems: |
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9. |
Where appropriate, and any other information relevant for the purpose of the description of the occurrence and background information: |
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(b)
The factual description of the events:
1. |
The proximate chain of events leading up to the occurrence, including:
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e.g. starting point of a train ride, beginning of the shift of an involved staff member e.g. measures taken by staff for traffic control and signalling, exchange of verbal messages and written orders in connection with the occurrence e.g. signalling and control command system, infrastructure, communications equipment, rolling stock, maintenance, etc. |
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2. |
The chain of events from the occurrence until the end of the actions of the rescue services, including:
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e.g. trigger of the railway emergency plan, trigger of the emergency plan of the public rescue services, the police and the medical services and its chain of events |
4.
Analysis of the occurrence, where necessary in respect of individual contributing factors
(a)
Roles and duties
1. |
Railway undertaking(s) and/or infrastructure manager(s): |
If anonymity is granted to persons or entities please clarify. |
2. |
The entity/entities in charge of maintenance, the maintenance workshops, and/or any other maintenance suppliers: |
If anonymity is granted to persons or entities please clarify. |
3. |
Manufacturers of rolling stock or other supplier of rail products: |
If anonymity is granted to persons or entities please clarify. |
4. |
National safety authorities and/or the European Union Agency for Railways: |
If anonymity is granted to persons or entities please clarify. |
5. |
Notified bodies, designated bodies and/or risk assessment bodies: |
If anonymity is granted to persons or entities please clarify |
6. |
Certification bodies of entities in charge of maintenance mentioned under 2: |
If anonymity is granted to persons or entities please clarify. |
7. |
Any other person or entity relevant to the occurrence, documented or not in one of the relevant safety management systems or referred to in a register or relevant legal framework: |
If anonymity is granted to persons or entities please clarify e.g. keepers of vehicles, terminal providers, loaders or fillers |
(b)
Rolling stock and technical installations
1. |
Stemming from the design of the rolling stock, railway infrastructure or technical installations: |
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2. |
Stemming from the installation and taking into service of the of rolling stock, railway infrastructure or technical installation: |
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3. |
Laying with the manufacturers or other supplier of rail products: |
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4. |
Stemming from the maintenance and/or the modification of the rolling stock or technical installations: |
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5. |
Laying with the entity in charge of maintenance, the maintenance workshops and other maintenance suppliers: |
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6. |
And any other factors or consequences considered relevant for the purpose of the investigation: |
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(c)
Human factors
1. |
Human and individual characteristics:
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2. |
Job factors
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3. |
Organisational factors and assignments:
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4. |
Environmental factors:
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5. |
And any other factor relevant for the purpose of the investigation in the above points (1),(2),(3),(4): |
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(d)
Feedback and control mechanisms, including risk and safety management as well as monitoring processes
1. |
The relevant regulatory framework conditions: |
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2. |
The processes, the methods, the content and the results of risk assessment and monitoring activities, performed by any of the involved actors: railway undertakings, infrastructure managers, entities in charge of maintenance, maintenance workshops, other maintenance providers, manufacturers and any other actors, and the independent assessment reports referred in Article 6 of Implementing Regulation (EU) No 402/2013(1): |
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3. |
The safety management system of the involved railway undertaking(s) and infrastructure manager(s) including the basic elements stated in Article 9(3) of Directive (EU) 2016/798 and any EU legal implementing acts: |
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4. |
The management system of the entity/entities in charge of maintenance and maintenance workshops including the functions stated in the Article 14(3) and Annex III of Directive (EU) 2016/798 and any subsequent implementing acts: |
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5. |
The results of supervision performed by the national safety authorities in accordance with Article 17 of Directive (EU) 2016/798: |
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6. |
The authorisations, certificates and assessment reports granted by the Agency, the National Safety Authorities or other conformity assessment bodies:
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7. |
Other systemic factors: |
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