Policy paper

Protocol governing the relationship between the Department for Transport and the accident investigation branches

Updated 21 May 2020

Introduction

The Air, Marine and Rail Accident Investigation Branches (Air Accidents Investigation Branch (AAIB), Marine Accident Investigation Branch (MAIB) and Rail Accident Investigation Branch (RAIB)) are stand-alone branches of the Department for Transport (DfT)^{[footnote 1]}. The 3 accident investigation branches (AIBs) fulfil the UK’s international Department for Transport - GOV.UK obligations to establish permanent bodies to undertake independent investigation of rail, maritime and air accidents.

For all 3 branches, the sole objective of investigating an accident is to determine its circumstances and causes, with the aims of improving safety and avoiding future accidents. It is not their purpose to apportion liability, nor to apportion blame.

It is essential that the 3 AIBs are, and are seen to be, entirely independent, including from their parent department, in carrying out their prime purposes of investigating accidents and making recommendations to improve safety in their respective sectors. This protocol explains how this independence is safeguarded and in particular sets out clearly the relationship between the AIBs and the wider DfT.

Investigations and reports

The AIB chief inspectors are senior civil servants (SCS) appointed by the Secretary of State for Transport. They have legal responsibility for, and functional independence in relation to, the ordering and conduct of investigations into accident and incidents, and for producing reports and making recommendations as a result of investigations. It is also the responsibility of the chief inspectors to ensure investigations are free from interference or influence.

The AIBs do not enforce laws or carry out prosecutions and they are quite separate from the safety regulators for their respective sectors (the Civil Aviation Authority, the Maritime and Coastguard Agency and the Office of Rail and Road, the Inter-Governmental Commission (for the Channel Tunnel) and the Department for Infrastructure (for Northern Ireland). The powers of AIB inspectors, and the framework for reporting and investigating accidents, are set out in the relevant national and international legislation.

The respective chief inspectors are responsible for the conduct of investigations, as defined by their respective regulations. This includes, inter alia:

• deciding whether or not an investigation should be carried out
• the conduct and depth of the investigation
• considering representations from those whose reputation may be adversely affected by an investigation report
• submitting investigation reports to the Secretary of State, and making them publicly available in the shortest time possible
• making recommendations aimed at the prevention of future accidents
• disclosure of evidence, when required, as set out in the respective legislation

Functional accountability

The chief inspectors report directly to the Secretary of State for Transport on the conduct and outcome of investigations. The chief inspectors will, when sending reports to the Secretary of State, copy reports to staff in DfT as they deem appropriate.

The chief inspectors are also responsible more generally for deciding when it is necessary or appropriate to brief the Secretary of State, and other ministers, on accident investigations. If the chief inspector considers that the Secretary of State may require urgent related policy advice, he or she will ensure that appropriate officials are informed. Other briefings of DfT personnel will be determined by the chief inspector in the same way as for all other interested parties in an investigation.

The chief inspectors are responsible for publishing an annual report, providing an overview of the activity of their branch during the year, information about accident investigations, and reports on recommendations, statistics and finance over the course of the year.

Governance

The DfT has ultimate responsibility for the AIBs as part of its aim to strengthen the safety and security of UK transport. In particular, it is responsible for ensuring that the branches have the funding and capability needed to fulfil their purpose and meet the UK’s legal obligations^{[footnote 2]} with regard to transport accident investigations, while delivering value for money. The DfT therefore sets appropriate objectives and indicators to monitor administrative performance against departmental policies and objectives.

Within DfT, the Director General (DG) Aviation, Maritime, International and Security (AMIS) is responsible for oversight and management of the AIBs. In discharging these responsibilities, the DG AMIS is assisted by the Board of Accident Investigation Branches (BAIB), which comprises the 3 chief inspectors and relevant officials. The board provides an opportunity for collective consideration of financial matters; governance and management assurance (including risk management); and other issues associated with central support functions as well as a forum for collective discussion for common issues between the 3 AIBs and their respective policy divisions. The board’s terms of reference can be found at Annex A.

Separately an Accident Investigation Chiefs’ Council (AICC) has been formed to optimise co-ordination and synergies between the three AIBs under an independent non-executive Chair. The AICC’s terms of reference can be found at Annex B. The AICC non-executive Chair attends the BAIB alongside the three chief inspectors to participate in discussions and to update the BAIB on the work of the AICC.

The governance and management provided by the BAIB and the AICC respectively, do not affect the functional independence of the AIBs, and they have no role in accident investigations. The respective chief inspectors, supported by their senior management team in their branch, will set operational objectives for their branch, which will be included in its corporate plan as appropriate.

The chief inspectors are responsible for the management of risk to the effective operation of their branch. The chief inspectors will ensure that their risk is assessed, managed and, if necessary, escalated in accordance with the DfT process. Any serious risks will be reported to BAIB by means of the AIB performance report, as will any mitigations requiring action by the DfT. The chief inspectors will also alert the DfT to any risks to their transport sector, or wider government that are revealed by their investigations.

Policy advice and support

Chief inspectors may seek information or advice from officials in the relevant DfT Directorates on matters of national or international policy that may be relevant to an investigation or the development of recommendations flowing from an investigation. In providing any such advice, DfT officials will endeavour to ensure that chief inspectors or their staff are aware of all the factors relevant to their investigation but will not seek to influence the investigation or the recommendations that the chief inspector might make. As noted, the chief inspectors will however consult with DfT officials on any recommendation that might be made directly to the department in the same way as with other parties to whom recommendations might be made.

DfT will seek advice from and, where appropriate, liaise with AIBs with regard to the formulation of policy where they can offer valuable expertise, particularly where such issues may have implications for AIB operations.

DfT will keep the chief inspectors informed of any issues that may affect the general operation, investigation work or reputation of the branches.

Within the overall policy set by DfT, the AIBs are responsible for, and take the lead on, any specific matters that concern accident investigation and directly related issues. They will routinely represent the UK at meetings on accident investigation, but will liaise closely with DfT on wider policy aspects. Where such meetings or presentations may involve political concerns or sensitivities or policy development, the branches will consult DfT.

In respect of specific investigations DfT will have the same responsibilities to co-operate with the AIB as any other parties who are the subject of that investigation. The DfT similarly will report to the AIB its response to any recommendations made to it.

Finance

The chief inspectors, as budget holders for their branch, are accountable to the DG AMIS for ensuring that the AIBs maintain a high standard of corporate governance, exercise effective controls over the management of the resources allocated to the AIBs, and maintain accounting records.

The branches are funded on an annual basis to meet anticipated levels of accident investigation. The chief inspector will seek to operate efficiently whilst discharging his/her responsibilities. The demand-led, reactive nature of the work is taken into account when agreeing the annual budget and the chief inspectors have delegated freedom to re-allocate resources as priorities change, provided total expenditure remains within the agreed budgets for the year and is consistent with the purposes set out in the business plan agreed with DfT.

On occasion, there may be a need to investigate an accident of unusual scale or complexity, which is particularly costly to investigate effectively. The DfT expects the branch concerned to absorb as much as possible of such costs in the first instance but will consider requests for additional contingency funding. The department will not unreasonably refuse such requests for additional funding.

The AIBs carry out most of their own procurement activity within the government and DfT procurement policies. They will, where necessary, seek advice and support from DfT Procurement with regard to contracts and any other procurement issues.

Legal

The DfT General Counsel’s Office is responsible to the respective chief inspectors for providing legal support on accident investigations and on relevant legal issues, maintaining appropriate separation from any legal advice provided to the parent department. For litigation issues the General Counsel’s Office will instruct Treasury Solicitors or barristers as appropriate on behalf of the AIBs. Where appropriate, they may also draw on the legal resources of the Government Legal Department

Media and communications

The AIBs conduct their communications activities in accordance with the Cabinet Office’s Propriety Guidance, and conform to relevant government standards and guidelines on quality, clarity, accessibility, legality and sustainability, as advised by the DfT’s Director of Communications.

As an independent investigative body, AIB communications are separate from those of the DfT and are managed by the AIBs’ Head of External Communications. When additional resources are required, the DfT Communication Directorate, will support and facilitate AIB communications. When doing so, the Communications Directorate is responsible to the relevant chief inspector, and acts and speaks on behalf of the AIB, rather than DfT.

As part of this, the DfT press office provides support in issuing press releases, directly briefing the media and, exceptionally, if necessary, deploying to the site of investigations to provide communications support to inspectors on site.

The AIBs run their own web-pages on gov.uk, independent from that of the DfT. This ensures that they maintain their own online mechanism to provide reports and other safety-related information direct to industry and other stakeholders as effectively as possible.

Administrative support

The DfT also provides some administrative and service support functions, notably in relation to accommodation, HR and IT.

Appointment and line management of chief inspectors

All chief inspectors are appointed by the DfT, on behalf of the Secretary of State. When a chief inspector’s post becomes vacant it will be advertised both internally to the civil service and externally. The recruitment process shall be conducted in such a way that there is no risk to the independence of the AIB concerned, whether actual or perceived. Selection methods shall be in line with best practice for senior management posts in the civil service. The final recommendation to the Secretary of State shall be made by a panel that comprises at least one chief inspector or other independent expert in accident investigation.

The directors of Aviation, Maritime and One Railway and Security are responsible for line management of the chief inspectors. The directors have no role in accident investigations and, as the line manager, will assess the performance of chief inspectors against their management objectives.

Annex A - Department for Transport Board of Accident Investigation Branches (BAIB) terms of reference and membership

Purpose

The board is responsible for assisting the DG Aviation, Maritime, International and Security (AMIS) in exercising their responsibilities for oversight and management of the AIBs.

This board does not affect the functional independence of the 3 AIBs which reflect their legal requirement to conduct independent and impartial investigations and how they undertake their investigations; promulgate lessons learned to the industry and public; and, their operational policies and practices.

These terms of reference will be reviewed on an ongoing basis.

Role and activities

The board has a number of functions and activities:

• providing an understanding on the strategic direction from DfT, ministers, human resources (HR), finance, legal and communications
• developing and maintaining a consistent framework for the reporting and monitoring of AIB activities and outputs with a view to improving transparency and visibility
• identification, review and discussion of any common policy issues arising between the AIBs and DfT, such as safety recommendations which might be facilitated by action by a DfT policy branch; responding to EU or other international initiatives
• performance benchmarking, which includes the time to make recommendations; complete investigations; and, publish reports
• resolution of any shared issues with central support such as HR, legal, communications and identification of opportunities to streamline and improve central support
• financial planning: budgets and forward planning, in-year financial management, monitoring delivery of spending review plans and reviewing financial efficiencies
• risk management, including the review of cross-cutting risks between AIBs
• consideration of communications handling where appropriate

Frequency

The board will take place twice a year and will last for up to 2 hours. Additional meetings can be arranged if required, and, urgent issues will be dealt with by exception outside this timetable.

Membership

The committee is chaired by the DG AMIS, other members are:

• Chief Inspector AAIB, Chief Inspector MAIB, Chief Inspector RAIB
• Director Aviation, Director Maritime, Director One Railway and Security
• Chair of the Accident Investigation Chiefs’ Council
• additional attendees as required including: business/finance support/HR

Members should attend the board meeting in person or by means of a telephone conference if that is not possible, although the former is preferred.

The meeting will be quorate when the chair is present along with the 3 chief inspectors from the Accident Investigation Branches. In some circumstances at the agreement of the chair a member may propose a deputy to attend the board in their place.

The chair has the discretion to waive the quoracy requirements but should do so explicitly, with this decision recorded in the minutes. Deputies do count towards quoracy.

Other policy officials within relevant teams and expert advisors can also be invited as and when necessary to discuss particular topics or to give updates to the board. Membership will be reviewed on a regular basis.

Secretariat

The DG AMIS’s office provide the secretariat role. The secretariat will be responsible for scheduling board meetings and circulating agendas and papers, a minimum of two working days prior to each board. Papers will be circulated by email.

Minutes and actions of the board meetings should be circulated within 5 working days to board members.

Papers

The Secretariat will prepare each agenda based on input from members and the chair. The minutes of board meetings will be considered as being in draft until they are agreed by the board at the next subsequent meeting.

The board will prepare the following papers on a frequent basis;

• minutes and actions from last BAIB
• AIB performance reports^{[footnote 3]}
• AIB financial reports^{[footnote 3]}
• other topics which need to be addressed by the board

Papers for board meetings should take a light-touch approach and be short and concise. This is to ensure that the time and effort of board members is utilised and focused as efficiently as possible.

Board members are required to treat all papers and minutes as ‘official sensitive’ and papers should be marked as such.

Annex B - Accident Investigation Chiefs’ Council terms of reference and membership

Purpose

The Accident Investigation Chiefs’ Council (AICC) exists to optimise co-ordination and synergies between the three AIBs.

Roles and activities

The roles and activities of the AICC are listed below:

• explore potential synergies to improve effectiveness, efficiency and resilience, whilst safeguarding the AIBs’ functional independence in the conduct and objectivity of investigations
• drive changes in the areas identified to be beneficial
• establish common positions on issues of mutual concern, in particular those that could damage the independence of an AIB, and coordinate actions taken in response
• when appropriate, coordinate the development of joint MoUs and other collaborative working arrangements with external agencies
• facilitate active communication and collaboration between the branches
• facilitate peer review of each other’s investigative processes where considered beneficial
• promote and disseminate good practice
• provide a forum for the chief inspectors to seek a peer review of complaints and issues raised by stakeholders that they have been unable to resolve themselves (but excluding consideration of issues related to an ongoing investigation^{[footnote 4]})
• establish a high-level overview of quality, timeliness of outputs and value for money
• actively promote the AIBs as centres of excellence
• achieve the above at a reasonable cost and without creating excessive bureaucracy or affecting the Chief Inspectors’ statutory powers and obligations as defined in law

Since each of the AIBs is required by their respective regulations to remain independent in the way it conducts its investigations, the AICC is precluded from:

• any involvement in a decision on whether to investigate an incident or accident, or in setting the scope of an investigation
• any interference in an ongoing investigation
• any involvement in the review and approval of reports for publication
• any involvement in the assessment of responses to recommendations
• ordering any change to a published report or the reopening of an investigation

The AICC is not required to exercise any oversight in areas that are the sole responsibility of the Board of Accident Investigation Branches (BAIB) as stated in Annex A.

Constitution of the AICC

The AICC consists of a part-time independent chair and the chief inspector of each AIB. In time it may also include a non-executive director who can provide advice to the chair. The AICC’s activities are supported by a Head of Joint Policy who is responsible for progressing initiatives, as directed by the AICC. The Head of Joint Policy also acts as secretary to AICC meetings, recording actions and decisions.

Figure 1 gives an overview of the structure of the AICC. It shows the positions of the non-executive chair, the chief inspectors of the AAIB, RAIB and MAIB and the Head of Joint Policy. The non-executive chair has overall responsibility and is supported by the Head of Joint Policy. Each of the chief inspectors is responsible for their respective modes of transport.

Figure 1

The council will convene every 3 months.

The council is considered to be quorate provided:

• each AIB is represented by its chief inspector or deputy chief inspector
• the chair is present

The chair will propose an agenda at least 2 weeks before each meeting. Comments will then be incorporated and a final agenda issued by the chair one week before the meeting.

Agreement will be by consensus. The chair will have an equal voice in any debate and will have no veto on decisions made by the council.

Actions agreed at each meeting will be minuted by the secretary and recorded in an ‘action tracking table’. This table will be maintained by the secretary and will be the means by which the council will record and track the status of agreed actions.

The AICC may direct the establishment of working groups to address specific projects or issues. The AICC will set the scope, objectives and delivery timescales for the working groups; and then provide a forum for the chief inspectors to agree on the assignment of resources to each. The AICC will also monitor progress of the work streams and review the deliverables.

Relationship between the AICC and the DfT

The DfT has established the BAIB see Annex A to oversee the governance of the AIBs and enable effective communication with the AIBs. Chaired by the Director General of the DfT’s Aviation, Maritime, International and Security group, it also includes DfT managers with responsibility for AIB oversight and each of the 3 Chief Inspectors.

To fulfil its governance role BAIB needs assurance that the AIBs are working in an effective and collaborative manner. For this reason, the Chair of the AICC will also attend BAIB to participate in briefings and discussions. Each AIB will provide a summary report on their activities and governance issues. The reports will highlight any key areas of concern they wish to bring to BAIB’s attention. The chair of the AICC will also present a short paper on the work of the council.

Annual budgets are agreed between DfT and each chief inspector, and each chief inspector is accountable for delivery within the agreed amount. All activities undertaken or directed by the AICC will therefore need to be accommodated within existing budgets unless otherwise agreed with BAIB. However, mechanisms already exist to allow for the sharing of costs between AIBs where necessary.

Review

BAIB shall carry out an initial review of the effectiveness of the AICC after 2 years. The purpose of the review shall be to assess the effectiveness of the AICC and the extent to which it is delivering the intended benefits.

Footnotes

1. There is also a Defence Accident Investigation Branch which is part of the Ministry of Defence ↩

2. The principal relevant national regulations are: For AAIB - The Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 2018; For MAIB - The Merchant Shipping Act (Accident Reporting and Investigation) Regulations 2012; For RAIB - Railway Transport Safety Act 2005, Railways (Accident Investigation and Reporting) Regulations 2005. ↩

3. AIB performance and financial reports should be discussed at the beginning of the agenda. ↩ ↩²

4. An investigation is considered to be ‘ongoing’ until the final report has been published. ↩