IMO I581E-2012 GUIDANCE DOCUMENT ON THE IMPLEMENTATION OF AN INCIDENT MANAGEMENT SYSTEM (IMS).pdf

1、I581Ewww.imo.orgIMOI581EIMPLEMENTATION OF AN INCIDENT MANAGEMENT SYSTEM (IMS)This publication, prepared by the OPRC-HNS Technical Group and approved by IMOs Marine Environmental Protection Committee, provides guidance on the establishment of an incident management system (IMS) for marine pollution i

2、ncidents. An established IMS provides for the safe, effective and effi cient management and deployment of resources for all types of emergency incidents. It is essential for effective pollution incident management, providing a clear command structure and well-defi ned roles and responsibilities with

3、in an optimal span-of-control. The IMS is intended to be staffed and operated by qualifi ed personnel from any agency and is scalable so that it can adapt organizationally based on the needs of the incident.This Guidance document would ideally be used during the contingency planning process in conju

4、nction with the IMO Manual on Oil Pollution, Section II Contingency Planning and Section IV Combating Oil Spills.GUIDANCE DOCUMENT ON THEIMPLEMENTATION OF AN INCIDENT MANAGEMENT SYSTEM (IMS)Guidance document on tHeLondon, 2012Published in 2012 by the INTERNATIONAL MARITIME ORGANIZATION 4 Albert Emba

5、nkment, London SE1 7SR www.imo.orgPrinted by CPI Group (UK) Ltd, Croydon, CR0 4YYISBN: 978-92-801-1553-6IMO PUBLICATIONSales number: I581ECopyright International Maritime Organization 2012All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted

6、 in any form or by any means, without prior permission in writing from the International Maritime Organization.Reproduction and/or translation rights may be available for this title. For further details please contact IMO Publishing at copyrightimo.org.This publication has been prepared from officia

7、l documents of IMO, and every effort has been made to eliminate errors and reproduce the original text(s) faithfully. Readers should be aware that, in case of inconsistency, the official IMO text will prevail.iiiContentsForeword . v1 Introduction 12 Principles of incident management . 12.1 Command,

8、control and co-ordination . 22.2 Response planning cycle . 22.3 Incident response objectives, strategies and tactical directions 32.4 Incident action plan 52.5 Manageable span of control 53 Incident management . 63.1 Incident command . 63.2 Planning . 73.3 Operations . 83.4 Logistics . 103.5 Finance

9、 . 124 Response organization 144.1 Tiered response and incident management . 144.2 Incident facilities . 215 Incident action plan 245.1 Structure of an incident action plan 245.2 Characteristics of an effective incident action plan . 265.3 Incident action plan functional responsibilities . 275.4 Pla

10、nning meetings . 275.5 Communicating the incident action plan . 285.6 Forms and status boards . 29PageImplementation of an incident management systemivAppendix 1 Glossary . 31Appendix 2 Responsibility checklists of response functions . 33Appendix 3 Joint Information Centre 47Appendix 4 References 51

11、vForewordThis publication, prepared by the OPRC-HNS Technical Group and approved by the Marine Environmental Protection Committee of the International Maritime Organization (IMO), aims to provide guidance on the establishment of an incident management system for marine pollution incidents. An establ

12、ished incident management system provides for the safe, effective and efficient management and deployment of resources, both human and material, for all types of emergency incidents and, for the purposes of this publication, for marine pollution incidents in particular. It is essential for effective

13、 pollution incident management, providing a clear command structure and well-defined roles and responsibilities, within a defined and optimal span of control. The system is intended to be staffed and operated by qualified personnel from any agency. A typical incident could involve the use of personn

14、el from a variety of agencies, working in many different parts of the organization.The system is scalable so that it can easily be adapted to small, medium or large-scale events that may involve multiple agencies and jurisdictions. The system is intended to expand and contract organizationally based

15、 upon the needs of the incident. Therefore, the organizational structure is never larger than required. This Guidance document would ideally be used during the contingency planning process in conjunction with the IMO Manual on Oil Pollution, Section II Contingency Planning*and Section IV Combating O

16、il Spills.null*Refer to IMO publication, sales number IA560EnullRefer to IMO publication, sales number IA569E11 Introduction1.1 A properly implemented and co-ordinated management system will improve the efficiency and effectiveness of emergency response operations, regardless of the nature of the in

17、cident.1.2 The objective of this guideline is to provide strategic guidance on the development and implementation of a management system for responding to marine oil and hazardous and noxious substance (HNS) incidents. As such the guide is aimed at managers within the incident management team and fo

18、r the purposes of contingency planning.1.3 The following information uses the Incident Command System (ICS) to illustrate response management concepts. However, it is noted that there is a range of response systems employed worldwide, of which ICS is but one. It is the intent of this document to des

19、cribe these principles in a form that can be readily applied to a range of response situations and organizational structures. 1.4 The guideline employs generic terminology for the purposes of consis-tency, but it is acknowledged that Member States may use different terms to describe the principles o

20、utlined below.1.5 This guideline should not be used in isolation, but has been developed with consideration to the International Maritime Organizations Manual on Oil Pollution, Sections II, IV and V.*It is also considered important that Member States consider the training and contingency planning re

21、quirements as part of their national systems to ensure effective implementation of the incident management system.2 Principles of incident managementThe intent of an incident management system is to develop a response organization that utilizes a structured and flexible process to develop an inciden

22、t action (response) plan that will address and meet the identified response objectives.*Refer to IMO publications, sales numbers IA560E, IA569E and IA572E, respectively.Implementation of an incident management system 22.1 Command, control and co-ordinationIncident management requires a clear underst

23、anding of the differences between command, control and co-ordination. The following definitions are derived from various incident management models:*.1 command: the internal direction of members and resources of an organization in the performance of that organizations roles and tasks. Command operat

24、es vertically within a single organization;.2 control: the overall direction of response activities in an emergency situation. Control relates to situations and operates across multiple organizations. Authority for control is established in legislation or by agreement and carries with it the respons

25、ibility for tasking other organizations; and.3 co-ordination: the bringing together of organizations and resources to ensure a consistent and effective response to an incident. Co-ordination generally refers to the effective allocation or commitment of resources of an organization to the response, e

26、nsuring a harmonized, organized and efficient response.2.2 Response planning cycleEffective incident management requires a systematic approach to response planning. The planning cycle as depicted in figure 1 is a continual process of identifying and addressing the risks posed by a particular inciden

27、t. In its simplest form this process has four steps:.1 incident assessment: evaluation of the incident, in particular the identification and prioritization of the environmental and socio-economic resources threatened by the incident;.2 planning and decision making: the development, consideration and

28、 selection of strategies to respond to the incident;.3 implementation: the operational implementation of the selected response strategies; and.4 monitoring and review: putting in place mechanisms to evaluate the effectiveness of the implemented response strategies.*Refer to Emergency Management Aust

29、ralia. Multiple Agency Incident Management, Australian Manuals Series Manual 17, Commonwealth of Australia, 1998.Implementation of an incident management system 3Planning and decision makingImplementation(operations)Monitoringand reviewIncidentassessment(situation)Figure 1 Decision making process fo

30、r pollution response2.3 Incident response objectives, strategies and tactical directionsAn effective response requires the implementation of a series of actions to meet an overall objective or goal. These actions or steps can generally be described as set out below:*.1 objectives are a statement of

31、intent or goal for the incident response. The objective clearly describes the intended outcome *Refer to U.S. Coastguard. U.S. Coastguard Incident Management Manual, U.S. Government Printing House, Washington, 2006.Implementation of an incident management system 4for the response. Response actions s

32、hould be measured against the incident objectives.Incident objectives should be achievable, measurable and include an intent (what is to be achieved), a time parameter (when it will be achieved) and a space parameter (where the activities will take place).*An example of an incident objective is as f

33、ollows:Implement measures to prevent oil from impacting wetlands within Muddy Bay by 1800 h on 15 March 2010.2 strategies describe the response methods that will be employed to meet the incident objective.An example of response strategies is:.1 aerial application of dispersants to prevent oil enteri

34、ng Muddy Bay; and.2 land-sea booms to be deployed along seaward fringe of wetland.3 tactical directions describe the specific activities required to implement the selected response strategies. Tactics usually comprise the following:.1 a detailed description of the tactics or response actions to be u

35、sed to implement a strategy.Using the strategy in the example above regarding dispersant applications, a suitable tactic might be:Use of a fixed wing aircraft to apply dispersants in waters of a depth greater than 10 m.2 determine and assign resources to deliver the selected tactic.Using the above e

36、xample, a resource assignment might be:The following resources will be delivered to Windy Airfield and be placed under the direction of the Aviation Officer:.1 C130 aircraft, aircrew and dispersant spray system;*Refer to Australian Fire Authorities Council. The Australasian Inter-service Incident Ma

37、nagement System A Management System for any Emergency (3rd Edition), AFAC Limited, Melbourne, 2005.Implementation of an incident management system 5.2 80,000 L of dispersant, dispersant pumps and dispersant loading team; and.3 helicopter and air observer for command and control of dispersant operati

38、ons.3 monitor performance to ensure that the response strategies are both valid and adequate.For the resources assigned above, the following performance monitoring might be implemented:Dispersant effectiveness will be assessed visually by the air observer on each spray run. Operations will cease whe

39、n oil moves into waters of less than 10 m depth or environmental advice indicates that a net environment benefit is no longer being achieved.4 monitor the safety of the operation.Again, from the above example, this might take the form of:.1 low level flying will not be conducted in adverse weather c

40、onditions; and.2 dispersant loading teams are to wear breathing apparatus and protective clothing.2.4 Incident action planThe incident action plan (IAP) describes the activities and logistical support of the response, effectively formalizing the incident objectives, strategies and tactics. An IAP is

41、 developed for a specified period of time (e.g., a shift, daily, etc.). The IAP is a “living” document and is updated for each subsequent operational period based on the latest information about the incident.Generally, a written plan is superior to an oral plan because it clearly identifies responsi

42、bilities and provides documentation of actions. Also, written documentation will be required to substantiate any claims for liability and compensation.2.5 Manageable span of controlSpan of control refers to the number of personnel or functions that an individual can manage effectively.*In general, t

43、he span of control for any *Refer to Australian Fire Authorities Council. The Australasian Inter-service Incident Management System A Management System for any Emergency (3rd Edition), AFAC Limited, Melbourne, 2005.Implementation of an incident management system 6single position falls between three

44、and seven, with five generally considered the optimal number of functions reporting to one individual during emergency response operations.3 Incident managementIncident management systems are generally built around five major functions: command, planning, operations, logistics and finance. These fun

45、ctions are delivered through an incident management team. How these functions and team are organized will vary between jurisdictions. Figure 2 depicts a typical management structure for the response to marine pollution incidents that combines these functions.CommandfunctionFinancefunctionLogisticsfu

46、nctionOperations functionPlanningfunctionFigure 2 Functions of the incident management teamThe response structure, its size and composition need to be appropriate to the type and scale of the incident, e.g., there may be a heavy weighting towards shoreline operations if there is no oil remaining at

47、sea. A modular organization develops from the top down. For any given incident the command function is activated. As the incident warrants, the command function activates other functional areas.3.1 Incident commandThe command function is responsible for the overall management of an incident and sets

48、 the objectives and priorities of the response. In addition, the command function may also be responsible for the public affairs and media liaison, legal issues, overall incident safety and inter-agency liaison. Appropriate technical experts or agency liaison officers may be appointed.Implementation

49、 of an incident management system 7Generally, a single individual or organization will fulfil the command function. However, where an incident is complex, domestic legislation requires or there is a large number of stakeholders (e.g., governments co-operating internationally, national and local government agencies, industry, etc.), it may be appropriate to implement a combined command function (sometimes termed a unified command). Such an arrangement needs to be defined within the incident action plan so that responsibilities of the different agencies/organizat