Incident Response Planning & Management

Transcription

1 Incident Response Planning & Synopsis This standard identifies interface requirements for enabling a consistent, comprehensive and structured process for rail incident response planning and management. Copyright in the s is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No (in whole or in part) may be reproduced, stored in a retrieval system, or transmitted, in any form or means, without the prior written permission of Rail Safety and Standards Board Limited, or as expressly permitted by law. RSSB Members are granted copyright licence in accordance with the Constitution Agreement relating to Rail Safety and Standards Board Limited. Content approved by: TOM Standards Committee on 19 August Authorised by RSSB on 19 August In circumstances where Rail Safety and Standards Board Limited has granted a particular person or organisation permission to copy extracts from Railway Group Standards, Rail Safety and Standards Board Limited accepts no responsibility for, and excludes all liability in connection with, the use of such extracts, or any claims arising therefrom. This disclaimer applies to all forms of media in which extracts from s may be reproduced. Published by: Rail Safety and Standards Board Evergreen House 160 Euston Road London NW1 2DX Copyright 2008 Rail Safety and Standards Board Limited

2 Issue record Issue Date Comments One 04 October 2008 Original document Superseded documents The following Railway Group documents are superseded, either in whole or in part as indicated: Superseded documents Sections superseded Date when sections are superseded GO/RT3471 Incident Response Planning All Sections 06 December 2008 GO/RT3472 Incident & Evidence Gathering All Sections 06 December 2008 GO/RT3471 ceases to be in force and is withdrawn as of 06 December GO/RT3472 ceases to be in force and is withdrawn as of 06 December Supply Controlled and uncontrolled copies of this may be obtained from the Corporate Communications Department, Rail Safety and Standards Board, Evergreen House, 160 Euston Road, London NW1 2DX, telephone or Railway Group Standards and associated documents can also be viewed at RAIL SAFETY AND STANDARDS BOARD Page 2 of 20

3 Contents Section Description Page Part 1 Purpose and Introduction Purpose Introduction 4 Part 2 Requirements for Joint requirements for infrastructure managers and railway undertakings Requirements for infrastructure managers Requirements for railway undertakings 12 Part 3 Application of this document Application infrastructure managers Application railway undertakings Health and safety responsibilities 14 Appendices 15 Appendix A Rail industry incident command structure (abbreviated) 15 Appendix B Rail industry incident command structure (full version) 16 Definitions 19 References 20 RAIL SAFETY AND STANDARDS BOARD Page 3 of 20

4 Part 1 Purpose and Introduction 1.1 Purpose This document mandates requirements for interface issues concerning the planning and management of co-ordinated responses to incidents. 1.2 Introduction Background In accordance with the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS), duty holders (as defined in those regulations) have a statutory duty to ensure that accidents, incidents, near misses and other dangerous occurrences are reported, investigated and analysed and that necessary preventative measures are taken. The same regulations also require the production of plans for such events and for duty holders to co-operate as basic elements of their respective safety management systems This document has been created as a result of the merging of two s: GO/RT3471 Incident Response Planning and GO/RT3472 Incident and Evidence Gathering to form one, comprehensive document that covers interface requirements between infrastructure managers (IMs) and railway undertakings (RUs) The requirements in this document have been clarified and simplified from those in the superseded documents. They have been written to reflect real world situations that were worked through in stakeholder workshops during the initial drafting phases of the document, and refined to support specific, clearly expressed interface issues. Much of the content of the non-exhaustive lists of supporting information, previously contained within the requirements of the two RGS documents that this one replaces, has been transferred to the new guidance document GO/GN3518 Guidance on Principles The requirements of this document are based on the following principles: a) That the current edition of the Network Rail published and controlled document Network Rail National Emergency Plan (NRNEP) will be used by all duty holders as the source document for providing general organisation, context, terminology, role identification, and a complete overview to aid the creation of all coordinated incident response plans. b) That all roles described in this document may have links and wider responsibilities to others (including those that are the responsibility of single duty holders and external parties, such as the emergency services and authorised investigation bodies), which are explained and stated more fully in the NRNEP Related requirements in other documents The following s contain requirements that are relevant to the scope of this document: a) GO/RT3119 Accident and Incident Investigation RAIL SAFETY AND STANDARDS BOARD Page 4 of 20

5 b) GO/GN3519 Guidance on Accident and Incident Investigation c) GE/RT8000 Rule Book module M5 (Managing accidents) Supporting documents This is supported by GO/GN3518 RSSB Guidance Note Guidance on. RAIL SAFETY AND STANDARDS BOARD Page 5 of 20

6 Part 2 Requirements for Incident Response Planning & 2.1 Joint requirements for infrastructure managers and railway undertakings Incident response plan preparation requirements Infrastructure managers and railway undertakings shall liaise for the purpose of providing information for use in the development, drafting, production and maintenance of incident response plans Infrastructure managers and railway undertakings shall liaise and reach a decision on the roles each organisation will take in the event of an incident Infrastructure managers and railway undertakings shall liaise and reach a decision on how the location of an incident will be identified Infrastructure managers and railway undertakings shall liaise and reach a decision on how items of equipment, facilities and boundary interfaces will be managed in the event of an incident Infrastructure managers and railway undertakings shall liaise to discuss risks presented by their respective neighbours that might affect activities during the course of an incident Infrastructure managers and railway undertakings shall liaise and reach a decision on how common parts of the incident site and associated public areas will be treated in the event of an incident Production of harmonised incident response plans Infrastructure managers and railway undertakings shall liaise to produce harmonised incident response plans that accord with their respective areas of operation Testing of incident response plans Infrastructure managers and railway undertakings shall liaise with each other to test the effectiveness of incident response plans Infrastructure managers and railway undertakings shall hold periodic exercises to test incident response plans with the participation of the emergency services Review and maintenance of incident response plans Infrastructure managers and railway undertakings shall hold regular consultation meetings with each other in order to: a) Reach a common understanding on the procedures to be adopted within each incident response plan. b) Identify any changes to circumstances and changes to risks Infrastructure managers and railway undertakings shall liaise with each other whenever changes affecting an interface are required to an RAIL SAFETY AND STANDARDS BOARD Page 6 of 20

7 incident response plan, to consolidate and confirm the precise details that need to be altered Infrastructure managers and railway undertakings in receipt of a request to liaise for the purposes of alterations to incident response planning shall be required to duly co-operate with the request Identification of key personnel during an incident Infrastructure managers and railway undertakings shall identify their key personnel, and any subsequent changes to them, to other involved organisations Gathering and preserving evidence Infrastructure managers and railway undertakings shall advise the evidence co-ordinator of any request for the gathering of evidence, together with details of who needs to undertake this work Arrangements for reviewing and feedback following an incident Infrastructure managers and railway undertakings shall jointly review the effectiveness and fitness for purpose of the response, recovery and management following incidents Infrastructure managers and railway undertakings shall update the incident response plans as necessary. RAIL SAFETY AND STANDARDS BOARD Page 7 of 20

8 2.2. Requirements for infrastructure managers responsibilities identification of the lead organisation The infrastructure manager shall be the lead organisation for managing the co-ordinated rail response to an incident Establishment of control facilities and dissemination of critical information The infrastructure manager shall maintain control facilities that are able to lead the Designated Local Person (DLP) through their duties until a qualified Rail Incident Officer (RIO) is appointed The infrastructure manager shall liaise with railway undertakings involved in, or affected by, the incident, exchanging details of the incident, its location, site access, rendezvous points, and identities of the DLP/RIO and Train Operators Liaison Officer (TOLO) The infrastructure manager shall advise all relevant locations of telephone numbers to be used for giving and receiving information, as far as possible maintaining the same numbers throughout the incident recovery process Infrastructure managers shall provide advice of the occurrence of the incident and the identity of the RIO (and Rail Incident Commander (RIC) if appointed) to those who have a responsibility to respond to the incident Appointment and role of a Rail Incident Officer (RIO) The infrastructure manager shall appoint a RIO where either: a) More than one railway undertaking or infrastructure manager is involved, or b) There is significant disruption, or potential disruption to railway operations, or c) A major incident is declared by the emergency services which affects the railway The infrastructure manager s RIO shall be the lead rail person, coordinating all rail activities at the incident site The infrastructure manager s RIO shall, as the on-site manager with overall responsibility for the safety of people at the whole incident site, consult with any Controller of Site Safety (COSS) that may be appointed under the terms of GE/RT8000 (Rule Book) to identify all issues concerning the safe system of work on or near the line Provision of protocol information to key staff and organisations The infrastructure manager shall, when the circumstances of an incident require a specific agreement between the organisations involved, issue the standard protocol document to the RIO, the Rail Incident Commander (RIC) (if appointed) and representatives of other infrastructure managers or railway undertakings involved. RAIL SAFETY AND STANDARDS BOARD Page 8 of 20

9 2.2.5 Appointment and role of a Rail Incident Commander (RIC) The infrastructure manager shall appoint a Rail Incident Commander (RIC) where it considers that the scale of the incident warrants senior, dedicated off-site support and co-ordination The infrastructure manager s RIC shall operate off site and shall not take on or assume the role of the RIO if they visit the incident site The infrastructure manager s RIC shall work closely with senior management of the organisations involved with the incident Appointment and role of Station Incident Officer (SIO) An infrastructure manager responsible for station operations shall appoint a Station Incident Officer (SIO) when necessitated by the circumstances, or requested by the RIC (if appointed) or RIO, to represent the interests of the infrastructure manager in its responsibilities for station operations The infrastructure managers SIO shall report to and liaise with the RIO The infrastructure manager with responsibility for stations shall, when a SIO is not appointed, be permitted to delegate the duties that the SIO would have had to either the TOLO or the RIO depending upon the organisation responsible for that station Station operations control facilities and liaison arrangements Infrastructure managers responsible for station operations shall maintain control facilities that: a) Consider the service implications in liaison with the infrastructure managers and railway undertakings control facilities. b) Liaise with the infrastructure managers and railway undertakings control facilities, exchanging information regarding details of the incident, its location, site access and rendezvous points, and the identities of the RIC (if appointed), RIO, SIO (if appointed) and TOLO (and changes to these posts when relieved) Infrastructure manager appointed specialists working and priorities Infrastructure manager appointed specialists shall work to an action plan and priorities agreed with the RIO Gathering and preserving evidence evidence co-ordinator s responsibilities The infrastructure manager s evidence co-ordinator shall report to and liaise with the RIO The infrastructure manager is permitted to allocate the duties of evidence co-ordinator to the RIO where the RIO is personally competent to carry them out The infrastructure manager s evidence co-ordinator shall make appropriate arrangements to enable safety representatives to exercise their legal right to carry out an inspection of a work site where there has been a notifiable incident or dangerous occurrence. RAIL SAFETY AND STANDARDS BOARD Page 9 of 20

10 Gathering and preserving evidence provision of staff information checklist The infrastructure manager shall supply an information checklist to those staff who could be involved in obtaining such evidence, which specifically details instructions about seeking evidence of the cause of railway incidents Identifying and dealing with site specific hazards The infrastructure manager s control facility shall advise the RIO and other involved persons and organisations as appropriate of details of known hazards and hazardous materials identified in the area of an incident that could have been affected by, or could affect, the rescue or recovery operations Restoration of normal working - infrastructure manager consultation with other organisations prior to restoration of services The infrastructure manager shall consult with railway undertakings whose activities and responsibilities are involved to enable the strategy, priorities and timescale for restoration of normal working to be determined The infrastructure manager s RIO shall consult with the senior representatives of all organisations on site and obtain assurances that their staff are fully briefed before the process for authorising the train services to recommence begins The infrastructure manager s RIO shall consult organisations involved in the incident to produce a risk assessment for any temporary service restoration options and identify and implement any control measures that might result Declaration of incident conclusion The infrastructure manager s RIC (if appointed) shall, in conjunction with the RIO, the emergency services, and other organisations involved, decide when the incident shall be declared to be officially concluded Final incident conclusion actions The infrastructure manager s RIO shall, in conjunction with the RIC, when standing down: a) Identify all actions and work outstanding at the end of the RIO role and identify who is responsible for each of them. b) Check that the person responsible for the action or item of work has been formally advised and accepts that action or item of work. (Subsequent action shall be for that person to determine and action as necessary). c) Communicate the changed arrangements to those involved including the signaller, the control facilities, the infrastructure manager responsible for station operations (if involved), railway undertakings, emergency services and other organisations involved The infrastructure manager s RIO shall reach a clear understanding with the rail organisations involved on: a) The status of lines and equipment, and any restrictions applied RAIL SAFETY AND STANDARDS BOARD Page 10 of 20

11 b) Any need to run proving trains over the affected lines before they are cleared as fit for purpose. c) The clearance and covering of debris to permit operations Arrangements for reviewing and feedback following an incident The infrastructure manager shall lead the incident review The infrastructure manager shall seek the involvement of other organisations that were involved in the response. RAIL SAFETY AND STANDARDS BOARD Page 11 of 20

12 2.3 Requirements for railway undertakings Initial response by railway undertakings at the incident site Railway undertakings present shall co-ordinate their actions with each other, as far as is practicable, until the infrastructure manager has established control of the response to the incident Appointment and role of a Train Operators Liaison Officer (TOLO) Railway undertakings shall appoint a Train Operators Liaison Officer (TOLO) when circumstances require or the infrastructure manager requests it, to represent the interests of all the involved railway undertakings The railway undertakings TOLO shall report to and liaise with the RIO The railway undertakings TOLO shall, when required for evidence purposes, arrange for On Train Monitoring Recorder (OTMR) data to be downloaded from rolling stock and made available to the evidence coordinator The railway undertaking shall provide such assistance as may be required to the evidence co-ordinator regarding the format and interpretation of OTMR data Control facilities, critical information and liaison arrangements Railway undertakings shall maintain control facilities that: a) Consider the service implications in liaison with the infrastructure manager s control facility. b) Liaise with the infrastructure managers (including those who have a responsibility for stations) and other railway undertakings control facilities, exchanging information of details of the incident, its location, site access and rendezvous points, and the identities of the RIC (if appointed), the RIO, TOLO and SIO (if appointed) and changes to these posts when relieved Arrangements for reviewing and feedback following an incident Railway undertakings shall liaise with and provide such assistance as is required with the infrastructure manager for the purposes of the incident review. RAIL SAFETY AND STANDARDS BOARD Page 12 of 20

13 Part 3 Application of this document 3.1 Application - infrastructure managers Scope The requirements of this document apply to all accidents and incidents that take place on Network Rail managed infrastructure and involving an infrastructure manager and another infrastructure manager and/or a railway undertaking The requirements of this document apply to all work that affects incident response planning and management Exclusions from scope There are no exclusions from the scope specified in clause for infrastructure managers General compliance date for infrastructure managers This comes into force and is to be complied with from 06 December Where it is found that existing incident response plans and management of them do not comply with the requirements of this document, action to bring them into compliance is required as follows: a) When an incident response plan is modified b) When an incident response plan is renewed as a whole c) When any major part of an incident response plan is replaced After the compliance dates or the date by which compliance is achieved if earlier, infrastructure managers are to maintain compliance with the requirements set out in this. Where it is considered not reasonably practicable to comply with the requirements, authorisation not to comply should be sought in accordance with the s Code Exceptions to general compliance date There are no exceptions to the general compliance date specified in for infrastructure managers. 3.2 Application - railway undertakings The requirements of this document apply to all accidents and incidents that take place on Network Rail managed infrastructure and involving a railway undertaking and an infrastructure manager and/or another railway undertaking Scope The requirements of this document apply to all work that affects incident response planning and management, whether new or alteration Where it is known, or becomes known, that existing incident response plans and management of them do not comply with the requirements of RAIL SAFETY AND STANDARDS BOARD Page 13 of 20

14 this document [or part of document], action to bring them into compliance is required as follows: a) When an incident response plan is modified b) When an incident response plan is renewed as a whole c) When any major part of an incident response plan is replaced Exclusions from scope There are no exclusions from the scope specified in clause for railway undertakings General compliance date for railway undertakings This comes into force and is to be complied with from 06 December After the compliance dates or the date by which compliance is achieved if earlier, railway undertakings are to maintain compliance with the requirements set out in this. Where it is considered not reasonably practicable to comply with the requirements, authorisation not to comply should be sought in accordance with the s Code Exceptions to general compliance date There are no exceptions to the general compliance date specified in for railway undertakings. 3.3 Health and safety responsibilities Users of documents published by RSSB are reminded of the need to consider their own responsibilities to ensure health and safety at work and their own duties under health and safety legislation. RSSB does not warrant that compliance with all or any documents published by RSSB is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. RAIL SAFETY AND STANDARDS BOARD Page 14 of 20

15 Appendix A Rail industry incident command structure (abbreviated) A.1 Simplified diagram of incident plan roles described in this document A.1.1 Explanation of diagram A The following diagram shows a simplified command structure, together with some basic supporting information, for the key roles described in this. A There are a number of other key roles which are appointed by the infrastructure manager and whose reporting lines remain wholly within their responsibility as the responsible duty holder. Further information on these roles can be found in the associated guidance document (GO/GN3518 Guidance on ) that complements this, and in the Network Rail Network Emergency Plan (which accords with this document). RIC Rail Incident Commander IM appointed offsite only cannot be the same person as the RIO DLP Designated Local Person IM appointed Temporary Post - Only in place until the RIO is appointed RIO Rail Incident Officer IM appointed in overall charge of the whole incident site from a railway perspective SIO Station Incident Officer IM (with responsibility for stations) appointed Reports to the RIO. Can also be the same person as the TOLO or RIO TOLO Train Operators Liaison Officer RU appointed Reports to the RIO. Can also be the same person as the SIO Evidence Co-ordinator IM appointed Reports to the RIO. Can also be the same person as the RIO Diagram 1 Simplified command structure for rail incident management RAIL SAFETY AND STANDARDS BOARD Page 15 of 20

16 Appendix B B.1 Rail industry incident command structure (full version) B.1.1 B.1.2 The content of the following diagram is non-mandatory and included here for information purposes only. Further details relating to the following information should be obtained from the current edition of the Network Rail National Emergency Plan. The following diagram is reprinted from the Network Rail National Emergency Plan. It shows an extended simplified command structure that shows how the key roles described in this relate to others (not described in this ) that are the sole responsibility of Network Rail to appoint and manage. RAIL SAFETY AND STANDARDS BOARD Page 16 of 20

17 Support Team Administration Support Communications Support Note Taker Others as necessary Rail Incident Commander Rail Incident Officer GOLD SILVER Site Safety Manager Train Operator Liaison Officer Operations Manager Evidence Co-ordinator Site Contract Manager Other Posts as necessary BRONZE PICOP Recovery Engineer Infrastructure Engineer Environmental Manager Figure: Rail Industry incident command structure* *Source: Specification - Network Rail National Emergency Plan, Pub. Network Rail. Page 9. Ref: NR/SP/OPS/250, Issue 1, December RAIL SAFETY AND STANDARDS BOARD Page 17 of 20

18 B.1.3 B.1.4 B.1.5 B.1.6 Incident Command Structure A three-tier structure is applied to the management of rail response to an incident. This basic structure will apply whatever the severity of the incident. However, not all of the structure will be implemented for each incident. The detailed response depends on the circumstances, in liaison if appropriate, with the emergency services. These tiers are defined as Strategic (Gold) Tactical (Silver) and Operational (Bronze). Gold (Strategic) The role of the personnel in the Gold location is to be responsible for the strategic management of the incident. Gold is led by the Rail Incident Commander (RIC), and would normally be situated at Network Rail Route Control. Gold provide executive support to the Rail Incident Officer, and focus on operational strategy. In the event that a multi-agency Gold is formed, the RIC will make the decision whether or not a rail industry representative should attend depending on the nature of the incident. The person attending will either be the RIC or a designated deputy. Silver (Tactical) The role of the personnel in the Silver location is to determine the priorities in allocating resources, obtaining other resources as required, planning and co-ordinating the overall response on site from a rail industry perspective. Within Network Rail, this role is performed by the Rail Incident Officer (RIO) who is the lead rail industry responder on site for Route incidents, or the Station Incident Officer (SIO) for incidents that occur at Managed Stations (a SIO may be appointed from within the Train Operating Company (TOC) at stations not directly managed by Network Rail). Bronze (Operational) Bronze staff are key personnel required to support the RIO (or SIO in the case of incidents occurring at Managed Stations) in providing effective management of the recovery from an incident. Those operating at this level concentrate on undertaking specific tasks within their area of responsibilities. These activities will be co-ordinated by the RIO as far as rail related organisations are concerned. The need for the appointment of Bronze Command personnel will be dictated by the circumstances of the incident. The Emergency Services will establish a command structure based on the same three tiers, ie Bronze, Silver and Gold. RAIL SAFETY AND STANDARDS BOARD Page 18 of 20

19 Definitions Accident An unwanted or unintended sudden event or a specific chain of such events which have harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons caused by rolling stock in motion, fires and others. Immediate cause(s) An unsafe act or unsafe condition which causes an accident or incident. Incident Any occurrence, other than accident or serious accident, associated with the operation of trains and affecting the safety of operation Infrastructure manager infrastructure manager means a person who a) In relation to infrastructure other than a station, is responsible for developing and maintaining that infrastructure or, in relation to a station, the person who is responsible for managing and operating that station, except that it shall not include any person solely on the basis that he carries out the construction of that infrastructure or station or its maintenance, repair or alteration; and b) Manages and uses that infrastructure or station, or permits it to be used, for the operation of a vehicle. (Note: This definition sourced from The Railways and Other Guided Transport Systems (Safety) Regulations 2006) Investigation A process conducted post accident or incident, for the purpose of discovering the causes and to help identify measures to prevent reoccurrence. The process includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes and, when appropriate, the making of safety recommendations. Formal Investigation A formally structured investigation of an accident or incident, led by an infrastructure manager, railway undertaking or a person independent of all the parties involved in the accident or incident, applying processes mandated in this document. Network Rail National Emergency Plan (NRNEP) The NRNEP describes the arrangements in place to provide a complete, effective response to accidents, incidents and other emergencies on or affecting Network Rail managed infrastructure across Great Britain. It describes the responsibilities of Network Rail, and it also outlines the responsibilities of passenger / freight operating companies and other interfacing organisations in relation to this plan. It is intended to complement the requirements of the Railway Group and Network Rail Company Standards and other applicable codes and legislation. Railway undertaking A transport undertaking, as defined in the Railways and Other Guided Systems Regulations 2006, whose safety certification covers operation of trains on the managed infrastructure, as defined in the s Code. RAIL SAFETY AND STANDARDS BOARD Page 19 of 20

20 Safety authority The national body entrusted with the tasks regarding railway safety in accordance with Directive 2004/49/EC (the Railway Safety Directive). In Great Britain the safety authority is the Office of Rail Regulation (ORR). SMIS Safety Information System: a computer database managed by RSSB containing details of events reported by or on behalf of infrastructure managers and railway undertakings. Underlying cause(s) Any factors which led to the immediate causes of accidents or incidents, or which resulted in such causes not being identified and mitigated. References The Catalogue of s and the s CD-ROM give the current issue number and status of documents published by RSSB. This information is also available from Documents referenced in the text RGSC 01 The s Code s GO/GN3518 RSSB Guidance Note Guidance on. GO/RT3119 Accident and Incident Investigation GO/GN3519 Guidance on Accident and Incident Investigation GE/RT8000 Rule Book RSSB documents None Other references Network Rail National Emergency Plan: Pub. Network Rail. NR/SP/OPS/250, or as per whichever edition/version is current and in force. Other relevant documents s None RSSB documents None Other references The Railways and Other Guided Transport Systems (Safety) Regulations 2006 The Railways (Accident Investigation and reporting) regulations 2005 (and amendment) Civil Contingencies Act 2004 RAIL SAFETY AND STANDARDS BOARD Page 20 of 20