The Incident Assessment Team
(IAT)
Karratha Airport
INCIDENT Revision No. V2-01 ASSESSMENT TEAM (IAT) Effective Date: August 2014
TABLE OF CONTENTS
Page 1. Introduction 3 2. Process for Establishing the IAT 5 3. Operations of the IAT 6 4. Stakeholder Responsibilities 8 5. Incident Assessment Team Control Sheet 12 6. Category 2 Incident Lead Stakeholder Guide 13 7. IAT Meeting Agency Contact List 14-16 8. Attendance List 17 9. Meeting Guide 18 10. IAT Meeting Flowchart 19 11. IAT Process Flowchart 20
The Incident Assessment Team (IAT)
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INCIDENT Revision No. V2-01 ASSESSMENT TEAM (IAT) Effective Date: August 2014
1. INTRODUCTION
The intent of this model is to provide a coordinated response to an incident in a timely and appropriate manner to enable restoration of normal operations. The primary stakeholders that may be involved in responding to and resolving incidents, events and threats are:
The Airport owner; Airline Operators and/or appointed representatives; Police, Fire and rescue Critical Service providers: Council, Hydrant & Fuel; Airservices Australia; and Other government agencies as appropriate i.e. Australian Customs and Border Protection Service, Australian Security Intelligence Organisation, etc.
The model allows for any of the above agencies to request an IAT meeting. The Airport Security Contact Officer / Airport Compliance Coordinator would establish the IAT on behalf of the stakeholders. The IAT does not have to physically meet. It can be convened via teleconference if the matter is time critical or stakeholders are unable to attend in person. Following the IAT meeting the incident would continue to be managed by existing operational processes as appropriate.
Also, the IAT does not need full representation of all stakeholders listed above. As few as two agencies can form an IAT.
Individual agencies will develop and maintain tools and checklists to be used to support IAT decision making processes. These tools and check lists will contribute to ensuring appropriate rigour and accountability is maintained in the decision making process. Also these tools and checklists provide an audit trail to be followed during incident de-briefs and investigations.
The first points of contact for each agency in the event an IAT needs to be established – a contact list is located on page 13-14. Each agency is responsible for ensuring these contact numbers are kept up to date and any changes to contact numbers are communicated to the Airport as soon as possible after the change is made. These guidelines will then be updated and re-distributed to all agencies included on the distribution list.
There are a broad range of events that occur at the airport whereby it may not initially be clear what the issue is, who is responsible for resolving it, what the potential impacts are and what needs to be done to resolve it. Events that fall into this category include, but are not limited to:
Power fluctuations; Bomb threat under assessment; Sterile area breaches; Other security threats under assessment; Baggage system failures;
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Check-in system failures; IT outages; Security system failures; Water Systems Failures Fire Systems failures Threat of significant industrial action; and Natural Disasters.
These events could be caused by a wide range of factors. However, they all have the potential to have a significant impact on the airport and its operations. Such impacts may include, but not be limited to:
Significant adverse media interest; Regulatory compliance action; Reduction in operational capacity; Significant impact on commercial returns; Adverse reputation impacts; Death and or injuries; Major criminality; Public safety concerns; and, Requirement for a multi-agency response to resolve.
Any event which has the potential for any of the impacts set out above, and which does not fall into the category of a declared emergency under the AEP, warrants the establishment of an IAT. The diagram at Attachment A sets out the decision making process described above.
Agencies are encouraged to move to establish an IAT as soon as possible after an event occurs to ensure the various participating organisations are brought together to assess the event, determine and agree on lead stakeholder responsibility and commence resolving the issue. The lead stakeholder will always chair the IAT. However the first agency identified as the lead stakeholder may delegate this position to another agency due to available resources etc. Further information regarding the lead stakeholder is provided in the section titled - Operations of the IAT.
If it is determined that the event is a lower level concern the IAT can be stood down and the affected agencies can work to resolve the matter.
Following the IAT meeting the incident would continue to be managed by existing operational processes. For prolonged incidents the Airport incident control team may elect to re-establish the IAT to provide an update to a broader set of stakeholders. If it is determined that the event is an emergency then the declaration and response arrangements will be carried out in accordance with the Aerodrome Emergency Plan.
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2. PROCESS FOR ESTABLISHING THE IAT
If any one of the stakeholders set out above becomes aware of such an incident the following process must be followed:
Contact the Airport Compliance Coordinator - Security Contact Officer on 0409 XXX XXX and request that an IAT be formed.
The Airport, in conjunction with the requester, will assess whether the IAT should meet in person or if a teleconference is sufficient. Note a combination of parties meeting in person and via teleconference is also acceptable;
If meeting in person the location will be at the Airport Management Offices. The IAT should always be located remotely from the Forward Command Post if established;
Compile relevant tools/checklists to assist in the assessment process and recording decisions made; and,
If certain stakeholders can’t be initially contacted continue to attempt to contact the stakeholder to ensure as broad a representation as possible on the IAT.
Note: it is the responsibility of each agency to ensure that appropriate communication means are available to enable IAT discussions.
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3. OPERATIONS OF THE IAT
Determining Lead Decision Making and Response Stakeholder and Support Arrangements
One of the key early tasks of the IAT is to undertake a tactical assessment of the event to determine the most appropriate response requirements and the lead stakeholder which will be designated responsibility for the primary decision making and response handling.
Each event will be assessed on its merits and depending on the particular issue and the impact it may have on the various IAT stakeholders a determination will be made as to which agency has lead stakeholder responsibility.
As a general rule the stakeholder who is most significantly affected by the incident will be designated the lead stakeholder in the IAT unless that stakeholder delegates that position. Whilst the most significantly affected stakeholder may delegate the role of Chair of the IAT they cannot delegate their decision making responsibilities.
In recognising that stakeholder organisations will most likely be managing the incident by their standard operational responses processes, upon initiation of the IAT, the Airport Security Contact Officer will contact the lead stakeholder first (when apparent) to advise of the request to establish an IAT and negotiate for an appropriate representative to join the IAT. This will also include determining the time when such a representative would be available.
This approach is designed to provide a two way benefit. The representative from the lead stakeholder organisation will be required to provide an initial impact assessment but they will also be able to bring back to their operational team an understanding of how other impacted stakeholders will be managing the situation.
Note: It may be the case that legislative requirements dictate who the lead stakeholder/agency will be rather than who is most affected by the incident – e.g. hazardous materials located within an aircraft may result in the airline being most affected yet law enforcement/Fire may in fact take the lead.
Other stakeholders will then support the lead stakeholder in the decision making and response process. This support will include the provision of advice and additional information regarding the emerging incident situation. Support will also include resources to assist in responding to the incident. Such resources may include law enforcement capabilities along with airport response resources (i.e. CCTV, security personnel, safety vehicles, access to the wider airport community etc.).
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GUIDING PRINCIPLES
The following principles will guide the operation of the IAT: The Airport will establish an IAT upon the request of any Stakeholder. All Stakeholders commit to providing a representative, with linkages back to their operational response team, to inform the IAT of the impact and response plans.
The IAT will review the event based on all relevant information available from all relevant stakeholders to make a tactical assessment of the event and to consider the response and resolution arrangements most appropriate to the event.
The lead stakeholder will be formally agreed between participants and recorded in writing. The lead stakeholder will also Chair the meeting of the IAT;
Each stakeholder will maintain a log of their participation in the IAT to ensure a log of incident assessment and response decisions is maintained. The form and content of each stakeholders log will be governed by standard operating procedures and response arrangements that currently exist with each agency;
If another incident occurs subsequent to the original incident that warrants consideration by the IAT it will be addressed in accordance with the standard protocols of the IAT eg lead stakeholder responsibility will be determined, support roles agreed and a determination made on the most appropriate response actions;
If at any time it becomes clear that the incident has become a full scale emergency the IAT will revert to the AEP. The response arrangements set out in the AEP will take precedence over IAT deliberations and processes; and,
The IAT will monitor and review response measures implemented and participants will be required to agree that the matter has been resolved and the IAT can be stood down;
If after the response and resolution has concluded recovery arrangements need to be implemented and relevant stakeholders will need to provide appropriate resources to support the airport resuming full operations; and,
Existing confidentiality arrangements apply to discussions within the IAT.
Tools and checklists designed to assist in the conduct of an IAT are included at the back of this document.
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4. STAKEHOLDER RESPONSIBILITIES
The responsibilities of the various stakeholders involved in IAT decision making processes are as follows:
AIRPORT The responsibilities of the Airport in response to an incident at the airport are as follows:
The Airport’s role is not to control or own every incident but to facilitate effective communication between stakeholders.
Establishing an IAT at the request of any stakeholder
Contact the lead stakeholder first (when apparent) to advise of the request to establish an IAT and negotiate for an appropriate representative to join the IAT. This will also include determining the time when such a representative would be available.
Confirm the type and nature of any incident reported;
Confirm that the correct incident stakeholders have been notified in accordance with these Guidelines;
Participate in the formation of an IAT made up of the key stakeholders (either through telephone call/conference or physical gathering) to perform a situational risk assessment;
Participate in the identification of the lead stakeholder and relevant support agencies through consultation (airport, airline, airport users etc) in the IAT;
Assess all threats to the airport or airport facilities under the Airport’s control in consultation with the IAT and notify relevant stakeholders of the outcome of the threat assessment;
Notify appropriate agencies in accordance with regulatory requirements and established callout sheets;
Assist in coordinating the overall inter-agency response and provide resources to support response operations;
Maintain and coordinate operations that meet the requirements of the airport operator during an incident;
Direct the suspension of normal airport operations and the containment of the incident (or affected portion of the airport as the situation requires) until an appropriate response can be initiated;
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In consultation with affected stakeholders, determine when an incident situation is concluded and coordinate the resumption of normal airport operations;
Communicate with public and passengers, including the media, as appropriate and agreed with the IAT;
Notify and liaise with other affected airports and airlines if required;
Notify relevant organisations and agencies of the resolution of the incident in accordance with established callout sheets.
Where the Airport is the lead stakeholder, reporting the resolution of the incident to the IAT.
WAPOL The responsibilities of the WAPOL in response to an incident at the airport are as follows: Confirm the type and nature of any incident reported
If first to receive notification, assess the incident to consider if an IAT needs to be established;
If an IAT needs to be established, contact the Airport Security Contact Officer advise of the incident and request an IAT
If WAPOL are the lead stakeholder, commit to providing a representative, with linkages back to their operational response team, to inform the IAT of the impact and response plans.
Confirm that the correct incident stakeholders have been notified in accordance with these Guidelines;
Participate in the formation of an IAT made up of the key stakeholders (either through telephone call/conference or physical gathering) to perform a situational risk assessment;
Participate in the identification of the lead stakeholder or combat agency and relevant support agencies through consultation (airport, airline, ARFFs etc);
Assist in coordinating the overall inter-agency response and provide resources to support response operations;
In consultation with the IAT determining appropriate response measures/actions to manage the incident;
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Communicate with public and passengers, including the media, as appropriate and agreed with the IAT;
In consultation with affected stakeholders, determine when an incident situation is concluded and direct the resumption of normal airport operations; and,
Where WAPOL is the lead stakeholder, reporting the resolution of the incident to the IAT.
AIRLINE OPERATORS / GHA / AIRCRAFT OPERATIONS / AIRPORT The responsibilities of operators in response to an incident at the airport are as follows: Confirm the type and nature of any incident reported;
If first to receive notification, assess the incident to consider if an IAT needs to be established;
If an IAT needs to be established, contact the Airport Security Contact Officer, advise of the incident and request an IAT
If an Aircraft Operator is the lead stakeholder, commit to providing a representative, with linkages back to their operational response team, to inform the IAT of the impact and response plans.
Confirm that the correct incident stakeholders have been notified, including regarding the decision to establish the IAT or not;
Participate in the formation of an IAT made up of the key stakeholders (either through telephone call/conference or physical gathering) to perform a situational risk assessment;
Participate in the identification of the lead stakeholder and relevant support agencies through consultation (airport, airline, ARFFs etc.);
Assess all threats to aircraft and/or airline operations in consultation with the IAT and notify relevant stakeholders of the outcome of the threat assessment;
Review flight operations, if necessary;
If the lead stakeholder, in consultation with the IAT, determine appropriate response measures/actions to manage the incident;
If the lead stakeholder determine when an incident situation is concluded and direct the resumption of normal airline operations in consultation with affected stakeholders;
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Where the airline operator is the lead stakeholder, reporting the resolution of the incident to the IAT;
Communicate with public and passengers, including the media, as appropriate and agreed with the IAT; and,
Notify and liaise with affected airports and airlines as required.
SECURITY PROVIDER The responsibilities of the security provider in response to an incident at the airport are as follows: Confirm the type and nature of any incident reported;
Contact the Airport Security Contact Immediately;
If an IAT needs to be established, the Airport Security Contact will be the lead;
The Security Provider supervisor will remain within the Sterile Area whilst being in contact with the SCO.
Confirm that the correct incident stakeholders have been notified, including regarding the decision to establish the IAT or not;
Participate in the formation of an IAT made up of the key stakeholders via telephone call/conference to perform a situational risk assessment;
Assess all threats to screening equipment/sterile area/aircraft and/or airline operations in consultation with the IAT;
In consultation with the IAT, determine appropriate response measures/actions to manage the incident;
In the event of a Sterile Area breach follow standard operating procedures in conjunction with the Airport Authority.
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5. INCIDENT ASSESSMENT TEAM CONTROL SHEET
Date Time Form Completed By Incident Title Incident Description
IAT Attendees
Most Impacted Organisation
Lead Stakeholder Chair Delegated Y / N If Y reason delegated
Actions to be taken
Debrief on incident resolution
Lessons Learned
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6. CATEGORY 2 INCIDENT LEAD STAKEHOLDER GUIDE
Below is to be used as a guide by the IAT for determining the lead stakeholder for various Category 2 incidents:
Incident Type Lead Stakeholder Power Fluctuations Airport operator/facility operator/Security Provider Bomb threat under assessment Airport operator/aircraft operator/facility operator/Security Provider HAZMAT Incident Airport operator/Aviation Rescue and Fire Fighting Service / DFES Sterile Area Breaches Airport operator/Security Provider/Airside Stakeholders Other security threats under Airport operator/aircraft operator/facility assessment operator/Security Provider Baggage system failure Airport operator/airline operator/GHA/Security Provider Check-in system failure Airport operator/airline operator/GHA/Security Provider Security system failure Airport operator/aircraft operator/GHA/Security provider IT outages Airport operator/IT Dept./aircraft operator/GHA/Airservices/Security Provider Threat of significant industrial To be determined by IAT action Natural Disasters To be determined by IAT Serious aircraft incidents Airport Operator/Aircraft Operators/GHA/Security Provider Runway closure Airport operator/ATC/Aircraft Operators/ARFFS General crime events WAPOL/Airport operator
Whilst the above reflects the incident examples listed on Attachment A it should be noted that this list does not capture every imaginable incident type.
The intent is to provide a reasonable guide for the common incidents dealt with at an airport.
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7. IAT MEETING AGENCY CONTACT LIST
Use this checklist to confirm all of the appropriate agencies have been invited to attend the IAT Meeting
CONTACT PHONE INVITED AGENCY NAME EMAIL NAME NUMBER Y/N
City of Karratha - KTA Karratha Airport General Manager
CofK Project Manager
KTA Operations
Coordinator KTA Security Contact
Officer KTA Assets/Contracts
Coordinator KTA Commercial
Coordinator
KTA ARO Duty Phone
CofK IT
CofK Emergency
Management
KTA Senior ARO
KTA ARO
KTA ARO
KTA ARO
KTA ARO
Critical Infrastructure Contacts
Water Corporation
Contact
Emergencies, Water Corporation Faults and 13 13 75 Security
Horizon Power Emergencies 13 23 51
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Other Contacts
Alliance
ASA – Tower
Aspen
Australian Air Express
Aviation Rescue and
Fire Fighting Service
AVIS
Bristow
BP
Budget
CHC
Cobham
Corporate Aircraft
Charter
Europcar
Hertz
HNZ
MSS Security
NWAS – GHA
Police Airwing
Port Hedland Airport – Bob Couzens 0417 183 759 [email protected] Airport Manager
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Qantas OPS Centre 02 9691 1818
Royal Flying Doctor
Service
Shell
Skippers
Skystar – GHA
Thrifty
Toll
Virgin Australia
WAPOL
WAPOL station 08 9173 7200
Woodside / ISS Security
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8. ATTENDANCE LIST
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9. MEETING GUIDE
Below is a guide to be used by the IAT for the conduct of an IAT Meeting. Note: Existing structures and processes developed and maintained by individual stakeholders will be used to manage the incident. The IAT Meeting is intended to facilitate sharing of information about the incident between stakeholders, ensure effective coordination of incident responses and support lead stakeholders in their management of the incident
AGENDA LIST
o Meeting Attendance
1. Introduction – person addressing meeting 2. Confirm attendees present at meeting 3. Identify any significant absences
o Incident Description
4. Advise identity of representative and organisation requesting the IAT meeting 5. Brief explanation of the incident
o IAT Meeting Confirmation
6. Confirmation that incident is not an AEP or Category 1 Incident 7. Confirmation that an IAT is required
o Lead Stakeholder
8. Determine Lead Stakeholder (most significantly affected by the incident if not apparent (due to complexity or multifaceted incident) – discuss and determine appropriate lead stakeholder 9. If apparent and present – hand meeting chair over to Lead Stakeholder 10. If apparent and not present a. establish known information about the incident (what do we know) b. establish required information about the incident (what don’t we know) c. establish impacts to stakeholders d. establish priorities e. reschedule meeting for when a lead stakeholder is available
o Initial Incident Assessment
11. Lead Stakeholder provides an initial impact assessment 12. IAT meeting attendees advise of current and potential impacts to their organisation and the airport community 13. Determine most appropriate response requirements 14. IAT meeting attendees explore potential impacts if the situation escalates (to facilitate contingency planning)
o Next IAT meeting
15. IAT meeting attendees determine trigger criteria to conduct another IAT meeting a. update on situation b. escalation, de-escalation c. new incident 16. IAT meeting attendees determine stand down criteria 17. Determine time for next IAT meeting
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10. IAT MEETING FLOWCHART
1. Establish IAT Meeting
2. Confirm Attendance
o Attendees present
o Significant absences
3. IAT Meeting Confirmation o Confirmation incident is not an AEP or Category 1 incident o Confirmation IAT is required
4. Determine Lead Stakeholder
5. Initial Incident Assessment o Initial impact assessment o Advise of current and potential impacts to their organisation and the airport community o Determine most appropriate response requirements o Explore potential impacts if the situation escalates (to facilitate
contingency planning)
o Handover to existing operational process for ongoing management as appropriate.
6. Next IAT meeting
o Determine trigger criteria to conduct another IAT meeting a. update on situation b. escalation, de-escalation c. new incident o Determine stand down criteria o Determine time for next IAT meeting
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INCIDENT ASSESSMENT TEAM Revision No. V2 (IAT)
Effective Date: June 2014
11. IAT Process Flowchart
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