Marine Safety Management Systems Manual

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Version: 26

Marine SMS Manual Issued: 13/11/2020


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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

- New Scoring Matrices for Hazard Database


- Added Moderate and Severe to incident
severity levels
- Update to Hazard Review Panel ToR to reflect
resolver processes
25 Feb 20 - Update to reflect MMM ToR reviewed July PE
2019- Update of Incident Reporting Processes Deleted: ¶
- Removal of Navigational Safety Policy to sit as
independent document
- Other minor editorial amendments

Minor Editorial Amendments to reflect recent


changes within the department
24 Mar 19 PE SB SP
Addition of Deputy Harbour Master (SMS) and
removal of SMS Manager
New Navigational Safety Policy inserted.
Manual updated to consider comments from DP
audit in July 2017, which includes:
- Scoring matrices for Hazard Database
updated and now included in Manual
23 Oct 17 - ToR for HM (TTT) JB SB SP N/A
- Components of the SMS diagram reviewed
- Environment Policy and Conservation
Management Framework referenced.
- A list of national and local legislation
- Exercise matrix

Amendments to Marine Authorisation Table.


22 May 17 JB SB SP N/A
Removed all audit data over 3 years old.

Removal of Marine SMS diagram.


Alteration of Hazard Review process and
expansion of Incident Investigation, including
targets.
21 Mar 17 JB SB SP Approved
Editorial amendments to job titles and
organisational structure.
Replacement and update of various Terms of
Reference.

Document record pre 1st January 2017

DOCUMENT RECORD APPROVAL


Marine
VERSION DATE DESCRIPTION BY CHK HML Managers
Meeting

VERSION: 26 Review Date: 2March 2020 Review Due: 2 March 2021


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Inclusion of the Marine SMS diagram and Hazard
& Control Review Panels Terms of Reference in
Annex C.
20 Jul 16 Editorial amendments throughout the SMS DK SB 07.07.16 N/A
Manual to change the name of Navigational
Management Team (NMT) to Marine Managers
Team (MMT).

19 Jan 16 Reviews and Audits Record Summary DK SB 15.01.16 N/A

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Components of the Marine Safety Management System

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

Risk Assessment Consultation


PLA H&S Team
Codes of & Policy
Marine
Practice Departments

Organisation & Performance


Marine SMS Manual
Responsibilities Improvement

Management
Standard Audit & Review

Navigational
Safety Policy

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CONTENTS

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

5.0 MARINE SMS DATA 19


5.1 PLA Hazard Management Database 19

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5.2 All Vessels Risk Type 19
5.3 PLA Navigational Incident Database 19

6.0 RISK CONTROL MEASURES 21


6.1 Departmental Risk Control Functions 21
6.1.1 Marine Conservancy 21
6.1.2 Pilotage 21
6.1.3 Vessel Traffic Services 21
6.1.4 Harbour Patrol 22
6.1.5 Safety Management Systems 22
6.1.6 Marine Services 22
6.1.7 Emergency Preparedness and Response 22
6.2 SOSREP 23
6.3 Environmental Management 23
6.4 Vessel Operational Standards 24

7.0 SYSTEM OPERATION AND CONTROL 25


7.1 Marine SMS Review Processes 25
7.1.1 Periodic Reviews - Proactive 26
7.1.2 Post-Incident Reviews - Reactive 26
7.1.3 New Risk Assessments 26
7.1.4 Monitoring 26
7.2 Marine SMS Recommendations 27
7.3 Risk Assessment Standards 27
7.3.1 Methodology 27
7.3.2 Risk Level Criteria 27
7.3.3 Dynamic Risk Assessment 29
7.3.4 Hazard Review Panel 30

8.0 Document Control 31


8.1 Document Control Processes 31
8.2 Review process and approval workflows 31
8.3 Manuals, Forms and Operational Procedures 31
8.4 Consultation and Communication 33
8.4.1 Public Consultation 33

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

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9.7 Exercising 36

10.0 INCIDENT INVESTIGATION 37


10.1 Incident Reporting 37
10.2 Investigation 38
10.3 Agreed Actions 38
10.4 Enforcement Action 39
10.4.1 Incidents involving death or crime. 39
10.5 Promulgation of Lessons Identified 40
10.6 Incident Investigation Targets / KPIs 40
10.6.1 Minor/Moderate Incidents 40
10.6.2 Serious, Very Serious and Severe Incidents 40
10.7 Incidents afloat involving PLA craft or staff 40

11.0 PERFORMANCE MONITORING 42


11.1 Performance Measures 42
11.2 Compliance Monitoring 42
11.3 Records and Record Management 42

12.0 AUDIT AND REVIEW 44


12.1 Audit 44
12.1.1 Objectives 44
12.1.2 Independent Audits/Reviews by the Designated Person 44
12.1.3 External Audits 44
12.1.4 Internal Audits 45
12.2 Ongoing Internal Reviews 45
12.2.1 Review of relevant external information 46

ANNEX A PLA POLICIES 48


ANNEX B TERMS OF REFERENCE 50
MARINE MANAGEMENT TEAM MEETING 51
PILOTAGE TRAINING PANEL 53
BERTHING OPERATIONS WORKING GROUP 56
PLA HARBOURMASTER’S RECREATIONAL NAVIGATION GROUP (UPPER) 57
EMERGENCY PLANNING TEAM 60

ANNEX C MARINE DELEGATION OF AUTHORITY 62

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0.0 MARINE SAFETY MANAGEMENT SYSTEM PRINCIPLES

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

Management Planning &


Audit Implementation

Performance
Improvement

Annual
Review

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1.0 INTRODUCTION

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.

1.1 Scope of the Marine Safety Management System


The port's Marine SMS, as administered and managed by the PLA, applies to marine
operations and activities within the PLA's area of jurisdiction in the Port of London.
The scope of the SMS includes all:
• commercial 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 leisure and sports navigational activities; and
marine operations undertaken by any support or service organisation; including ship
and craft towage, pilot boarding and landing, mooring and line handling, dredging and
other marine services, and the navigational activities of other regulators, the
Emergency Services, Government Agencies and voluntary organisations.

1.2 Port Marine Safety Code Requirements


Marine SMS procedures and guidelines fulfil the requirements of the Port Marine
Safety Code including but not limited to, the following:

• 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.

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1.3 System Components
The Port of London’s Marine SMS focuses on the operational and administrative
output of the following marine departments:

• Harbour Masters
• Pilotage;
• Vessel Traffic Services;
• Hydrographic including marine conservancy; and
• Marine Services.

It includes the following components:

• 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.

1.4 Applicable National and Local Legislation


The following is a list of the main National and Local legislation applicable to the
PLA’s Management of Marine Activities:

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

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Dangerous Goods in Harbour Areas Regulations
2016
The Merchant Shipping (Vessel Traffic Monitoring
and Reporting Requirements) Regulations 2004
The Merchant Shipping (Accident Reporting and
Investigation) Regulations 2012
Merchant Shipping (Oil Pollution Preparedness,
Response and Co-operation Convention)
Regulations 1998
The Merchant Shipping (Alcohol) (Prescribed Limits
Amendment) Regulations 2015
The Port Security Regulations 2009
The Ship and Port Facility (Security) Regulations
2004
Conservation (Natural Habitats &c) Regulations
1994
Local Legistation
Port of London Act 1968 (As amended)
Codes
The Port Marine Safety Code
ISPS Code 2004

Locations of all Harbour Revision Orders:

(Internal)
Harbour Revision Orders (link)

(External)
Harbour Revision Orders (link)

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2.0 POLICY

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

2.1 Policy Development and Communication


The Navigational Safety Policy was developed by the Marine Management Team
(MMT) and subsequently approved by the PLA Board. Consultation is included
within this Policy, the application of which further aids the development of the Marine
SMS, ensures the involvement of all port users and stakeholders, and contributes to
compliance with the Port Marine Safety Code (PMSC).

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.

2.2 Purpose and Use of the Policy


The primary purpose of the Navigational Safety Policy is to provide an overall
standard for marine operations throughout the Port of London. It also provides a
reference point for a variety of operational decisions including the selection of
resources, the design and implementation of safe working practices.

2.3 Commitment Statement


The PLA Board, as “Duty Holder” under the PMSC and the body with ultimate
responsibility, has committed itself to comply with the requirements of the PMSC
furthermore; it is committed to ensuring that adequate resources are available to
discharge its navigational safety obligations.

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.

2.4 Policy Review


The Marine Management Team (MMT) undertakes a formal review of the
Navigational Safety Policy on a 3-yearly basis or more frequently as circumstances
dictate.

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3.0 ORGANISATION

3.1 Functional Structure for the Management of Marine Safety

Figure 3

Port of London Authority


THE BOARD

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

Direct Line of Responsibility


Deputy HM
Deputies Deputies
(SMS)

VTS Operations
Manager

3.2 Responsibilities

3.2.1 The Board


In respect of Marine Safety, the PLA Board:
• Discharges the duties and exercises the powers given to it, both directly and by
delegation, as it considers appropriate as permitted by the Port of London Act
1968 (as amended);
• Discharges the function of "Duty Holder" as defined in the PMSC, for which they
are collectively and individually responsible, by ensuring compliance with the
PMSC, and the safe management of navigation;
• Approves the strategy, policies, plans and budgets of the PLA together with its
strategic objectives; and
• Reviews the performance of the PLA against its strategic and operational
objectives, plans and budgets.
• Accountability for compliance with the Code cannot be delegated on the grounds
they do not have particular skills.

Note: Delegation by the PLA Board is addressed in the Delegation of Authority document
maintained by the Secretary to the Board (See Annex C).

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3.2.2 Executive Committee (ExCo)
For the purpose of the Marine SMS, ExCo is responsible for co-ordinating cross-
departmental projects, which may include or bear upon marine safety. It is also
responsible for budget preparation and resource planning. The Terms of Reference
for ExCo are:

• To provide a forum for discussion of cross-departmental issues so as to provide


advice to the Chief Executive and to take decisions as appropriate.
• To set the scope and general principles in respect of cross-departmental projects
and subsequently to monitor and co-ordinate their implementation.
• To evaluate and develop draft strategies, policies, plans, objectives and budgets,
and where appropriate, recommend them to the PLA Board for approval.
• To monitor PLA performance against its strategic and operational plans,
budgets, objectives, and the achievement of the PLA’s performance measures,
and to co-ordinate such actions as may be necessary from time to time to ensure
the achievement of these plans, budgets and objectives.

Note: To contact the Board or ExCo, email ExcoSecretaries@pla.co.uk

3.2.3 Chief Harbour Master


The Chief Harbour Master is appointed by the PLA Board to discharge the statutory
role of harbour master in accordance with the PMSC. He is responsible for delivering
the Navigational Safety Policy, authorising the initiation of prosecutions and keeping
the Chief Executive advised and informed.

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.

3.2.4 Marine Management Team (MMT)


The MMT Terms of Reference are included at Annex B:

The Marine Management Team comprises:


• Chief Harbour Master
• Harbour Master (Lower)
• Harbour Master (Upper)
• Harbour Master (Thames Tideway Tunnel)
• Harbour Master (SMS & VTS)
• Port Hydrographer
• Director of Marine Operations
• Marine Services Manager
• Pilotage Operations Manager
• Marine Pilotage Manager

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.

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3.2.5 Designated Person (DP)
In meeting its obligations under the PMSC, the PLA Board has appointed a
‘Designated Person’, who maintains a right of direct access to the Board.

The role of the ‘Designated Person’ is to:

• 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 Designated Person for the PLA can be contacted as below:

DP.London@abpmer.co.uk - 023 8071 1892 or 023 8071 1889


Designated Person (PMSC) 'Port of London Authority'
ABPmer
Quayside Suite | Medina Chambers | Town Quay | Southampton | SO14
2AQ
Web: www.abpmer.co.uk | www.portriskmanagement.com

3.2.6 Harbour Master (SMS & VTS)


The Harbour Master (SMS & VTS) maintains an overview of the Marine SMS and is
responsible for the effective functioning of the SMS as a whole. He is also
responsible for the overall distribution and dissemination of this Marine SMS Manual
to PLA staff and external bodies/port users. The provision of both of these functions
are supported by the Marine Compliance Manager

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

3.2.7 District Harbour Masters


District Harbour Masters are responsible for the safety of navigation in their district
and are supported by Deputy Harbour Masters.

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.

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3.2.8 Harbour Master – Thames Tideway Tunnel
The Harbour Master (Thames Tideway Tunnel) looks after the major infrastructure
project that is Thames Tideway Tunnel, which involves numerous construction sites
in the river, and reports directly to the Chief Harbour Master.

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.

3.2.9 Departmental Managers


Departmental Managers, including the Marine Services Manager, are responsible for
the development and implementation of appropriate procedures and guidelines to
contribute to the delivery of the Marine SMS and other supporting policies within their
operational area. In all cases, relevant staff and junior managers should be fully
involved and be able to contribute to such development.

In particular, within this overall remit, they are responsible for:

• Identifying and proposing solutions/risk control measures to mitigate any hazard


to safe navigation;
• Appropriate training of assigned personnel; and
• Maintaining overall navigational safety awareness.

3.2.10 Navigational Safety System Coordinator


The NSSC Is responsible for the maintenance and administration of the Hazard
Management database - the navigation hazard and risk control management system,
and the Navigational Incident database.

Note: To contact the Navigational Safety System Coordinator or the SMS Team, email
safetymanagement@pla.co.uk
3.3 External Involvement and Responsibilities

3.3.1 Navigational Risk Assessment Working Group


Navigational Risk Assessment Working Groups (NRAWG) consist of appropriate PLA
marine staff, and other relevant interested parties practising mariners whose
knowledge and experience is pertinent to the nature of any particular hazard, risk
control measure or new circumstance which such a panel is convened to consider.
Following any incident or change in circumstances the district Harbour Master or
MMT will consider the need to establish a NRAWG.

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.

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NRAWGs have been held to consider a wide range of issues including:

• Post incident investigation


• Un-scheduled review of navigational hazards
• Development of codes of practice or operational guidance
• Other specific matters such as the review of the impact of navigational safety of
a new trade or issues surrounding navigation in a particular area, such as
through bridges or the transit of large vessels through the Thames Barrier.

3.3.2 Berthing Operations Working Group


The Berthing Operations Working Group regularly reviews all existing, relevant
marine operational procedures and practices, proposing improvements and
refinements as required.

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.

3.3.3 River Users Consultative Forums


The PLA has a long established liaison with port users. The two River Users
Consultative Forums (Upper and Lower/Estuary) play an important role in monitoring
the performance of the Marine SMS and in reviewing relevant SMS issues.

The Forums have the following Terms of Reference, acting as:

• 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.

3.3.4 PLA Harbourmaster’s Recreational Navigation Group (PHRNG)


The PLA has a long established liaison with Recreational river users. The PLA
Harbourmaster’s Recreational Navigation Group (PHRNG) provides recreational river
users with a forum to discuss matters concerning recreational safety on the tidal
Thames to the west of Crossness.

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).

3.3.6 EMERGENCY PLANNING TEAM


Refer to Annex B

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4.0 IMPLEMENTATION

4.1 Marine Safety Objectives


As part of its duties and responsibilities the PLA annually reviews its Strategic
Objectives. To support those Strategic Objectives, the MMT also sets individual
Departmental Objectives, which include the ongoing maintenance and development
of the Marine SMS. In general, these objectives seek to:

• Reduce risks to as low as is reasonably practicable.


• Ensure all reasonably practicable steps are taken to identify the hazards and
risks arising from operational activities on the Thames.
• Ensure conformance with our navigational safety and marine policies, associated
operating controls and 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 Marine SMS awareness
programmes.
• Encourage employees to become more involved and participate in continually
improving our overall marine safety performance.
• Facilitate port user involvement in the maintenance of the Marine SMS and the
overall improvement in the provision of marine safety.
• Communicate PLA’s ongoing efforts and achievements in facilitating navigational
safety on the Thames to all stakeholders.
• Review the effectiveness of and continually improve the PLA Marine SMS.

4.2 Initial Risk Assessment and Outstanding Action Plan


The report of the PLA’s initial PMSC risk assessment, undertaken between October
1999 and May 2001, provided recommendations which, together with subsequent
recommendations arising from both proactive and reactive reviews of hazards and
risk control measures, formed the initial Outstanding Action Plan.

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:

• Providing the organisation, arrangements and resources to manage marine


activities safely;
• Recognising that people are PLA’s most important asset; and
• Ensuring that due importance and priority are accorded to navigational safety
issues.

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5.0 MARINE SMS DATA

5.1 PLA Hazard Management Database


The Hazard Management Database contains comprehensive details of all identified
navigational hazards, together with the associated risk control measures employed to
mitigate those hazards. All hazards are maintained within the system and are scored
based on the outcome of the risk assessment process. These scores will change
with time as the hazards and risk controls continue to be reviewed and reassessed.

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.

5.2 All Vessels Risk Type


Multiple vessels can often be exposed to the same hazards, with the same or similar
potential causes and consequences. For this reason, each Risk Assessment in the
database will contain Hazard Assessments using the Risk/Vessel Type ‘All Vessels’.
This assessment will cover off the hazards applicable to all vessels irrespective of
type/class when its deemed the causes and potential consequences are also
comparable. Vessels presenting unique hazards, or which due to unique
circumstances would present significantly different consequences when exposed to a
hazard, are assessed individually.

5.3 PLA Navigational Incident Database


The Navigational Incident database holds the details of all reported marine safety
incidents and other occurrences having significance to the maintenance of
navigational safety. The inputs are provided by the relevant district Harbour Master.

The day to day maintenance of both the Hazard Management and Incident
databases is the responsibility of the NSSC. In particular, the job-holder:

• Maintains, administers and interprets the Hazard Management database to


ensure effective support to the marine departments;
• Maintains, administers and interprets the Navigational Incident database to
ensure the effective recording, availability and archiving of marine incident
information; and
• Constructs and presents Hazard Management and Navigational Incident
information in reports as required and in an effective and appropriate format,

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such that the overall navigational safety performance of the port may be
reviewed and assessed.

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.

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6.0 RISK CONTROL MEASURES
Control Measures within the Risk platform are pre-defined and are broadly generic.
An approval process has been established for adding to the controls library.

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.

6.1 Departmental Risk Control Functions


The following is a brief overview of the risk control aspects of departmental functions.
This is intended and an overview only and is not limiting or exhaustive

6.1.1 Marine Conservancy


The Port Hydrographer has established an effective hydrographic survey programme
for the tidal Thames to establish and confirm the depths of channels and fairways,
and to inform the appropriate Harbour Master and port users of any shoaling,
obstructions and/or new wrecks identified during survey work. A risk assessment is
carried out on those new or repositioned wrecks, which pose a new or changed
hazard. A procedure exists for acting on the findings of the wreck risk assessment.

Tide gauges are maintained throughout the Port to provide real time observations for
safety of navigation and records on which to base predictions.

All hydrographic operations are managed through guidance contained in the


Hydrographic Manual and international best practice.

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.

6.1.3 Vessel Traffic Services


Vessel Traffic Services (VTS) are provided throughout and beyond the PLA port
limits. London VTS, through the Port Control Centre (PCC), Gravesend and the
Thames Barrier Navigational Centre (TBNC), Woolwich monitors and manages
vessel traffic within two separate areas of responsibility. These are:

• PCC Outer limits to Crayfordness


• TBNC Crayfordness to Teddington

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The Harbour Master (SMS & VTS) is responsible for the effective management of
PCC and TBNC.

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,

6.1.4 Harbour Patrol


A regular harbour patrol is maintained throughout the port to the west of Southend
with supporting administrative and regulatory functions, to assist in the effective
regulation and enforcement of the Navigational Safety Policy.

6.1.5 Safety Management Systems


This central support function includes the maintenance of an appropriate regulatory
framework, including the revision of byelaws, directions; and the publication and
promulgation of navigational information and advice e.g. Notices to Mariners etc.

6.1.6 Marine Services


The Marine Services Manager is responsible for the provision and maintenance of
navigational buoys and lighthouses between Sea Reach No.1 and Teddington.

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.

6.1.7 Emergency Preparedness and Response


The PLA has established emergency response plans and procedures to address
specific marine emergency incidents. Training exercises and seminars are
programmed on an annual basis to familiarise and update staff on these emergency
procedures and to exercise individual response actions. Appropriate Staff training
and emergency exercise records are maintained.

The PLA’s 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) 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 and business


continuity management is delegated to individual departmental managers.

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The PLA is a Category 2 Responder under the Civil Contingencies Act 2004 and has
statutory obligations under various legislation for the development and maintenance
of emergency plans and procedures.

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.

6.3 Environmental Management


PLA maintains an Environmental Policy, together with effective procedures and
control measures designed to ensure that the potential impact on the environment is
fully considered when planning or approving commercial and recreational activities
within the port.

The PLA’s Environmental Policy can be found on the PLA Website.

In addition to its general environmental responsibilities, the PLA has duties to


conserve and enhance biodiversity within the Port of London under several pieces of
legislation.

The relationship between safety of navigation, port development and nature


conservation must be managed with care to allow the delivery of potentially
conflicting objectives and to ensure compliance with the PLA's statutory duties and
environmental responsibilities.

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.

The PLA’s Conservation Management Framework is available to view online:


http://www.pla.co.uk/Environment/Conservation-Management-Framework

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6.4 Vessel Operational Standards
Introduction
The PMSC requires the PLA to manage marine operations and regulate navigation
within the port so as to reduce the risk of marine accidents and incidents to a level
where the risks are as low as reasonably practicable (ALARP). There are many
component parts to this process, including the risk assessment process itself, which
identifies active risk control measures such as the provision of Pilots, VTS services
and up to date hydrographic information.

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.

There is no guarantee that a compliance system can be 100% effective, however we


need to take every reasonable step to try and reduce the chances of a sub-standard
ship increasing the level of navigation risk.

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.

These measures include:

• PISCES – an ‘end to end’ port services system – one benefit of which is to


improve accuracy of Agent’s reported information.
• The compliance statement required by General Directions – vessels are asked to
confirm a number of things, including:
1. Charts and Navigational publications up to date;
2. A Port Passage Plan prepared;
3. The vessel is compliant with ISM code or, no deficiencies/defects in respect
of crew, navigational equipment, propulsion and manoeuvring machinery;
4. Arrangements have been made to provide appropriate mooring assistance
at the intended berth.
• VTS monitoring of ship passages – particularly self takers.
• Effective bridge resource management and appropriate support for the
embarked pilot.
• Harbour Master, Vessel Licensing or Marine River Inspector inspection.
• Referral for MCA or Flag Port State Control inspection.
• Compliance with relevant port security requirements (in conjunction with
individual port facilities).

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.

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7.0 SYSTEM OPERATION AND CONTROL

7.1 Marine SMS Review Processes


The identification and assessment of navigational hazards is central to the effective
maintenance of the Marine SMS. The PLA uses a Hazard Management database as
the basis for its continuing review of both new and existing hazards and their
preventative control measures.

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)

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7.1.1 Periodic Reviews - Proactive
The Risk Management Platform automatically schedules a review date of precisely 1
year after a Hazard Assessment has been published. This is also actively monitored
by the SMS department to ensure the annual reviews are taking place.

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.

7.1.2 Post-Incident Reviews - Reactive


Following a marine incident, the district Harbour Master will undertake an initial
investigation. For more significant incidents a structured investigation process has
been agreed to identify the contributing causal factors. This will establish whether
there has been a failure to comply with PLA regulations or internal procedures, and
whether further regulatory action is warranted. The Harbour Master will also
investigate the circumstances of the incident from a Marine SMS perspective and
establish whether there is a need to review the relevant hazard (linked to the incident
within the database) and its associated control measures. This review may involve
appropriate staff and practising river users and, dependent upon the nature and
outcome of the incident, the Harbour Master may convene an enhanced review
panel.

Any amendments to Hazard Assessments as an outcome of a review process are


reported to MMM through the SMS department.

7.1.3 New Risk Assessments


Whenever circumstances change to introduce activities into the port or to develop
existing activities, which are outside the existing scope of the Marine SMS, the district
Harbour Master will, in full collaboration with the relevant stakeholders, undertake a
risk assessment of the intended operation. This process is likely to include the
formation of a Review Panel – the outcome of which is fed into the hazard review
process.

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.

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7.2 Marine SMS Recommendations
Any recommendations arising from the deliberations of the Harbour Master and his
staff or a Hazard Review Panel will be passed to the MMT for consideration and
approval. Following such approval, any new or revised operational guidance will be
put in place, accompanied by training as necessary. Planned implementation will be
recorded in the Outstanding Action Plan and the completed hazard assessment
published in the Hazard Management Database.

ExCo will be informed, as appropriate, of plans to develop or introduce new risk


controls, together with any budgetary implications. Where appropriate, approval for
change will be underpinned by a PLA Board debate and decision.

7.3 Risk Assessment Standards

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:

• Data gathering and familiarisation


Review of the existing management structure, risk control arrangements,
policies, procedures and operational functions.
• Hazard Identification
Identification of potential hazards and mapping of existing control measures.
• Risk Analysis
Consideration of the likelihood of identified hazardous incidents and their
associated potential causes and consequences, including prioritising of their
risk factors.
• Risk Assessment
Comparison of risk factors with effectiveness of existing risk control
arrangements, and subsequent determination of additional control measures.
• Risk Control
Judgement and endorsement of specific control measures to be implemented
and managed through the Marine SMS.

7.3.2 Risk Level Criteria


The resulting risk level from each identified hazard is determined by numerically
comparing the potential severity of the consequences (against life, the environment,
property and the Port) and the likelihood of that hazard occurring.

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.

The scoring Matrix implemented for Hazard review is as per below:

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Risk Scoring Matrix Total Risk
Almost 5 10 15 20 25 Minor 1-3
Certain
Likely 4 8 12 16 20 Moderate 4-8
Possible 3 6 9 12 15 Serious 9-14
Unlikely 2 4 6 8 10 V. Serious 15-19
Rare 1 2 3 4 5 Severe 20-25
Likelihood Minor Moderate Serious Very Severe Severity
Serious

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.

Awareness should be maintained that in the majority of cases potential


hazards/incidents are unlikely to fit perfectly into a single severity bracket and it is left
to the Hazard owners discretion, based on knowledge and experience, to determine
the most appropriate category for any hazard being assessed.

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Guidance is also provided for the definitions of Likelihood:

                        Probability Rating Guidance (Likelihood/)


Score Descriptor Definition
1 Rare Very unusual - not common or frequent
2 Unlikely Not probable or likely to happen
3 Possible Might or might not happen
4 Likely Will probably happen or is expected
5 Almost certain More than likely

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.

7.3.3 Dynamic Risk Assessment


Dynamic risk assessment (DRA) is used to analyse a risk when carrying out any form
of activity – whether routine or unusual. This process helps an individual to assess a
situation as it develops in real time, adjusting their responses according to a
constantly changing scenario.

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.

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7.3.4 Hazard Review Panel
HAZARD REVIEW PANEL
Terms of Reference

Purpose of the Hazard Review Panel

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:

Harbour Master District &


Hazard Registers Area Limits
Hazard Review Panels
Teddington Lock to
Upper
Putney Bridge
Upper District
Putney Bridge to
Middle
Crossness
Crossness to
Lower
Sea Reach No.1
Lower District
Sea Reach No. 1 to
Estuary
Outer Port Limits

In particular the Review Panels will:


• Ensure that robust reviews of the hazards are conducted within each of the four
Hazard Registers annually.
• Assess whether existing hazards and control measures are ‘fit for purpose’ and if not,
amend, delete or establish new ones.
• Ensure that hazards, or changes to the hazards and control measures identified
outside of routine Hazard Reviews are fed into the review process in a timely
manner.

Frequency of Hazard Reviews

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.

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8.0 DOCUMENT CONTROL

8.1 Document Control Processes


All Safety Management System documentation is controlled centrally within the
Controlled Document Library (CDL) within Sharepoint. The system is owned by the
HM (SMS & VTS) and document owners (i.e. department heads) are prompted to
review documentation in accordance with an assigned review period, normally 1-3
years.

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 public site can be accessed via the following link:


https://thepla.sharepoint.com/sites/ControlledDocumentLibrary

The Administration Site can be accessed at the following link:


https://thepla.sharepoint.com/sites/CDLAdministration

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.

8.2 Review process and approval workflows


The CDL Administration site is utilised for the review and approval of all controlled
documentation. This is achieved through built in processes and templates designed
to simplify and automate processes.

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.

8.3 Manuals, Forms and Operational Procedures


The cornerstones of the PLA’s Marine SMS are the knowledge, skills and
competence of its employees, underpinned by appropriate training of individuals

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within the system. Operating controls in the form of departmental manuals, operating
procedures and/or forms reinforce this and are accessed via the public Controlled
Document Library linked in section 8.1 above. The different document types can be
easily filtered out and the system has a powerful search function built in to help with
locating documents quickly.

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.

Operating Procedures are produced by function, as deemed necessary, to describe


the activities to be carried out for each operational process or task, including any
precautionary measures that need to be observed.

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.

Operating Procedures may provide, where appropriate, the step-by-step instructions


for all or any of the following:

• What activities are to be done;


• In what sequence;
• By whom;
• When;
• On what frequency; and
• What records and paperwork to prepare and/or retain.

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

Sea Pilots Working Sea Pilots Working


Harbour Service
Rules & Rules & Enforcement
Operational
Operational Operational Manual
Instructuctions
Guidelines Guidelines

River Pilots River Pilots


Working Rules & Working Rules & Health Check
Operational Operational Manual
Guidelines Guidelines

Marine Pilot Marine Pilot


Training Manual Training Manual

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8.4 Consultation and Communication
Feedback from both PLA staff and other river users provides a vital Marine SMS
component. All are actively encouraged to be involved in the management of marine
safety. This includes input into the development and implementation of the Marine
SMS and its operational risk management controls.

Examples of consultation, involvement and communication employed by the PLA in


the maintenance of the Marine SMS include:

• Navigational Risk Assessment Working Groups


• River User Consultative Forums
• PLA Harbour Master Recreational Navigation Groups
• Berthing Operators Working Group
• Consultation Notices
• Byelaws and Directions consultation processes

8.4.1 Public Consultation


All the PLA’s local rules, codes of practice and guidance are reviewed on a rolling
three-year cycle. This helps to ensure that the regulatory framework remains current,
fit for purpose and relevant to port operations and the trades and vessels using the
port.

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.

Where general guidance or a code of practice is subject to review, we may simply


ask for views as to whether the code content remains current and appropriate and
seek suggestions for amendments and/or enhancements. Most consultation periods
normally run for at least 6 weeks and details are sent direct to appropriate
practitioners and users via email and posted on the PLA website. When PLA byelaws
are being reviewed, this informal consultation will always be followed by the statutory
formal public consultation administered by the Department for Transport.

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.

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9.0 TRAINING

9.1 Competence Assurance


The competence assurance process is linked directly to considered personnel
selection and recruitment procedures, relevant job descriptions and appropriate pre-
determined recruitment selection criteria.

Typically, the process comprises four stages:

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 2: Induction Training


All new staff, including any temporary personnel, will receive appropriate induction
training. This will take the form of general induction training common to all new staff,
followed by departmental induction training and operational briefings as appropriate.

Stage 3: Supervision and On the Job Training (OJT)


Once a person has been identified as suitable to fulfil a specific job function, that
person will be placed under the supervision of a competent person, who will
recommend when the person is considered competent. Alternatively, in certain
cases, this period of supervision may take the form of On the Job Training, following
which a formal assessment of competence is conducted.

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.

The principles of competence assurance are followed when recommending


authorisation of a Pilot Exemption Certificate.

9.2 Marine Training


Training is a key element within the Marine SMS. In order to ensure that personnel
are properly trained, the principles of job analysis and training design are followed. In
particular, the person responsible for marine training 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.

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.

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9.3 Safety Management Training
It is PLA policy that all Board members, marine managers, senior managers and line-
managers shall attend either a HR Induction Day or a one-on-one Marine SMS
Briefing to ensure that they are fully aware of the provisions of the Marine SMS, and
of specific roles and responsibilities assigned to them within this programme. The
topics covered in the SMS Briefing’s include:

• Overview of relevant PLA Byelaws, General and Pilotage Directions;


• Navigational Safety Policy;
• Outline of management and operating procedures, and their provisions;
• Principles of individual accountability and responsibilities;
• Formal and informal procedural controls in place; and
• Outline of response to emergencies and contingencies.

9.4 Task Changes


Changes to operational systems and/or safety critical tasks or activities will be
considered when:

• Employees transfer to different operating functions, tasks or work locations, or


where they are required to take on new responsibilities or to deputise for an
employee performing a different activity.
• There is a significant change in the work equipment or risk management systems
employed (this may also require a re-assessment of the risks).

9.5 Refresher Training


To ensure that staff remains abreast of developments and 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. This will ensure that
continued competence and skill levels are maintained in accordance with required
competence, pre-determined job requirements and/or risk control criteria.

9.6 Training and Competence Records


All training and instruction provided to employees will be duly recorded and stored
securely.

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9.7 Exercising
The below table shows the generic exercise matrix for Marine departments:
PLA Involvement
Exercise Frequency Harbour Marine Harbour Corporate
VTS TOSCA Pilot Cutter
Master Services Service Affairs
Major oil spill exercise – Full
3 Yearly x x x x x x
Deployment

Oil Spill Notification Exercise 6 Monthly x

Oil Spill Call out Exercise 6 Monthly x x x x


Major Incident Exercise
ClassV Collision in C. London
Annual x x x x x

MOB Exercise - Pilot cutter Monthly x


MOB Exercise - Harbour
6 Weekly x
Service Launch
VTS Switch Over Exercise
Annual x
PCC to TBNC
VTS Switch Over Exercise
Annual x
TBNC to PCC
TBNC Fall Back Centre Test Annual x

MEC Test - Woolwich 6 Monthly x x


MEC Test - Gravesend 6 Monthly x x

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10.0 INCIDENT INVESTIGATION

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.

In certain circumstances the Marine Accident Investigation Branch (MAIB) or


Maritime and Coastguard Agency may become involved. In such cases, the PLA will
take a provisional view of any failings of the Marine SMS and act upon them. A full
appraisal of the final outcome of any external investigation (following the publication
of any reports or the conclusion of any investigation, inquiry or prosecution) will
subsequently be undertaken and any remaining issues considered at that time. More
details on this, along with the full incident reporting procedure can be found in the
PLA Operational Procedures.

10.1 Incident Reporting


The PLA wishes to create an environment within which all marine incidents are
reported. PLA Thames Byelaws require that a master provides a report to the
Harbour Master should his vessel be involved in certain incidents. However, all are
encouraged to report other incidents, for only by understanding the causes and
avoidance measures adopted in all such circumstances can more serious incidents
be avoided.

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:

‘Any unplanned event which causes, or is liable to cause, an undesirable outcome’.

The above definition encompasses:

• injury or death to one or more persons;


• damage to property (i.e. vessels, port infrastructure or aids to navigation);
• damage to the environment;
• damage to port business (i.e. financial loss or damage to the PLA’s or the Port’s
reputation); or
• Non-compliance with a statute or regulation.

Near Miss
Note that the inclusion of ‘liable to cause’ brings Near Misses into the definition of
incident.

Examples of those to be considered include:

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• Situations where a vessel needs to take unconventional avoiding action.
• A vessel passing another so close as to create a risk of collision or interaction.
• A vessel passing so close to shoal water as to create a risk of grounding.
• A vessel passing so close to a structure as to create a risk of contact.

Deficiency

• Breakdowns which did not lead to an incident or near miss.

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

See section 9.6 for the Investigation Timeline.

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.

10.3 Agreed Actions


The Harbour Master’s findings and recommendations (if any) of his navigational
safety investigation are recorded in respect of the incident’s impact on the Marine
SMS.

Recommendations could be directed at the company / vessel in question – such as a


recommendation for the company to review their SMS or implement a particular
control measure, or could be recommendations internally for the PLA or the Marine
Safety Management System itself.

These may include:


• The initiation of a Navigational Risk Assessment Working Group to assess a
particular hazard and identify additional risk control measures.

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• Recommendation to the Hazard Review Panel to review the relevant hazard in
the Port Wide Hazard Database PLA Hazard Management Database.
• The issue of a Safety Bulletin
• Promulgation of identified lessons (see below)

10.4 Enforcement Action


Any enforcement action is taken forward in accordance with the Navigational Safety
Policy and the Enforcement Manual. The various levels of enforcement are
summarised 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.

A Formal Warning is held on PLA records for a period of 3 years.

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.

A record of prosecutions is maintained within the Safety Management System as well


as individual company or persons’ enforcement logged within the PLA’s Navigational
Incident Database. Prosecutions are also published online on the PLA website.

10.4.1 Incidents involving death or crime.


The Police will take primacy in any investigation involving death or crime. When
someone dies in a work-related incident or as a result of a navigational incident, a
number of different organisations will require to work with the Police to ensure that
the incident is investigated and that the reasons for the death are understood. The
PLA will conduct it’s own investigation into any potential causes, although this may
be hindered dependent on the sensitivity of the Police Investigation. The PLA will
work with the police to support their investigation where appropriate. Any

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documentation received from the police as a result of their investigation to be include
on the PLA’s report.

10.5 Promulgation of Lessons Identified


Summaries of Incident investigations for serious, very serious and severe incidents
are placed on the PLA website and internal Intranet, as are periodic SMS reports
which include trend analyses and incident statistics. Where investigations produce
lessons for a particular industry, company or user group. The lessons are shared
through regular liaison, River Users Consultative Forums or PLA Harbour Masters’
Recreational Navigation Groups.

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.

10.6 Incident Investigation Targets / KPIs

10.6.1 Minor/Moderate Incidents


The target for completion of minor or moderate incident investigations is 4 weeks
from the date of the PLA being informed of the incident. The incident should be
closed out within this time.

10.6.2 Serious, Very Serious and Severe Incidents


The target to complete a Harbour Master’s Incident Investigation Report for serious,
very serious or severe incidents is 6 weeks from the date of the PLA being informed
of the incident. Reports should be submitted to the Marine Managers Team (MMT)
within this time, for discussion at the subsequent MMT meeting.

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.

10.7 Incidents afloat involving PLA craft or staff


The following flow diagram clarifies the process of investigating and recording incidents and
accidents involving PLA staff; including the identification of investigation leads.

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HS&W Lead Incident Occurs
Ashore Afloat

Non PLA Staff or Vessel PLA Staff/Vessel

On a Marine Facility Afloat Navigational Non - Navigational

Facility Owner HS&W provides Narrative


HS&W Leads
Responsible input

Harbour Master Lead


IAW OP 02.15

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.

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11.0 PERFORMANCE MONITORING

The PLA performance-monitoring programme is designed to progressively improve


marine safety. By measuring key indicators, which reflect both the performance of
the PLA and that of port and river users, appropriate measures can be adopted and
introduced which further improve marine safety.

11.1 Performance Measures


The following measures are used to monitor marine safety and PLA performance:

• Facilitating the safety of navigation within the tidal Thames


1. Number of Maritime Safety Incidents.
2. Availability of PLA navigation lights and buoys.
3. Number of attributable ship delays.
4. Number of complaints re: attributable ship delays.

• Respecting Environment of Tidal Thames


1. Total number of reported pollution incidents.
2. Number of attributable pollution incidents, including safety incidents.
3. Number of prosecutions initiated.

ExCo reviews all PLA performance measures on a quarterly basis.

11.2 Compliance Monitoring


The day-to-day monitoring of marine safety management controls and provisions is
measured and checked through departmental monitoring regimes using the criteria
laid out in Section 4.

Evaluation of the level of compliance is achieved through:

• Proactive systems that monitor performance in relation to objectives and


operating standards; and
• Reactive systems, which investigate incidents and unwanted events.

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.

11.3 Records and Record Management


The SMS department, in liaison with the appropriate Harbour Master and Information
Systems support, is responsible for maintaining appropriate records in both the
Hazard Management and Incident Management databases. Such records are to
include a complete and accurate audit trail of the development and maintenance of
the Marine SMS.

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.

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In addition, departmental managers are responsible for identifying any supplementary
records they require to keep, and for establishing the necessary procedures and/or
guidance notes for keeping and retrieving these records, as related to their areas of
responsibility. All supplementary records kept shall also be made known to the SMS
department for information and/or use if required.

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12.0 AUDIT AND REVIEW

The auditing process of the Marine SMS requires an assessment of continuous


development and improvement and its responsiveness to events and changing
circumstances.

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 overall objective is to implement systematic, independent audits to support


continuous improvement in marine safety performance.

12.1.2 Independent Audits/Reviews by the Designated Person


The ‘Designated Person’ shall undertake periodic audits/reviews of the Marine SMS
for the purpose of assessing the following:

• The continued provision of an appropriate and effective Marine SMS.


• The PLA’s ongoing, overall compliance with the requirements of the Port
Marine Safety Code.

12.1.3 External Audits


The overall PLA management system is subject to and has been certified to ISO
standards. Accordingly, the PLA processes which contribute to the management of
navigation are subject to internal and external (LRQA) ISO audit in order to confirm
they continue to comply with the ISO standard. Further external audits of the
system by third parties will also be undertaken in order to inform the Duty Holder’s
periodic statement of PMSC compliance to the Maritime & Coastguard Agency (see
10.2).

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12.1.4 Internal Audits
A system of internal Audits and ‘Health checking’ has been established to monitor the
operational aspects of the PLA’s Navigational Safety remit.

This process is to ensure specific departmental functions’ compliance with PLA


procedures, policies, Safety Management System (SMS) and in turn, compliance
with the Port Marine Safety Code. This system will provide added assurance that the
plans, policies and procedures the PLA have in place are sufficient and are being
followed.

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.

12.2 Ongoing Internal Reviews


Reviews of SMS performance are carried out by the MMT as follows:

• Monthly - to review individual marine incidents and any developments to the


SMS arising from such incidents, and an appraisal of progress in implementing
the rolling Outstanding Action Plan;
• Annual SMS Performance Review – to review PLA performance against the
three-yearly Marine Safety Plan.
• Periodic External Audit – to submit to an external audit of the SMS and
compliance with PMSC every three to five years;

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12.2.1 Review of relevant external information
1. Sunk Area
Details of navigational incidents in the Sunk Area will be passed to the PLA by
Harwich Haven Authority VTS and/or Sunk VTS on behalf of the MCA. These
incidents will be reviewed approximately 6 monthly by the Sunk VTS Working
Group and issues will be passed to MMT as appropriate to determine any
relevance for the PLA SMS, and in particular for pilotage and VTS procedures.

2. MAIB Incident Reports and other international reports


The Marine Compliance Manager assesses all published MAIB Incident
Investigation Reports, as well as other international reports relevant to the
Marine SMS. The Reports, including lessons learned and/or consequences are
reviewed formally by MMT and/or promulgated to relevant marine staff, including
pilots.

3. Other Publications and Incident Reports


The same process is applied to any other relevant publications and reports, of
which the PLA becomes aware.

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

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ANNEX A

PLA POLICIES

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PLA POLICIES
Other PLA polices influencing the management of marine safety:

POLICY OWNERSHIP INFLUENCE ON MARINE SAFETY

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)

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ANNEX B

TERMS OF REFERENCE

NB ToR for all meetings are reviewed by MMM as circumstances require, but the review
process is usually every three years

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MARINE MANAGEMENT TEAM MEETING
(Formerly Navigational Management Team)

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

The purpose of the MMT is to:

1. Manage marine operations and implement conservancy measures in accordance with


PLA policies as approved by the Board.
2. Review and take appropriate action in respect of:
• all safety incidents and navigational occurrences, and the associated
recommendations of the investigating Harbourmaster and/or the subsequent
Navigational Risk Assessment Working Group;
• any identified trends in the nature or frequency of safety incidents and
navigational occurrences;
• the programmed assessment of hazards and associated risk control measures
and
• the outcomes of navigational, environmental or marine operations risk
assessments.
3. Develop and approve strategy, policies, plans and procedures in respect of
navigational and conservancy issues and marine operations.

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4. Oversee the regular review of PLA’s marine regulatory and enforcement framework in
order to ensure its continuing fitness for purpose.
5. Monitor the development of operational procedures, guidelines, recommendations or
"lessons learned" arising from (local or national) incident investigations and
programmed reviews of hazards and risk control measures.
6. Monitor navigational safety performance measures.
7. Continue to develop and expand the PLA’s understanding of the river and estuarine
environment and use this knowledge to manage marine operations in accordance with
best environmental practice.
8. Contribute, as appropriate, to the PLA’s strategic planning and monitor progress in
completing relevant objectives as identified in the Annual Strategic/Operating Plans.
9. Keep under review national best practice as prescribed in the (PMSC) Guide to Good
Practice and to ensure compliance within the PLA where appropriate.
10. Keep under review the PLA’s preparedness for emergency response.

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

The Marine Management Team Meeting (MMM) comprises:


• Chief Harbour Master (Chair)
• Harbour Master-Lower District
• Harbour Master-Upper District
• Harbour Master-Thames Tideway Tunnel
• Harbour Master -SMS & VTS
• Port Hydrographer
• Marine Pilotage Manager
• Marine Services Manager (as required)
• Pilot Representatives
MMT members are individually responsible for the management and function of their
respective departments.

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.

MMT Terms of Reference – revised and approved 11 July 2019

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PILOTAGE TRAINING PANEL

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;

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• Utilising the National Occupational Standards as necessary, formulate, adopt and
maintain an appropriate training syllabus for PLA Authorised Pilots (at all grades from
Trainee Pilot to Class 1 Unrestricted);
• Formulate, adopt and maintain appropriate training syllabi for PLA Authorised Pilots
undertaking specific pilotage duties i.e. Haven Pilot (tankers and container vessels),
River Pilot, Pilot Examiners and Pilotage Simulator Trainers; and
• Establish and maintain effective and robust examination and assessment regime for
Authorised Pilots.

The training regime will include both in-house training and external courses as the PTP
deems necessary to achieve its aims.

Pilotage Exemption Certificate (PEC) Holders


PEC training requirements are as set out in the current PLA Pilotage Directions and as
referenced in the Port Marine Safety Code and its associated Guide to Good Practice. In
respect of the training regime for PEC Applicants and Holders:
• Formulate, implement and maintain additional training and certification requirements
for PEC Holders for vessels greater than 145m loa; and
• Establish and maintain effective and robust examination and assessment regime for
PEC Applicants and Holders; and
• Keep the rules and regulations for the administration and use of PECs under regular
review, ensuring that they remain current and relevant to, as appropriate, the
Authorised Pilot training syllabus and regime.

Local Navigation Certificate (LNC) Holders


In respect of the training and assessment regime for LNC Holders and Applicants:
• Keep the rules and regulations for the administration and use of Local Navigation
Certificates under regular review, ensuring that they remain current and relevant to,
as appropriate, the Authorised Pilot and PEC training syllabus and regimes.

The PTP will also:


• Advise MMT of any changes made to the standard training, examination and
assessment syllabi and regimes;
• Seek MMT endorsement of any significant changes to the standard training,
examination and assessment syllabi and regimes;
• Design individual, competence based, “fast track” training packages for trainees who
have previously worked as authorised pilots for other authorities or with other
appropriate experience.
• Establish and maintain an appropriate and effective ongoing schedule of Pilot, PEC
Holder and LNC Holder training, examination and assessment in order to meet
operational and river users needs;
• Ensure that appropriate training, examination and assessment records are
maintained for all areas under its remit;
• Submit a regular report to MMT, providing a summary of all training, examination and
assessment updates, as appropriate; to include relevant information MMT may
require keeping up-to-date with training requirement, pilotage advancement and
progression.
• Oversee all aspects of Pilotage Simulator training; including trainee reviews,
assessments, tripping administration and monitoring conducted by assessing pilots
and examiners;

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• Establish and maintain procedures to facilitate the periodic re-validation of Pilots'
Authorisations, and PEC and LNC renewals;
• Contribute to the maintenance of the PLA’s regulatory framework by the periodic
review of PLA Pilotage Directions and Regulations, and General Directions as they
apply to provision of pilotage and local navigation services and associated training,
and submit any proposals for change to MMT.
• Produce proper records of meetings and maintain a robust audit trail of decisions.

The PTP will comprise the following members:


• Pilotage Resources Manager (Chairman);
• Chief Harbour Master
• 2 x Simulator Instructors; and
• 1 x Pilot Examiner.
• Representative from pilots currently progressing through the class structure (i.e. a
class 2, 3 or 4 pilot).

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

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BERTHING OPERATIONS WORKING GROUP

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

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The Group will meet at least twice in any calendar year (usually winter and summer) with
any business in the intervening period being conducted by electronic correspondence or
within smaller working groups.

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

Ship Towage companies Practising Watermen and Linesmen


Pilots (sea and river) PLA Harbour Masters
HM (SMS & VTS) Manager / Deputy PLA Health & Safety
Tilbury Harbour Master London Gateway Port Harbour Master

MMT APPROVED
15.03.2017

PLA HARBOURMASTER’S RECREATIONAL NAVIGATION GROUP


(UPPER)
(PHRNG (U))

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Terms of Reference

Purpose of the Group

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.

In particular, the PHRNG (U) will:

• Review recreational navigational incidents, consider trend analysis, highlight safety


issues and identify additional control measures for consideration and implementation;
• Review upcoming river works and events, which may impact on the safety of navigation
in the Upper District;
• Review and undertake navigational risk assessments on a regular and, as necessarily by
incidents, events, developments and trends within the Upper District or as required by
the PLA’s Marine Managers Meeting (MMT); and
• Where appropriate, review and consider changes or proposals for recreational guidance
and publications, including the recreational user’s website and TTNC (Tidal Thames
Navigator’s Club).

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

The current membership comprises the following:

Harbour Master (Upper) – Chairman Assistant Harbour Master Recreation - Secretary


Marine Compliance Manager Thames Regional Rowing Council (TRRC) Regional
Water Safety Advisor
TRRC/PLA Liaison Officer British Canoeing
Poplar, Blackwall and District Rowing Club (PBDRC) Royal Yachting Association (RYA) Thames Valley
and rep for Globe & Curlew Rowing Clubs and London
Association of Thames Motor Yacht Clubs (ATYC) Chairman of the Inland Waterways Association (IWA)
London Region and member of St. Pancras Cruising
Club
Royal Borough of Kensington and Chelsea (RBKC) Richmond Canoe Club and kayaking in the upper
river provision and kayaking in the middle district district
Dragon Boat Representation Shadwell Basin Activity Centre
Stand Up Paddle-boarding (SUP) Representative The Barge Association

Membership will be reviewed on a three-yearly basis, to ensure that the group remains
appropriate and current.

Administration

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The Harbour Master (Upper) department will provide the secretariat and administrative
support for the Group. In addition Harbour Master (Upper) will normally chair the PHRNG
(U). In his absence, the Deputy Harbour Master (Upper) will take the chair.

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

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EMERGENCY PLANNING TEAM

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.

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• Each officer is responsible for keeping meeting notes and sharing those with the
rest of EPT Group, via email, as soon as practicable after each meeting. In
addition, all papers (agenda, minutes, other papers of relevance) associated with
each LRF are to be saved in the appropriate emergency planning folders on the
G drive.

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

The current membership comprises the following:


Harbour Master (Lower) – Chairman Team Support Officer – Secretary
Harbour Master (Upper) Harbour Master (Thames Tideway Tunnel)
Harbour Master (Lower) Deputy Harbour Master (Upper) 1
Assistant Harbour Master (Recreational) Deputy Harbour Master (Upper) 2
Marine Services Manager Harbour Master (SMS & VTS)
Environment Manager Deputy VTS Manager

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

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ANNEX C

MARINE DELEGATION OF AUTHORITY

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MARINE DELEGATION OF AUTHORITY

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.

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STATUTORY AND REGULATORY DELEGATIONS

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

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DELEGATED MARINE
OVERVIEW OF POWERS AND/OR RELEVANT
POST RESPONSIBILITY/ AUTHORISATION /
DUTIES LEGISLATION/CODES
FUNCTION LEVEL

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

Repair of landing places/embankments PL Act - s 123

Identity of vessel Master PL Act - s 138


Power as a Local Lighthouse Authority Merchant Shipping Act 1995 - s
201
Merchant Shipping Act 1995 - s
Surrender of local lighthouses
204
Lights detrimental to navigation PL Act - s 133
Refuse/revoke craft registration PL Act - s 128
Removal of vehicles PL Act - s 177

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DELEGATED MARINE
OVERVIEW OF POWERS AND/OR RELEVANT
POST RESPONSIBILITY/ AUTHORISATION /
DUTIES LEGISLATION/CODES
FUNCTION LEVEL
Merchant Shipping Act 1995 - s
Restrictions on transfer of oil at night
135
Power to prosecute for oil pollution Merchant Shipping Act 1995 - s
offences 143
Merchant Shipping Act 1995 - s
Power to detain for oil pollution offences
144
Control of Dangerous Vessels Dangerous Vessels Act 1985
Dangerous Goods in Harbour
Control of the movement of dangerous
Areas 2016.
substances
PL Act - s 149

Dangerous Goods in Harbour


Explosives Security Control of the movement of explosives
Areas 2016.
Officer

Aviation & Maritime Security Act


1990.

ISPS Code 2004


Port Security Officer
Implementing Port Security Plan.
(appointed by Thames The Ship and Port Facility
Port Security Authority) (Security) Regulations 2004. SI
2004/1495

The Port Security Regulations


2009. SI 2009/2048.

Harbour Master *Except control of the movement


(Upper) & Designated District Harbourmaster As for HML – see above of dangerous goods, explosives YES
Deputies and port security

Work sluices at Richmond Lock PL Act - s 88 1, 2 and 3

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DELEGATED MARINE
OVERVIEW OF POWERS AND/OR RELEVANT
POST RESPONSIBILITY/ AUTHORISATION /
DUTIES LEGISLATION/CODES
FUNCTION LEVEL
Harbour Master –
Provision of major infrastructure project - YES
HM (TTT) (Thames Tideway
Thames Tideway Tunnel 1, 2 and 3
Tunnel)

Harbour Master (VTS & Provision of vessel traffic service YES


HM (VTS & SMS)
SMS) systems 1, 2 and 3

Marine Pilotage Marine Pilotage Provision of pilotage services YES


Provision of Pilotage services
Manager Manager Pilotage Act 1987 1, 2 and 3

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

Marine Surveyor &


Marine Surveyor Inspection and licensing of vessels PL Act - s 124 & 126 YES
Designated Deputies

Replacement of inaccurate and lost


PL Act - s 130 1, 2 and 3
certificates
An ‘Officer’ of the
YES
Authority (i.e. Marine ‘Officer’ of the Authority Power to board a vessel PL Act - s 137
1, 2 and 3
River Inspector)
PL Act - s 66
Issue of licences for river works including YES
Licensing Officer Licensing Officer PL Act - s 73
maintenance dredging. 2 and 3
PL Act – s90
YES
Estates & Facilities Estates & Facilities Maintenance of PLA premises PL Act – s90
2 and 3

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DELEGATED MARINE
OVERVIEW OF POWERS AND/OR RELEVANT
POST RESPONSIBILITY/ AUTHORISATION /
DUTIES LEGISLATION/CODES
FUNCTION LEVEL
Marine Services
Marine Services Raise and remove sunken vessels (not
Manager & Designated PL Act - s 120 YES
Manager to declare obstruction).
Deputies
Removal of obstructions PL Act - s 121
Removal of projections PL Act - s 122 1, 2 and 3
Removal of vehicles PL Act - s 177
YES
Civil Engineer Chief Engineer Repair of landing places/embankments PL Act - s 123
2 and 3

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DELEGATED
OVERVIEW OF POWERS AND/OR RELEVANT MARINE
POST RESPONSIBILITY/
DUTIES LEGISLATION/CODES AUTHORISATION
FUNCTION

Marine Works (Environmental


Monitoring compliance with and Impact Assessment) Regulations
YES
Environment Manager developments in national and European 2009 (SI2009/2258) (as amended)
Environment Manager
& Designated Deputies legislation relevant to dredging and river Marine and Coastal Access Act
2 and 3
regimes. 2009
PL Act – s 5
Licensing of River
Licensing Committee Granting river works licences PL Act - s 66
Works
Granting of licence to undertake
Licensing of Dredging PL Act - s 73 NO
maintenance dredging.
Authorising pilots and Pilotage
Pilotage Exemption Certificate Holders. Pilotage Act 1987
Suspension and revocation of Pilotage
Exemption Certificates. Pilotage Act 1987
Re-issue of Pilotage Exemption
Pilotage Act 1987
Certificates.
Re-authorisation of pilots. Port Marine Safety Code
Granting PLA or lessee’s exemption from Town & Country Planning
Land Use Planning planning controls under certain (General Permitted Development)
circumstances. Order 1995.
Board/Licensing Full scope of legislation to be
Capital Dredging Decision to undertake capital dredging NO
Committee identified.

Power to issue a Special Direction PLA Act – s 112


Marine Policing Unit YES
Delegation of Authority
Officers (Met Police) Power to Board a vessel 1, 2 and 3
PLA Act – s 137

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Authorisation Levels
1 - To perform the functions of the Harbourmaster
2 - To Enter and Inspect vessels on the Thames
3 - For Entry on Land to Survey and Inspect

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.

Notes: 1. * Presently lies with CHM.


2. The Marine Services Manager is the Nominated Person for the storage of petroleum at Denton Wharf (local authority requirement)

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