Incident Management Framework - Transport for NSW

124

Incident Management Framework Part 1 - Framework

Title: Incident Management Framework Part 1 - Framework Issue date: 05/08/2020 Review date: 05/08/2023

Custodian: Senior Safety Specialist Safety Systems © Sydney Trains Approved by: Director Safety and Standards Version 2.5 Page 2 of 24 UNCONTROLLED COPY WHEN PRINTED

Version control

Version Change from previous Date Comment

1.0 Incorporated valid comments from stakeholders 28/06/2013 Final Version

1.1 As part of rebranding project and other minor adjustments

25/2/2014 Final Version

2.0 Major Review 01/07/2014 Changes in incident levels and escalation process

2.1 Minor changes to reflect security alert levels 20/11/2014 Changes made to incorporate Code Red and Code Blue

2.2 Change of custodianship from Operations to SEQR Directorate

16/05/2016 Updated position titles and hyperlinks to referenced documents

2.3 Document updated to reflect the changes in roles and responsibilities in managing the incidents.

Definitions of Occurrence, Responder, Event and Incident introduced for the purpose of managing the incidents on the network.

Section on Training/Briefing revised to provide more clarity.

Figures, titles and hyperlinks updated to reflect current organisational and incident management structure.

03/12/2018

2.4 Document updated to:

• reflect the new location i.e. Rail Operations Centre

• add Figure 5 in section 7.1 - NSW State Emergency Management Plan (EMPLAN) updated to reflect the current plan

01/04/2019

2.5 Document revised to:

• change the “specific location” to “location guidelines” in figure 4 of IMF part 1;

• reflect the new organisation structure in Operations and Executive Management Team.

• include the option of managing level 3 incidents by DCM without activating the IMT;

• include the DCM checklist; and

• reflect updated incident management structure, figures, titles, templates in appendices and hyperlinks.

05/08/2020



Contents

1. Introduction ......................................................................................................................... 5

1.1 Purpose and Scope ....................................................................................................................... 5

2. Sydney Trains and NSW TrainLink Network ..................................................................... 7

3. Principles of Sydney Train’s incident response ............................................................... 8

3.1 Managing rail incidents .................................................................................................................. 8 3.2 Managing non-rail incidents ........................................................................................................ 10

4. Determination of Event and Incident classification ........................................................ 11

5. Safety, Health and Environment Management (SHEM) and Hazardous Site Management System (HSMS) ................................................................................................. 14

6. Environmental Incident Management and Site Incident Management Plans (SIMPs) .. 14

7. Legislative framework and associated documents ........................................................ 15

7.1 NSW State Emergency Management Plan (EMPLAN) ............................................................... 15 7.2 Regulatory requirements and legislation ..................................................................................... 16 7.3 Associated documents ................................................................................................................ 16

8. Coordination with other networks and train operators .................................................. 17

8.1 Coordination with Australian Rail Track Corporation (ARTC) Network and Country Regional Network ....................................................................................................................................... 17

8.2 Other train operators' plans ......................................................................................................... 17

9. Maintenance, communication, testing and training ....................................................... 18

9.1 Maintenance and other Emergency Preparedness and Readiness Activities ............................ 18 9.2 Rehearsals .................................................................................................................................. 18 9.3 Briefing and Training ................................................................................................................... 18

10. Definitions and abbreviations .......................................................................................... 20



Figures

Figure 1: IMF Documents ....................................................................................................................... 6 Figure 2: RailCorp owned network map ................................................................................................. 7 Figure 3: ICS model for rail incidents ..................................................................................................... 9 Figure 5: NSW STATE EMPLAN ......................................................................................................... 15

Tables

Table 1 Rail incidents with direct impact on train operations/customers ........................................ 12 Table 2 Non Rail incidents with no direct impact on train operations/customers ........................... 13



1. Introduction

1.1 Purpose and Scope This Incident Management Framework Part 1 – Framework provides the overall guidelines and procedures for Sydney Train’s response to incidents occurring on Sydney Trains and NSW TrainLink network. It outlines what incidents can potentially occur and describes the organisational principles of Sydney Train’s response to those incidents. It differentiates the management structures for three incident severity levels (refer to Incident Management Framework Part 2 - Plan, sections 3 to 5 for details).

Note: For the purpose of rail incidents in the Incident Management Framework: Occurrence Occurrence is any issue that is outside of or affects normal operations. Responder A worker that is required to take action in the resolution of an occurrence either by onsite attendance or by remote coordination or support. Event An occurrence that does not require a responder is classified as an Event. Train Service Delivery Manager (TSDM) shall manage the event. An event shall be escalated to an incident when it requires a responder. Incident An occurrence that requires a responder is classified as an Incident. Network Incident Manager (NIM) shall manage the incident as per the IMF. Please see section 4 in IMF Part 2 – Plan for detailed incident notification and escalation process. The above definitions do not apply to non-rail incidents.

The framework includes references to legislation and regulatory requirements and links Sydney Train’s incident response documentation to other Rail Agencies’ plans and procedures as well as to other relevant internal documents.



The Incident Management Framework Part 1 - Framework is part of Sydney Train’s Incident Management documents and needs to be utilised in connection with:

• Incident Management Framework Part 2 – Plan; and • Incident Management Framework Part 3 – Roles and

Responsibilities. Incident Management Framework Part 2- Plan The IM Plan describes how Sydney Trains manages incidents throughout the lifecycle of the incident. It includes: • Incident notification, classification and escalation; • establishment of appropriate response management

structure and appointment of roles; and • communication and reporting requirements.

Figure 1: IMF Documents

Incident Management Framework Part 3 – Roles and Responsibilities

The IMF Roles and Responsibilities are supported by documents which detail the roles and responsibilities of Sydney Trains and NSW TrainLink workers in the form of checklists; and outline the responsibilities of involved external organisations/agencies.

IMF Part 1- Framework

IMF Part 3 - Roles & Responsibilities

IMF Part 2 - Plan



2. Sydney Trains and NSW TrainLink Network The Sydney Trains and NSW TrainLink network is owned by RailCorp and is depicted by the lines shown in yellow on the following map. The general extent of the network1 from Sydney is Newcastle Interchange to the north, Bowenfels to the west, Macarthur to the south and Bomaderry (Nowra) on the south coast. Sydney Trains and NSW TrainLink shall operate on the network owned by RailCorp.

Figure 2: RailCorp owned network map

1 Refer to the Sydney Trains/ARTC and Sydney Trains/John Holland Rail Interface Coordination Plans and Safety Interface Agreements for specific locations where the RailCorp owned network interfaces with the ARTC network and CRN (John Holland Rail).



3. Principles of Sydney Train’s incident response Management of incidents in Sydney Trains is divided into two categories.

1. Rail incidents 2. Non-rail incidents

3.1 Managing rail incidents Sydney Trains uses the Incident Control System (ICS) model to manage all rail incidents within Sydney Trains and NSW TrainLink. To achieve inter-operability and consistency for incident management, the Sydney Train’s ICS model is aligned to the ICS models of other NSW Government agencies including: • NSW Police; • Fire and Rescue NSW; • NSW Rural Fire Service; • NSW State Emergency Service; • Transport for NSW; • NSW Health; • Sydney Water; and • Sydney Catchment Authority. Sydney Train’s organisational management structure for responding to an incident varies with the three incident levels (refer to IMF Part 2 - Plan, sections 3-5). • Level 1 – Routine; • Level 2 – Significant; and • Level 3 – Major (with IMT and/or EMT activation) Responsibility for the management of the incident response for rail incidents at various incident levels can be outlined in the figure 3: ICS model for rail incidents.



Planning Coordinator

Communication Coordinator

ICS Manager

Rail Commander

Network Incident Manager

LogisticsCoordinator

Network Incident Manager (NIM)

KEY- - - - - communications/information/liaison relationship_____ direct reporting line

Network Incident Manager (NIM)

Incident

In liaison /with support of Rail Commander and Site Resources

In liaison /with support of Site Resources and Rail Commander (if required)

Level 1

Level 2

Level 3

Level 3 (with EMT)

In liaison /with support of Site Resources

NSWT LO TfNSW LO

Train Crewing

Fleet Maintenance

Customer Service

Rail Specialists

Chief Customer Officer

ExecutiveDirector Engineering

and Maintenance

ExecutiveDirector Safety

Environment, Quality & Risk

Executive Director People & Corporate

Affairs

Executive Director Strategy, Portfolio and

Investment

CE

Executive Director Finance & Business

Services

Executive Director Train Crewing and

Support

Emergency Management Team

Figure 3: ICS model for rail incidents

The ICS model operates on the basis that one person is always in “Control” of an incident. Upon activation of the IMT the ICS Manager is in charge and manages the overall response of the incident.

Note: Not all Level 3 incidents shall trigger the activation of IMT. The IMT will only be activated when it has been authorised by the Head of Operations Control / Director Rail Operations Control / Head of Service Delivery who shall make an informed decision in collaboration with Duty Control Manager as to whether to activate the IMT. Duty Control Manager can manage the Level 3 incident without activating the IMT.

The ICS Manager is the single person in charge of the incident. As the incident develops, the tasks covered by other sections shall be delegated, and those positions take the titles as per the figure 3 of this document. The ICS Manager and the Functional Area Coordinators form the Incident Management Team (IMT). There is flexibility in the ICS model for the ICS Manager to structure their IMT as they see fit, however the ICS structure described in Figure 3: ICS model for rail incidents of this document is recommended. The IMT is responsible for:

• Planning – The Planning Coordinator is responsible for the collection and display of incident information, including the status of all resources. The principal role of the Planning Coordinator is to consider how the resolution of the incident is progressing, to measure the



implications and highlight any actions that need to be considered in future timeframes e.g. next shift, next day or next week. The Planning Coordinator also develops Sydney Trains Action Plans to be implemented by the operations team in these timeframes;

• Operations –The Network Incident Manager (NIM) is responsible for the control of operations in accordance with the Sydney Trains Action Plan. The Network Incident Manager (NIM) directs all actions to meet the incident objectives and focuses on managing the incident response in the current timeframes;

• Logistics –The Logistics Coordinator supports the incident with responsibility for facilities, services, Human Resources (HR), Information Technology (IT) and materials;

• Communications – The Communications Coordinator supports the incident with responsibility for internal communication to workers, external communications (including media), and image of the organisation; and

• Rail Specialists – Due to the unique nature of rail operations it is necessary to include Rail Specialists in the Sydney Trains ICS model. These include representatives from Train Crewing, Customer Service and Fleet Maintenance. These rail specialists are necessary for effective response and recovery from rail and non-rail incidents affecting the network.

3.2 Managing non-rail incidents Non-rail incidents in Sydney Trains are managed as per local incident management procedures by the officer in-charge of the workplace. As soon as the non-rail incident starts affecting the train operations, it shall be managed as per ICS model for the rail incidents. (see Figure 3: ICS model for rail incidents of this document).



4. Determination of Event and Incident classification The flowchart below provides the guideline to support the decision making process for the determination of event and incident classification.

*Incidents which require activation of EMT include but not limited to:- Terrorist attacks- Severe or more protracted customer impact- Collision/derailment resulting in loss of life (except suicide and trespassing)- Multiple agency coordination in place or required where Sydney trains is not a lead agency- Whole of Government response is required - Judicial inquiry may be established- Reputational damage - Governance failure (external investigation) or- when CE deems necessary

*Locations guideline It include but not limited to: - City Circle - Underground lines - Tunnels - Hawkesbury River Bridge- Sydney Harbour Bridge - Sections where road access is difficult

Is the incident at a Locations guideline*?

causing multiple service delays (10-20 min peak, 20-30 min off

peak)

Police and/or Emergency Services

involved and potential customer delay is greater than 30 minutes affecting

more than one passenger train?

Is there any line blockage and/or multiple services delayed for more than 30 min (peak)

or 45 min (off peak)?

Is the potential customer delay greater than:

15-30 min (peak) or 30-45 min (off peak)?

DCM REPORTS TO HEAD OF OPERATIONS CONTROL / DIRECTOR RAIL OPERATIONS

CONTROL / HEAD OF SERVICE DELIVERY AND DECLARES THE LEVEL 3 INCIDENT

Does the incident require activation of

EMT*?LEVEL 3

LEVEL 2

LEVEL 1

NO

Activate EMT (with or without) Level 3

Line Blockage:No passenger train service between two major locations as determined by Director Rail Operations Control

NIM DECLARES

CHIEF EXECUTIVE ACTIVATES

Occurrence

YES

Does it require a responder*?

It is considered anIncident

It is considered anEvent No

Train Service Delivery Manager (TSDM) shall manage the Event

Does Event escalation or change require a responder*?

YES

*Responder A worker that is required to take action in the resolution of that occurrence either by on site attendance or by remote coordination or support.

No

Yes

NoNo

No

Yes

Yes

No

Yes

NIM DECLARES

Figure 4: Determination of Event and Incident classification flow chart


Custodian: Senior Safety Specialist Safety Systems © Sydney Trains Approved by: Director Safety and Standards Version 2.5

Page 12 of 24 UNCONTROLLED COPY WHEN PRINTED

Table 1 Rail incidents with direct impact on train operations/customers

Rail – Incident: Incident with direct impact on train operations / customers Examples (not limited to):

• Collision or derailment; • Signal failure, overhead power failure, station power failure; • Fire, explosion, gas leak, chemical spill in rail infrastructure or rolling stock; • Rolling stock failure or defects; • Disruption of major services (electricity, water, gas, wastewater) with impact on train operations; • Natural hazards (earthquake, landslide, storm, flood, bushfire) with impact on train operations; • Acts of terrorism, siege or hostage situations with impact on train operations; • Bomb (threat), or suspicious object with impact on train operations; • Civil disorder (riots, rallies, crowd control) with impact on train operations; • Crowd congestion; and • IT failure impacting train operations.

Level 1 – Routine Level 2 - Significant Level 3 - Major Level 3 (Activation of EMT) • Little or no customer impact. • Little or no operational impact. • Normal procedures. • Normal staffing levels and roster. • Requires monitoring and review. In charge: Network Incident Manager

• Significant customer impact. • Small no. of services impacted. • Short period of disruption. • Specialist resources, subject matter

experts required. • Emergency Services possibly

involved. In charge: Network Incident Manager

• Major customer impact. • Major impact on operations Collision / derailment Major Train delays Power outages Signalling interlocking Wash away of line • Need an extended coordinated

Sydney Trains response. • May need external support. • Community impact. In charge: ICS Manager (if IMT activated) otherwise Duty Control Manager

• Severe or more protracted customer impact.

• Collision / derailment resulting in loss of life.

• Multiple agency co-ordination in place or required where Sydney Trains is not lead agency.

• Whole of Government response is required.

• Judicial inquiry may be established • Reputational damage. • Governance failure (External

Investigation) or • When CE deems necessary. In charge: Emergency Manager




Table 2 Non Rail incidents with no direct impact on train operations/customers

Non-Rail Incident: An incident that does not directly impact train operations/customers. However, Non-Rail incident can escalate to Rail Incident Examples (not limited to):

• Medical emergency/incident outside train operations; • Fire, explosion, gas leak, chemical spill at a Sydney Trains and/or NSW TrainLink building/office • Disruption of major services (electricity, water, gas, wastewater) at a Sydney Trains and/or NSW TrainLink building/office; • Natural hazards (earthquake, landslide, storm, flood, bushfire) at a Sydney Trains and/or NSW TrainLink building/office; • Inability to access Sydney Trains and/or NSW TrainLink building/office, structural collapse; • Civil disorder (riots, rallies, crowd control) at or affecting a Sydney Trains and/or NSW TrainLink building/office; • Environmental (Spills, leaks, contamination, chemical, biological, or radiological/nuclear, toxic emission, hazardous substances or dangerous goods with no impact on

train operations • Malicious damage to a Sydney Trains and/or NSW TrainLink building/office; • IT failure at a Sydney Trains and/or NSW TrainLink building/office; • Act of terrorism, siege or hostage situations at office/s, robbery, assault; and • Bomb (threat), suspicious object at a Sydney Trains and/or NSW TrainLink building/office.

Note: The above tables contain a list of incident/ levels which should be treated as a GUIDE ONLY. The DCM has the discretion to evaluate and assess each incident based on the individual situation whilst considering the severity and impact to our customers and on the network.



5. Safety, Health and Environment Management (SHEM) and Hazardous Site Management System (HSMS)c

Sydney Trains maintains a SHEM in Transport Equip. and has established a Hazardous Site Management System (HSMS) which is a web based application to manage the following registers: Hazardous Materials Registers (HazMat); Hazardous Rail Corridor Locations (HRCL); Heritage Sites (HS); Environmental Sensitive Sites (ESS); Contaminated Land Register (CLR); and Confined Spaces Registers (CSR).

The above documents provide detailed information on potential incidents and hazards referred to in tables 1 and 2 in Section 4 of this document.

6. Environmental Incident Management and Site Incident Management Plans (SIMPs)

Sydney Trains complies with its duties under the Protection of the Environment Operations Act 1997 (POEO Act) to notify and report on pollution incidents causing or threatening material harm and to prepare and implement a Pollution Incident Response Management Plan (PIRMP) for premises regulated by an Environment Protection Licence (EPL). Sydney Trains manages pollution incidents in accordance EMS-02-TP-0108 Sydney Trains Environment Incident Management Summary and with EMS-02-WI-0214 Notify Pollution Incidents.

Sydney Trains and NSW TrainLink response capacity for pollution incidents is enhanced through: All depots, maintenance centres, station and Infrastructure Maintenance vehicles being

equipped with spill kits; The Rail Emergency Response Unit (RERU) vehicles are equipped with spill kits and

pollution incident response equipment; Sydney Trains has 24/7 on call pollution response capability; and The Rail Operations Centre (ROC) Security has a direct communications line to the Police

and Emergency Services Control Centres for rapid response from units such as Fire and Rescue NSW Hazmat.

Site Incident Management Plans (SIMPs) have been developed for all Sydney Trains and/or NSW TrainLink work places and can be viewed on Sydney Train’s and/or NSW Train's Safety Management System (SMS) intranet site. The SIMPs outline the preparation and plans for dealing with incidents arising out of any of the identified hazards that may arise at a work location. This is not exclusive to those listed in Section 4 of this document.

http://intranet.sydneytrains.nsw.gov.au/directorates/ser/strategy-performance-and-systems/enterprise-systems/applications/hsms

http://intranet.sydneytrains.nsw.gov.au/directorates/ser/strategy-performance-and-systems/enterprise-systems/applications/hsms

https://transportcloud.sharepoint.com/:w:/r/sites/ST-SEQR/_layouts/15/Doc.aspx?sourcedoc=%7B81D016C6-19F9-40D9-B1BC-16330933FAB3%7D&file=EMS-02-TP-0108%20Sydney%20Trains%20Environment%20Incident%20Management%20Summary%20Template.docx&action=default&mobileredirect=true


https://transportcloud.sharepoint.com/sites/ST-SEQR/EMS2/Forms/undefined




7. Legislative framework and associated documents

7.1 NSW State Emergency Management Plan (EMPLAN) Sydney Train’s Incident Management Framework is aligned to the NSW State Emergency Management Plan (EMPLAN), which provides a strategic overview to emergency management in New South Wales. The EMPLAN has been prepared with input from all New South Wales Government agencies that have responsibilities and functions in disaster response and recovery. It is supported by Sub Plans and Supporting Plans which detail the response to specific hazards and the roles and responsibilities of specific New South Wales Government Agencies. The EMPLAN is summarised as follows:

NSW State Emergency Management Plan (EMPLAN)

Supporting Plans

Sub Plans

Regional Plans

Far West

Hunter Central Coast

Heatwave

Human Influenza Pandemic

Kooragang Precinct

Agriculture and Animal Services

Telecommunications Services(TELCO PLAN)

Energy and Utility Services

Engineering Services

Environmental Services (ENVIROPLAN)

Health Services(HEALTH PLAN)

Public Information Services

Transport Services

Welfare Services Functional

Area

Sydney Trains/ NSW Trains

State Transit Authority

Sydney Metro

Roads and Maritime Services

Illawarra

New England

Lucas Heights Emergen cy

Major Structure Col lapse

Mine

Gas Supply Disruption

Asbestos Emergency

Aviation Emergency

Biosecurity (Animal and Plant)Emergency

Botany Bay Precinct Emergency

Bush Fire

Counter Terrorism

North Coast

North West Metropolitan

South Eastern

Riverina Murray

South West Metropolitan

Sydney Metropolitan

NSW Recovery Plan

Cyber Security

Electricity

Flood

Flood Industry Emergency

Hawkesbury-Nepean Flood Emergency

Hazardous Materials/Chemical,

Biological, Radiological and Nuclear

State Waters Marine Oil and Chemical Spill Contingency

Storm

Sydney and North Sydney C BD Evacuation Management (Sydney

CBD Emergency)

Tsunami Emergency

Figure 5: NSW STATE EMPLAN

https://www.emergency.nsw.gov.au/Pages/publications/plans/sub-plans/Sub-plans.aspx

https://www.emergency.nsw.gov.au/Pages/publications/plans/supporting-plans/supporting-plans.aspx



Custodian: Senior Safety Specialist Safety Systems © Sydney Trains Approved by: Director Safety and Standards Version 2.5 Page 16 of 24

UNCONTROLLED COPY WHEN PRINTED

7.2 Regulatory requirements and legislation The Sydney Trains Incident Management Framework is based on the following legislation, regulation and licence requirements: • Rail Safety National Law (NSW) 2012; • State Emergency and Rescue Management Act 1989 (NSW); • Work, Health and Safety Act 2011 (NSW); • Transport Safety Investigation Act 2003 (Commonwealth); • Protection of the Environment Operations Act 1997 (NSW); and • Environment Protection Licence 12208.

Further, the Sydney Trains Incident Management Framework has been developed in consideration of: • the NSW State Emergency Management Plan (EMPLAN), which describes

emergency planning at State, District and Local levels; • the requirements of the Office of the National Rail Safety Regulator (ONRSR); and, • Rail Safety National Law Regulations 2012, Division 3 - Regulation 19 – Emergency

Management Plan.

7.3 Associated documents The Incident Management Framework has been written with references to the following documents: • Emergency New South Wales - State Emergency Management Committee (SEMC); • EMS-02-TP-0108 Sydney Trains Environment Incident Management Summary; • Network Procedures; • Network Rules; • Operator Specific Procedures; • Sydney Trains Environmental Management System Work Instruction – Notify

Pollution Incidents - EMS-02-WI-0214; and • Sydney Trains Safety Management System, System Procedure – Emergency

Preparedness - SMS-15-SP-3075

https://www.legislation.nsw.gov.au/inforce/a0bd1251-cb9f-48e8-b345-7d79edd82477/2012-82a.pdf

http://www.austlii.edu.au/au/legis/nsw/consol_act/searma1989331/

http://www.legislation.nsw.gov.au/inforcepdf/2011-10.pdf?id=f8df8095-a335-66a0-8828-f33d06042cb9

http://www.legislation.nsw.gov.au/inforcepdf/2011-10.pdf?id=f8df8095-a335-66a0-8828-f33d06042cb9

http://www.austlii.edu.au/au/legis/cth/consol_act/tsia2003374/

http://www.austlii.edu.au/au/legis/cth/consol_act/tsia2003374/

http://www.austlii.edu.au/au/legis/nsw/consol_act/poteoa1997455/

https://www.transport.nsw.gov.au/projects/environment-and-safety/sydney-trains-environment-and-sustainability/sydney-trains-and-93

http://www.onrsr.com.au/

https://www.emergency.nsw.gov.au/Pages/about-us/semc/SEM-Committee.aspx

https://www.emergency.nsw.gov.au/Pages/about-us/semc/SEM-Committee.aspx


https://railsafe.org.au/procedures

https://railsafe.org.au/nge

http://securelibrary.sydneytrains.nsw.gov.au/osp



http://sms.sydneytrains.nsw.gov.au/trim/sms-sydney-trains?RecordNumber=D2013%2F76297

http://sms.sydneytrains.nsw.gov.au/trim/sms-sydney-trains?RecordNumber=D2013%2F76297




8. Coordination with other networks and train operators

8.1 Coordination with Australian Rail Track Corporation (ARTC) Network and Country Regional Network

Sydney Trains, in consultation with ARTC and John Holland (for Country Regional Network) has developed procedures to manage and coordinate responses to incidents where two organisations are involved. The procedures include: • Communication and command and control of incidents at network interface locations

including network boundaries, parallel running lines, and Sydney Trains and/or NSW TrainLink stations on these networks; and

• Notification of incidents that impact on these organisations. The Manager Service Delivery Response is responsible for confirming that arrangements are in place to manage incidents at interface locations within the RailCorp owned network.

8.2 Other train operators' plans Train operators, other than Sydney Trains, using the network owned by RailCorp shall also develop and implement incident response plans. These incident response plans shall: • be consistent with this section of the Framework; • identify the roles and responsibilities of their incident response workers; • define all critical communication interfaces with Sydney Trains; • nominate a representative of the organisation to coordinate the train operator's

response to incidents. The contact details of the nominated representative shall be provided to the Sydney Trains Duty Control Manager, Rail Operations Centre (ROC) and are to be included in business and after hours contact numbers. The Duty Control Manager ROC shall be notified immediately of any changes to the contact details provided;

• nominate a worker responsible for immediately advising the Duty Control Manager ROC of any dangerous goods or environmentally hazardous substances or material, including any specific material handling information, associated with their train involved in an incident; and

• be reviewed and updated as appropriate to incorporate significant organisational changes and/or lessons learnt from incidents or training simulations/exercises.

Each train operator using the RailCorp owned network shall provide a copy of its current incident response plan to the Stakeholder Interface Team in the Short Term Planning unit of Sydney Trains. Stakeholder Interface Team shall forward a copy of the operator’s plan to the Manager Service Delivery Response. Freight train operators who operate trains on or through the Sydney Trains controlled network are required to submit to Sydney Trains TSDM Freight a “Consist” indicating the materials carried by each train (including whether they are carrying dangerous goods, and if so, the class/classes of dangerous goods and the wagon on which they are being carried). The locomotive drivers are required to have in their possession a copy of the full “Manifest” while operating the train.




9. Maintenance, communication, testing and training The Manager Service Delivery Response is responsible for testing and briefing/training of the Incident Management Framework requirements and liaises with key workers and departments within Sydney Trains and NSW TrainLink so that responsibilities are clearly communicated.

9.1 Maintenance and other Emergency Preparedness and Readiness Activities

The Incident Management Framework including the Plan and the Roles and Responsibilities documents shall be reviewed at least every three years or more frequently if appropriate. The review is to incorporate significant organisational changes and any lessons learnt from incidents or training, simulations or exercises. A Senior Safety Specialist Safety Systems in the Safety and Standards unit in SEQR Directorate shall be responsible for maintaining the currency of the Incident Management Framework (IMF). The Manager Service Delivery Response is responsible for overseeing activities undertaken by Sydney Trains and NSW TrainLink to confirm adequate preparation of the management of incidents. These activities shall include, but are not limited to: • liaising and planning with Local Emergency Management Committees (LEMCs), Office

of the National Rail Safety Regulator (ONRSR), Transport for NSW and other stakeholders for the preparation and implementation of multi-agency transport coordination plans;

• liaison with other railway operators, Emergency Services and other external agencies that may support response and recovery so that procedures are coordinated; and

• coordination of Sydney Trains representation on external Local Emergency Management Committees.

9.2 Rehearsals The Manager Service Delivery Response is responsible for rehearsal and testing activities such as establishing and coordinating an ongoing program of joint exercises with Emergency Service agencies to practice and test emergency preparedness across Sydney Trains and NSW TrainLink. The twelve (12) month rolling program of exercises shall be available on the Incident Readiness and Response unit intranet page updated regularly.

9.3 Briefing and Training The Executive Director in each directorate is responsible to make sure that their workers are being briefed/trained in the IMF. The Manager Service Delivery Response is responsible for establishing a process of IMF training/briefing which includes awareness of the Incident Management Framework for workers that might actively take a role in Sydney Trains and/or NSW TrainLink incident response. This shall include:

• All Sydney Trains workers;

• Incident Rail Commanders (IRCs);




• Incident Response Team Leaders (IRTLs);

• Incident Management Team (IMT) ; and

• Emergency Management Team (EMT). The IMF briefing shall be completed by each member who may assume the role of an ICS Manager and a person who may become a member of the Incident Management Team such as Planning, Communications and Logistics Coordinators. The Manager Service Delivery Response in coordination with the ICS Manager of each Incident Management Team (IMT) shall conduct a desktop exercise every six (6) months during their roster period to make sure that they are prepared to effectively manage a Level 3 incident. Out of these desktop exercises at least one exercise a year shall involve EMT members. If the IMT is stood up for an IMF Level 3 incident and a debrief is conducted afterwards, this would be considered/recognised as meeting a six (6) month desktop exercise requirement. If the IMF activation involving the IMT exceeds 6 months a full desktop exercise is required within the timeframe. Various desktops scenarios shall be developed by Manager Service Delivery Response. These scenarios shall be used to conduct the desktop exercises.




10. Definitions and abbreviations ARTC Australian Rail Track Corporation

ARTC manages more than 8,500 route kilometres of track in New South Wales, Queensland, South Australia, Victoria and Western Australia. ARTC also manages the Hunter Valley coal rail network.

ATSB Australian Transport Safety Bureau

The ATSB's function is to improve safety and public confidence in the aviation, marine and rail modes of transport through independent investigations of transport accidents, safety data recordings and fostering safety awareness.

CE Chief Executive

Chief Executive of Sydney Trains

Code Red Immediately stop all trains on the RailCorp owned network, including Sydney and/or NSW TrainLink, Freight Trains and Private Passenger Trains. Passengers to remain in trains at stations until authorised to evacuate.

Code Blue Stop all trains and commence evacuation at stations on the RailCorp owned network, including Sydney and/or NSW TrainLink and Private Passenger Trains. Move all freight to sidings or loops.

Combat Agency The agency identified in the EMPLAN as the agency primarily responsible for controlling the response to a particular emergency.

DG Dangerous Goods

Any substance or article prescribed as dangerous goods under the Dangerous Goods Act 1975 (NSW).

Delegate Any worker delegated to relieve in that position and take on the responsibilities of the position

EMPLAN Emergency Management Plan

Sydney Train’s Incident Management Framework is aligned to the NSW State Emergency Management Plan (EMPLAN), which provides a strategic overview to emergency management in New South Wales. The EMPLAN has been prepared with input from all New South Wales Government agencies that have responsibilities and functions in disaster response and recovery. It is supported by Sub Plans and Supporting Plans which detail the response to specific hazards and the roles and responsibilities of specific New South Wales Government Agencies.

Emergency Manager A worker appointed by the CE to take overall strategic responsibility for incident response management in the event of a Level 3 incident when EMT is activated.

EOC Emergency Operations Centre

A centre established at State, Regional or Local level as a centre of communication and as a centre for the coordination of operations and support during an emergency

Emergency Services The NSW Police, Fire and Rescue NSW and NSW Rural Fire Service, Ambulance Service of NSW, State Emergency Service (SES), Volunteer Rescue Association (VRA) or any other agency that manages or controls an accredited rescue unit.

EM Emergency Management

A system to allow for managing Level 3 incidents when EMT is activated.

EMT Emergency Management Team

Emergency Management Team, activated to manage the response to a Level 3 incident on a strategic level.

EOCON Emergency Operations Controller

A police officer appointed as an Emergency Operations Controller at state, regional or local level (e.g. LEOCON = Local, REOCON = Region, SEOCON = State).

https://www.emergency.nsw.gov.au/Pages/publications/plans/sub-plans/Sub-plans.aspx





EPA NSW Environmental Protection Authority EPL Environmental Protection Licence Event For the purpose of rail incidents in the Incident Management Framework:

An occurrence that does not require a responder is classified as an Event. HAZMAT Hazard Materials (Unit)

A specialised unit with in Fire and Rescue NSW responsible for protecting the New South Wales from hazardous materials (HAZMAT) incidents

ICS Incident Control System

An operations management system using common language and procedures to allow agencies to retain their own command structure. The key principles are management by objectives and span of control using key functions of Operations, Planning, Logistics and Communications.

IM Incident Management

A system to allow for managing Level 3 incidents

IMT Incident Management Team

The team activated to manage the operational response to a Level 3 incident.

Incident For the purpose of rail incidents in the Incident Management Framework: An occurrence that requires a responder is classified as an Incident.

Incident investigator A person nominated by an organisation to gather evidence and report on an incident.

ICS Manager A worker appointed as per ICS roster to take overall responsibility for incident response management in the event of a Level 3 incident.

ICON Infrastructure Control

Infrastructure Control (ICON) is responsible for the management of Sydney and NSW TrainLink electrical power distribution network, the coordination of responses to asset failures and operational incidents and monitoring and surveillance to all technology operational networks, systems and applications.

IRC Incident Rail Commander

The Incident Rail Commander provides on site management of significant and major rail incidents within Sydney Trains and NSW TrainLink network make sure that effective and timely resolution of operational problems, and safety of all workers including contractors, commuters and Emergency Services workers.

Incident Response Team The group, comprised of rail Response Team Leaders reporting to the Rail Commander, formed on-site to manage the recovery and service restoration operations on Sydney and /or NSW TrainLink.

IRTL Incident Response Team Leader

A worker appointed as Team Leader to manage on-site incident response workers for a particular Sydney Trains and/or NSW TrainLink discipline. The IRTL manages a team on-site and reports to the Rail Commander.

JMIC Joint Media Information Centre

The Joint Media Information Centre is created to provide resources and information to responding agencies to meet the public information needs. A JMIC is formed in all emergencies regardless of the controlling agency.

LEOCON Local Emergency Operations Controller

A police officer appointed for a local government area (or combined Local Government Authority areas) by the Regional Emergency Operations Controller.

LEMC Local Emergency Management Committee

Local Emergency Management Committees (LEMC) are responsible for the preparation and review of plans in relation to the prevention of, preparation for, response to and recovery from emergencies in the Local Government Area (LGA) for which it is constituted (Section 29 SERM Act 1989).

May Indicates the existence of an option.




Network Controller

A Qualified Worker who on a day to day basis manages the safe and efficient operation of the Network as specified in NGE 236 Responsibilities of Network Controllers.

Non-rail Incident An incident that does not affect the operation of trains. Notifiable agency An agency to which incidents or occurrences shall be notified as required by

legislation. NSW TrainLink DOCC NSW TrainLink Daily Operations Continuity Centre Occurrence Occurrence is any issue that is outside of or affects normal operations. OIC Officer In Charge

Designated worker within Sydney Trains and/or NSW TrainLink with a responsibility for particular function.

ONRSR Office of the National Rail Safety Regulator

ONRSR undertakes a range of regulatory activities including safety audits, compliance inspections and investigations, and promoting safety as a fundamental objective in the delivery of railway operations.

OTSI Office of Transport Safety Investigations

OTSI is an independent body to investigate safety occurrences involving bus, ferry and rail transportation.

Peak period trains AM Peak period trains are trains that arrive at Central station between 0600 - 1000 hrs. from Monday to Friday. PM Peak period are trains that depart from Central station between 1500 - 1900 hrs. from Monday to Friday.

PIIC Public Information and Inquiry Centre

It is a public information inquiry centre established by the state to provide information to members of the public about the incident.

PIRMP Pollution Incident Response Management Plan

A requirement of the NSW Protection of Environment Operations Act and Regulations – see POEO below.

POEO Protection of Environment Operations Act 1997

Legislation (and Regulations) requiring NSW premises covered by an Environment Protection Licence (EPL) to prepare and implement a Pollution Incident Response Management Plan (PIRMP). This IMF incorporates the requirements of a PIRMP.

PPE Personal Protective Equipment Qualified Worker A worker certified as competent to carry out the relevant task. Rail Commander A worker qualified as Rail Commander that has been appointed by the

Network Incident Manager to liaise with Emergency Services and manage the rail industry response at an incident site.

Rail incident An occurrence or event affecting the operation of trains on the rail network. REM Rail Emergency Management

A system to deliver near real time communication and incident management capability.

REOCON Region Emergency Operations Controller

The Region Commander of Police, appointed by the Commissioner of Police as the Region Emergency Operations Controller for each emergency management region.

Incident Response Team Leader (third party operator)

Attends an incident site and manages the site activities of that organisation under the direction of the Rail Commander.

RERU Rail Emergency Response Unit

Attends incidents within agreed boundaries as directed by Rail Operations Centre. Their primary function is to liaise with and provide information to Emergency Services concerning Sydney Underground Rail System.




Responder A worker that is required to take action in the resolution of that occurrence either by onsite attendance or by remote coordination or support.

ROC Rail Operations Centre

The centre provided by Sydney Trains to manage the operation of Sydney Trains and NSW TrainLink on RailCorp owned network.

Sydney Trains and/or NSW TrainLink LO Sydney Trains and/or NSW TrainLink Liaison Officer

A worker who represents Sydney Trains and/or NSW TrainLink in the operations centre of another agency or State/Regional/Local Emergency Operations Centres.

SEOCON State Emergency Operations Controller

The SEOCN is a member of the NSW Police Force Senior Executive Service and is responsible for establishing and controlling a State Emergency Operations Centre.

Shall Indicates that a statement is mandatory. SHEM Safety, Health and Environment Management

SHEM is a module of SAP which provides a single source of fact to better manage the Environment, Health and Safety (EHS) impact of incidents and risks across the Sydney Trains network

Should Indicates a recommendation. SIMP Site Incident Management Plan Signaller A Qualified Worker who issues Occupancy Authorities, and works points,

signals and other signalling equipment to manage routes for safe and efficient transit of rail traffic in the Network

Site Control The location from which the Site Controller, agency commanders and functional representatives coordinate the site of an emergency in support of the legislated Combat Agency. The relevant Emergency Service Commanders and Functional Area Coordinators and other advisers may be present at this location as required.

Site Controller The lead Agency Officer or, during a multi-agency response, a Police Officer, appointed by and subject to the direction of an Emergency Operations Controller. The Site Controller is responsible for managing the site, establishing site control and controlling the on-site response to an emergency in support of the Incident Controller from the legislated Combat Agency. Prior to the Emergency Operations Controller appointing a Site Controller, the Senior Police Officer on site assumes this role.

SITREP Situation Report

A summary of the current operational situation, issued in written form or as a telephone message. It should be in the following format: * What has happened (Situation); * What has been done (as at time of SITREP); and, * What needs to be done (including time forecasts)

TCAC Train Crew Assignment Centre TFAC Transport Functional Area Coordinator

A person appointed under NSW Emergency Management plan to act as a point of coordination for all transport agencies/services in NSW.

TCG Transport Coordination Group includes representatives from the Roads and Maritime Services, Sydney Trains and/or NSW TrainLink, Transport for NSW, State Transit Authority, private bus companies, Sydney Ferries and NSW Police. It operates to co-ordinate and manage Sydney’s morning traffic peak period until after the afternoon peak period.




TMC The NSW Transport Management Centre (TMC) monitors and manages the 18,000km NSW State road network 24 hours a day, seven days a week and assists in an “all transport agencies response” during emergencies and disasters in conjunction with the TCG.

Train operator

A worker accredited to operate rolling stock on Sydney Trains and/or NSW TrainLink rail network.

VKG Signifies NSW Police Communications Centre (Police Radio) WHS Work Health and Safety

Work Health and Safety refers to the legislation, policies, procedures and activities that aim to protect the health, safety and welfare of all people at the workplace.

Worker • A person is a Worker if the person carries out work in any capacity for a person conducting a business or undertaking, including work as:

an employee; a contractor or subcontractor; an employee of a contractor or subcontractor; an employee of a labour hire company who has been assigned to work

in the person’s business or undertaking; an outworker; an apprentice or trainee; a student gaining work experience, or a volunteer. Source: Work Health and Safety Act 2011 (NSW), Section 7

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