Port Safety Regulations

Foreword

The Dockyard Ports of Portsmouth, Plymouth and Clyde are vibrant and busy; they deal with thousands of ship movements each year including warships, commercial ships, ferries, fishing and leisure vessels of all sizes, descriptions and nationalities. 

Ships using the Dockyard Ports operate in close proximity with other vessels and navigational hazards. Like many commercial ports, all the Dockyard Ports have neighbouring, or enclosed, non-naval Statutory Harbour Authorities and have overlapping jurisdictions with Competent Harbour Authorities that provide commercial pilots. They have diverse stakeholder interests and they all have a contractual relationship to provide towage and other marine services.  All of them provide pilotage services using Admiralty Pilots.

Consequently, these are complex ports and, in order to operate safely, require careful, consistent and coherent management, which will be enhanced by using a common framework, where appropriate, across the 3 ports. This document articulates my policy requirements for Dockyard Port Marine Safety. 

VICE ADMIRAL A D H MATHEWS CB FREng

Chief of Materiel (Fleet)

1.         Introduction

1.1       The Dockyard Ports of Portsmouth, Plymouth and Clyde exist to serve the defence interests of the UK.  Safe operation of the Dockyard ports is essential to support the operational programme of the Royal Navy but also for the safety of the many commercial and recreational users of Dockyard Port waters.

1.2       The 1865 Dockyard Ports Regulation Act 1865 (DPRA), provides for the regulation of Dockyard Ports, the limits of which Her Majesty may prescribe by Order in Council. Such Orders have been made in relation to the Dockyard Ports of Portsmouth, Devonport and the Clyde.(e.g. the Dockyard Port of Portsmouth Order 2005). These Orders include regulations and rules, which apply within the limits of each Dockyard Port. Under the DPRA, the Secretary of State (for Defence) appoints a Queen’s Harbour Master (QHM) for each Dockyard Port to superintend the execution of the DPRA, and specifically to enforce the rules and regulations made under it, and otherwise to protect the dockyard by regulating navigation and other activities which may affect the interests of the Navy.

1.3       The Dockyard Ports are not governed by harbour authorities within the meaning of  the 1847 Harbours, Docks, Piers and Clauses and the 1964 Harbours Acts but are operated in accordance with the MOD Dockyard Port governance arrangements described in this policy. This accords with the Secretary of State for Defence’s Policy statement in which he directs that in instances where legislation does not bind the MOD, the MOD should nevertheless comply with that legislation, inso-far as it is reasonably practicable to do so.  In accordance with this principle, the MOD  recognises the Department for Transport’s ‘Port Marine Safety Code’ (PMSC) as the authoritative articulation of best practice in port safety,  and is committed to meet these, or equivalent standards as far as is reasonable and practical. The principles of the PMSC sit comfortably with the broader safety management principles articulated in JSP 815 – the level one policy document for Health and Safety in the MOD.

1.4       With the above in mind, the Dockyard Ports Board has developed the Dockyard Port Marine Safety Policy using the Port Marine Safety Code as a basis. The Dockyard Ports Marine Safety Policy details the over-arching policies to be adopted by the MOD Dockyard Ports to achieve standards at least equivalent to those provided for in the PMSC so far as is reasonably and practicable. The policy is supported by the Dockyard Port Marine Safety Manual which gives further details.  The specific manner in which the policy is put into effect at each Dockyard Port may vary according to local circumstances; details are to be included in the relevant port’s plans. In any case, at all times, Dockyard Port safety policies and plans are to be based upon identification of the hazards, assessment of the risks and implementation of effective control measures to minimise or remove those risks, thus ensuring the safety of the Dockyard Port and their users.

1.5       Whilst this policy and the supporting manual are written in such away as to be compatible with the workings of the Ship Environmental Safety Board (SESB) (one of the MOD Functional safety boards) and the JSP430 Ship Safety Management suite of publications, responsibility for regulation and assurance of Port Marine Safety remains with Chief of Materiel for the time being.  Once processes have matured and the full outcomes of the independent review by Mr Haddon-Cave QC into the crash of Nimrod XV230 in Afghanistan are understood, it is envisaged that responsibility for regulating and assuring Dockyard Port Marine Safety will be transferred to the MOD’s Ship Environment Safety Board. In the interim, this policy and the supporting manual, form a stepping stone towards future arrangements.

2.         Port Marine Safety Code Commitment Statement

2.1       Members of the MOD Dockyard Ports Board, as the ‘Corporate and Operational level Duty Holders’ have committed to comply with the requirements of the Port Marine Safety Code, or to at least as good a standard, so far as is reasonably practicable as articulated in this Dockyard Port Marine Safety Policy and to develop policies and procedures in order to regulate marine operations in a way that protects the Dockyard Ports, their users and the environment. Furthermore, they have committed to ensuring that adequate resources are available to discharge their navigational safety obligations.

2.2       The MOD has confirmed to the Maritime & Coastguard Agency its intent to comply with PMSC so far as is reasonably practicable as articulated in this policy.

3.         Key Safety Roles and Definitions

Duty Holders

3.1       For the purposes of Dockyard Port Marine Safety, 3 levels of duty holder have been identified.

• Corporate Level Duty Holder:  Chief of Materiel Fleet is the Duty holder for Marine Safety across the Dockyard Ports. Specifically, he is responsible for ensuring the development, promulgation and maintenance of effective policies and guidance for Dockyard Port Marine Safety. He is further responsible for ensuring that adequate resources are allocated to individual Dockyard Ports to allow them to fulfil the policy requirements. 
• Operational Level Duty Holder:  The Naval Base Commanders are the Duty Holder for Marine Safety within their respective Dockyard Ports. Specifically, they are to promulgate a Port policy and ensure the development of plans and procedures for Marine Safety based on a formal assessment of the hazards and risks, and the development of a formal safety management system.  Further, they are responsible for ensuring that adequate resources are allocated from their budgets to meet the policy and safety management system requirements.
• Delivery Level Duty Holder:  The Queen’s Harbour Masters as Delivery Level Duty Holders are responsible for the implementation of the Ports’ policies, plans and procedures based on the requirements of the Safety management System (SMS).

Dockyard Ports Board

3.2       The Dockyard Ports Board is chaired by Chief of Materiel Fleet and the Dockyard Ports are represented on the Board by the respective Naval Base Commanders. Other members include: Head of Customer Support Team Fleet (COS Maritime); Salvage and Moorings Team Leader who is a key stakeholder and specialist operator within the ports; Defence Marine Services Team Leader who manages the contract with the MOD prime Marine Services contractor; Queen’s Harbour Master Head of Profession who provides specialist marine advice to the board and acts as the ‘designated person’, delivering assurance to the board on compliance with the Port Marine Safety Code.  Waterfront Coherence and Assurance SO2 Policy is secretary to the Board.

3.3       The Dockyard Ports Board roles include:

• Provide strategic oversight and guidance on all aspects of MOD marine operations in the Dockyard Ports to meet the requirements of this policy;

• Provide strategic oversight of marine safety aspects of other marine activity within the ports;

• Responsibility for the development of policies, plans, systems and procedures for safe navigation;

• Provision of resources necessary to meet the requirements of marine safety;

• Ensuring that assessments and reviews are undertaken as required to maintain and improve marine safety;

• Responsibility for the development of policies, plans systems and procedures for protection of the environment within the Dockyard Ports;

• Tracking and understanding civilian legislation and policy and ensuring that where appropriate it is pulled through to Dockyard Port business; and 

• Directing the work of, and receiving reports from, the Dockyard Ports Advisory Board.

Designated person

3.4       Captain Waterfront Coherence and Assurance is the Designated Person (DP) for the purpose of Dockyard Port Marine Safety. His role is to provide independent assurance to the Dockyard Ports Board that the operation of the Dockyard Ports’ marine safety management systems meets the requirements of this policy. He will achieve this through a process of continuous audit and assessment.

3.5       The Designated Person, in addition to conducting his assurance activities, is to satisfy himself, through his engagement with appropriate Maritime Associations, that this policy continues to reflect developments in broader Port Marine Safety

3.6       The role of the DP does not obscure the accountability of the Operational Level Duty Holder or the Dockyard Port Board members.

Dockyard Port Advisory Board

3.7       The Dockyard Port Advisory Board (DPAB) is a subsidiary board to the Dockyard Ports Board that deals with the implementation of safety and other marine issues within the Dockyard Ports. The board is chaired by Captain Waterfront Coherence and Assurance (WCA), as Professional Head of the Queen’s Harbour Masters and Admiralty Pilotage Service. The board is composed of the 3 Queen’s Harbour Masters and their Chief Admiralty Pilots, the Fleet Navigating Officer, Defence Marine Services DEL-SL, and a member from the Salvage and Mooring IPT.

Admiralty Pilotage Service Management Board

3.8       The Admiralty Pilotage Service Board (APSMB) is a subsidiary board to the DPAB that specifically focuses on pilotage issues, such as standards, training and manpower sustainability within the three Dockyard Ports. It is chaired by Capt WCA. 

Defence Marine Services

3.9       Defence-wide provision of marine services is managed centrally by Defence Marine Services (DMS).  Assurance of service provision by contractors is provided by DMS staff to COM(F) out-with the Dockyard Ports Board. This assurance complements the assurance conducted by QHM and the Designated Person across the three ports.

Ship Environmental & Safety Board

3.10      The Ship Environment and Safety Board (SESB) is the Functional Safety Board that addresses safety and environmental protection issues across MOD shipping, diving and water safety activities. Its remit includes all MOD owned and operated vessels including ships under commercial management or chartered to perform MOD business worldwide. The board does not currently address Port Marine Safety, however, it is anticipated that, as articulated in the Safety Plan, once formal mechanisms have been agreed and resources are in place, it will. In the interim, this board is, nonetheless, attended by COM(F) and Capt WCA.

4.         Policy

Reasonable care

4.1       Naval Base Commanders have a duty to take reasonable care, so long as their Dockyard Port is open for the public use, that all who navigate in the port area may do so without danger to life or property.  They have a responsibility to protect the general public from dangers arising from marine activities within their port and are to take every precaution to prevent acts or omissions that may cause personal injury to any persons within the Dockyard Port.

Conservancy

4.2       Naval Base Commanders are to conserve their port so that they are fit for use.   Specifically, they are to ensure:

• through liaison with Defence Estates, which oversee the MOD maintenance dredging contract and, that the port is surveyed dredged as regularly as necessary as determined through formal risk assessment;

• through liaison with DMS, navigation marks are placed and maintained where they will be of the best use to navigation (marked appropriately by day and night);

• that the port’s obligations as Local Lighthouse Authority are fulfilled;

• in liaison with UK Hydrographic Office, that proper hydrographic and hydrological records are maintained; and

• further information that will supplement the guidance given by navigation marks is published as conspicuously as practicable, including on the QHM Web-site

Marine Safety Management Systems

4.3       Dockyard Ports are to maintain an effective Marine Safety Management System (MSMS) based on formal risk assessment such that all risks are controlled and either be eliminated or kept “as low as reasonably practicable” (ALARP). The MSMS should be monitored, reviewed and audited on a regular basis.

The safety management system should cover the provision of MOD moorings and use of MOD owned or contracted harbour craft and should be developed in co-operation with relevant stakeholders.

The Marine Safety management System is to include procedures developed on the basis of the formal risk assessments.  The suite of procedures is to include interalia;

• Pilotage
• Towage
• Vessel Traffic System
• Conservancy

Consultation

4.4       Dockyard Ports are to seek to consult widely amongst port users and relevant interested parties when considering applicable port marine safety matters. Equally there must be a robust method of disseminating relevant information amongst the marine community.

Commitment to comply

4.5       Each Dockyard Port is to make a clear published commitment to comply with the standards laid down in this Policy, recognising its coherence with the Port Marine Safety Code.

4.6       Dockyard ports should publish plans and an assessment of their performance in meeting their obligations under this policy, annually. 

Legislation

4.7       All legislation, including dockyard port orders, byelaws and any directions made pursuant to such legislation, should be reviewed on a regular basis, preferably every 3 years to coincide with the formal compliance audit, to ensure that it remains fit for purpose in changing circumstances.

4.8       The Dockyard Ports Board must understand clearly the meaning of all the relevant legislation which affects their ports in order to avoid failing to discharge their duties or exceeding their powers.

4.9       The Queen’s Harbour Master’s are to familiarise themselves with the extent of their legal powers under general and local legislation.

QHM Directions

4.10    The Queen’s Harbour Masters and their designated representatives are authorised by the relevant port order to issue Directions for the purposes of the proper protection of the dockyard ports, HM vessels, or property or for the requirements of the Navy to lay down general rules for navigation (subject to certain constraints) and regulate the berthing and movements of ships. These directions, which carry the force of law, may make provision as to the use of tugs and other forms of assistance and should be enforced.

4.11    QHM directions may take 2 forms; written or verbal.  These effectively equate to general and specific directions as authorised by the Harbours Act 1987.  It is the duty of a QHM in exercising these powers to consider the interests of all shipping in the port.

Byelaws

4.12    The Secretary of State has power to make byelaws in respect of the Naval Bases and other MOD property (for example HM Naval Base Portsmouth Byelaws 1981, Plymouth Byelaws dated 1935 and 1939).  Byelaws may cover a wide range of subjects within the Naval base, wider Naval base estate and MOD property, for example, the quayside and the regulation of vessels within restricted areas.  QHMs are to ensure that they are aware of, and enforce, these byelaws.

Assigning responsibilities

4.13    Executive and operational responsibilities for Marine Safety within Dockyard Ports must be clearly assigned, and those entrusted with these responsibilities must be answerable for their performance.

Qualifications Training and Competencies

4.14    All parties involved in the management and safety of navigation must be competent and qualified up to a minimum national standard. Further guidance on the minimum required competencies and qualifications can be found in the Admiralty Pilotage and Harbour Control Service Handbook and the manual.

Marine Services

4.15    QHMs, through DMS, are to ensure that MOD owned or contracted harbour vessels or craft which are used within the port limits are fit for purpose and that crew are appropriately trained and qualified for the tasks they are likely to perform.

Licensing

4.16    Where QHMs are engaged in licensing of any craft or personnel proper and appropriate processes, standards and competencies need to be established and applied uniformly in the interests of safety.

Emergency Plans

4.17    Dockyard Ports’ SMSs should refer to emergency plans - and these should be developed as far as practicable, based on the formal risk assessment.  The suite of emergency plans is to include inter alia the following:

• Oil Pollution Plan
• Fire in a ship / SM
• Grounding / collision / salvage
• Diving emergency
• Explosive incident

4.18    Emergency plans are to be published and exercised.

Enforcement

4.19    Dockyard ports are to have clear policies on the enforcement of directions, and should monitor compliance.

Port passage plans

4.20    Port passage plans are to be operated and enforced under the powers of direction, through liaison with CHAs where appropriate, to ensure that:

• all necessary parties know relevant details of any particular port passage in advance;
• there is a clear, shared understanding of potential hazards, margins of safety, and the ship’s characteristics;
• intentions and required actions are agreed for the conduct of the port passage - including the use of tugs and their availability and any significant deviation should it become necessary.

Vessel Traffic Systems

4.21    Dockyard Ports are to monitor the safe arrival, departure and movement of vessels within their port limits.

4.22    A formal assessment of navigational risk is to be used to determine what management of navigation is required, and to what degree monitoring, controlling or managing traffic needs to be taken in mitigating risk. 

Pilotage Directions

4.23    Dockyard Ports are to publish pilotage directions for MOD owned or contacted vessels, or vessels proceeding to the Naval base, which are based on formal risk assessment. These directions are to define the geographic area within which pilotage is compulsory and specify the requirements for different ship types.

4.24    Dockyard Ports are to ensure that arrangements are in place for pilots to be allocated to vessels with sufficient time and information available to prepare a pilot passage plan.

Towage

4.25    Dockyard Ports are to publish towage guidelines, based on formal risk assessment and produced in consultation with towage providers.  These guidelines are to include comprehensive procedures for the use of tugs in restricted visibility.

5.         Accidents and Incident Reporting

5.1       It is recognised that no matter how effective a safety management regime is, accidents and incidents do occur in ports. It is, therefore, essential that the Safety Management System addresses the potential for incidents to occur and to provide instruction and guidance on any investigations that may be required as a result.

5.2       The primary purpose of Investigations into accidents and incidents is to determine the cause of the accident or incident, with a view to preventing a recurrence.   If, during any investigation, it becomes apparent that an offence has been committed, there may be the need on the part of a Dockyard Port to initiate criminal or disciplinary proceedings in their own right or through the agency of another authority such as the Health and Safety Executive (HSE), the MCA or through MOD disciplinary procedures.  In any event, care must be taken not to compromise either the investigation or disciplinary proceedings by combining them.

5.3       An accident means any occurrence on board a vessel, or involving a vessel whereby:

• There is loss of life or major injury to any person on board, or any person is lost or falls overboard from, the vessel or one of its boats.

• A vessel:

• causes any loss of life, major injury or material damage;
• is lost or assumed to be lost;
• is abandoned;
• is materially damaged by weather or other cause;
• grounds;
• is in collision;
• is disabled; or
• causes significant harm to the environment.

5.4       JSP 375 Vol 2 Leaflet 14 (Oct 2001) provides general MOD direction on Accident / Incident investigation and table 1 defines the severity of the incident.  Dockyard Ports are required to produce detailed procedures specific to the port environment based on this guidance.

5.5       For accidents and incidents within the dockyard port, there are essentially 2 levels of investigation, local and independent.

• Local (for trivial, slight and serious events):  An investigation directed by QHM and either conducted by him, his staff, or in appropriate circumstances, adjacent SHA /CHAs or the marine service provider. 

• Independent (for major and critical events): Such investigations will either be conducted by the MAIB (for any incident involving a commercial asset), FLEET (for any incident involving solely FLEET assets), COM(F) for any incident involving solely foreign warships

5.6       Capt WCA is to maintain a database of all accidents and investigations classified serious and above, and make these reports available to legitimate stakeholders through a secure section of the Dockyard Ports Internet site.  Where the QHM determines that lessons from Trivial and Slight events have applicability outside their own port, these should also be included on the WCA database.  Where it is determined that the content of any report is too sensitive for wide dissemination, either a redacted version, or a summary version is to be developed by WCA staff.  Dockyard ports and all stakeholders are to forward appropriate accident and incident reports to Capt WCA at the earliest opportunity and all accident and incident reports are to include an annex which summarises recommendations / lessons and details both the deadline for rectification and who holds the action.  WCA will maintain a lessons and recommendations tracking tool.

5.7       For every accident / incident, there will inevitably be many times more ‘near misses’ and investigation of these can lead to valuable lessons and recommendations that might prevent a future accident.  QHMs are to forward near miss investigation reports in the same manner as accident / incident reports. 

5.8       All Dockyard ports are to provide a written and verbal quarterly report (in the format supplied by WCA) for all categories of accidents / incidents and near misses to the DPAB in order to allow trend analysis, monitoring and audit of lessons and recommendations, and to form the basis of Capt WCA quarterly report to the Dockyard Ports Board.

6.         Assurance

6.1       The designated person, Capt WCA, will conduct termly advisory visits to monitor progress and will conduct annual reviews of the three dockyard ports using the Dockyard Ports Compliance Assurance Check List .

6.2       Dockyard Ports are also to conduct their own internal audit processes.  In addition, they are to contribute to the COM(F) bi-monthly performance report by reporting on those Key Performance Indicators (KPIs) given in the Dockyard Port Marine Safety Key Performance Indicator document.

6.3       Dockyard ports are to make a full report annually against all KPIs to Captain WCA who will compile an annual safety report tor COM(F) and the SSEB.