AS 5022-2001

1 - AS 5022-2001 GUIDELINES FOR RAILWAY SAFETY INVESTIGATION
4 - PREFACE
5 - CONTENTS
6 - FOREWORD
7 - SECTION 1 SCOPE AND GENERAL
7 - 1.1 SCOPE
7 - 1.2 OBJECTIVE
7 - 1.3 APPLICATION
7 - 1.4 REFERENCED DOCUMENT
7 - 1.5 DEFINITIONS
7 - 1.5.1 Evidence
8 - 1.5.2 Lead investigator
8 - 1.5.3 No-blame
8 - 1.5.4 Occurrence
8 - 1.5.5 Responsible authority
8 - 1.5.6 Safety action
8 - 1.5.7 Safety deficiency
8 - 1.5.8 Systemic safety deficiency
8 - 1.6 POST-OCCURRENCE SEQUENCE OF EVENTS
8 - 1.7 GENERAL PRINCIPLES
9 - 1.8 TYPES OF INVESTIGATION
9 - 1.8.1 Relationship to investigations by other agencies
9 - 1.8.2 Single and multiple railway authority/organization involvement
10 - 1.9 INVOLVEMENT OF OTHER PARTIES
11 - SECTION 2 INVESTIGATION PROCEDURE
11 - 2.1 SUMMARY OF STEPS
13 - 2.2 PRESERVATION OF EVIDENCE
13 - 2.3 LEVEL OF INVESTIGATION
13 - 2.4 SELECTING AND APPOINTING THE INVESTIGATOR
13 - 2.4.1 Competencies
14 - 2.4.2 Independence of the investigator
14 - 2.4.3 Conflict of interest
14 - 2.5 TERMS OF REFERENCE
14 - 2.5.1 Responsibility
15 - 2.5.2 Contents
16 - 2.6 ESTABLISHING AND CONDUCTING THE INVESTIGATION
16 - 2.6.1 Resources
16 - 2.6.2 Legislative provisions
16 - 2.6.3 Planning the investigation
17 - 2.6.4 Collection of evidence
17 - 2.6.5 Document identification and collection
18 - 2.6.6 Interview of participants
18 - 2.6.7 Rules of evidence
18 - 2.6.8 Information analysis
19 - 2.7 DEVELOPING CONCLUSIONS
19 - 2.8 REPORTING OF SAFETY ACTIONS
20 - 2.9 REPORTING
20 - 2.9.1 Reporting sequence
20 - 2.9.2 Format of final report
23 - APPENDIX A - POST-OCCURRENCE SEQUENCE OF EVENTS
24 - APPENDIX B - DETERMINATION OF LEVEL OF AN INVESTIGATION BASED ON OCCURRENCE SEVERITY
25 - APPENDIX C - CHECKLIST OF TECHNICAL ITEMS OF EVIDENCE WHICH MAY BE COLLECTED
27 - APPENDIX D - CHECKLIST OF INFORMATION ON HUMAN FACTORS

Recommends procedures for investigating the contributing factors to railway safety occurrences so as to enable subsequent corrective action to be taken to manage the safety risk and to prevent a recurrence. It covers the setting of terms of reference, conduct of the investigation, the development of conclusions, the identification of safety actions and the presentation of reports.

This Standard gives guidelines for investigating the contributing factors to railway safety occurrences so as to enable subsequent corrective action to be taken to manage the safety risk and to prevent a recurrence. The guidelines cover the setting of terms of reference, conduct of the investigation, the development of conclusions, the identification of safety actions and the presentation of reports. The Standard does not address the determination of remedial action or formulating prescriptive solutions arising from a report.NOTE: It is not intended to inhibit emergency reporting during the investigation, of a safety issue requiring urgent attention, even though this might imply a recommendation that remedial action be taken.

First published as AS 5022-2001.