DOCKYARD PORT OF PLYMOUTH
PART II
DOCKYARD PORT MARINE SAFETY POLICY
SAFETY MANAGEMENT SYSTEM
Issue 5
July 2014
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Dockyard Port of Plymouth
Dockyard Port Marine Safety Policy
Safety Management System
Document History
Issue 1 originally prepared in July 2009 for: Queen's Harbour Master and Cattewater Harbour Commissioners
By: Marine and Risk Consultants Ltd MARICO House Bramshaw Southampton SO43 7JB Issue 2 and future revisions prepared as Document Record table below;
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Document Record Approval
Rev Date Description By Chk HALC QHM
Issue 2 Sep 10 Amendment to reflect DPMSP QHM AEH 07/09/10 13/09/10
Issue 3 Jun 12 Amendment to reflect Hazman Review
and Rationalisation
QHM AEH 12/06/12 19/06/12
Issue 4 Jun 13 Amendment to reflect Hazman Review
2012-2013
QHM AEH 6/12/12 &
06/06/13
13/06/13
Issue 5 Jul 14 Amendment to reflect Hazman Review
2012-2013 and Duty Holder changes
QHM AEH 12/12/13 &
26/06/14
03/07/14
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Level 1
Navigational SMS
Manual
Level 2
Operating Controls
Level 3
Harbour Safety Plan
QHMNavigational
Safety Policy
Organisation &
Responsibilities
Management Standards
Performance Improvement
Audit & Review
Dockyard Ports Regulation Act
1865
DPoP Operating Procedures and
Instructions (Guidance)
SHA / PCCProcedures &
Systems
Emergency Plans and
Procedures
Harbour Management Objectives
Rolling Implementation
Plan
Compliance Monitoring
HAZMAN
Incident Database
DPoP QHM Directions
(Dockyard Port of Plymouth Order)
Dockyard Ports Marine Safety
Policy
Figure 1: Structure and Components of the DPoP Safety Management System
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CONTENTS
GLOSSARY OF ABBREVIATIONS AND TERMS 1
1 INTRODUCTION 12
1.1 BACKGROUND AND LEGISLATIVE CONTEXT 15 1.2 EXISTING SAFETY MANAGEMENT SYSTEMS 16 1.3 RISK MANAGEMENT 16 1.4 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM SCOPE 16 1.5 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM OBJECTIVES 16 1.6 REVIEW AND REVISION 16
2 PORT DESCRIPTION 16
2.1 PHYSICAL STRUCTURE 16 2.1.1 Operations 16 2.1.2 Vessel Traffic Service 16
3 PORT ORGANISATION 16
3.1 THE QUEEN’S HARBOURMASTER 16 3.2 STATUTORY HARBOUR AUTHORITIES 16 3.3 LOCAL COUNCILS 16
4 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM 16
4.1 PRINCIPLES 16 4.2 DOCKYARD PORT MARINE SAFETY POLICY 16 4.3 SYSTEM COMPONENTS 16
5 COMMITMENT STATEMENT 16
6 POLICY 16
6.1 PURPOSE AND USE OF THE POLICY 16 6.2 GENERAL MANAGEMENT POLICY 16 6.3 DOCKYARD PORT MARINE SAFETY POLICY 16 6.4 POLICY DEVELOPMENT AND COMMUNICATION 16 6.5 POLICY REVIEW 16 6.6 FURTHER GUIDANCE 16
7 SAFETY MANAGEMENT SYSTEM STRUCTURE 16
7.1 POLICY DEVELOPMENT AND CONSULTATION 16 7.2 RESPONSIBILITIES 16
7.2.1 Secretary of State for Defence 16 7.2.2 1st Sea Lord (Senior Level Duty Holder) 16 7.2.3 Assistant Chief of Naval Staff (Support) (Operational Level Duty Holder) 16 7.2.4 Naval Base Commander (Delivery Level Duty Holder) 16 7.2.5 Queen’s Harbour Master (Significant Duty Holding Responsibilities) 16 7.2.6 Tamar Estuaries Consultative Forum 16 7.2.7 Harbour Authorities Liaison Committee 16 7.2.8 HALC Sub-Groups 16
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7.2.9 Designated Person 16 7.2.10 Statutory Harbour Authorities 16 7.2.11 Auditing & Reviewing Performance 16
7.3 REVIEW OF RELEVANT EXTERNAL INFORMATION 16 7.3.1 Department for Transport 16 7.3.2 Marine Accident Investigation Branch 16
8 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM DATA 16
8.1 SAFETY MANAGEMENT ARCHIVE - HAZMAN 16
9 INCIDENT RECORDING, INVESTIGATIONS AND ENFORCEMENT 16
9.1 INCIDENT RECORDING 16 9.1.1 Notification 16
9.2 INVESTIGATIONS 16 9.2.1 Harbour Authority 16 9.2.2 Statutory Authorities Other Than Harbour Authority 16 9.2.3 Release of Information 16 9.2.4 Enforcement 16
10 RISK CONTROL 16
10.1 DOCUMENTARY RISK CONTROL 16 10.2 HARDWARE RISK CONTROL 16 10.3 HARBOUR PATROL SERVICE 16 10.4 MARINE SAFETY SERVICES 16
10.4.1 Ministry of Defence 16 10.4.2 Cattewater Harbour Commissioners 16 10.4.3 Other Marine Services Resources 16
10.5 PILOTAGE 16 10.5.1 Arrangements 16 10.5.2 Non-Military Ships 16 10.5.3 Military Ships 16 10.5.4 External Review 16 10.5.5 Port Regulation (Directions) 16
10.6 PORT GUIDANCE 16 10.7 EMERGENCY PREPAREDNESS AND RESPONSE 16 10.8 ENVIRONMENTAL MANAGEMENT 16
11 SYSTEM OPERATION AND CONTROL 16
11.1 NAVIGATIONAL SMS REVIEW PROCESSES 16 11.2 NEW RISK ASSESSMENTS 16 11.3 DOCUMENT CONTROL 16
12 PERSONNEL MANAGEMENT 16
12.1 POLICY STATEMENT 16 12.2 COMPETENCE ASSURANCE 16 12.3 MARINE TRAINING 16 12.4 SAFETY MANAGEMENT TRAINING 16 12.5 REFRESHER TRAINING 16 12.6 TRAINING AND COMPETENCE RECORDS 16
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13 HARBOUR SAFETY PLAN 16
14 PERFORMANCE MONITORING 16
14.1 PERFORMANCE MEASURES 16 14.2 COMPLIANCE MONITORING 16
15 AUDIT AND REVIEW 16
15.1 POLICY STATEMENT 16 15.2 PURPOSE 16 15.3 OBJECTIVE 16 15.4 INDEPENDENT AUDIT 16 15.5 PROCESS 16 15.6 REPORTING 16 15.7 OTHER REGULATORY BODIES 16
15.7.1 Statutory Harbour Authorities 16 15.7.2 Plymouth City Council 16 15.7.3 Harbour Authority Audit 16
TABLE OF FIGURES
Figure 1: Structure and Components of the DPoP Safety Management System Page iii
Figure 2: Limit of Dockyard Port of Plymouth Page 10
Figure 3: Aerial View of Dockyard Port of Plymouth Page 12
Figure 4: Components of the Navigational Safety Management System Page 15
Figure 5: Dockyard Port of Plymouth Policy Development and Regulatory Structure Page 21
Figure 6: Management of MoD Marine Services Dockyard Port of Plymouth Page 33
Figure 7: Navigational SMS Development Process Page 43
ANNEXES
ANNEX A: – DPoP Navigational Safety Policy and Supporting Marine Policies
ANNEX B: – Priority Hazards
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This is a two-part document prepared for the Queen’s Harbourmaster and Cattewater
Harbour Commissioners, to evaluate operational risk for the Dockyard Port of
Plymouth. The corresponding part the “Hazman Hazard Ranked Risk Assessment”
reports on the results of the navigational risk assessment of the port. This part draws
upon the results of this risk assessment to develop a revised safety management
system for the port.
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SMS Review and Audits Record Summary Approval
Year Date Period Description HALC QHM
2011 12/07/11 10-14
May 11
The Dockyard Port of Plymouth has been audited against the DPMSP and has been found to have achieved SUBSTANTIAL compliance with the requirements.
12/10/11 12/07/11
2012 08/06/12 29-31
May 12
Designated Person (Capt WCA) audit 13/06/12 19/06/12
2013 12/06/13 04-05
June 13
Designated Person (Capt WCA) compliance
audit
06/06/13 19/06/13
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GLOSSARY OF ABBREVIATIONS AND TERMS
Term Definition
ABP Associated British Ports
Accident An unintended event or sequence of events
Admiralty
Pilotage Service
The body established to maintain the supply of suitably qualified pilots for
largely military operations
ALARP As Low As Reasonably Practicable
ALRS Admiralty List of Radio Signals
APHCSH Admiralty Pilotage and Harbour Control Service Handbook
Category 1
Responder
A Category 1 responder is anybody in the UK that has specific duties as
determined under the Civil Contingencies Act (2004)
Category 2
Responder
Category 2 responders are those who have a role in supporting Category 1
responders in their duties under the Civil Contingencies Act (2004)
CCTV Closed Circuit Television
CHA Competent Harbour Authority
CHC Cattewater Harbour Commissioners
Declared Asset A specific asset forming part of the declared facilities whose availability is
secured through (e.g.) an appropriate agreement with the owner / operator
Declared
Facilities
The facilities declared to be available for emergency management in a port
Designated
Person
A body that provides independent assurance to the 'duty holder' that the
safety management system is working effectively, and to audit the harbour
authority's compliance with the DPMSP.
DfT Department for Transport
DMS Defence Marine Services
Dockyard Act 1865 Dockyard Ports Regulation Act
DPMSP Dockyard Ports Marine Safety Policy
DPoP Dockyard Port of Plymouth
DPPO The Dockyard Port of Plymouth Order
DQHM Deputy Queen's Harbourmaster
Duty Holders The persons responsible for the proper exercise of duties relating to Marine
Safety in the Dockyard Port
FLOO Fleet Operating Orders
FOST Flag Officer Sea Training
General Direction A direction (regulation) issued by a Statutory Harbour Authority in relation to
port operations applicable to all vessels operating in the harbour or a group of
vessel
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Term Definition
HALC Harbour Authorities Liaison Committee
Harbour Except where used with reference to a local lighthouse authority, means any
harbour, whether natural or artificial, and any port, haven, estuary, tidal or
other river or inland waterway navigated by sea-going ships, and includes a
dock, and a wharf.
Harbour Authority Means any person in whom are vested powers or duties of improving,
maintaining or managing a harbour.
Harbourmaster Statutory authority (normally a person) with overall responsibility for
navigational safety in port limits
Harm Death, physical injury or damage to the health of people, or damage to
property or the environment
Hazard A physical situation or state of a system, with the potential to cause harm
HAZID Hazard Identification
HAZMAN Hazard Management Database
HAZMAT Hazardous Materials
HM Her Majesty
HMNB HM Naval Base
IALA International Association of Lighthouse Authorities
IMO International Maritime Organization
MAIB Marine Accident Investigation Branch
Marico Marine & Risk Consultants Ltd.
MCA Maritime and Coastguard Agency
MGN Marine Guidance Note
Military Ship ‘Military ship’ means:
· A ship of war, of any nationality ;
· A fleet auxiliary, of any nationality;
· A ship operating under a demise charter to the MoD ; and,
A ship operating to or from, or a ship under MoD contract operating in
the waters surrounding, any docks or any wharves, piers, jetties or
moorings belonging to the MoD or Devonport Royal Dockyard.
MIN Marine Information Note
MoD Ministry of Defence
MOU Memorandum of Understanding
MOVO Naval Dockyard Movements Officer
MSN Merchant Shipping Notice
MSS Marine Services Superintendent
NAS Navigational Assistance Service
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Term Definition
NATO North Atlantic Treaty Organization
NBC Naval Base Commander
Overlapping
Harbour Areas
Areas of water which are within the statutory jurisdiction of another statutory
harbour authority where those areas of water are used primarily by vessels
using berths or land within the harbour area of that other statutory harbour
authority
PCC Plymouth City Council
PEC Pilotage Exemption Certificate
Pilotage
Exemption
Certificate
Certificate issued to the master or mate of a ship to demonstrate that that
person has equivalent competence to that of a harbour pilot. Normally
restricted to operations on a particular ship, to a particular berth, and limits in
relation to the environment.
Pilotage Direction A direction (regulation) issued by a Competent Harbour Authority detailing the
pilotage requirements for operations within its pilotage limits
Pilotage Limit The extent of the jurisdiction of a Competent Harbour Authority, as may be
extended by Order
PMSC Port Marine Safety Code
Port Marine
Safety Code
A national standard for port safety in the UK with the aim to "improve safety
for those who use or work in ports, their ships, passengers and cargoes, and
the environment"
Port of Plymouth
Marine Liaison
Committee
Its primary purpose is to advise TECF on factors affecting the management of
the Tamar Estuaries, acting as a conduit for the exchange of information,
representation of ideas and proposals for discuDaviesj259ssion between the
constituent interest groups
PPMLC Port of Plymouth Marine Liaison Committee
QHM Queen's Harbour Master
QHM Direction A direction (regulation) issued by QHM in relation to port operations applicable
to all vessels operating in the harbour, a group of vessels or a specific vessel
QHMSO QHM Standing Orders
RFA Royal Fleet Auxiliary
RHIB Rigid Hull Inflatable Boats
Ria A river valley drowned at the end of the last ice age, approximately 90,000
years ago
Risk Combination of the likelihood of harm and the severity of that harm
Risk
Management
The systematic application of management policies, procedures and practices
to the tasks of Hazard Identification, Hazard Analysis, Risk Estimation, Risk
Evaluation, Risk Reduction and Risk Acceptance
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Term Definition
Risk Reduction The systematic process of reducing risk
RoRo Roll On, Roll Off
SAC Special Area of Conservation
Safe Risk has been demonstrated to have been reduced to a level that is broadly
acceptable or tolerable and ALARP, and relevant prescriptive Safety
Requirements have been met, for a system in a given application in a given
operating environment
Safety
Management
The application of organisational and management principles in order to
achieve safety with high confidence
Safety
Management
System
The organisational structure, processes, procedures and methodologies that
enable the direction and control of the activities necessary to meet Safety
Requirements and safety policy objectives
Safety
requirement
A requirement that, once met, contributes to the safety of the system or the
evidence of the safety of the system
SHA Statutory Harbour Authority
SMS Safety Management System
SOLAS The International Convention for the Safety of Life at Sea
SPA Special Protection Area
SSSI Site of Special Scientific Interest
System A combination, with defined boundaries, of elements that are used together in
a defined operating environment to perform a given task or achieve a specific
purpose The elements may include personnel, procedures, materials, tools,
equipment, facilities
Tamar Estuaries
Consultative
Forum
Responsible for the oversight of The Tamar Estuaries Management Plan
Tamar Estuaries
Management
Plan
A document written to provide guidance in delivering statutory compliance and
best practice in the management of the Tamar Estuaries
TECF Tamar Estuaries Consultative Forum
TOS VTS Traffic Organisation Service
UK United Kingdom
UKHO United Kingdom Hydrographic Office
VHF Very High Frequency
VHF
Communication
Voice communications utilising the internationally designed maritime mobile
VHF channels
VTS Vessel Traffic Service
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1 INTRODUCTION
The Dockyard Port of Plymouth (DPoP) exists to serve the defence interests of the UK.
Safe operation of the Dockyard Port is essential to support the operational programme
of the Royal Navy but also for the safety of the many commercial and recreational users
of the Dockyard Port waters.
For ports other than Dockyard Ports, the Department for Transport (DfT) Port Marine
Safety Code (PMSC) recommends harbour authorities maintain a dedicated
Navigational Safety Management System (SMS) for marine operations within the port.
Although the PMSC is not binding on the Ministry of Defence (MOD), the MOD
recognises it as the authoritative articulation of best practice in port safety, and is
committed to meet these or equivalent standards as far as is reasonable and practical.
However, the legislative background under which Dockyard ports operate is different
from that on which the PMSC is based and the powers of the QHM are not directly
analogous to those vested in a Statutory Harbour Authority (SHA). For this reason, as
observed by the DfT, the PMSC is not wholly appropriate to a Dockyard Port such as
Plymouth1.
With this in mind, the Dockyard Ports Board has developed the Dockyard Port Marine
Safety Policy (DPMSP) using the PMSC as a basis. The DPMSP details the policies to
be adopted by the MOD Dockyard Ports to achieve standards at least equivalent to
those provided for in the PMSC so far as is reasonably and practicable. At all times,
Dockyard Port safety policies and plans are to be based upon identification of the
hazards, assessment of the risks and implementation of effective control measures to
minimise or remove those risks, thus ensuring the safety of the Dockyard Port and its
users. This allows for safe operation of the Dockyard Port and supports PMSC
compliance by the Statutory Harbour Authorities within DPoP.
This SMS is designed to satisfy the requirements of the DPMSP and thus the
requirements of the PMSC so far as is reasonable and practical.
The complexity and diversity of activity within DPoP means that achieving the desired
level of safety and environmental performance for the port requires an integrated and
cooperative approach. It is intended that this manual will provide a mechanism through
which the management efforts of all port stakeholders can be coordinated and aligned.
The Navigational Safety Policy and complementary Marine Policies define the
organisation and arrangements that the Queen’s Harbour Master (QHM) has
established to monitor, promote and proactively manage the conduct of navigation and
other marine activities so that safety is enhanced.
1 www.dft.gov.uk
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The manual is prepared as a high-level document, underpinned at a detailed level by
operational systems and processes, including the nuclear facility safety cases in place
to manage the movement and berthing of nuclear vessels within the limits of DPoP.
The development of this manual is the result of a significant amount of work, which
involved a consultation process with port stakeholders. The manual has been
developed by building upon the extensive existing risk management documentation,
knowledge and processes that are embedded into the operations of the port. The
process for developing the manual has, consequently, been valuable in that it has
fostered discussions between these stakeholders. These discussions have principally
focused on defining the existing controls and achieving greater clarity in the roles,
responsibilities and arrangements for managing safety and environment risks and the
way forward for further improvements in safety and environment management across
the whole of the port.
1.1 BACKGROUND AND LEGISLATIVE CONTEXT
The UK Government (DfT Ports Division) published the PMSC in March 2000 and
revised it in 2009. The aim of the code is to establish an agreed national standard for
port marine safety and a measure by which harbour authorities can be held
accountable for their legal powers and duties to run their harbours safely. The code
was developed to address perceived gaps in the safety management of ports although
it does not in itself introduce ‘new’ legislation, nor is it mandatory; the DPMSP, issued in
May 2010 uses the PMSC as its basis.
The key to the effective discharge of functions described in the DPMSP is the
development of a Navigational SMS for marine operations. This management system
should:
1. Identify by a description, map or plan the area or areas of the port lands and
waters to which it applies;
2. Identify the nature and extent of those hazards and risks associated with the
operation of the port;
3. Assess the likely impact of those hazards and risks on port users and the
environment;
4. Specify the measures and strategies to be implemented to prevent or reduce
those hazards or risks;
5. Nominate the person or persons who is (are) to be responsible for implementing
those measures and strategies; and,
6. Set out the procedures to be followed for implementing, reviewing and revising
the management plan.
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1.2 EXISTING SAFETY MANAGEMENT SYSTEMS
This manual replaces or supplements documentation developed and maintained by the
QHM as part of an existing SMS. The modifications required to align existing safety
documentation with this manual has been issued as a separately bound Annex2.
Three Statutory Harbour Authorities (SHAs) lie within the limits of DPoP, the Cattewater
Harbour Commissioners (CHC), Associated British Ports (ABP) and the Sutton Harbour
Authority. As explained further in Section 3.2 below, each of these authorities will
continue to maintain its own SMS in conformance with the PMSC.
1.3 RISK MANAGEMENT
This manual applies a risk management approach for the identification, assessment
and control of risks within the port. This approach is consistent with the DPMSP and
the PMSC. The underlying principle is to utilise the manual as a mechanism to reduce
navigational risk within the port to a level that is `As Low as Reasonably Practicable'
(ALARP). The risk assessment process has enabled additional risk treatment
management strategies to be identified. The identification of these additional
management strategies has been focussed towards the significant risks in the port over
which the QHM and other regulatory stakeholders have direct control. The treatment
strategies are prioritised based on the findings of the risk assessment process
described in Part I of this document. It is the intent of the QHM to continue working in
consultation with port stakeholders to ensure that over time, appropriate risk
management strategies are identified and increasingly mature systems are
implemented to deliver continued safety and environmental improvements throughout
DPoP.
2 Elements of the existing SMS documentation are internal to the MoD and not in the public domain.
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1.4 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM SCOPE
The Navigational SMS, as administered and managed by the QHM, applies to marine
operations and activities within those areas of DPoP that fulfil the definition of ‘a
harbour’ as used in the Harbours Act 1964. The scope of the SMS incorporates all:
Shipping operations in the port, with the exception of operations that are solely
the responsibility of the berth or facility and with no implications for navigational
safety;
Marine operations undertaken by any support or service organisation; with the
exception of operations that are solely the responsibility of a Statutory Harbour
Authority or Competent Harbour Authority; and
Marine leisure and sports activities.
1.5 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM OBJECTIVES
The objectives of this manual are to:
Establish a comprehensive and integrated plan for protecting and enhancing
the safety and environmental values of DPoP;
Clearly identify roles and responsibilities of organisations and agencies with
regard to environmental and safety management;
Identify hazards and risks associated with the operation of the port and assess
the likely impact of those hazards and risks on the port and the surrounding
areas; and
Specify strategies to prevent or reduce those hazards or risks.
1.6 REVIEW AND REVISION
The intent for the manual is that it is a `living' document and therefore will be reviewed
and updated to keep pace with any significant changes within the risk profile of the port,
management strategies or legislative requirements.
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2 PORT DESCRIPTION
2.1 PHYSICAL STRUCTURE
Set in the southwest corner of Devon and bordering Cornwall, the DPoP covers an area
exceeding 6500 hectares. The port provides the key interface between land and sea
transport in the region and, thus, is a major strategic asset to both local and National
economies. Furthermore, the port has significant recreational, environmental and
aesthetic values, the whole of the port area being designated as a Special Area of
Conservation (SAC) with a number of Sites of Special Scientific Interest (SSSIs).
Notably, HM Naval Base (HMNB) Devonport is located in the port, supporting the
largest military dockyard in Western Europe. The delivery of effective safety and
environmental management is therefore paramount to the long-term protection and
enhancement of this resource, for its users, its neighbours, the industries and
economies that rely upon it, and the defence of the state. Figure 2 shows the statutory
limits of the port as defined through the Dockyard Port of Plymouth Order 1999, the
‘DPPO’, noting that those areas of the port north of Ernesettle Jetty (300 metres north
of the Tamar Bridges) and east of the Laira Bridge are not used by seagoing ships3.
3 As used by HM Revenue and Customs, a ‘seagoing ship’ is defined as a ship that is ‘certificated for navigation at sea by the competent authority of any country or territory’. The waters around the coast of the UK are categorised to distinguish between what is ‘sheltered’ and what is ‘sea’. The categories for sheltered waters range from Category A (narrow rivers) to Category D (tidal rivers and estuaries where the wave height is not expected to exceed 2 metres). A ship that is only certified to travel in waters falling within Categories A to D, for example a vessel certified to operate only within DPoP, is not ‘seagoing’.
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Figure 2: Limit of Dockyard Port of Plymouth (Reproduced From The Dockyard Port of Plymouth Order 1999 © Crown Copyright 1999)
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2.1.1 Operations
As shown on Figure 33, operationally DPoP can be divided into three parts.
a. The River Tamar Estuary or Hamoaze, highlighted in red - primarily military
operations with recreational and some commercial activity, notably the
operation of charter passenger craft providing sightseeing tours.
b. The River Plym Estuary or Cattewater, including Sutton Harbour and Millbay
Docks, highlighted in blue – the ‘commercial centre’ of the port handling a wide
range of cargo, passenger and fishing vessels, and the principal location for the
recreational vessel moorings in the port.
c. Plymouth Sound, highlighted in yellow – the common approach to the port, the
sheltered areas north of the breakwater extensively used for a diverse range of
military and commercial operations, as well as extensive recreational activity,
notably diving.
DPoP is the location of HMNB Devonport, the home base for a wide range of Royal
Navy warships, including nuclear submarines, Flag Officer Sea Training (FOST) –
which brings warships of many NATO navies to the port, and various military support
vessels such as Royal Fleet Auxiliaries (RFA) and tenders. DPoP, through the non-
MOD SHAs, also provides berthing and handling facilities for a large range of
commercial operations. Accordingly, a variety of vessels regularly call at the port, these
include tankers, bulk carriers, Roll On, Roll Off (RoRo) ferries and cruise liners.
Additionally, domestic ferries and sightseeing craft undertake frequent, regular voyages
throughout the port.
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Figure 3: Aerial View of Dockyard Port of Plymouth
Highlighting Operational Use (Source: Google Earth)
2.1.2 Vessel Traffic Service
A Vessel Traffic Service (VTS) system has been established by the QHM to monitor
and coordinate the safe movement of vessels throughout DPoP. The VTS system
covers the approaches to the Cattewater and Millbay Docks and, by agreement with
CHC and ABP, Plymouth VTS provides services to shipping in the Statutory Harbour
Areas of the aforementioned Statutory Harbour Authorities.
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3 PORT ORGANISATION
3.1 THE QUEEN’S HARBOURMASTER
Pursuant to the Dockyard Ports Regulation Act 1865, the Secretary of State for
Defence appoints the QHM. The overriding responsibility placed upon the QHM is
fulfilment of the port’s defence function, applying powers derived from the Act which
includes the authority to suspend all port operations, as may be used for example if a
large nuclear submarine is in transit through the port; the QHM manages the safety
case developed and implemented to manage the risk presented by the movement of
nuclear-powered vessels. However, the QHM is also the de facto Harbour Authority for
DPoP with duties of both a general and specific nature in respect of:
1. Regulating other activities at the port including, in particular, the movement of
ships in the port by means of legislation.
2. The conservancy of the port area including the provision of aids to navigation,
the removal of wrecks and other obstructions and maintenance dredging of
navigational channels.
3. Jointly with the Competent Harbour Authorities established within port limits4, the
provision of a pilotage service. The general duties for the provision of pilotage
services are contained in the Pilotage Act 1987.
4. The prevention of pollution and the nature conservation of the port and its
estuaries.
5. To provide an emergency response as a ‘Category 2 Responder’ and provide
support to ‘Category 1 Responders’.
6. Ensuring as far as reasonably practicable the safety at work of its employees
and other persons who may be affected by its activity.
The QHM Department is made up of personnel dedicated to supplying support to all
stakeholders involved in safety and environmental management.
3.2 STATUTORY HARBOUR AUTHORITIES
The following Statutory Harbour Authorities or SHAs are established within DPoP:
CHC – Cattewater Harbour;
ABP – Millbay Docks;
Sutton Harbour Authority – Sutton Harbour, including part of its approach
channel through the lock.
While each of the above mentioned are accorded powers to regulate operations within
their statutory harbour limits, in respect of navigational safety the QHM acts as the de 4 Primarily CHC and to a lesser extent ABP.
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facto harbour authority for the whole of DPoP. In other words, the QHM generally
exercises its powers to regulate operations within “overlapping harbour areas”5 rather
than the SHAs themselves.
The SHAs established within DPoP, maintain their own SMS documentation under the
PMSC in the form of procedures manuals. This documentation should acknowledge
and interface with this manual in order to foster a culture of integrated navigational
safety within the domain of the QHM’s responsibility in executing its function as a
harbour authority. This policy will itself need to address the relationship with local,
regional and national policies implemented pursuant to, amongst other things and in
particular, environmental protection. In conformance to the PMSC, it is also anticipated
that each SHA will appoint a Designated Person to provide independent assurance
about the operation of its SMS.
3.3 LOCAL COUNCILS
DPoP adjoins the following local councils:
Cornwall Council;
Devon County Council;
Plymouth City Council;
South Hams District Council;
West Devon Borough Council.
These councils are responsible for their local planning schemes, local policy and law
enforcement. All are members of the Tamar Estuaries Consultative Forum.
Pursuant to the Plymouth City Council Act 1987, Plymouth City Council (PCC)
exercises powers to regulate shipping within DPoP. These powers are limited to the
control, through licensing, of small commercial vessels subject to The Merchant
Shipping (Vessels in Commercial Use for Sport or Pleasure) Regulations 1993 that are
otherwise not regulated by a national body, i.e., passenger vessels that carry less than
12 persons.
It is anticipated that PCC (and the other councils listed above) will continue to
determine its own policy towards the licensing of commercial vessels operating within
DPoP. However, this documentation should acknowledge and interface with this
manual in order to foster a culture of integrated navigational safety within the domain of
the QHM’s responsibility. PCC will be invited to attend the Harbour Authorities Liaison
Committee should its discussions affect the operation of vessels subject to licensing by
the Council.
5 An area of water that is within the statutory jurisdiction of another statutory harbour authority where those areas of water are used primarily by vessels using berths or land within the harbour area of that other statutory harbour authority.
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4 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM
4.1 PRINCIPLES
The Safety Policies of QHM define the organisation and arrangements that are planned
to monitor, promote and proactively manage the conduct of navigation and associated
marine activities consistent with maintaining the risk presented by this activity as low as
reasonably practicable. CHC, ABP, the Sutton Harbour Group and PCC are key
contributors to the navigational safety of DPoP and should orientate their existing safety
process to confirm that the principles of navigational safety and the supporting policies
of QHM are being followed.
The Navigational SMS is structured into three levels. This manual represents Level
One. The processes of harbour regulatory management and operation form Level Two
and the planning and review systems form Level Three. Figure 4 below shows the
links between Policy, the organisational structure and the administration of the
Navigational SMS.
Figure 4: Components of the Navigational Safety Management System
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4.2 DOCKYARD PORT MARINE SAFETY POLICY
The SMS procedures and guidelines fulfil the requirements of the DPMSP (and thus the
recommendations of the PMSC) including, but not limited to, the following:
Making risk control the basis of all marine activities, procedures, Directions
(General Directions for SHAs) and Port Guidance;
Using risk assessment to identify the requirement for aids to navigation;
Applying risk assessment to all proposed harbour developments affecting
Navigational Safety;
Subjecting new and potential hazards to risk assessment;
Subjecting wrecks and abandoned vessels to risk assessment;
Periodically reviewing the provision of safe anchorages;
Maintaining systems to implement the findings of risk assessments;
Periodically reviewing pilotage arrangements for the port;
Reporting deficiencies on visiting vessels;
Providing procedural advice for giving Directions (Special Directions for SHAs)
in relation to dangerous vessels or substances;
Regulating the activities of harbour craft and ensuring powers are sufficient to
do so;
Maintaining and developing a competence based training scheme, with
continual professional development supporting delivery of all marine functions;
Maintaining appropriate plans and procedures for emergency response and
associated training/exercises; and,
Using verification/audit systems.
The Harbour Authority will undertake a formal review of how it meets the requirements
of the DPMSP (and thus the PMSC) every three years.
4.3 SYSTEM COMPONENTS
The Navigational SMS focuses on the operational and administrative output of the
Harbour Authority’s department.
It includes the following components:
A Commitment Statement;
Policy;
Safety Management Structure and Consultation
Navigational Safety Management System Data;
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Incident Recording and Investigation
Risk Assessment and Risk Control Measures;
System Operation and Control;
Personnel Management
Harbour Safety Plan; and,
Audit and Review.
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5 COMMITMENT STATEMENT
Safety and environmental management is a high priority for the Ministry of Defence
(MoD), and is a function that the organisation and all the businesses operating in the
port take extremely seriously. This is reflected through the Health, Safety and
Environment Policies of HMNB Devonport that commit to ensuring the health, welfare
and safety of employees, contractors, visitors to the workplace and to operate in a
manner that is environmentally sustainable for the present and future generations.
The Dockyard Ports Board, as the Corporate and Operational Level Duty Holders under
the DPMSP, is the body with responsibility for setting and monitoring the standards of
navigational safety within DPoP, and has committed itself to comply with the
requirements of the PMSC, wherever practicable and not prejudicial to MoD operations.
Furthermore, the Naval Base Commander (NBC) Devonport and the Secretary of State
for Defence are committed to ensuring that the QHM is adequately resourced and
funded to exercise his or her statutory role and functions towards navigational safety
obligations.
One key purpose of this document is to show a link between:
This Commitment Statement;
The policies set by the Harbour Authority, and;
The management arrangements, controls and provisions that discharge those
policies.
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6 POLICY
6.1 PURPOSE AND USE OF THE POLICY
The primary purpose of this Policy is to provide an overall standard for marine
operations throughout DPoP. It also provides a reference point for a variety of
operational decisions including the selection of resources and the design and
implementation of safe working practices. The Navigational Safety Policy and its
supporting policies are reproduced in Annex A.
This Policy sets out the intentions of the QHM (in its role as de facto Harbour Authority
for DPoP) and its commitment to navigational safety. It also describes the
organisational responsibilities and arrangements established to ensure that the Policy is
implemented. The Policy with its supporting policies, together with those of the SHAs
and PCC contributes to the operational objectives and stated commitment of the
Harbour Authority to fulfil its responsibilities. The fundamental objective of the
Navigational SMS is to demonstrate the consistent application of Policy.
NB: Unless stated otherwise, all subsequent references to ‘Harbour Authority’ in this
manual relate to the QHM.
6.2 GENERAL MANAGEMENT POLICY
The Harbour Authority will support the activities of DPoP through the safe and efficient
regulation of shipping within harbour limits. The policy of the Harbour Authority is to
work with key stakeholders, notably the SHAs and PCC to:
1. Manage the port safely and efficiently.
2. Maintain essential marine safety services to the highest industry standards.
3. Train operational staff to the highest professional standards.
6.3 DOCKYARD PORT MARINE SAFETY POLICY
The Harbour Authority is committed to conformance with the principles established
through the DPMSP. The Harbour Authority will seek to achieve this through:
Regulating navigation in a way that safeguards the harbour, its users and
stakeholders, the public and the environment;
Ensuring that relevant assets of the harbour are managed safely and
efficiently;
Ensuring the provision of adequate resources (including staff training) to
discharge the navigational safety obligations of the Harbour Authority;
Making available relevant navigational information to all harbour users;
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Working closely with key Stakeholders to aid the development of a
Navigational SMS;
Working closely with key stakeholders to ensure the ongoing relevance of the
Navigational SMS; and,
Publishing relevant parts of the Navigational SMS on the public website of the
Harbour Authority, employing a continuous process of briefing and updating
information with regard to navigational safety.
6.4 POLICY DEVELOPMENT AND COMMUNICATION
The Navigational Safety Policy was developed by the Harbour Authority in consultation
with the Plymouth Harbour Authorities Liaison Committee (HALC), in its role as
Advisory Body. The Policy has been posted on the website of the Harbour Authority
and, as appropriate, Staff Intranet. Furthermore, the Harbour Authority is committed to
working closely with harbour stakeholders to aid the development of the Navigational
SMS, which will enhance conformance with the DPMSP and PMSC.
The Policy has been communicated to:
Staff engaged by:
The Harbour Authority, both military and civilian;
The SHAs;
The Plymouth Pilotage Service;
The Admiralty Pilotage Service;
PCC;
Harbour users; and,
Interested parties.
6.5 POLICY REVIEW
In consultation with the HALC, the Harbour Authority will undertake a formal review of
all Marine Policies on a 3-yearly basis or more frequently as circumstances dictate.
6.6 FURTHER GUIDANCE
The Navigational SMS is intended to represent a comprehensive statement of policy
with regard to navigational safety, with a copy being made freely available to all. There
will also be a continuing process of briefing and updating information with regard to
navigational safety. There are however likely to be occasions that require additional
supplementary guidance to provide a more detailed framework for specific operations
or areas within DPoP, notably within the port limits of SHAs. Information will be
prepared subsequently, where and when appropriate, for example QHM Directions and
Pilotage Directions in the form of Notices to Mariners and Codes of Practice reflecting
the general principles contained in this SMS.
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7 SAFETY MANAGEMENT SYSTEM STRUCTURE
7.1 POLICY DEVELOPMENT AND CONSULTATION
The DPMSP requires that QHM liaises with and involves local practitioners, port users
and other interested parties in the management of marine operations and navigational
safety in the port, i.e. the development and maintenance of the Navigational SMS; the
PMSC makes similar recommendations for SHAs.
Noting that the regulatory structure of a Dockyard Port is quite different to that of a
‘commercial’ port, the Organisational structure for the development and oversight of
safety policy and regulation for DPoP is shown in Figure 5 below.
Figure 5: Dockyard Port of Plymouth Policy Development and Regulatory Structure
7.2 RESPONSIBILITIES
7.2.1 Secretary of State for Defence
As the national regulator for Dockyard Ports, the Secretary of State for Defence:
Through the Royal Navy’s Director of Naval Personnel, appoints the QHM;
Establishes the strategic and operational objectives, plans and budgets for the
QHM as Harbour Authority;
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Reviews the performance of the QHM Department against its strategic and
operational objectives, plans and budgets6;
As advised by the QHM, by Order in Council makes regulations and rules for all or any of the purposes specified in the Dockyard Ports Regulation Act 18657.
7.2.2 1st Sea Lord (Senior Level Duty Holder)
He must have arrangements in place for ensuring activities conducted in Navy Command create and promote a positive safety culture for the protection of all personnel. 1SL is to assure himself that risk is owned and managed to ensure that it is broadly acceptable or tolerable and ALARP. He is to ensure that risk management and compliance in Navy Command adheres to MOD policy and legislation.
7.2.3 Assistant Chief of Naval Staff (Support) (Operational Level Duty Holder)
ACNS(Spt) is the Duty Holder for Marine Safety across the Dockyard Ports. He is responsible for ensuring the development, promulgation and maintenance of effective policies and guidance for Dockyard Port Marine Safety and in doing so should maintain a close working relationship with other intermediate maritime Duty Holders. He is further responsible for ensuring that adequate resources are allocated to individual Dockyard Ports to allow them to fulfil the policy requirements. ACNS(Spt) is to have arrangements in place to ensure that hazards and incidents are fully reported and, where necessary investigated with lessons identified and promulgated.
7.2.4 Naval Base Commander (Delivery Level Duty Holder)
The Naval Base Commanders are the Duty Holder for Marine Safety within their respective Dockyard Ports. Specifically, they are to promulgate a Port policy and ensure the development of plans and procedures for Marine Safety based on a formal assessment of the hazards and risks, and the development of a formal safety management system. In achieving this, they should maintain a close working relationship and thorough understanding of the requirements of Platform and Operational Duty Holders. Safety risks are to be identified and managed, including escalation through the Duty Holder chain where it is not possible to mitigate a risk to ALARP locally. Further, they are responsible for ensuring that adequate resources are allocated from their budgets to meet the policy and safety management system requirements.
7.2.5 Queen’s Harbour Master (Significant Duty Holding Responsibilities)
The Queen’s Harbour Masters has significant responsibilities which are assigned by the Delivery Level Duty Holder. The QHM is responsible for the implementation of the Ports’ policies, plans and procedures based on the requirements of their Dockyard Port’s Safety Management System (SMS). They should ensure that they maintain a thorough understanding of, and work closely with, other ‘CO Level’ Duty Holders for other areas which may impact on marine safety. QHMs will report directly to the Delivery Level Duty Holder for Duty Holding matters.
6 In practice delegated to the NBC. 7 Section 5. The regulations and rules are issued as the Dockyard Port of Plymouth Order, the present Order coming into force 31 August 1999.
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In respect of navigational safety, the functions of the Harbour Authority, pursuant to the
Dockyard Ports Regulation Act 1865 include:
1. To manage marine operations and implement conservancy measures in
accordance with HMNB Devonport policies, as approved by the NBC;
2. To control and direct within port waters, with due regard to the safety of
persons, safe operation of vessels and their effect on the environment:
a. Vessels entering and leaving, the time and manner of doing so;
b. The navigation and other movement of vessels;
c. The position where and the manner in which any vessel may anchor or be
secured;
d. For all waters outside the statutory harbour limits of a SHA, the time and
the manner of taking in or discharging from any vessel of cargo, stores,
fuel, fresh water and water ballast.
e. The securing or removal of any vessel, in, from or to any position.
3. The operation of Plymouth VTS.
4. The investigation of navigational incidents, as required.
5. The recruitment and training of marine staff including:
a. VTS personnel;
b. Admiralty pilots.
6. Ensuring the Health and Safety of marine staff.
7. The timely promulgation of navigational and safety information to operational
staff and to all harbour users.
8. Any other functions conferred on the QHM under the Dockyard Ports
Regulation Act 1865 or any other Act.
The Harbour Authority, as prescribed through Order in Council8 may, with respect to
any vessel entering or within DPoP:
1. Prohibit entry by, or removal of any vessel, into or from port waters if that vessel
is unseaworthy or in imminent danger of sinking or causing an obstruction to
navigation.
2. Board and cause a vessel to be dealt with as required if there is no person on
board the vessel to whom the QHM may give a direction.
8 The Dockyard Port of Plymouth Order.
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7.2.6 Tamar Estuaries Consultative Forum
The Tamar Estuaries Consultative Forum (TECF) comprises all the organisations with
statutory powers or functions relating to the Tamar Estuaries. It has developed and
oversees The Tamar Estuaries Management Plan, a document written to provide
guidance in delivering statutory compliance and best practice in the management of the
Estuaries. The development of environmental policy as it affects the Navigational SMS,
e.g., oil spill response, will be facilitated through the TECF and with the Port of
Plymouth Marine Liaison Committee (PPMLC), which also provides a mechanism for
consultation with port users.
7.2.7 Harbour Authorities Liaison Committee
The HALC provides the Harbour Authority with a routine interface with the SHAs
established within DPoP. Through application of its specialist expertise, HALC acts as
the advisor to the Harbour Authority on all matters related to the management of
navigation within port waters; it is the forum that brings together regulatory stakeholders
to promote the delivery of integrated safety management for DPoP.
The Harbour Authority will consult with the HALC on all matters substantially affecting
the management, maintenance, protection or regulation of the harbour that impact on
the Navigational SMS.
The HALC will:
Assist the Harbour Authority to develop and maintain the Navigational SMS
and related policies cognisant with national port policy and guidance, the
general safety policy for the port, the environmental policy for the port and the
nuclear facility safety cases in place;
Establish safety performance measures for the port;
Review the effectiveness of the Navigational SMS against safety performance
measures, including:
incidents since last meeting;
updates on investigations / recommendations;
review of navigational safety barriers;
Appoint members to, and establish the work programme for Sub-Groups as
may be convened to address specific issues;
Promote the involvement of all relevant stakeholders in the consultation
underpinning the development of navigational safety policy for DPoP; and,
Provide guidance to the Harbour Authority.
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In addition to the above, the Harbour Authority will take into consideration any matter,
recommendation or representation which may from time to time be referred or made to
it by the HALC whether or not the HALC has been consulted by the Harbour Authority
on that matter, recommendation or representation so referred or made.
The HALC will consist of such number of persons appointed by the Harbour Authority
as the Harbour Authority considers appropriate from time to time, but would normally
include:
The QHM;
The Harbourmasters of:
Cattewater Harbour;
Sutton Harbour;
Millbay Docks;
A representative of PCC if considering matters related to the safety of small
commercial vessels; and,
An external appointee if required e.g. for matters relating to safety of large
commercial vessels.
The HALC will determine its own quorum and procedure and shall appoint a chairman.
It will meet at least twice per year.
An individual member of the HALC may, on giving notice in writing to the chairman,
send a substitute to any meeting of the body.
7.2.8 HALC Sub-Groups
Sub-Groups provide input about specific issues to the HALC. They will be convened as
required although one is permanently established, namely the Navigation and Pilotage
Sub Group.
The make-up of these groups may change from time to time, dependant on the harbour
user experience most able to contribute to the issue under consideration. A harbour
user group may be formed by individual invitation or it may be formed from an existing
Harbour Interest group, depending on the issue being considered. For example, an
issue involving RoRo ferries, a Harbour User Group comprising representatives of
RoRo ferry operators would be consulted, whereas a recreational issue would involve a
Harbour User Group represented by either boating clubs or individuals with relevant
navigational interest for DPoP.
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7.2.9 Designated Person
MoD’s Captain Waterfront Coherence and Assurance (Capt WCA) fulfils the function of
‘Designated Person’ for DPoP9.
The ‘Designated Person’ will:
Provide assurance to the Dockyard Ports Board, including CoMFleet and NBC
that the Harbour Authority has an effective and appropriate SMS;
Provide the Harbour Authority with professional advice regarding the Harbour
Authority’s overall compliance with the requirements of the DPMSP and PMSC;
Supply the HALC, through QHM, with data as required to inform its
deliberations.
7.2.10 Statutory Harbour Authorities
Statutory Harbour Authorities are responsible for the development and implementation
of appropriate procedures and guidelines to contribute to the delivery of the
Navigational SMS and other supporting policies within statutory overlapping harbour
areas.
In particular, within this overall remit, they are responsible for:
Identifying and proposing solutions to any hazard to safe navigation;
Appropriate training of assigned personnel; and,
Maintaining overall navigational safety awareness.
7.2.11 Auditing & Reviewing Performance
In considering the safe operation and management of the harbour the Harbour
Authority will monitor and review its performance against a number of predetermined
indicators. The results of such reviews will be recorded and, where appropriate,
information will be made available to users and other interested parties including the
HALC.
7.3 REVIEW OF RELEVANT EXTERNAL INFORMATION
7.3.1 Department for Transport
The Harbour Authority receives documents promulgated by the DfT from both its
Shipping Policy Division and the Maritime and Coastguard Agency (MCA). These
include amongst others:
A Guide to Good Practice on Port Marine Operations;
Merchant Shipping Notices;
9 To conform to the PMSC, the Designated Person should be independent of the Harbour Authority.
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Marine Guidance Notices;
Marine Information Notices; and,
The minutes of the MCA PMSC Steering Group meetings.
The Harbour Authority will review the above-mentioned documents to identify any
developments in national marine regulation or policy, which affect or have the potential
to affect the navigational SMS for DPoP and in consultation with the HALC, will
determine any necessary action.
7.3.2 Marine Accident Investigation Branch
The Harbour Authority receives copies of each published Marine Accident Investigation
Branch (MAIB) Incident Investigation Report and Safety Digest. The Harbour Authority
will review these documents to identify any reported incidents, which affect or have the
potential to affect the navigational SMS for DPoP, and in consultation with the HALC
will determine any necessary action, including the promulgation of any lessons learned.
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8 NAVIGATIONAL SAFETY MANAGEMENT SYSTEM DATA
The Navigational SMS has been informed by a comprehensive navigational risk
assessment. A summary of the Key Hazards arising from that study are presented at
Annex B. Part I of this document should be referred to for a complete hazard list.
8.1 SAFETY MANAGEMENT ARCHIVE - HAZMAN
The Hazman database contains details of identified hazards, together with the
associated risk control measures employed to mitigate those hazards. Both hazards
and risk control measures have a designated ‘owner’. All hazards are maintained
within the system in ranked order, based on the outcome of the risk assessment
process. This ranking structure will change with time as the hazards and risk controls
continue to be reviewed, reassessed and re-scored.
The archive also includes a comprehensive audit record. This documents the outcome
of the scheduled proactive hazard review process, any incident review, and the addition
of any new risk and its associated assessment. In each case the outcome of the review
is recorded and includes:
The action taken and recommendations made by or to the QHM;
Whether the HALC reviewed any aspect;
The names of those involved and their recommendations; and
Subsequent recommendations from the HALC.
The day-to-day administration of Hazman is the responsibility of the Port Safety Officer
(PSO). In particular, the role:
Maintains, administers and interprets the Hazman database to ensure effective
support to the Harbour Authority;
Maintains, administers and interprets the Hazman database to ensure the
effective recording, availability and archiving of marine incident information;
and,
Constructs and presents Hazman information and reports as required in an
effective and appropriate format, such that the overall navigational safety
performance of the port may be reviewed and assessed.
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9 INCIDENT RECORDING, INVESTIGATIONS AND ENFORCEMENT
9.1 INCIDENT RECORDING
The Harbour Authority, in consultation with the HALC, will establish procedures for the
reporting and recording of incidents in DPoP. This register will include details of:
When and where the incident occurred;
A description of the incident;
Cause, if known;
A summary of the actions taken to manage the incident;
The person or persons responsible for the incident response; and,
An initial analysis considering linkages to the underlying safety hazard or
environmental aspect.
9.1.1 Notification
The Harbour Authority will report incidents to the relevant external authority or
authorities in accordance with statutory reporting requirements by the quickest means
available10.
9.2 INVESTIGATIONS
9.2.1 Harbour Authority
The Harbour Authority is committed to the rigorous investigation of incidents to discover
any new hazards, system weaknesses or developing trends. The Harbour Authority will
establish procedures for assessing the level of investigation, the investigation team
make-up, investigative methods available and investigation reporting.
Considerations from the investigations may require examination of the effectiveness of
control measures, amendments to plans, procedures or follow up preventative action.
9.2.2 Statutory Authorities Other Than Harbour Authority
9.2.2.1 Policy Statement
Irrespective of any investigation that may be conducted by an authority other than the
Harbour Authority, all incidents within DPoP, and where appropriate its approach, will
be investigated by the Harbour Authority to the extent that the Harbour Authority
considers it necessary and appropriate to do so.
10 For example, The Merchant Shipping (Accident Reporting and Investigation) Regulations, 2005, and The Merchant Shipping (Oil Pollution Preparedness, Response and Co-operation Convention) Regulations 1998
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9.2.2.2 Facilitation
In relation to an incident within DPoP, the Harbour Authority and its officers will
cooperate with a statutory authority or authorities required to conduct an investigation.
These bodies include, but are not limited to:
The High Court;
The Admiralty Court;
The Police;
The MAIB;
The DPoP SHAs
The Environment Agency;
The Health and Safety Executive; and,
Local Councils.
The conduct of an incident investigation by an authority other than the Harbour
Authority is a matter for the individual authority or authorities concerned. This includes
the relationship between authorities in respect of which authority exercises primacy of
jurisdiction for the conduct of an investigation noting the policy of the Harbour Authority
as stated above.
9.2.3 Release of Information
On written request the Harbour Authority will provide an officer of a statutory
investigation authority with such information as he or she requires. The Harbour
Authority will ensure that this information is provided in such form as the officer may
require.
Without prejudice to the above, the Harbour Authority will refuse requests for the
release of information where, in the opinion of the Harbour Authority, this information is:
1. Subject to control under the provisions of the Official Secrets Act; or,
2. Private within the meaning and application of, amongst others, the Data
Protection Act, the Policy of the Information Commissioner, or the Policy of the
MoD in respect of the release of information to third parties.
Notwithstanding the above, the Harbour Authority recognises that, on receipt of formal
notice11, the Harbour Authority is obliged to release information sought by a statutory
authority. Under such circumstances, the Harbour Authority and its officers will ensure
that the information specified on the notice served is provided in such form as the
statutory authority may require.
11 For example, pursuant to the Regulation of Investigatory Powers Act 2000.
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9.2.4 Enforcement
The primary function of enforcement is to protect the public and the environment. At
the same time, carrying out enforcement functions in an equitable, practical and
consistent manner helps to promote a thriving port. The Harbour Authority is committed
to these aims and to maintaining a fair and safe port environment.
The Harbour Authority has therefore adopted the central government Concordat on
Good Enforcement. Included in the term ‘enforcement’ are advisory visits and assisting
with compliance as well as licensing and formal enforcement action.
By adopting the Concordat the Harbour Authority commits itself to the policies and
procedures detailed in Annex A, which contribute to best value, and will provide
information to show that they are being observed.
Where the Harbour Authority determines enforcement action to be appropriate, the
Harbour Authority will carry out its duties in a fair, equitable and consistent manner.
While our authorised officers are expected to exercise judgement in individual cases,
the Harbour Authority will have arrangements in place to promote consistency,
including effective arrangements for liaison with other authorities and enforcement
bodies.
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10 RISK CONTROL
10.1 DOCUMENTARY RISK CONTROL
The following key documents are utilised as part of the DPoP Navigational SMS:
Directions - Includes the DPPO and Notices to Mariners;
Pilotage/Towage Directions – Issued by QHM and CHA;
Navigational Information - Tidal and other port-related information, navigation
warnings and advice of environmental conditions at the berth;
Departmental operational manuals and guidelines including those supporting
the nuclear facility safety case documentation;
Ship movement planning and information;
Process or task specific operating procedures;
Emergency plans and procedures; and,
Formalised training and assessment.
10.2 HARDWARE RISK CONTROL
The following hardware-based systems are utilised as part of the DPoP Navigational
SMS:
Aids to Navigation – buoys, beacons, marks and lights etc., maintained by the
Harbour Authority12;
Moorings/Anchorages – buoy moorings, anchorages and trots located
throughout the port, maintained by the Harbour Authority, the Statutory
Harbour Authorities and other bodies;
Conservancy – maintenance of declared chart datum by the Harbour
Authority13 supported through the application of Hydrographic surveying
conforming to current International Hydrographic Organization standards;
A Vessel Traffic Service (VTS) utilizing:
Radar – radar surveillance is maintained for all areas of the DPoP
routinely used for navigation14 other than the upper reach of the
Cattewater and the entrance to Sutton Harbour;
VHF Communication – A marine radio network covering VHF Channel 14
(ship movements) and Channel 13 (port operations), providing effective
VTS communications; 12 Aids to navigation are maintained by the SHAs within their statutory limits. PCC maintains a small number of aids within the port. 13 Channel maintenance is the responsibility of the SHAs within their statutory limits. 14 For the River Tamar; approximately south of Ernesettle Jetty. For the River Plym, west of the Laira Bridge.
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CCTV – CCTV coverage is provided for the Western Entrance, the
Sound and the Hamoaze; and,
Control Centres - VTS control centres manned on a 24/7 basis at both
the Flag Station (Hamoaze) and the Longroom (Plymouth Sound).
The VTS service will:
Monitor by all available means vessel traffic within DPoP and its approach.
The service will include but not be limited to:
The maintenance of records of vessels visiting DPoP;
The maintenance of records of person numbers on passenger vessels
operating within port limits;
Forward to the extent that the Harbour Authority is required to do so, the
above mentioned information to the MCA in a format and timescale as
may be advised by the MCA;
As an Information Service, provide VHF broadcasts of any known hazards to
navigation that are temporary in nature, and not covered in any local notices to
mariners. Also broadcasts of weather and tidal information on request (once
this becomes available). VTS will also provide broadcasts of known vessel
traffic movements to reporting vessels;
Provide, when required, a Traffic Organisation Service and a Navigational
Assistance Service
Provide assistance to other authorities in the event of emergencies or Search
and Rescue events arising within DPoP, and support in the event of a pollution
incident within DPoP;
General administrative data maintenance to include, but not be limited to, local
meteorological data and records of equipment operability, reporting any
anomalies or defects to the appropriate authority; and,
Compliance with the QHM Standing Orders (QHMSO), Desk Top Instructions,
Standard Marine Communication Phrases, and any other relevant legislation.
10.3 HARBOUR PATROL SERVICE
The Harbour Authority in conjunction with the Devonport MoD Marine Unit will maintain
regular harbour patrol services and supporting administrative follow-up to assist in the
effective regulation and enforcement of navigational safety policy.
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10.4 MARINE SAFETY SERVICES
10.4.1 Ministry of Defence
A contract has been let by the MoD to a joint venture led by Serco Group plc for the
provision of marine services for DPoP15. Services provided under contract include
towage and pilot boats, passenger transfer to and from ships, loading of stores and
removal of waste from ships, Tier 1 and Tier 2 pollution response in the event of oil or
other spillages, provision and maintenance of buoys and moorings and support to deep
water training services. The MoD Marine Services Superintendent (MSS) has policy
responsibility for the oversight of this contract. The relationship of the MSS to the
Harbour Authority and the NBC is shown in Figure 6.
MSSQHM
DMSNBC
Serco
Figure 6: Management of MoD Marine Services Dockyard Port of Plymouth
For coherency, the MSS reports to the QHM to ensure local Intelligent Customer
capability for the range of Marine Services required within the contract. The MSS has a
functional line to Defence Marine Services (DMS) to provide feedback on the contract.
The contract provides the assurance that QHM Plymouth requires as a nuclear Facility
Operator; that the Safety Functional Requirements of the related operational Safety
Cases are being fulfilled. DMS owns this process and assures the Harbour Authority of
it. In practice this function is exercised through the MSS who, as noted above, reports
to the QHM.
15 The provision of marine services on behalf of the SHAs is addressed through their own procedures.
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The HALC will be consulted prior to any significant amendment to these services16.
The Harbour Authority has a capability to remove wrecks and obstructions that are
deemed to be hazards to navigation. Power to undertake this is found in the Dockyard
Ports Regulation Act 186517.
The Harbour Authority will work with other regulatory partners through the TECF to
develop and maintain a Regional Marine Oil Spill Contingency Plan and to schedule
and manage associated desk-top and equipment exercises for oil spill response within
DPoP.
10.4.2 Cattewater Harbour Commissioners
The CHC maintains an 18 tonne bollard pull tug and pilot boat to serve ships using
commercial wharves within DPoP. Subject to meeting the requirements of the primary
contractor (MoD), if additional towage capacity is required, the tugs operated by the
Serco Group plc will be made available on request to ships serving Millbay Docks and /
or the Cattewater Harbour.
10.4.3 Other Marine Services Resources
Marine Services assets from outside DPoP will be subject to specific risk assessment in
relation to the tasks on which they may be employed.
10.5 PILOTAGE
10.5.1 Arrangements
Pilotage for DPoP is supplied by:
The Plymouth Pilotage Service for non-military ships18; and,
The Admiralty Pilotage Service for military ships.
For the purposes of this Navigational SMS, ‘military ships’ means:
Ships of war, of any nationality;
Auxiliaries, of any nationality;
Ships operating under a demise charter to the MoD19; and,
A ship operating to or from, or a ship under MoD contract operating in the
waters surrounding, any docks, wharves, piers, jetties or moorings belonging to
the MoD or Devonport Royal Dockyard. A Memorandum of Understanding
16 Proposed amendments are also notified to the PPMLC. 17 S13. 18 A subsidiary of the Cattewater Harbour Commissioners. 19 The charterer takes full control of the vessel along with the legal and financial responsibility for it. Where this condition is not met, i.e., the MoD does not accept full legal and financial responsibility for the ship under hire, the ship is considered to be ‘non-military’.
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between QHM and CHA provides clarification of pilotage arrangements where
such wharves, piers or jetties are in the waters of a DPoP SHA.
The Pilotage Act 1987 provides for the establishment of joint arrangements between
Harbour Authorities, including a QHM, in order to exercise given functions.
Arrangements for the delivery of pilotage pursuant to the Pilotage Act have been
established between:
The QHM;
CHC;
ABP.
These arrangements, including the review of pilotage policy, will be overseen by a sub-
group of the HALC consisting of representatives of the above-mentioned authorities.
Sutton Harbour Authority will be invited to participate in meetings of the sub-group to
review the pilotage requirements for ships serving Sutton Harbour.
The Harbour Authority will ensure that any pilotage arrangements are formally
organised in a manner that provides for associated statutory obligations that accord
with the recommended best practice of the DfT noting that statutory responsibility for
the determination of pilotage policy pursuant to the Pilotage Act 1987 may only rest with
a Competent Harbour Authority20.
It should be noted that the Harbour Authority and the Competent Harbour Authority for
DPoP are separate bodies, the QHM and the CHC respectively.
10.5.2 Non-Military Ships
Through arrangement with the QHM, ABP and the Sutton Harbour Authority, the CHC
is the de facto Competent Harbour Authority for DPoP. Pursuant to the Pilotage Act
1987, the CHC therefore has policy responsibility for the pilotage of ships operating
within its pilotage district being so much of the tidal waters of the Port of Plymouth
outside the Cattewater Harbour as is bounded on the north by the Tamar Bridges, on
the east by the Laira Bridges and on the south by an imaginary line drawn three and
one half nautical miles radius from the lighthouse on Plymouth Breakwater, including all
bays, creeks lakes and pools and the waters of any open or closed docks within this
area (with the exception of any docks or the waters immediately surrounding any
wharves, piers, jetties or moorings belonging to the Ministry of Defence)21.
In the development of pilotage policy, the Competent Harbour Authority will keep under
consideration whether any, and, if so, what, pilotage services need to be provided to
secure the safety of ships navigating in, or near, the approach to DPoP. Furthermore,
whether in the interests of safety, pilotage should be compulsory for ships navigating in
20 The Pilotage Act 1987 precludes the QHM from being a Competent Harbour Authority. 21 Statutory Instrument 1988 No. 1703 - The Cattewater (Pilotage) Harbour Revision Order 1988.
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any part of the area defined above and, if so, for which ships and in which
circumstances pilotage services need to be provided for those ships22.
The Competent Harbour Authority will review the provision of pilotage services for non-
military ships:
On each occasion that the use of the port changes in such a way so as to
affect the requirements of the service provided, which may include amongst
other things:
Developments in ship design and operation in fulfilment of International,
European and National standards; and,
Alterations to the physical characteristics of the port including the built
environment;
As required to implement amendments to national legislation and / or policy;
To address any relevant recommendations of the MAIB or the Harbour
Authority as an outcome of investigations either party may undertake; and,
Notwithstanding the above, after a period not exceeding three years.
Where the Competent Harbour Authority considers in the interests of safety that
pilotage should be compulsory for all or part of DPoP it will issue Pilotage Directions.
The Competent Harbour Authority will ensure that the Pilotage Directions for DPoP
define the circumstances in which pilotage is to be compulsory, how and to which
vessels they apply, and in what circumstances. This information will be promulgated
through a Notice to Mariners issued by the Competent Harbour Authority, which will
ensure that the notice is brought to the attention of UK Hydrographic Office for
promulgation through, primarily, the Admiralty List of Radio Signals Volume 6.
In providing a pilotage service the Competent Harbour Authority will consider the
possibility that the Master of a vessel may ask for a pilot even when not required to take
one by Pilotage Directions. The Competent Harbour Authority will seek to make
allowances for each request and refer to them when reviewing whether in any such
circumstances pilotage should become compulsory.
Taking into account advice it may receive from the HALC and / or the PPMLC, in the
event that the Competent Harbour Authority considers it necessary to do so, it will apply
for a Harbour Revision Order to extend or reduce the limits of its jurisdiction for the
purposes of pilotage.
22 ABP is a CHA in its own right. Consequently, pursuant to the Pilotage Act 1987 it is required to determine pilotage policy for ships operating within the statutory harbour limits of Millbay Docks. However, it is agreed that consistent with the Pilotage Act 1987, through arrangement, ABP pilotage policy will be harmonized with that of the Cattewater Harbour Commissioners, with Pilotage Directions issued by the latter on behalf of both parties, the pilots of the Plymouth Pilotage Service are appropriately authorised to operate within the statutory harbour limits of Millbay Docks.
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On the joint recommendation of the QHM, the Competent Harbour Authority will:
Determine the qualifications for the authorisation of its pilots in respect of age,
physical fitness, time of service, local knowledge, skill, character and
otherwise;
Determine the conditions for granting a Pilotage Exemption Certificate (PEC);
and,
Ensure the provision of appropriate formal procedures for assessing the
suitability of applicants for PECs. The standards and procedures adopted will
be published and made available to applicants. On receipt, the Competent
Harbour Authority will register the application and brief the candidate on what
he or she is required to do before his or her application can be assessed.
Any PEC issued by the Competent Harbour Authority will be valid for no longer than
one year from the date of issue.
The Competent Harbour Authority will:
Ensure proper arrangements are in place for assessing the competence of
authorised pilots, maintaining the currency of their local knowledge and
conformance to the required standards of fitness. Details of these
arrangements will be documented and made available to all pilots;
Ensure suitably detailed contractual arrangements are in place either directly
with its authorised pilots or through a contract of service, as appropriate;
Ensure all its authorised pilots are trained and qualified to conduct the vessels
to which they are likely to be allocated;
Where applicable, ensure that arrangements are in place for pilots to be
allocated to vessels with sufficient time and information available to prepare a
pilot passage plan. Where a vessel and / or its master is visiting the port for
the first time, the pilot will join the ship at the outer boarding station whenever it
is practicable to do so;
Ensure that only those vessels that are specifically approved for the purpose
will be used as pilot launches to attend non-military ships. Pilot launches and
workboats used in the port will, where applicable, conform to the Merchant
Shipping (Small Workboats and Pilot Boats) Regulations 1998 and the
associated MCA Safety of Small Workboat and Pilot Boat Code of Practice;
Ensure that the MCA is informed whenever reports are received from a pilot
that a vessel has deficiencies, which may prejudice the safe navigation of that
vessel, or may pose a threat of harm to the environment;
Determine and issue a PEC to appropriately qualified mariners who are bona
fide the Master or First Mate of any ship, satisfying itself that those applying
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conform to relevant international and / or national standards of training,
certification and watchkeeping appropriate to the conduct of the vessel to
which the certificate applies;
Satisfy itself that any applicant for a PEC has a sufficient knowledge of English;
Ensure all PEC applicants visit and are briefed on the VTS;
Make arrangements with PEC holders and their employers, setting out agreed
conditions on which PECs are issued to ensure the use of PECs is in
accordance with the terms on which they are issued;
Satisfy itself that the conduct of the PEC holder has been satisfactory prior to
the reissue of a certificate, including completion of the required number and
frequency of trips;
Seek to suspend or revoke a PEC if it is shown that the holder has been guilty
of incompetence or misconduct. Before so doing, the Competent Harbour
Authority will give prior written warning to the holder and his or her employer of
the suspension or revocation. A right to make representation will be made
available by the Competent Harbour Authority;
Review conformance to its Pilotage Directions and take appropriate action
should any breach be identified;
Ensure that pilotage charges are published in such a manner so as to bring
them to the notice of those persons likely to be interested; Utilise and promote
the use of appropriately detailed passage plans within the harbour;
Provide, in the most appropriate format, up-to-date passage guidance
applicable to the harbour; and,
With reference to the geographical limit of the Pilotage Directions identify safe
boarding and disembarkation areas. The location of boarding and
disembarkation areas will be published as a Notice to Mariners and notified to
the UK Hydrographic Office.
In conjunction with the QHM, the Competent Harbour Authority will:
Determine through a process of formal risk assessment any circumstances in
which more than one pilot would be needed to conduct the navigation of a non-
military ship safely to any berth within DPoP; and,
Ensure that suitable arrangements are in place to assist in securing access to
non-military ship passage plans and VTS records in the event that they may be
needed for incident investigation purposes.
On each occasion that a non-military ship subject to Pilotage Directions is piloted by a
PEC holder, salient details including the vessel name, date / time and pilot onboard will
be recorded by or on behalf of the Competent Harbour Authority.
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10.5.3 Military Ships
The QHM has policy responsibility for the pilotage of military ships operating within the
limits of DPoP. In the development of pilotage policy for the above, the QHM will keep
under consideration the pilotage services needed to secure the safety of military ships
navigating in, or near, the approach to DPoP and under what circumstances military
vessels may navigate within DPoP without pilotage by Admiralty Pilot. Where the QHM
considers that pilotage need not be compulsory for certain military ships for all or part of
DPoP, it will issue Pilotage Directions23.
The QHM will determine:
The qualifications for the authorisation of Admiralty pilots in respect of age,
physical fitness, time of service, local knowledge, skill, character and
otherwise; and,
The conditions under which a military ship may navigate within DPoP without
pilotage by Admiralty Pilot, including but not limited to the requirements for Port
Endorsements.
The QHM will ensure that proper arrangements are in place for assessing the
competence of Admiralty pilots, maintaining the currency of their local knowledge and
conformance to the required standards of fitness. Details of these arrangements will be
documented and made available to all Admiralty pilots.
The QHM will ensure that all Admiralty pilots are trained and qualified to conduct the
vessels to which they are likely to be allocated.
The QHM will ensure, where applicable, that arrangements are in place for pilots to be
allocated to vessels with sufficient time and information available to prepare a pilot
passage plan.
In conjunction with Competent Harbour Authority, the QHM will determine any
circumstances in which a pilot authorised by the former would be needed to assist in
conducting the safe navigation of a military ship.
The QHM will ensure that vessels used as pilot launches and workboats to serve
military ships will, where applicable, conform to the Merchant Shipping (Small
Workboats and Pilot Boats) Regulations 1998 and the associated MCA Safety of Small
Workboat and Pilot Boat Code of Practice.
The QHM will utilise and promote the use of appropriately detailed passage plans within
the harbour.
The QHM will provide, in the most appropriate format for military ships, up-to-date
passage guidance applicable to DPoP.
23 QHM Plymouth Port Guidance and Pilotage and Towage Direction (Defence Related Activities).
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10.5.4 External Review
On request, the Harbour Authority and the Competent Harbour Authorities will provide,
respectively, the Secretary of State for Defence or the Secretary of State for Transport
with such information as they may require concerning the arrangements made for the
provision of pilotage services to DPoP24. The Harbour Authority will ensure that this
information is provided in such form as the respective Secretary of State may require.
10.5.5 Port Regulation (Directions)
In consultation with the HALC, the Harbour Authority will act promptly to secure any
Order in Council or amendment thereto required to ensure that its powers are
appropriate for maintaining the overall safety of the port, promoting change where
necessary.
10.6 PORT GUIDANCE
In consultation with the HALC, the Harbour Authority will ensure that appropriate advice
and guidance is developed and published, in suitable formats for the use of different
user groups, to facilitate the safe and efficient operation of shipping within DPoP. This
information will address, amongst other things:
Anchorages, channels and berths;
Tidal and other environmental information;
Minimum underkeel clearance for operations within DPoP;
The use of tugs;
VTS communications and procedures;
Safety and environmental requirements for vessels in port waters;
Emergency management procedures and port security;
Port services details and contacts; and,
Recreational activity, including fishing and diving.
10.7 EMERGENCY PREPAREDNESS AND RESPONSE
The Harbour Authority will establish emergency response plans and procedures to
address marine emergency incidents. The Harbour Authority will cooperate with and
share relevant information to the extent that it is permitted to do so with Category 1
responders (Emergency Services and Local Councils) and other Category 2 responders
established within DPoP.
In conjunction with Category 1 and other Category 2 responders, the Harbour Authority
will ensure that training exercises and seminars are programmed on an annual basis to 24 Section 11 Pilotage Act 1987.
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familiarise and update staff on emergency procedures and to exercise individual
response actions. Appropriate Staff training and emergency exercise records will be
maintained.
10.8 ENVIRONMENTAL MANAGEMENT
In consultation with the TECF, the Harbour Authority will ensure that the potential
impact on the environment is fully considered when planning or approving military,
commercial and recreational activities within DPoP. In so doing, the Harbour Authority
will take due regard of the requirements of the Habitats Directive. The Harbour
Authority will also comply with The Natural Environment and Rural Communities Act
2006, having due regard for bio-diversity in undertaking its activities.
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11 SYSTEM OPERATION AND CONTROL
11.1 NAVIGATIONAL SMS REVIEW PROCESSES
The identification and assessment of navigational hazards is central to the effective
maintenance of the Navigational SMS. The Harbour Authority uses an IT based risk
assessment tool called Hazman as the basis for its continuing review of both new and
existing hazards and their preventative control measures.
Reviewing identified hazards and risk control measures will involve the Harbour
Authority’s maritime staff and port users, as appropriate. It may also, on occasions,
involve external specialist consultants.
The review of hazards and control measures are prompted by and of the following:
1. Planned, periodic, formal review of established hazards and risk controls,
initiated by the Hazman software;
2. Review of hazards and associated risk controls following an incident;
3. The identification and assessment of any potential hazards arising from changes
to circumstances including the introduction of a new trade and/or marine
operation.
4. Review of hazards and associated risk controls following an incident outside
DPoP e.g. from MAIB report
The process used to implement, modify or develop the Navigational SMS is shown in
Figure 7 below.
PeriodicReview
New Risk Assessment
Incident Investigation
QHM
Input to HAZMAN
Navigational SMS Update
Recommendations
External Incident Report
External consultation
Staff Input
HALC
DECISION
Figure 7: Navigational SMS Development Process
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11.2 NEW RISK ASSESSMENTS
Whenever circumstances change to bring in activities outside the existing scope of the
Navigational SMS, the QHM will, in full collaboration with relevant port stakeholders,
undertake a risk assessment of the intended operation. This process is likely to include
the activation of a meeting of the HALC or sub-group thereof.
11.3 DOCUMENT CONTROL
The document control procedure for the SMS will be in accordance with the
requirements of the Harbour Authority.
All documents within the Navigational SMS are reviewed and approved, as appropriate,
by the Head of Department, the QHM and/ or NBC (D) prior to issue. Prior to approval
the aforementioned will ensure that:
The correct issues of relevant documentation are available, where needed, by
appropriate personnel;
Obsolete copies have been removed;
Changes and amendments to documents are reviewed and approved by the
same personnel or department that carried out the original review and approval
unless specifically designated otherwise.
All controlled documents are issued in accordance with the abovementioned
document control procedure, including the production of a master list; and,
Documents subjected to minor change and amendments are only reissued
after a practical number of changes have occurred to avoid unnecessary
paperwork.
A record of changes is available on the front of the relevant SMS manual.
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12 PERSONNEL MANAGEMENT
12.1 POLICY STATEMENT
The Harbour Authority recognises its staff as being fundamental to its success. A
strategic and professional approach to recruitment processes assists the Harbour
Authority to attract and appoint staff with the necessary skills and attributes to fulfil its
strategic aim of operating a safe and efficient port. The Harbour Authority is committed
to ensuring that the recruitment and selection of staff is conducted in a manner that is
systematic, efficient, and effective in fulfilment of the following aims:
To ensure that recruitment processes are fit for purpose;
To appoint the best person for each position;
To ensure equality of opportunity for all applicants;
To ensure compliance with the Equality and Diversity Policy of the MoD;
To ensure compliance with relevant employment legislation;
To promote the values of the Harbour Authority; and,
To meet the operational requirements and strategic aims of the Harbour
Authority.
12.2 COMPETENCE ASSURANCE
The competence assurance process will be linked directly to considered personnel
selection and recruitment procedures, relevant job descriptions and appropriate pre-
determined recruitment selection criteria. The process comprises four stages:
Stage 1: Selection
All recruitment will be based on agreed job descriptions and person specifications.
Recruitment and selection will be conducted as an evidence-based process with
candidates assessed against agreed selection criteria, based on relevant knowledge,
skills, competencies, experience and qualifications to perform the role as outlined in the
person specification. All decisions will be recorded.
Stage 2: Induction Training
All new staff joining the Harbour Authority, including any temporary personnel, will
receive induction training appropriate to the post. Relevant departmental managers are
required to record that induction training has been completed.
Stage 3: Supervision and Continuous Professional Development
On appointment to post, all new appointees will be placed under the supervision of a
suitably qualified person who will recommend when he or she fulfils the required
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standard. This period of supervision may take the form of Continuous Professional
Development in post, followed by a formal assessment of competence.
Stage 4: Competence
A person may be considered to fulfil the required standard once he or she has
completed all training, and has been assessed either by his/her supervisor, or by formal
assessment.
12.3 MARINE TRAINING
Training is a key element within the Navigational SMS. In order to ensure that
personnel are properly trained, the principles of job analysis and training design will be
followed. In particular, for marine staff the Harbour Authority will:
Identify operational and safety training needs;
Establish a skills matrix of competency levels required for key tasks;
Plan how training requirements are to be met and when; and,
Establish a process to appraise the effectiveness of training.
12.4 SAFETY MANAGEMENT TRAINING
It is the policy of the Harbour Authority that all marine staff (including Admiralty pilots)
shall attend a Navigational Safety Management induction briefing to ensure that they
are fully aware of the provisions of the Navigational SMS, and of specific roles and
responsibilities assigned to them within this programme. The topics to be covered by
this training will include:
An overview of all relevant legislation, General Directions and QHMSOs;
A review of the Navigational Safety Policy;
An outline of Management and Operating procedures, and their provisions;
The principles of individual accountability and responsibilities;
The formal and informal procedural controls in place;
An outline of response to emergencies and contingencies; and,
Health and safety.
12.5 REFRESHER TRAINING
To prevent any decline in the level of competence and skills of either management or
staff, relevant training and instruction shall be repeated periodically, as appropriate.
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12.6 TRAINING AND COMPETENCE RECORDS
All training and instruction provided to Harbour Authority personnel and / or external
bodies will be duly recorded and securely retained in accordance with MoD
requirements.
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13 HARBOUR SAFETY PLAN
In association with its duties and responsibilities, the Harbour Authority will develop a
Harbour Safety Plan. The strategic objectives of this plan are to:
Reduce risks to as low as is reasonably practicable (ALARP);
Ensure all reasonably practicable steps are taken to identify the hazards and
risks arising from operational activities in DPoP;
Ensure conformance with the navigational safety and marine policies,
associated operating controls, applicable port and marine legislation and non-
statutory obligations;
Periodically review data gathered from audits, inspections, incidents and any
concerns raised to evaluate and determine where improvements and changes
need to be made;
Implement employee competence training and Navigational SMS awareness
programmes;
Facilitate port user involvement in the maintenance of the Navigational SMS
and the overall improvement in the provision of navigational safety;
Communicate the Harbour Authority’s ongoing efforts and achievements in
facilitating navigational safety to all stakeholders;
Review the effectiveness of and continually improve the Navigational SMS.
In consultation with the HALC, the Harbour Safety Plan will be reviewed periodically. At
minimum, it will be reviewed every three years.
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14 PERFORMANCE MONITORING
The performance-monitoring programme of the Harbour Authority is designed to
progressively improve navigational safety. By measuring key indicators, which reflect
both the performance of the Harbour Authority and that of port users, appropriate
measures can be adopted and introduced which further enhance navigational safety.
14.1 PERFORMANCE MEASURES
The following measures are used to monitor navigational safety and the Harbour
Authority’s performance:
Facilitating the safety of navigation within DPoP:
1. Number of safety incidents on a per–movement basis for reporting vessels,
and on a per-annum basis for recreational craft.
2. Number of incidents of non-reporting by reporting vessels.
3. Number of formal warnings issued.
4. Number of HM Infringement Notices issued.
Maintenance of Marine Safety Services:
1. Non-availability of any Aid to Navigation.
2. Non-availability of VTS elements on a length of failure basis:
a. Loss of VHF communications on a port operations channel;
b. Failure of radar;
c. Failure of a CCTV camera;
d. Total loss of port control.
3. Non-availability of a suitable patrol vessel.
Respecting the environment of the Tamar Estuaries:
1. Total number of reported pollution incidents.
2. Number of attributable pollution incidents.
3. Number of infringements initiated.
14.2 COMPLIANCE MONITORING
The day-to-day monitoring of navigational safety management controls and provisions
will be measured and checked by the Harbour Authority through a monitoring regime.
Evaluation of the level of compliance will be achieved through:
Proactive systems that monitor performance in relation to objectives and
operating standards; and,
Reactive systems, which investigate incidents and unwanted events.
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15 AUDIT AND REVIEW
15.1 POLICY STATEMENT
This navigational SMS is designed to undergo both internal and external (or
independent) audit, the purposes of which differ in their function. Internal Audits seek
to establish the system is being followed; independent Audit seeks to take a more
strategic involvement of the Navigational SMS effectiveness and facilitate change
where necessary.
The system of Audit undertaken by the Harbour Authority and / or external body is
independent of any MCA oversight.
15.2 PURPOSE
The auditing process of the navigational SMS ensures that the Designated Person is
able to properly discharge their responsibility in providing assurance to the Dockyard
Ports Board NBC and the MoD that the Harbour Authority (QHM) remains in
compliance to the DMPSP and that the Navigational SMS is functioning effectively.
15.3 OBJECTIVE
The overall objective is to implement a programme review that assists a process of
continuous development of navigational safety performance.
Within this remit, Audits are conducted to achieve the following objectives:
To determine if the Navigational SMS is being operated in accordance with the
Navigational Safety Policy of the Harbour Authority and the provisions of the
DPMSP;
To monitor the overall effectiveness of the system;
To identify and implement ways of improving overall performance; and,
To confirm that SMS procedures are understood and being acted upon by
those involved.
15.4 INDEPENDENT AUDIT
A suitably qualified and experienced person independent of the Harbour Authority, as
appointed by the Dockyard Ports Board, will undertake periodic audits of the
Navigational SMS for the purpose of assessing the following:
Whether Harbour Management in respect of marine operations and
navigational safety remain appropriate and effective, thus comprising effective
Navigational SMS components;
Whether, overall, the Harbour Authority has in place an effective Navigational
SMS, thus confirming compliance with the DPMSP; and,
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To contribute towards the overall assessment of how well the Navigational
SMS is performing and thus assist in its overall development.
15.5 PROCESS
A review of the Navigational SMS will be carried out as follows:
Six Monthly – an assessment of recorded incidents and any developments to
the SMS arising from such incidents;
Annually – internally audit navigational and associated Performance Measures
including:
Evaluate the outcomes of the previous annual review;
Assess the performance of the Navigational SMS over the year;
Analyse navigational incidents in depth, to establish potential trends;
Identify any remedial action required for inclusion in a Harbour Safety Plan.
Three Yearly – To provide Audit at detailed level and fundamentally review
strategy including the need to revisit the risk assessment as a whole. This
review will consider the fundamentals of policy and the long-term strategic
achievements of the Navigational SMS. It will include the review period for
hazards to ensure this remains appropriate.
The Harbour Authority will conduct the performance reviews outlined above reporting its
results to the NBC and the HALC.
Note: At the present time the Designated Person (Capt WCA) is carrying out
compliance audits annually and monitoring corrective actions during the year.
15.6 REPORTING
Applying information gathered from the monitoring and auditing of the Navigational
SMS, on an annual basis the Harbour Authority will publish an assessment of its
performance.
If requested to do so, the Dockyard ports Board will confirm in writing to the MCA
compliance with the PMSC.
15.7 OTHER REGULATORY BODIES
15.7.1 Statutory Harbour Authorities
The CHC, ABP and the Sutton Harbour Authority are the SHAs for waters lying within
the statutory harbour limits of, respectively, the Cattewater Harbour, Millbay Docks and
Sutton Harbour. The aforementioned authorities retain responsibility to the
Navigational SMS to put in place systems to safely assist vessels and craft making an
approach to or departing from wharves located in their waters. Each authority is
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responsible for ensuring that navigational control procedures remain appropriate and to
assist with their interface as a level 2 component of this Navigational SMS. Through
arrangement, the CHC provide pilotage and towage for non-military ships serving these
harbours and is, therefore, the entity responsible for the delivery of these services,
including training.
15.7.2 Plymouth City Council
Pursuant to the Plymouth City Council Act 1987, PCC exercises jurisdiction through
licensing over the operations of small commercial vessels based at DPoP. As specified
in the ‘Guide to Good Practice on Port Marine Operations’25, the PCC should ensure for
any small vessel approved or otherwise licensed:
The professional qualifications and endorsements required for skippers and
crews of vessels operating under the Red, Brown, Blue and Yellow Codes and
Harmonised Code under Marine Guidance Note (MGN) 280 – Small vessels in
Commercial Use for Sport or Pleasure, Workboats and Pilot Boats – Alternative
Construction Standards.
The need for coded vessels to be in possession of a valid ‘Small commercial
Vessel Certificate’.
The need for owners of Small Commercial Vessels to have conducted a risk
assessment of their procedures in accordance with MGN 20 (M+F).
15.7.3 Harbour Authority Audit
From time to time the Harbour Authority may audit or appoint an independent auditor to
monitor and/or review the delivery of marine safety services, including legislative
control, as provided by the other regulatory bodies specified above, i.e., the CHC and
PCC. The involvement of the other regulatory bodies for DPoP in the decision-making
that underpins this action, and the avoidance of conflict of interest are vital to the
successful delivery of the DPoP Navigational SMS.
25 MIN 307 (M).
Issue: 5 Dockyard Port of Plymouth Port Marine Safety Code Safety Management System
Dockyard Port of Plymouth SMS
Annex A
Dockyard Port of Plymouth Navigational Safety Policy and
Supporting Marine Policies
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Dockyard Port of Plymouth SMS Page A1
Annex A
Navigational Safety Policy and Supporting Marine Policies
NAVIGATIONAL SAFETY POLICY
The Ministry of Defence has a primary responsibility to facilitate the safety of
navigation within Dockyard Port of Plymouth.
To this end, it is Ministry of Defence policy for the Harbour Authority (QHM) to:
1. Establish, fund and maintain an effective Navigational Safety Management
System, based on a continuing, formalised assessment and mitigation of risk
in consultation with navigational users.
2. Review regularly26 the effectiveness of, and if necessary seek amendments
to, its legal powers, Orders in Council and Directions in respect of
navigational safety.
3. Maintain a formal Policy towards the provision of Vessel Traffic Services, it’s
interface with port harbour traffic, and periodically review management of the
navigation of vessels within the port jurisdiction.
4. On the joint recommendation of the Competent Harbour Authority, maintain
formal Policy towards the availability of a pilotage service in accordance with
the Pilotage Act 1987.
5. Regularly review towage capability to determine that it remains appropriate
to the levels of service required in the harbour.
6. Facilitate an appropriate patrol service for Dockyard Port of Plymouth
proportionate to navigational use.
7. Maintain, and regularly review, a formal Policy towards Enforcement.
8. Conserve Dockyard Port of Plymouth so that it is fit for use as a port, and in
a fit condition for a vessel to resort to it including:
a. Provide such aids to navigation as are necessary for safe and efficient
navigation within port limits;
b. Maintain close liaison with the owners of other aids to navigation for
which the Harbour Authority does not have maintenance responsibility;
c. Undertake or require such Hydrographic surveys as are necessary for
safe and efficient navigation within port limits;
26 Regularly means no more than three years between reviews.
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d. Maintain oversight of any changes in hydrology affecting the depth of
water within channels;
e. Maintain records of all Hydrographic and hydrological reports;
f. Supply the UK Hydrographic Office with information that may be needed
for publication on official charts;
g. Provide regular returns and other information in relation to aids to
navigation as the General Lighthouse Authority may require.
9. Assess and where necessary require removal of sunken or derelict or
abandoned vessels and other obstructions that are, or may become, an
impediment to safe navigation.
10. Make available relevant navigational information to all harbour users.
11. Maintain liaison with harbour stakeholders and seek input as required on
matters influencing navigational safety.
12. Provide professional advice in the planning process for any form of
development affecting navigational safety within Dockyard Port of Plymouth
jurisdiction.
13. Be empowered to:
a. Regulate the time and manner of ships’ entry to, departure from and
movements within Dockyard Port of Plymouth;
b. Require the owner or master of a ship to provide information about the
vessel, cargo and its passage.
14. Delegate powers of direction to the Deputy Queen’s Harbourmaster or any
other person designated for the purpose.
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VTS POLICY In order to provide for safe navigation in Dockyard Port of Plymouth, the Harbour
Authority, in implementing the risk control measures outlined in the Risk Assessment,
has a commitment to:
A Maintain an effective Vessel Traffic Service (VTS);
B Provide an Information Service (INS) and, where required, a Traffic
Organisation Service (TOS) and Navigational Assistance Service (NAS)27 by
the VTS to the international standard28.
To this end it is Ministry of Defence policy that the Harbour Authority (QHM) intends
to:
1. Operate a 24 hour VTS to support its published Navigational Safety Policy.
2. Monitor all commercial movements and maintain VHF communications with
such vessels.
3. Ensure that the VTS is appropriately equipped to allow a continuation of
essential services in the event of failure of either hardware or software;
4. Immediately inform all users of any temporary reduction in service and/or
coverage.
5. Define reporting vessels and review areas where and when reporting should
be compulsory within its area of responsibility.
6. Regularly review the performance of the system and seek improvements
through technical enhancement, staff development, training and effective
management as necessary.
7. Provide timely navigational information and advice as required.
8. Assist Category 1 responders (Emergency Services and local councils) in
respect of the harbour response to emergency incidents within the harbour
jurisdiction.
9. Adopt the IALA standard for training and certification of VTS personnel29 and
facilitate Continued Professional Development.
10. Formally authorise all personnel serving in the VTS.
11. Record all relevant radar, video, VHF and telephone communications as an
aid to enforcement and incident reconstruction and investigation.
12. Maintain records of reporting vessel movements in the harbour.
27 NAS only provided relative to the Recommended Track for Deep Draught Vessels as indicated on UKHO Charts 28 The IALA Standards for Training and Certification of Vessel Traffic Service (VTS) personnel (IMO MSC Circ 952). 29 Training to the IALA V/103 Standard
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PILOTAGE POLICY
Through arrangement, the Competent Harbour Authority30 is responsible for the
pilotage of non-military ships within Dockyard Port of Plymouth whereas the Harbour
Authority31 is responsible for the pilotage of military ships within Dockyard Port of
Plymouth. The Competent Harbour Authority and the Harbour Authority policy in
respect of pilotage are to:
1. Ensure that the operation of the pilotage service is compliant with national
regulations and guidelines.
2. Monitor to ensure there is an appropriate level and competence of the
pilotage service in accordance with the Pilotage Act 1987.
3. Develop and keep under review Pilotage Directions to ensure that the
particular risks associated with Dockyard Port of Plymouth are managed in
accordance with the needs of the Navigational Safety Management System;
4. Develop and maintain a formal interface between the VTS and both the
Plymouth Pilotage Service and Admiralty Pilotage Service.
5. Administer the Pilotage Exemption Certificate monitoring system to ensure
that all Pilotage Exemption Certificate applicants and holders fully meet the
requirements laid down in the Pilotage Directions.
6. Ensure close liaison between the Plymouth Pilotage Service and the
Admiralty Pilotage Service to ensure that the Pilotage Policies and practice
of the two organisations are mutually supportive.
7. Ensure that a Memorandum of Understanding or contract is in place to cover
the relationship between the Competent Harbour Authority and the Harbour
Authority, and between the Competent Harbour Authority and the other
Competent32 and Statutory33 Harbour Authorities established within
Dockyard Port of Plymouth for the delivery of pilotage services to Dockyard
Port of Plymouth.
30 The Cattewater Harbour Commissioners 31 The QHM 32 Associated British Ports, Millbay Docks 33 Sutton Harbour Board, Sutton Harbour
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ENFORCEMENT POLICY
The Harbour Authority is empowered to investigate and prosecute offenders for
breaches of Orders in Council or Directions made under the Dockyard Ports
Regulation Act 1865.
This document sets out what port users and others being regulated by the Harbour
Authority can expect from enforcement officers. It commits us to good enforcement
policies and procedures. It may be supplemented by additional statements of
enforcement policy.
The effectiveness of legislation in protecting the port and its users depends crucially
on the compliance of those regulated. The Harbour Authority recognises that most
port users wish to comply with the law and will therefore, take care to help port users
meet their legal obligations without unnecessary expense, while taking firm action,
including prosecution where appropriate, against those who flout the law or act
irresponsibly. All port users will reap the benefits of this policy through better
information, choice, and safety.
The Harbour Authority believes that prevention is better than cure and that our role
therefore involves actively working with port users, especially small vessel operators
to advise on and assist with compliance. A courteous and efficient service will be
provided and harbour staff will identify themselves by name. The Authority will
provide a contact point and telephone number for further dealings with the harbour
and will encourage port users to seek advice/information. Applications for approval
of events, diving etc., within DPoP will be dealt with efficiently and promptly. The
Authority will ensure that, wherever practicable, the enforcement services are
effectively co-ordinated to minimise unnecessary overlaps and time delays.
The Harbour Authority will take particular care to work with small businesses and
voluntary and community organisations so that they can meet their legal obligations
without unnecessary expense, where practicable.
Furthermore, it is Ministry of Defence policy that the QHM shall:
1. Develop and maintain effective enforcement based on a continuing review of
relevant legislation.
2. Ensure all staff directly involved in enforcement are appropriately trained in
and fulfil the requirements of, amongst others, the Police and Criminal
Evidence Act.
3. Facilitate a harbour patrol service for Dockyard Port of Plymouth.
4. Maintain an effective surveillance regime in conformance with the Regulation
of Investigatory Powers Act 2000.
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5. Monitor compliance with, and detect breaches of Orders in Council and
Directions.
6. Investigate all alleged breaches of Orders in Council and Directions.
7. Maintain records of all investigations in conformance with relevant statutory
requirements.
8. Where appropriate, work with and inform other relevant Authorities of
investigations.
9. Respond to breaches of Orders in Council and Directions, as justified by the
evidence and other circumstances, by the use of formal warnings,
infringement notices and prosecution.
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CONSULTATION POLICY
The Port Marine Safety Code emphasises the importance of effective consultation by
all navigational stakeholders. This includes all those who work in the environs of
Dockyard Port of Plymouth or use the waterway in some form, as well as those that
represent them.
The Harbour Authority will provide information and advice in plain language on the
rules that they apply and will disseminate this as widely as possible. The Harbour
Authority will be open about how they set about their work, including any charges that
are set, consulting business, voluntary organisations, charities, consumers and
workforce representatives. The Harbour Authority will discuss general issues,
specific compliance failures or problems with anyone experiencing difficulties.
In particular, the Harbour Authority shall:
1. Consult as early as is practicable with stakeholders when changes to Orders
in Council and / or Policy are being considered.
2. Maintain an effective consultation mechanism with appropriate stakeholders
on navigational safety and other operational issues.
3. Include appropriate Dockyard Port of Plymouth stakeholders in the ongoing
work to identify navigational hazards, assess the risk of such hazards and
recommend appropriate control and mitigation measures.
4. Promulgate an Annual Harbour Safety Report.
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Dockyard Port of Plymouth SMS Page B
Annex B
Priority Hazards
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Annex B
PRIORITY HAZARDS
This Annex contains the summary of Key Hazards Identified from the Navigational Risk
Assessment described in Part I of this report. As Hazards are continuously reviewed it
should not be taken as a definitive list and Part I should be referred to for the full list of
hazards. It should be highlighted that all the risks within HAZMAN have an overall average
risk score that falls into the ALARP region.
Risk By Consequence Category
M L W C
Ran
k N
o.
Haz
ard
Ref
ere
nce
Hazard Title Hazard Detail
Ris
k O
vera
ll
Peo
ple
Pro
pert
y
Env
ironm
ent
Sta
keho
lder
s
Peo
ple
Pro
pert
y
Env
ironm
ent
Sta
keho
lder
s
1 40 Grounding of warship in port approaches and north of breakwater
Warship grounds in port approaches and north of breakwater;
5.22 4 6 2 4 3 6 3 6
2 1 Vessel contact whilst berthing alongside
Vessel manoeuvring alongside contacts berth
5.18 6 6 0 0 6 6 6 6
3 20 Vessel contact with breakwater
Commercial, fishing vessel / warship entering or leaving port in contact with breakwater
5.12 2 2 0 4 6 7 7 7
4 15
Recreational / fishing / Chartered Passenger vessel in contact with ship moored or anchored.
Chartered passenger / recreational vessel / fishing vessel collides with ship berthed on one of the fixed mooring buoys located to the north of the breakwater or at anchor.
5.09 6 6 0 3 6 4 2 6
5 30 Collision involving non-seagoing (charter) passenger vessel
Collision between a chartered passenger vessel and a vessel of similar or larger size. This includes Cremyll, Mt Batten, RWY, Cawsand Bay ferries as well as Commercial Pleasure Cruise vessels. Cruise ship tenders.
5.05 6 3 0 0 7 4 2 6
6 42
Seagoing passenger ship grounding in port approach /north of breakwater
Large seagoing passenger ship grounds in port approaches / north of breakwater
5.02 2 4 0 6 6 5 3 6
7 8
FV / charter passenger vessel / non-seagoing passenger vessel contact berthing.
Fishing vessel/ charter passenger vessel / non-sea going passenger vessel incontact berthing. This includes Cremyll, Mt Batten, RWY, Cawsand Bay ferries as well as Commercial Pleasure Cruise vessels
4.87 6 6 0 0 6 4 2 6
8 47 Recreational vessel grounding
Recreational vessel grounds on an obstruction
4.84 6 0 0 0 7 4 2 6
9 35 Two recreational vessels in collision
Collision between a recreational vessel and another - powered or otherwise
4.84 6 0 0 0 7 4 2 6
10 56
Small military / harbour support vessel loses stability during ship / barge handling operations
Tug or line boat floods or is capsized whilst conducting towage / line operations / small military vessel capsizes within port limits;
4.8 4 2 0 2 7 4 4 6
Table B1: - Ten Highest Ranked Hazards DPoP
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Dockyard Port of Plymouth SMS Page B2
Risk By Consequence
Category M L W C
Ran
k N
o.
Haz
ard
Ref
ere
nce
Hazard Title Hazard Detail
Ris
k O
vera
ll
Peo
ple
Pro
pert
y
Env
ironm
ent
Sta
keho
lder
s
Peo
ple
Pro
pert
y
Env
ironm
ent
Sta
keho
lder
s
3 20 Vessel contact with breakwater
Commercial, fishing vessel / warship entering or leaving port in contact with breakwater
5.12 2 2 0 4 6 7 7 7
5 30 Collision involving non-seagoing (charter) passenger vessel
Collision between a chartered passenger vessel and a vessel of similar or larger size. This includes Cremyll, Mt Batten, RWY, Cawsand Bay ferries as well as Commercial Pleasure Cruise vessels. Cruise ship tenders.
5.05 6 3 0 0 7 4 2 6
8 47 Recreational vessel grounding
Recreational vessel grounds on an obstruction
4.84 6 0 0 0 7 4 2 6
9 35 Two recreational vessels in collision
Collision between a recreational vessel and another - powered or otherwise
4.84 6 0 0 0 7 4 2 6
10 56
Small military / harbour support vessel loses stability during ship / barge handling operations
Tug or line boat floods or is capsized whilst conducting towage / line operations / small military vessel capsizes within port limits;
4.8 4 2 0 2 7 4 4 6
12 41 Commercial (incl passenger) vessel grounding in port waters
Commercial / passenger vessel other than tanker grounds in port waters. This includes Cremyll, Mt Batten, RWY, Cawsand Bay ferries as well as Commercial Pleasure Cruise vessels.
4.67 2 2 0 2 6 7 7 7
13 37 Collision with Torpoint Ferry
Any vessel collides with Torpoint chain ferry as it crosses River Tamar;
4.64 3 3 0 3 7 4 4 6
14 29
Collison between small leisure or commercial vessel and larger vessel or vice versa
Small recreational, or charter fishing or military craft struck by larger vessel underway in port waters. Or vice versa
4.51 3 3 0 3 7 4 2 6
16 31 Collision involving seagoing passenger vessel
Collision between a passenger liner or ferry entering / leaving port and a vessel of similar or larger size
4.42 2 2 0 2 7 6 6 7
19 33 Collision involving warship or RFA vessel
Collision between a warship or a RFA vessel and a vessel of similar size
4.4 2 2 0 2 7 7 4 7
20 51 Man overboard Personal injury as the result of falling overboard
4.39 6 0 0 0 7 0 0 3
21 52 Fall from height Persons fall or jump from port structures; 4.39 6 0 0 0 7 0 0 3
22 32 Collision involving large cargo vessel
Collision between a large cargo vessel entering / leaving port and a vessel of similar size
4.36 2 2 0 2 7 6 6 6
24 64 Collision involving small military vessel
Small military landing craft or RHIB (etc;) in collision with a similar or larger vessel whilst operating within harbour
4.3 3 3 0 0 7 4 2 6
30 57 Small vessel founders on berth
A small vessel swamps / sinks whilst alongside the quay or on a mooring buoy (trot)
4.22 0 3 0 0 7 6 3 3
Table B2: - Hazards With Individual Criteria Scoring 7 or Greater
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