Marine Safety Management Systems Manual
Marine Safety Management Systems Manual
Marine Safety Management Systems Manual
MARINE SAFETY
MANAGEMENT SYSTEMS
MANUAL
Author: Marine Compliance Manager Published by: Marine Compliance Manager Document ID: ML0207
Owner: Harbour Master (SMS & VTS) Review Date: 13/11/2020 Review Due: 13/11/2021
DOCUMENT RECORD APPROVAL
HM Marine
VERSION DATE DESCRIPTION BY CHK VTS / Managers
SMS Meeting
-1.4 Regulatory references divided into
tabulated groups and HRO revisions added.
-5.1 – Explanation on Risks, Hazards and All
Vessels Risk Type.
-6.1.8 SOSREP details added
6.1.3 minor change to extent of VTS service
area
-7.1.4 – Added requirement for monitoring
26 changes during hazard review process, PE
including the download and save of modified
assessments.
-7.3.3 – Added Dynamic Risk Assessment
-8.1 Redraft to include new Controlled
Document Library
-10.4.1 Incidents involving death or crime –
section added
Figure 1
Overview of Marine SMS components.
Rolling Action Marine Safety
Plan Plan
Management INCIDENT
Outstanding Action Plan
Objectives DATABASE
HAZARD
Compliance MANAGEMENT
PLA Act Monitoring Manuals and
DATABASE Procedures
& Byelaws Security &
Emergency
General & Panning &
Pilotage Procedures
Directions
PLA
Regulatory Framework Departmental Functions Environment
Team & Policy
Notices to
Mariners
Management
Standard Audit & Review
Navigational
Safety Policy
Contents
0.0 MARINE SAFETY MANAGEMENT SYSTEM PRINCIPLES 8
1.0 INTRODUCTION 9
1.1 Scope of the Marine Safety Management System 9
1.2 Port Marine Safety Code Requirements 9
1.3 System Components 10
1.4 Applicable National and Local Legislation 10
2.0 POLICY 12
2.1 Policy Development and Communication 12
2.2 Purpose and Use of the Policy 12
2.3 Commitment Statement 12
2.4 Policy Review 12
3.0 ORGANISATION 13
3.1 Functional Structure for the Management of Marine Safety 13
3.2 Responsibilities 13
3.2.1 The Board 13
3.2.2 Executive Committee (ExCo) 14
3.2.3 Chief Harbour Master 14
3.2.4 Marine Management Team (MMT) 14
3.2.5 Designated Person (DP) 15
3.2.6 Harbour Master (SMS & VTS) 15
3.2.7 District Harbour Masters 15
3.2.8 Harbour Master – Thames Tideway Tunnel 16
3.2.9 Departmental Managers 16
3.2.10 Navigational Safety System Coordinator 16
3.3 External Involvement and Responsibilities 16
3.3.1 Navigational Risk Assessment Working Group 16
3.3.2 Berthing Operations Working Group 17
3.3.3 River Users Consultative Forums 17
3.3.4 PLA Harbourmaster’s Recreational Navigation Group (PHRNG) 17
4.0 IMPLEMENTATION 18
4.1 Marine Safety Objectives 18
4.2 Initial Risk Assessment and Outstanding Action Plan 18
9.0 TRAINING 34
9.1 Competence Assurance 34
9.2 Marine Training 34
9.3 Safety Management Training 35
9.4 Task Changes 35
9.5 Refresher Training 35
9.6 Training and Competence Records 35
The Port of London Authority (PLA) Marine Safety Management System (Marine
SMS) is designed to deliver the relevant requirements of the Port Marine Safety Code
(PMSC) and is also based on principles embodied in guidance published by the
Health and Safety Executive (HS(G)65).
The PLA’s Navigational Safety Policy defines the organisation and arrangements that
the PLA has established to monitor, promote and proactively manage the conduct of
navigation and associated marine activities so that safety is enhanced.
Figure 2 shows the links between Policy, the organisational structure and the
administration of the Marine Safety Management System.
Figure 2
Navigational Safety
Policy
Control Link
Information Link
Organisation &
Responsibilities
Performance
Improvement
Annual
Review
The provisions of the Port of London’s Marine SMS are set out in this Manual. The
purpose of this document is to describe, at a high level, the overall framework for the
management and co-ordination of marine activities necessary for the effective
facilitation of navigational safety. Based on the PLA’s Navigational Safety Policy, the
Manual describes primary accountability and procedures, communication and
monitoring regimes. The Marine SMS arrangements referred to in this Manual
comply with the requirements of the Port Marine Safety Code.
The Marine Management Team (MMT) is responsible for maintaining the design, the
overall content, approval and subsequent management of the Marine SMS. See
Section 3.2.4.
• Making risk assessment and risk control the basis of all marine activities,
procedures and regulations applied to or required of port users.
• Using risk assessment to identify the requirement for aids to navigation.
• Applying risk assessment to all harbour works.
• Subjecting wrecks to risk assessment and programming periodic review.
• Periodically reviewing the provision of safe anchorages.
• Maintaining systems to implement the findings of risk assessments.
• Identifying and designating safe pilot boarding and landing areas.
• Applying and adhering to current pilot transfer arrangement regulations.
• Reporting deficiencies on visiting vessels.
• Providing procedural advice for giving Directions in relation to dangerous vessels
or substances.
• Regulating the use of harbour craft and ensuring powers are sufficient to govern
the mooring of vessels.
• Maintaining and developing a competence based training scheme to support
delivery of all marine functions. This includes cross-training with tug crews.
• Maintaining appropriate plans and procedures for emergency response and
associated training\exercises.
• Using verification\audit systems.
• Harbour Masters
• Pilotage;
• Vessel Traffic Services;
• Hydrographic including marine conservancy; and
• Marine Services.
• Navigational Safety Policy (as well as the PLA’s Environment Policy and other
policies as appropriate)
• Marine Management Team
• Marine Conservancy Team
• Marine SMS Manual
• Risk Assessment and Risk Control Measures
• Pilotage Training Panel
• Hazard Management Database
• Incident Database
• Marine Outstanding Action Plan
• Staff Involvement and Consultation
• Navigation Risk Assessment Working Groups (as required)
• Pilotage Management Committee
• River User Consultative Forums (RUCF)
• PLA Harbour Masters’ Recreational Navigation Group (PHRNG)
• Records and Controls
• Audit and Review
Risk Control Measures are broad in nature, allowing for departmental ownership and
effective analysis. This is designed to allow easy identification of any failure points
and a clear route to correction, starting with departmental representation at reviews
on an as required basis.
National Legislation
Harbours Act 1964
Harbours, Docks and Piers Clauses Act 1847
Merchant Shipping Act 1995
Marine Safety Act 2003
Marine Navigation Act 2013
Dangerous Vessels Act 1985
Pilotage Act 1987
Aviation & Maritime Security Act 1990
Railways and Transport Safety Act 2003
Health and Safety at Work Act 1974
Civil Contingencies Act 2004
Manslaughter and Corporate Homicide Act 2007
Town and Country Planning Act 1990
(Internal)
Harbour Revision Orders (link)
(External)
Harbour Revision Orders (link)
The Navigational Safety Policy sets out the PLA’s intentions and commitment to
safety. It also describes the organisational responsibilities and arrangements
established to ensure that the Policy is implemented. The Policy contributes to
operational objectives and states the PLA’s commitment to meet its legislative
responsibilities. The fundamental objective of the Marine SMS is to demonstrate the
consistent application of this Policy.
PLA Policies which influence the management of marine safety are also identified in
Annex A
The Navigational Safety Policy has been communicated to PLA staff, port users and
interested parties through the PLA website and Staff Intranet. Copies of the Policy
are freely available and there is a continuing process of briefing and updating
information with regard to marine safety.
One purpose of this document is to show a link between the policies set by the Board
and the management arrangements, controls and provisions that discharge those
policies.
The Board (as Duty Holder) has confirmed and continues to confirm, as required, to
the Maritime & Coastguard Agency, compliance with the requirements of the PMSC.
Figure 3
Designated Person
Executive Committee
Chief Harbour Master
(EXCO)
Marine Director of
Pilotage Marine
Manager Operations
Marine
HM Tideway Port
HM SMS & VTS HM Lower HM Upper Services
Tunnel Hydrographer
Manager
VTS Operations
Manager
3.2 Responsibilities
Note: Delegation by the PLA Board is addressed in the Delegation of Authority document
maintained by the Secretary to the Board (See Annex C).
This role is key to ensuring that the Marine SMS fulfils the marine aspects of the
PLA’s statutory duties and relevant non-statutory obligations.
MMT members are individually responsible for the management and function of their
respective departments. The statutory and regulatory marine responsibilities
delegated to MMT members and others by the PLA Board are contained in the
Marine Delegation of Authority document – see AppendixC.
Other responsibilities and duties are contained within individual Job Descriptions,
which are signed as an acceptance and undertaking of those responsibilities, by the
individuals concerned.
• Provide independent assurance to the PLA Board that the PLA has an effective
and appropriate Safety Management System.
• Provide the PLA Board with independent and professional advice regarding the
PLA’s overall compliance with the requirements of the Port Marine Safety Code.
The Harbour Master (SMS & VTS) is also responsible for the management and
provision of the Vessel Traffic Service, supported by the VTS Operations Manager.
Note: To contact the Harbour Master (SMS & VTS), email VTSenquiry@pla.co.uk
They are responsible for the management of activities on the river, the removal of
hazards to navigation, enforcement and regulating the movement of dangerous
vessels.
They carry out investigations of all reported marine incidents within their respective
district (HM Lower - from Outer Estuary to Crossness and HM Upper - from
Crossness to Teddington) in compliance with the Navigational Incident Investigation
Procedure.
His responsibilities include the review and assessment of the project’s River Works
Licence applications and Marine Operations, including non-routine tows, as well as
being the point of contact for navigational matters concerning the project.
The Harbour Master (Thames Tideway Tunnel) works closely with the Harbour
Master (Upper), liaising on the project’s progress and potential cumulative impact of
the project with other activities on the river.
The District harbour Master maintains overall responsibility for the safety of
navigation.
Note: To contact the Navigational Safety System Coordinator or the SMS Team, email
safetymanagement@pla.co.uk
3.3 External Involvement and Responsibilities
The Harbour Master will normally request the involvement of a range of practitioners,
river users and specialists, relevant to the matter to be considered. The Group may
meet only once, or more times as may be required to meet its Terms of Reference.
NRAWG Terms of Reference will be set by the PLA’s Marine Management Team
(MMT) and each NRAWG will be asked to submit its recommendation to the MMT for
consideration by the PLA and thence to the Hazard Review Panel if appropriate.
The group contributes to the formal three-yearly review of the PLA Codes of Practice
for the Safe Mooring of Vessels on the Thames and Ship Towage Operations on the
Thames. It also reviews berthing operations incidents as requested, making
recommendations as necessary.
• A forum for raising and discussing issues, including safety, relating to the tidal
Thames, relevant to the PLA;
• A vehicle for consultation with the PLA, which contributes to meeting the
requirements of the Port Marine Safety Code and the supporting Guide to Good
Practice;
• A sub-committee of the South East District Marine Safety Committee, in
continuation of the role of the former River User Liaison Groups.
Each Forum normally meets on a six-monthly basis, but additional meetings may be
called as circumstances dictate. The Harbour Master (Upper) chairs the Upper
Forum; the Harbour Master (Lower) chairs the Lower/Estuary Forum.
The PHRNG normally meets at least twice in any calendar year (usually Spring and
Autumn), but additional meetings may be called as circumstances dictate and is
chaired by Harbour Master (Upper).
Section 4.1 lists the generic marine safety objectives on which the plan is based.
The Outstanding Action Plan reflects these objectives and incorporates the outcome
of subsequent risk assessments, hazard review panel recommendations and safety
associated recommendations, as approved by the MMT.
The overall purpose of the Action Plan is to collate all actions requiring
implementation, to identify the person responsible, and to set target completion
dates. The Plan also includes those departmental managers’ targets affecting safety
and arising from the annual review process. This provides a tool for continuous
monitoring by management of all objectives and recommendations requiring
implementation.
In summary, the primary objective of PLA’s Marine SMS is the implementation of the
Navigational Safety Policy. This is achieved by:
The archive also includes an audit record, which documents the outcome of the
scheduled proactive annual hazard review process, any incident review, and the
addition of any new risk and its associated assessment. Recommendations or
actions from the reviews are fed into the Outstanding Action Plan via the MMT.
The database is structured into 4 risk assessments; Estuary, Lower District, Middle
District and Upper District. This is largely due to the differing types of traffic in these
areas, as well as the difference in consequences of certain incidents.
Each Risk Assessment contains a list of Hazard Assessments. These are created by
combining risks and hazards. Risks are identified by the differing vessel types
operating on or visiting the river. Hazards are identified by the different potential
incident types these vessel types are susceptible to. For example, one Hazard
assessment may be entitled ‘Passenger Class V – Contact’.
This structure also allows for greater correlation between the Risk and Incident
Management databases.
The day to day maintenance of both the Hazard Management and Incident
databases is the responsibility of the NSSC. In particular, the job-holder:
Once a record has been initiated, additional information is included in respect of the
outcome of the Harbour Master’s initial investigation, and subsequently details of any
follow-up disciplinary action and/or prosecution. The Harbour Master’s findings and
recommendations (if any) of his navigational safety investigation are also recorded in
respect of the incident’s impact on the Marine SMS.
The Navigational Incident Database and Hazard Management Database are both
contained within the same platform. This allows effective cross-referencing of the two
systems, linking hazards to incident reports and vica-versa.
This means when hazards are reviewed, a full history of incident records inform the
review process, allowing for better assessment of likelihood and impact.
This set up allows for better analysis of control measures in order to identify where
they may be failing.
Control measures are owned by departments rather than individuals. This is so that
where control measures are identified to be failing, department representatives can
be invited to a review panel meeting to establish measures to enhance the control
measure or establish additional controls to mitigate the failures.
Tide gauges are maintained throughout the Port to provide real time observations for
safety of navigation and records on which to base predictions.
6.1.2 Pilotage
Pilotage matters are the responsibility of the Chief Harbour Master, who shall
determine, by a continual process of risk assessment, the identification of safe
boarding and landing areas and the safe transfer of pilots as required by the
appropriate current regulations. The pilotage service provided is administered
through best demonstrated practice and associated operational instructions and
guidelines.
The Chief Harbour Master, through the Marine SMS, (risk assessment) determines
the compulsory pilotage requirement in the Port.
Guidance and instruction for operational and maintenance aspects of VTS, and the
training and authorisation of VTS staff to internationally recognised standards, are
addressed in the VTS Manual. Certain hardware assets owned by the VTS function
may be listed as separate controls where deemed appropriate,
Note: Maintenance of other aids to navigation, including lights on berths is the responsibility
of other undertakers. PLA monitors the reliability and availability of all such aids to navigation
as the local lighthouse authority. Trinity House is responsible for the maintenance of aids to
navigation within port limits to the east of Sea Reach No.1.
Marine Services additionally provide the district Harbour Masters with a limited
capability to remove wrecks and obstructions and oil spill clearance. Such operations
are managed through guidance contained in the Marine Service Manual, Oil Spill
Contingency Plan and associated procedures.
The Deputy Harbour Master (Lower) holds the nominated PLA Emergency Planning
Officer post, and leads on the management and administration of PLA Emergency
Planning functions.
6.2 SOSREP
SOSREP is the Secretary of State’s Representative for Maritime Salvage and
Intervention, who is appointed under UK legislation to take control at salvage
incidents where there is a threat of significant pollution of UK waters.
During such an incident SOSREP has powers to give statutory directions to the
shipowner, master, pilot, salvor or harbour master. SOSREP is attached to the MCA,
but during an incident will usually be based near the scene so that he can liaise with
all the representatives of the concerned parties.
Building upon existing policies and initiatives, the PLA’s Conservation Management
Framework (CMF) is intended to facilitate this aim. It reviews the legislative and
policy background to nature conservation within the Port of London, describes the
main biodiversity resources and sets out actions and recommendations for
reconciling potential conflicts during the operation of the port in normal and
emergency conditions.
The CMF has been developed under a partnership with the Royal Society for the
Protection of Birds. The PLA and the RSPB entered into a partnership agreement on
1 April 2008, with a view to working together to share expertise and understanding, to
resolve potential conflicts and to maximise opportunities for enhancing nature
conservation in the Port of London. A member of the RSPB's South East England
Regional Management Team was seconded for fifty days to work with the PLA's
River Regime and Environment section, and the CMF is a key product of that
secondment.
An important component part of this system is that vessels navigating the port,
whether subject to pilotage or not, are maintained to appropriate standards, and
operated in a competent manner commensurate with the relevant national and
international legislation. Unfortunately, this is not always the case.
Thus it is incumbent on the PLA to put in place checks that vessels are compliant
with (for example) the ISM Code, and that their method of operation, state of
equipment or manning competencies do not compromise the ALARP levels already
arrived at by risk assessment. This is also something that has been promoted by the
MAIB in accident reports.
Compliance Measures
The PLA has therefore put in place a series of checks, triggers and reports, which
attempt to confirm, as far as possible, the compliance of vessels entering or leaving
the port limits.
This vessel compliance initiative is integral to and supports the PLA’s Enforcement
and Prosecution Policy. The measures adopted are subject to regular review and
revision in the light of experience.
In reviewing identified hazards and risk control measures PLA management will
involve PLA marine staff and practising port users as appropriate. It may also, on
occasion, involve external specialist consultants.
The review of hazards and control measures are prompted by three circumstances:
• Planned, periodic, formal review of established hazards and risk controls,
initiated by the Hazard Management software and reinforced by the SMS
department;
• Review of hazards and associated risk controls following an incident; and
• The identification and assessment of any potential hazards arising from changes
to circumstances including the introduction of a new or change to a trade and/or
marine operation.
The process used to implement, modify or develop the Marine SMS is shown in
Figure 4 below.
Figure 4
Marine SMS Review Process
Regulatory
Framework and Marine Incident
New or amended
Publications Investigation
Risk Assessment
Review (OP 02.15)
(OP 02.34)
Hazard, Incident
Staff Input
Decision or Document
Owner
River Users
Hazard Review
Consultative
Forum (RUCF)
Recommendations
External
Pilotage Consultation
Management (OP 02.34)
Committee
(PMC)
As Appropriate
Marine As Appropriate
Management
Pilotage Training
Team Meeting Chief
Panel Exco
(MMM) Executive
As Appropriate
Marine SMS
Input to Hazard
Implementation PLA Board
Management
Update SMS Approval
Database
Action Plan
River Users
Consultative
Forum
(RUCF)
These reviews will be predominantly desk based unless the reviewer believes a more
enhanced review is required. At this point a panel of relevant stakeholders will be
convened.
Enhanced reviews will comprise of Marine Managers and a Sea and River Pilot. This
schedule and methodology ensures that all currently identified hazards are reviewed
annually and effectively.
An annual Hazard Review Panel meeting takes place to assess those hazards that
have had serious/very serious incidents during the year, analyse trends, scrutinize
the top 5 hazards and assess the progress of SMS recommendations and actions in
the previous year, in relation to the hazard database. Changes to controls are
identified in order to support the hazard review process in the following year.
7.1.4 Monitoring
The SMS department are responsible for maintaining oversight of the Risk
Assessment at review process and maintaining an auditable record of changes to
these assessments.
The Hazard owner, when making changes, should notify the SMS department of
what changes are made and when. Its is the SMS departments responsibility to
ensure these changes are logged and a copy of the modified assessment is
downloaded from the Risk Management Database and saved.
7.3.1 Methodology
The general risk assessment process used is based on that adopted by the
International Maritime Organisation (IMO). This formal approach involves the
following five sequential assessment stages, applied in appropriate depth:
Hazards are then ranked according to their numerically scored total risk level. It is
the principle aim of the ongoing hazard review process to actively manage the risk
control measures associated with each hazard and attempt to reduce the level of risk
and therefore the ranked score, to as low as reasonably practical (ALARP) at each
review.
There is no predefined score for ALARP, as it is recognised this will vary depending
on the Hazard being assessed.
Definitions for each of the severity terms used is as per below table:
Impact Rating Guidance (Severity)
Score Descriptor Indicative outcome
(marine related)
1 Minor - Minor injuries
- Insignificant impact on environment and port operation.
- Insignificant or no damage to vessel/equipment/structure.
- Little or no risk to company image.
- Insignificant port costs. *Guidance: up to £5000*
2 Moderate - Moderate injuries requiring treatment/intervention
- Minor impact on environment and port operation with no lasting effects
- Vessel/equipment/structure incurs minor damage but remains in service/safe
to use. Some adjustments to working/operational methods may be required.
- Local news coverage and control measures required to manage publicity.
- Moderate cost implications for Port. *Guidance between £5000 & £50,000*
3 Serious - Major injuries that a person recovers fully
- Limited impact on environment and port operation with short term or long
term effects.
- Vessel/Equipment/structure unoperational and in need of repairs.
- Regional news coverage with potential for reputational damage.
- Serious cost implications for Port. *Guidance between £50,000 & £250,000*
4 Very Serious - Major injuries with long term effects (Life changing incident)
- Significant impact on environment and Port operation with short term or long
term effects
- Vessel/Equipment/Structure unoperational and in need of extensive
repairs/dry docking.
- National news coverage with significant potential for reputational damage
- Very Serious cost implications for Port. *Guidance between £250,000 &
£500,000*
5 Severe - Fatalities.
- Serious long-term impact on environment and/or permanent damage.
- Serious long-term impact on port operational effectiveness.
- Vessel/Equipment/structure unsalvageable.
- International news coverage with severe potential for reputational damage.
- Severe cost implications for Port. *Guidance over £500,000*
Guidance costs are provided for the cost implications to the port. It is understood that
accurate figures for considered scenarios can be difficult to predict. It is therefore
advised that these are guidance only and are not to be considered definitive when
balanced against the terminology for the severity bracket.
Again, dependent on the hazard being assessed the interpretation of the descriptor
may vary. Therefore, the definition provided simply expands on the descriptor without
providing time scales or windows. Experience from the hazard owner will once again
inform the application of this scale.
Combining the severity and likelihood provides a total risk score. This is the score
that is to be reduced to ALARP. Whether this has been achieved is determined by
the hazard owner and/or when appropriate, the combined experience of a review
panel or working group, based on the knowledge and experience of those involved.
It is unlikely that DRAs will be formally recorded, evidence of the process taking place
will be limited. Nevertheless, during audit and inspection exercises, evidence may
present itself in the form of discussion or log entries, whether that be specific mention
of a dynamic risk assessment or evidence of how thought processes have lead to
decisions being made.
Over time, some of these dynamic assessments may lead to a review and revision of
the planned/formal risk assessment. This should be recorded accordingly.
Within the scope of the Port’s Marine Safety Management System, a Hazard Review Panel
is established to provide expertise and advice in ensuring a robust review is conducted of all
hazards and controls that are identified within the Port’s Hazard Database, on behalf of the
Duty Holder (the Board) of the Port of London Authority.
The Port is divided into four distinct areas to enable the panels to conduct a detail review of
the hazards within each. Those areas are as follows:
The SMS Department will coordinate with the district Harbour Masters to ensure that each
hazard within their respective registers is reviewed annually.
• Reviews will be typically desk based by the hazard owner. However, Review Panels
can be convened at any time when a more robust review is deemed appropriate.
• When circumstances dictate, such as a large number of linked incidents or a high
severity rating incident, a hazard may be reviewed outside of its annual review cycle.
• At the end of the year, a Hazard Review Panel meeting (both an upper and a lower)
will convene for an SMS overview of the previous year:
o Assess those hazards that have had serious/very serious incidents during the
year
o A trend analysis carried out by the SMS team and presented for discussion.
o A detailed scrutiny of the top 5 hazards
o Any other hazards require review, as advised by the Harbour Master Teams
ensuring consistency across the hazard database.
The meeting findings will form part of the SMS’s annual / end-of-year report.
The CDL consists of two Sharepoint sites. These are the public and administration
libraries. User guides are available for both. The public library holds and provides
access to read only versions of all documentation. Forms are available for download
and remain fillable. Links are provided via the Chief Harbourmaster’s home page on
the PLA intranet, providing easy access to all Port Marine Safety Code
documentation, as well as links to pages filtered for each department.
The administration site provides access to all documentation, but also provides the
toolset for reviewing it. This includes version control, approval workflows and
templates for the creation of new documentation.
The Marine Compliance department will confirm the requirements of the PLA’s
Quality Management System and the document control procedure such as correct
formatting, headers and footers prior to publication. The SMS department is also
responsible for monitoring the review schedule and prompting document owners
where required. Documents subjected to minor change and amendments are
reissued after a practical number of changes have occurred.
A document within the CDL Administration site can be reviewed at any time. All
changes are saved automatically as part of the review process and the system
automatically saves a full version history.
The creation of a new document works in much the same way. New documents can
be created from easily accessible templates.
When ready for publishing triggers are available that will send the document to the
department head for approval. The department head can either accept the changes,
which will send the document to the Marine Compliance team for publication review,
or reject it, which will send the document back to the person who reviewed it. Each of
these steps allow the user to insert comments to inform of changes and provide
feedback.
Departmental manuals provide direction and guidance on the core functions of the
department. They also provide an overview of recruitment, training and, as
appropriate, authorisation procedures and standards.
Forms are designed to support functions and/or processes allowing for the recording
and/or submission of appropriate information for a given occurrence or task.
Figure 5 below describes the departmental operational manual structure relevant to the
Marine SMS.
Figure 5
Marine Safety Management System Manuals
Marine Safety
Management System
Harbour Masters
VTS QMS Emergency Plan Pilotage Manuals SMS Manuals
Manual
After approval from the Marine Management Team, it will seek the views of port
users through a Safety of Navigation Consultation Notice. These notices provide
details of the reasons for the proposed changes, identify the change and any impact
they may bring.
The PLA will review the comments and suggestions and consider what changes are
appropriate to be made to the draft proposals, producing a feedback matrix which is
placed on the PLA website.
All new/changed regulations – byelaws and directions are also approved by the PLA
Board.
Stage 1: Pre-Job
A person shall not be permitted to undertake work until the entry-level criteria have
been satisfied. Entry-level requirements are normally defined within the relevant job
description and vacancy notice.
Stage 4: Competence
A person may be considered competent once he/she has completed all necessary
induction training and has been assessed either by his/her supervisor, or by formal
assessment on completion of OJT.
Training of Pilots
Responsibility for the development, provision and maintenance of the training of
Authorised Pilots, Pilot Exemption Certificate Holders and Local Navigational
Certificate Holders has been delegated by the MMT to the Pilotage Training Panel.
The Terms of Reference for the Pilotage Training Panel is included at Annex C.
Our key objective under the Navigational Safety Policy is to investigate all
navigational incidents and near misses to determine the cause. This is with the aim of
reducing the incidence and severity of occurrences, whilst informing the risk
assessment process and deciding whether an offence has been committed.
A dedicated Marine Incident / Near Miss report form has been made available for
reporting incidents. The form can be downloaded from both the PLA intranet and
website. All reports are acknowledged, and an estimated timescale given to the
reporter for completion of the investigation, after which the outcome of the
investigation is conveyed.
Duty Officers and Duty Port Controllers have access to an incident reporting portal to
submit notification of incidents, allowing automatic notification to the relevant parties.
Incident
In relation to the Marine SMS an incident is defined as:
Near Miss
Note that the inclusion of ‘liable to cause’ brings Near Misses into the definition of
incident.
Deficiency
For Commercial Shipping, these are reported to the Maritime & Coastguard Agency
(MCA) if they fail to comply with the requirements of international conventions (i.e.
SOLAS, MARPOL, STCW, etc.) automatically when entered into the incident
reporting system. Our POLARIS system is also updated to record the deficiency on
the vessel and to notify the vessel’s agent.
10.2 Investigation
The district Harbour Master is responsible for the investigation of marine incidents in
accordance with the Navigational Incident Investigation Procedure, both from the
Marine SMS perspective (i.e. the cause/circumstance of the incident-) and in the
regulatory sense (whether there has been a breach of PLA or other regulations - see
Section 7.1.2.).
The requirements of the Marine SMS and enforcement investigations may conflict -
the PLA Enforcement Manual addresses this issue in detail.
Timescale objectives for investigations are as follows:
o Minor/Moderate incident investigations to be completed within 4 weeks
o Serious, very serious and severe incident investigations to be completed, with the
Harbour Master’s Incident Investigation Report submitted to MMT, within 6 weeks
Upon completion, the reporter and/or the involved parties are notified of the findings
of the Harbour Master’s investigation. Where Investigation Reports are produced for
serious, very serious and severe incidents, these are provided to the persons
involved, as well as disseminated as per section 9.5 ‘Promulgation of lessons
Identified’ below.
Education
Educational enforcement of the PLA’s regulations either verbally or in writing.
Educational enforcement is used where a minor breach against a PLA regulation has
occurred, which did not lead to a dangerous situation and the offender is unaware
that they were in breach of a PLA regulation.
Informal Warning
A verbally given informal warning where a breach of PLA regulations has occurred
that has lead or may have lead to a near miss or dangerous occurrence and a formal
warning is deemed excessive.
Formal Warning
A written formal warning when there is a clear breach of the PLA’s regulations or the
COLREGs, which has led or may have led to a near miss or dangerous occurrence
or incident and the attending PLA officer deems a Formal Warning to be appropriate.
Formal Reprimand
A formal reprimand when there is a serious breach of the PLA’s regulations, which
has led to a dangerous occurrence or incident and the attending PLA officer deems a
formal reprimand the appropriate level of enforcement.
Prosecution
Follows any action by an individual that has resulted in an offence being committed
against PLA regulations; and where the district Harbour Master, supported by legal
advice, has recommended to the Chief Harbour Master that a prosecution should be
initiated.
Reports which identify lessons pertinent to Pilots and VTS Officers are placed onto
the PLA’s River Information System to be viewed, which is used by Pilots and VTS
Officers regularly. Additionally, minor/moderate reports and/or near misses are
placed onto the PLA Intranet.
When a trend is identified, the PLA issues Safety Bulletins to bring these trends to
light, as well as provide guidance to river users in order to reduce the likelihood of an
incident reoccurring.
Serious, very serious or severe incidents should be closed out within 10 weeks from
the date of the PLA being informed of the incident.
An analysis and report of these KPIs is contained within the Quarterly and Annual
SMS reports.
Note: Incidents which involve a prosecution will fall under the 10 week Incident KPI, regardless of
their allocated severity.
Notes:
1. Ashore and Non-Navigational investigations involving PLA staff will usually be lead by the
departmental line manager, reporting to Health Safety & Wellbeing (HS&W). HS&W may choose
to lead on high profile incidents or serious, very serious or severe incidents.
2. If an incident lead by HS&W (or line manager) leads required the MAIB to be informed, a Harbour
Master is to be advised at the earliest opportunity.
3. HS&W are to be informed at the earliest opportunity of navigational incidents that result in a
personal injury to PLA staff. HS&W will investigate the injury only and provide narrative input to
the Harbour Masters investigation report
4. For non-PLA staff / vessel incidents the Harbour Master is responsible for the investigation;
including on board accidents involving confined spaces, personal injury, etc.
5. There may be instances where it is not immediately apparent whether HS&W or a Harbour Master
should lead on an investigation. In these instances, a mutual agreement should be sought where
one department should lead (and own the investigation report & resulting statistics) and the other
should provide narrative input as appropriate.
The responsibility for conducting compliance monitoring currently lies primarily with
departmental managers (MMT) and the Marine Services Manager. However, these
managers must ensure that all levels of management are involved in the monitoring
regime.
The SMS department submits a six monthly and annual report to the Marine
Management Team (MMT) in this respect and ensures that all such records are
available for inspection, as and when required. These reports are considered by the
MMT.
In order to comply with the requirements of the PMSC, the PLA will ensure
appropriate internal and external audits of the Marine SMS are undertaken at
appropriate periods. This will include audits or reviews undertaken by the appointed
‘Designated Person’.
12.1 Audit
12.1.1 Objectives
Audits are conducted to achieve the following objectives:
• To determine if the Marine SMS is being operated in accordance with the PLA’s
Navigational Safety Policy and the provisions of the PMSC.
• To monitor the overall effectiveness of the system.
• To identify and implement ways of improving overall performance.
• To confirm that relevant procedures are understood and being actioned by those
involved.
The intention of the audits is to ensure a high level of proficiency and effectiveness of
the various functions which fulfil the requirements of the SMS. Where appropriate,
ways in which the Port can enhance the way it carries out its duties may be identified
and any best practice can be shared across departments.
The scope of this audit system includes the areas which fall under the remit of the
Chief Harbour Master, as well as the Chief Executive:
• Chief Executive
• Chief Harbour Master
• Upper and Lower Harbour Master Districts
• VTS
• Pilotage
• Safety Management Systems
• Harbour Patrols
• Pilot Cutter
These audits are in addition to any LRQA or ISO audits applied to the PLA in
general.
Further details are contained within the ‘Internal Auditing Manual – Safety
Management Systems’ document.
4. Internal consultation
Where the PLA is required or wishes to make a representation on an external
consultation or amendment to legislation, this is shared internally with
appropriate heads of department and a PLA response coordinated by the Marine
Compliance Manager
PLA POLICIES
Navigational Defines the organisation and arrangements the PLA has established to monitor, promote
HM (SMS & VTS)
Safety Policy and proactively manage the conduct of navigation and associated marine activities
Supplements the internal healthcheck system (see section 11.1.4)
Quality Policy Management Systems
Review of strategy and business plans
Environmental Commitment to the sustainable development of the river and estuary in accordance with
Environment
Policy the Marine Policies.
Continuously improve health and safety performance by adopting industry best practice
Health & Safety including guidance from Port Skills and
Health and Safety
Policy
Safety and The Port Marine Safety Code.
Drug & Alcohol The enforcement of The Merchant Shipping (Alcohol) (Prescribed Limits Amendment)
Human Resources
Policy Regulations 2015 and Railways and Transport Safety Act on Marine Staff.
Port Security Summarises the PLA’s responsibilities in respect of security matters in the wider port
Port Security Officer
Policy environment and the PLA’s internal security culture and arrangements.
Encourages employees to report malpractice in areas such as Marine Safety, health and
PLA's Whistle safety or fraudulent, discriminatory or dishonest practice, outlining procedures and
Human Resources
Blowing Policy protections in place to do so.
The retaining of documents for 7 years (except those specifically required to be
Retention Policy Legal maintained for longer as a matter of law.) Assists with recording and reference of
decisions made.
To discharge the duties and exercise the powers given to the PLA by Parliament in the Act
Delegation of
Secretary to the Board and otherwise, both directly and by delegation as the Authority considers appropriate.
Authority (See Annex D)
TERMS OF REFERENCE
NB ToR for all meetings are reviewed by MMM as circumstances require, but the review
process is usually every three years
Terms of Reference
Introduction
The Port of London Authority (PLA), as statutory Harbour Authority, is responsible for the
management of navigational safety in the Port of London. It is obliged, under the
requirements of the Port Marine Safety Code to maintain a navigational safety management
system (SMS) based on formal risk assessment.
Whilst the PLA involves port users and practitioners in continuing to develop and maintain
the SMS, it is the PLA Board members (as Duty Holder) who are responsible for navigational
safety in the port.
The PLA Board delegates responsibility for day to day navigational management decisions
to the Chief Harbour Master, who in turn is supported by five specialist marine departments:
• Pilotage
• Vessel Traffic Services
• Harbour Masters
• Hydrographic Services
• Marine Services
The PLA’s Marine Management Team (MMT) is made up from the managers of the above
departments. MMT has a broad remit in respect of the management of marine operations
and holds a Marine Management Team Meeting (MMM) at least 6 times per year.
Terms of Reference
Practical examples of its day-to-day work include the regular review of navigational incidents
and trends, and the development of terms of reference for Navigational Risk Assessment
Working Groups (NRAWGs). It will also review NRAWG reports and consider any associated
recommendations.
Membership
Administration
The PA to the Chief Harbour Master will provide the secretariat and administrative support to
the MMM.
Records
Minutes of all meetings, including any ad-hoc working groups and correspondence will be
kept to provide a robust record of proceedings and the factors affecting decisions made.
Period of Review
These Terms of Reference will be included in the Marine SMS Manual and will be reviewed
by MMT as circumstances require, but on at least a three-yearly basis.
Terms of Reference
Introduction
Within the scope of the port’s navigational Safety Management System (SMS) the following
Pilotage Policy applies.
Pilotage Policy
The Port of London Authority (PLA) is a Competent Harbour Authority (CHA) within the
meaning of the Pilotage Act 1987 and publishes Pilotage Directions. The Port of London
Pilotage Directions defines the London Pilotage District and the requirements for compulsory
pilotage within it. They also lay down regulations under which Pilotage Exemption
Certificates (PECs) are issued and administered in that District.
PLA Board policy in respect to pilotage is to:
• Ensure that the operation of the pilotage service is compliant with national
regulations, guidelines and competency standards;
• Keep under review its Pilotage Directions to ensure that they based on formal risk
assessment and are fully in accord with the current navigational safety management
system;
• Maintain a competent and authorised pilotage force;
• Maintain a fully supported Pilotage Service, able to respond to all properly notified
pilotage requirements;
• Keep the means of boarding and landing pilots under review to ensure that these
operations are always undertaken as safely as possible;
• Administer the PEC system to ensure that all PEC applicants and holders fully meet
the requirements laid down in Pilotage Directions.
In order to support and achieve, where appropriate, the requirements of this policy, the
Pilotage Department has established a Pilotage Training Panel (PTP), which reports,
through the Chief Harbour Master, to the PLA’s Marine Management Team (MMT). The
Terms of Reference of the PTP are approved (and reviewed on a regular basis) by MMT and
are laid out below.
Terms of Reference
The PTP is responsible to the Marine Management Team for ensuring that the PLA
maintains and delivers an appropriate, effective and robust system of training of Authorised
Pilots, Pilotage Exemption Certificate Holders and Local Navigation Certificate Holders.
In order to meets its remit, the PTP will establish and undertake the following:
Authorised Pilots
In respect of the training regime for Trainee and Authorised Pilots:
• Keep under review the UK Pilots National Occupational Standards and training
requirements;
The training regime will include both in-house training and external courses as the PTP
deems necessary to achieve its aims.
The Simulator Instructors and Pilot Examiners will be Class 1 Unrestricted Pilots. Additional
members may be invited onto the Panel on a temporary basis, as necessary, in order to
assist with specialist advice and support.
MMT APPROVED
22/10/12
Reviewed with no changes - 14/11/16
Terms of Reference
Introduction
The Port Marine Safety Code requires that a port’s safety management system should
provide, wherever possible, for (ship towage) tug crews to train with pilots and other port
marine personnel involved in mooring and mooring vessels.
Previously the PLA had established two groups a Pilotage/Ship Towage/VTS Training and
Liaison Group and Safe Mooring Group looking at issues around ship towage, safe mooring
and unmooring operations to facilitate and enhance co-operation and training. The PLA in
consultation with members of the two groups has decided to merge the two groups into one,
which would be called the Berthing Operations Working Group to better facilitate cooperation
and training.
The following amalgamated Terms of Reference are therefore proposed, and, following
consideration by the new Berthing Operations Working Group, will be submitted to the PLA’s
Marine Management Team for approval.
The Berthing Operations Working Group will undertake the following functions, making any
associated recommendations for change and development to the PLA’s Marine
Management Team for endorsement, as required:
1. Review, on a regular basis, all existing, relevant marine operational procedures, and
propose improvements and refinements, as required;
2. Promote and improve safe mooring practices on the River from a practical and group /
individual health and safety perspective;
3. Monitor and review, on a regular basis, the associated berthing operations
training/liaison programmes, including, cross-discipline training and liaison, to ensure
the various elements remain current, necessary and appropriate; and to identify any
gaps and/or areas for improvement;
4. Keep under regular review, and contribute to the formal three-yearly review of the PLA
Codes of Practice for the Safe Mooring of Vessels on the Thames and Ship Towage
Operations on the Thames;
5. Undertake reviews of berthing operations incidents as requested, making
recommendations as necessary.
Administration
The Harbour Master (Lower District) will normally chair the group and will provide the
secretariat and administrative support for the Group. In their absence, the Deputy Harbour
Master (Lower District) will normally take the chair.
The Team Support Officer will act as Secretary for the Group; arranging venue, agendas and
taking the meeting notes. The meeting notes will be distributed as soon as possible after the
meeting, for agreement.
Frequency of Meetings
Records
Minutes of all meetings, including any ad-hoc working groups and correspondence will be
kept to provide a robust record of proceedings and the factors affecting decisions made.
Previous agendas and minutes will be publicly available on the PLA’s websites.
Period of Review
These Terms of Reference will be included in the Marine Safety Management System
Manual and will be reviewed by MMT as circumstance require, but on at least a three-yearly
basis.
Membership
MMT APPROVED
15.03.2017
Within the scope of the port’s Marine Safety Management System, the Port of London
Authority has established the PLA Harbourmaster’s Recreational Navigation Group (Upper)
(PHRNG(U)) to provide recreational river users with a forum to discuss matters concerning
recreational safety on the tidal Thames to the west of Crossness.
Frequency of Meetings
The PHRNG (U) will meet at least twice in any calendar year (usually Spring and Autumn)
with any business in the intervening period being conducted by electronic correspondence or
within smaller working groups.
Membership
Membership will be reviewed on a three-yearly basis, to ensure that the group remains
appropriate and current.
Administration
Assistant Harbour Master Recreation, will act as Secretary for the Group; arranging venue,
agendas and taking the meeting notes. The meeting notes will be distributed as soon as
possible after the meeting, for agreement.
Records
Minute of all meetings, including any ad-hoc working groups and correspondence will be
kept providing a robust record of proceedings and the factors affecting decisions made.
Previous agendas and minutes will be publicly available on the PLA’s websites.
Period of Review
These Terms of Reference will be included in the Marine SMS Manual and will be reviewed
by MMT as circumstance require, but on at least a three-yearly basis.
MMT APPROVED
13.01.15
* Editorial amendments to the title of the NMT meetings to MMT and attendees 01.06.2016
Terms of Reference
Background
Following the disbandment of the Port of London Authority’s (PLA) dedicated Emergency &
Contingency Management Team on 31st December 2012, the Chief Harbour Master and
NMT agreed that the PLA’s continuing statutory responsibilities and functions with regard to
contingency management and emergency planning will be undertaken by the combined
efforts of the marine departments, through a collective Emergency Planning Team, which
meets periodically or as required.
The Deputy Harbour Master (Lower) chairs the Emergency Planning Team and retains
responsibility for the overall coordination and delivery of the PLA’s emergency planning
provisions.
The Deputy Harbour Master (Lower) holds the nominated PLA Emergency Planning Officer
post and leads on the management and administration of PLA Emergency Planning
functions.
The provision of a central business continuity oversight capability was discontinued at the
end of 2012, and business continuity management is delegated to individual departmental
managers.
Terms of Reference
The PLA is a Category 2 Responder under the Civil Contingencies Act 2004. In addition to
supporting Category 1 Responders, the PLA co-operates with other relevant partner
organisations in the planning, response and recovery for marine emergencies. The
Emergency Planning Team (EPT) supports the Emergency Planning Officer in meeting our
responsibilities as a Category 2 Responder.
The PLA also has emergency planning and contingency management responsibilities under
the requirements of the Port Marine Safety Code. In order to meet both its statutory and
non-statutory duties in this respect, the EPT will:
• Provide dedicated liaison officers for the various Local Resilience Forums (LRF) and
their supporting committees and groups within the PLA area of jurisdiction.
• Review, develop and maintain the PLA’s annual Training & Exercise Plans and
Schedule in order to meet the PLA’s associated training and exercise requirements;
including assisting with plans for exercises and ensuring that the PLA conforms to
the MCA’s 2012 Guidance to Port’s (Annex J) for training & exercises in particular.
• In support of the DHM(SM), review as required the currency of the PLA’s Emergency
Manual and Oil Spill Contingency Plan, to ensure that they remain relevant and fit for
purpose.
• In addition:
• Each officer will review the relevant agendas and attend their respective
forums/committees, as directed by the LRF agendas where possible, and as a
minimum at least once per year.
Frequency of Meetings
The Emergency Planning Team (EPT) will meet once every two months or at least six times
in any calendar year with any business in the intervening period being conducted by
electronic correspondence or within smaller working groups as required.
Membership
Members will attend as operational priorities and the agenda dictate, but managers will seek
to ensure that each department has at least one representative at each meeting.
Administration
The Team Support Officer will act as Secretary for the Group; arranging venue, agendas and
taking the meeting notes. The meeting notes will be distributed as soon as possible after the
meeting, for agreement.
Records
Minutes of all meetings, including any ad-hoc working groups and correspondence will be
produced and kept on the G Drive to provide a robust record of proceedings and the factors
affecting decisions made.
Period of Review
These Terms of Reference will be included in the PLA Emergency Manual and
will be reviewed by NMT as circumstance require, but on at least a three-yearly
basis
NMT APPROVED
15.06.15
* Editorial amendment to reflect revised job titles 14.03.2017
The PLA is a Statutory Harbour Authority under the Harbours Act 1964 and a Competent
Harbour Authority under the Pilotage Act 1987. Certain powers are also granted to the
Authority under the Merchant Shipping Act 1995 and other legislation. The PLA is
subject to the requirements of the Port Marine Safety Code.
The Port Marine Safety Code identifies the PLA Board, collectively, as the ‘duty holder’
and as such members are collectively and individually accountable, and therefore
responsible for ensuring that marine operations within the port are managed safely and
efficiently. The Board fulfils these requirements by ensuring that all statutory and
operational responsibilities for marine safety are clearly assigned and has delegated
statutory and operational responsibilities. Where appropriate, responsible officers have
further delegated responsibilities to deputies and/or assistants. Individual responsibilities
in respect of marine operations have been formally acknowledged in writing through the
acceptance and signature of specific job descriptions.
Officers to whom those responsibilities are entrusted are accountable for their
performance.
DELEGATED
OVERVIEW OF POWERS AND/OR RELEVANT MARINE
POST RESPONSIBILITY/
DUTIES LEGISLATION/CODES AUTHORISATION /
FUNCTION
LEVEL
Chief Harbour Appointed Harbourmaster by the Port PL Act - s 5
Harbourmaster YES
Master Authority.
Authority Initiation of prosecution Pilotage Act 1987 1, 2 and 3
Prosecution under the Pilotage Act Pilotage Act 1987
Decision to initiate maintenance
PL Act - s 60
dredging
Harbour Master
(Lower) & District Harbourmaster Appointed District Harbour Master PL Act - s 5 YES
Designated Deputies
Power to give special directions PL Act - s 112
Restricting public use of the Thames PL Act - s 91 1, 2 and 3
Merchant Shipping Act 1995 - s
Removal of wrecks
252
Raise and remove sunken vessels PL Act - s 120
Removal of obstructions PL Act - s 121
Removal of projections PL Act - s 122
Port Hydrographer,
YES
Designated Deputies & Port Hydrographer Provision of hydrographic surveys PL Act - s 7
1, 2 and 3
Surveyors
Designated Person Designated Person Act as ‘Designated Person’ Port Marine Safety Code NO
Levels 1, 2 and 3
The holder is a Port of London Authority harbourmaster and has power to give directions to vessels on the tidal Thames and in the docks and
enter to inspect the vessels or to prevent or extinguish fires and to enter on land adjoining the Thames to survey and inspect works, landing places
and embankments, in accordance with the provisions of the Port of London Act 1968 and Thames Byelaws and Directions made under that Act.
Levels 2 and 3
The holder has been appointed by the Port of London Authority and has power to enter on land adjoining the Thames to survey and inspect works,
landing places and embankments, in accordance with the provisions of the Port of London Act 1968 and Thames Byelaws and Directions made
under that Act.