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Harwich Haven Authority Harwich Haven Authority Harwich Haven Authority Harwich Haven Authority Operations Manual OPS001

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1. MARINE SAFETY MANAGEMENT SYSTEM .......................................................................................... 2

1.1. Safety Plan ...................................................................................................................................... 2

2. POLICY AND PRINCIPLES ..................................................................................................................... 3

2.1. Powers Of Direction ......................................................................................................................... 3

2.2. The Pilotage Act 1987 ...................................................................................................................... 4

2.3. National and International Legislation ............................................................................................... 5

2.4. Schedule of Policies ......................................................................................................................... 6

3. ORGANISATION AND RESPONSIBILITIES .......................................................................................... 11

3.1. Organisation .................................................................................................................................. 11

3.2. Allocated Responsibilities ............................................................................................................... 13

4. PLANNING AND IMPLEMENTATION ................................................................................................... 15

4.1. Risk Assessment ........................................................................................................................... 15

4.2. Regulations And Management Of Navigation ................................................................................. 17

4.3. Implementation Of The Management System ................................................................................. 18

4.4. Consultation Management ............................................................................................................. 22

4.5. Information Management ............................................................................................................... 23

5. PERFORMANCE MEASUREMENT ....................................................................................................... 24

5.1. Continued Development And Revalidation...................................................................................... 24

5.2. Incident Management ..................................................................................................................... 24

5.3. Operational Reports ....................................................................................................................... 25

5.4. Procedure For Actioning Reports ................................................................................................... 26

5.5. Accident Inquiry ............................................................................................................................. 28

5.6. Incident/Accident Investigations By External Agencies ................................................................... 30

6. AUDIT AND REVIEW ............................................................................................................................. 30

6.1. Internal And External Safety And Quality Audits ............................................................................. 30

6.2. HIMDS System Review, Revision And Audit ................................................................................... 31


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1. MARINE SAFETY MANAGEMENT SYSTEM

The Authority’s marine safety management system is based on the principles embodied in guidance published by the Health and Safety Executive (HSG65) and is designed to deliver the Authority’s duties and responsibilities as required of the port marine safety code in that:

• Marine Policies set by the Authority’s Board establish a clear direction for the

Authority to follow that support best practice and promote continuous improvement

• The Authority’s management structure and organisation allocates formal

responsibilities, sustains effective co-operation and communication between stakeholders, and promotes competence to encourage active involvement and development of marine safety

• The Operations Manual developed by continual risk assessment incorporates all

aspects of the safety management system for marine operations, detailing all objectives, responsibilities and duties, emergency procedures and operating procedures so as to ensure the safe navigation of vessels within the Authority’s area

• Regular stakeholder liaison, integrated training, revalidation of competency and

incident reporting provides active monitoring of marine operations to ensure the system is functioning. In instances of system failure the incident management process identifies the immediate and underlying causes of control failure and the implications for safe marine operations

• Periodical operational reports to the management team and HHA Board (Duty

Holder) provide a systematic review of the system’s performance based on information and monitoring from incident reports and liaison meetings. Scheduled risk assessment reviews and annual safety and environment reports demonstrate the Authority has applied the lessons learnt from all relevant factors. Internal and external audits of all aspects of marine operations provide independent verification of the systems performance to stakeholders and the Duty Holder

1.1. Safety Plan

In accordance with the updated guidance to the Code, the Authority has developed a Safety Plan as follows to demonstrate how the standard in the Code will be met: Harwich Haven Authority is committed to discharging all of its statutory duties and to remain open, accountable and fit for purpose. Its plan to manage the safety of marine operations is to comply within all of the requirements of the Port Marine Safety Code and to follow the guidance in the Guide to Good Practice on Port Marine Operations: In doing so it will, despite commercial pressures:

• Take reasonable care so that all who may choose to navigate in the Haven may do so without danger to their lives or property


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• Conserve and promote the safe use of the Haven

• Have regard to safety, efficiency, and economy of marine operations

• Take such action that is necessary or desirable for the maintenance, operation, improvement or conservancy of the Haven

Harwich Haven Authority will base its powers and policies on a formal assessment of hazards and risks and it will maintain a formal safety management system which will ensure that all risks are managed so that they are as low as reasonably practicable. It will employ and engage competent and qualified staff and contractors. It has appointed a Designated Person who will regularly conduct internal compliance audits in accordance with the Port Marine Safety Code and who will report directly to the Board. Additionally, independent external experts will periodically conduct an external audit and the expert’s report will be presented to the Board. The Designated Person and the external auditors shall assess in their reports the Authority’s performance against its plan of complying with all of the requirements of the Port Marine Safety Code and to follow the guidance in the Guide to Good Practice on Port Marine Operations.

2. POLICY AND PRINCIPLES

Harwich Haven Authority as a Competent Harbour Authority (CHA) operates an integrated Pilotage and Vessel Traffic Service (VTS) under the Powers granted to it by the Harwich Harbour Act of 1974 and subsequent Acts and the Pilotage Act of 1987 and is a Statutory Harbour Authority under the Harbours, Docks and Piers Clauses Act 1847 and subsequent acts.

Harwich Haven Authority (HHA) is responsible for 150 square miles of river and seaward approaches including 42 miles of deep water channels. The Authority is a public trust financed entirely by charges on commercial shipping. Its responsibilities are the protection, regulation, maintenance and improvement of the harbour. Its primary concerns are the safety of all harbour users, including leisure interests and the protection of the environment.

2.1. Powers Of Direction

2.1.1. Harwich Harbour Act 1974

Under the provisions of this Act the Authority is empowered to direct vessels for the purpose of promoting or securing conditions conducive to the ease, convenience or safety of navigation.

“Directions may be given for the purpose of promoting or securing conditions conducive to the ease, convenience or safety of navigation in the Harbour and the Harwich Seaward Area and, without prejudice to the generality of the foregoing, for any of the following purposes:-

(i) for designating areas, routes or channels in the Harbour and the Harwich

seaward area which vessels are to use, or refrain from using, or mooring.

(ii) for securing that vessels move only at certain times or during certain periods.

(iii) requiring the master of a vessel to give the Harbour Master information relating to the vessel reasonably required by the Harbour Master for the purposes of this sub section.” (Extract from section 32)


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2.1.2. Dangerous Substances in Harbour Areas Regulations 1987

Under the provisions of these Regulations the Harbour Master is empowered to regulate/prohibit entry, remove from, regulate handling, movement or position within the harbour of a dangerous substance that poses a threat to health and safety.

2.1.3. Dangerous Vessel Act 1985

Under the provision of this Act the Harbour Master is empowered to give directions prohibiting vessels from entering the area of jurisdiction or remove from the area of jurisdiction any vessel that poses a grave and imminent danger to safety of persons or property or risk of obstruction to navigation by sinking or foundering.

2.2. The Pilotage Act 1987

Under the provisions of this Act the Harwich Haven Authority is empowered to be a Competent Harbour Authority (CHA) for the provision of pilotage services. The Act gives the ability for CHAs to develop pilotage services, either through direct employment, or under contract. A CHA is also empowered to determine the age, fitness, time of service, local knowledge and skill characteristics, and any other factors it deems appropriate for the licensing of pilots.

2.2.1. Powers of the Competent Harbour Authority

The Act gives a Competent Harbour Authority (CHA) the following specific powers:-

• to suspend or revoke pilots’ licences on grounds of incompetence and/or misconduct, or that a requirement has ceased, or that there are too many pilots, or that the arrangements under which the service has been established needs to be changed

• to provide pilot boat services, if this is considered to be appropriate

• to direct that pilotage should be compulsory, but only after consultation with local interests

• to issue and renew Pilotage Exemption Certificates and to establish the conditions attaching to such Certificates

• to make charges for pilots’ salaries, expenses, operating a pilot boat fleet, and for administering the pilotage service

• to use agents or to establish joint arrangements if this is considered to be appropriate

2.2.2. Duties of Competent Harbour Authorities (CHAs)

The following is taken from the Review of the Pilotage Act 1987 by the DETR in 1998.

(i) Scope

“The Act spells out that harbour authorities responsible for pilotage have a clear duty to consider the pilotage services needed in their areas to secure the safety of ships navigating there, and to decide in what circumstances it should be compulsory. The preceding white paper


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emphasised that this includes periodic reviews. These duties were not to be confined by their harbour limits but were to include harbour approaches, with an obligation to seek to extend their powers where needed.”

(ii) Assessing Requirements

“An authority cannot properly determine pilotage requirements or fulfil its statutory obligation to provide them (as well as more generally for conservancy), without adequate information about the harbour’s physical conditions. Recent experience points to the value of assessing these thoroughly, making as few assumptions as possible in the absence of data. Accidents are less likely to occur in conditions which navigators are not simply aware of but understand; such understanding must underpin training.”

(iii) Obligations

“Authorities have a statutory obligation not only to assess the need for a pilotage service but to provide what they judge to be needed. The provision of a service is simply not its establishment, but its operation - including at the level of individual passages. Requirements follow to ensure that properly authorised, adequately trained and appropriately rostered pilots are made available to vessels using the port.”

2.2.3. Accounts

Under Statutory Instrument No. 22166 1988, a CHA is required to prepare accounts for the pilotage service which are separate from other aspects of the Authority’s business.

2.2.4. Limitation of Liability

(i) Harbour Authority’s Liability (Review of Pilotage Act 1987 DETR 1998)

A Harbour Authority’s liability is governed by Section 191 of the Merchant Shipping Act 1995 and by section 22 of the Pilotage Act 1987. Neither entitles a person to limit their liability if it is proved that the loss resulted from their personal acts or omission, committed with the intent to cause such a loss, or recklessly and with the knowledge that such loss would probably result.

(ii) Limitation of Liability

There is a limitation of liability in the charge of pilot’s negligence. For a pilot this is £1000 plus the pilotage fees for the voyage in question. For a CHA the amount is £1000 multiplied by the number of pilots authorised.

2.3. National and International Legislation

Harwich Haven Authority in its capacity as a Competent Harbour Authority (CHA) acknowledges and incorporates National and International Regulations, Resolutions and Recommendations, following all relevant guidelines in pursuit of its operations as contained but not limited to the following:

IMO Resolution MSC 43(64) Adopted 9th Dec 1994 IMO Resolution A.759(19) Adopted 23rd Nov 1995 IMO Resolution A 851(20) Adopted 27th Dec 1997


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IMO Resolution A 857 (20) Adopted 27th Nov 1997 IMO Resolution A.849(20) IMO ISPS Code MSC/Circ 1065 SOLAS Chapt. V Nav 44/5 STCW 95 Convention IMO IALA Recommendation V103 IMO Navigational Standard Marine Vocabulary. United Kingdom (MCA) Marine Notices. United Kingdom Statutory Instruments. Dangerous Substances in Harbour Area Regulations 1987. Merchant Shipping (Reporting Requirements for ships carrying Dangerous or Polluting Goods) Regulations 1995. Specific Harwich Harbour enabling legislation. Merchant Shipping Act 1995. Merchant Shipping (Pilot Transfer Arrangements) Regulations 1999 Merchant Shipping (Vessel Traffic Monitoring and Reporting Requirements) Regulations (2004). MS Port Waste Reception Facilities 2003 and Amendment 2009

2.4. Schedule of Policies

The following Statement of Purpose and Schedule of Policies reflect a formal review of the Board Policy dated 16th November 1990 which was carried out on the 20th March 1998.

(i) Purpose

“The Purpose of the Harwich Haven Authority is to conserve, protect, regulate, maintain and improve the Haven and its environment based upon the principles of sustainability for the benefit of all its users, including commercial shipping and port operators, leisure users, fishing and wildlife interests”

(ii) Mission

“The Mission of Harwich Haven Authority is to run a safe, efficient, cost-effective harbour operation based on the principles of sustainability for the benefit of all port users and the wider community”

2.4.1. Marine Management Policy

“The Authority will support the commercial activities of the Haven Ports through the provision of pilotage and conservancy services at competitive cost and the efficient regulation of shipping within harbour limits. The policy of the Board and Management team is to:-

(i) Manage the assets of the Authority safely, economically and efficiently. (ii) Maintain harbour craft and VTS equipment to agreed industry standards. (iii) Pursue modern cost effective methods of dredging and surveying. (iv) Train the operational staff to nationally agreed competence levels. (v) Ensure that staff are properly trained in emergency and contingency

procedures.”


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2.4.2. Marine Safety Policy

The Authority has Statutory Duties of both a general and specific nature in respect of:-

(i) The Regulation of traffic and the safety of navigation within Harbour Limits. (ii) The conservancy of The Haven and its Seaward approaches. (iii) The protection of the environment within the harbour and adjacent estuaries. (iv) Ensuring so far as is reasonably practicable the safety at work of their

employees and other persons who may be affected by their activities.

In order to effect the above statutory duties the Authority will:-

(i) Facilitate the safe arrival, departure and internal navigation of all vessels and craft using the Haven. (ii) Carry out the functions of the Authority with special regard to their possible

impact on the environment. (iii) Protect the general public from any danger arising from marine activities within

the harbour area. (iv) Prevent acts or omissions which may cause personal injury to employees or

others, or damage to the environment. (v) Create an interest and awareness in employees and others with respect to

safety and the protection of the environment. (vi) Take a leading role in the implementation of the Estuary Management Plan. (vii) The effectiveness of this policy will be monitored by the Executive and reported

to the Safety and Environmental Committee of the Board.

2.4.3. Pilotage Policy

The Authority will endeavour to maintain the level of service required by the Haven Ports Pilotage Committee as safely, efficiently and economically as practicable and in particular will:-

• recruit, employ, train, examine and authorise their employed pilotage staff to

national competence levels in full compliance with the requirements of the Pilotage Act 1987, Port Marine Safety Code and National Occupational Standards

• promote close working relationships between Pilots, VTS Officers, Launch Crews and allied services

• promote the use of general passage plans in order to facilitate the preparation of specific plans by master and pilot

• regularly review the requirements of the Pilotage Service, including the training needs of Pilots and Pilotage Exemption Certificate holders

• ensure that Pilot launch crews are trained and certificated as per the requirements of the Small Commercial Vessel Code (MGN 280)

• ensure that the Pilot launch service is operated to the requirements of the Code of Practice for Boarding and Landing of Pilots by Pilot Boat

• ensure that the Pilot launches operated by the Authority are surveyed and certificated in terms of the Merchant Shipping (Small Workboats and Pilot Boats) Regulations 1998 and the associated Small Commercial vessel Code (MGN 280)


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2.4.4. Conservancy Policy

The Authority has a statutory duty, as well as a responsibility under the Port Marine Safety Code, to conserve, protect, regulate, maintain and improve the harbour; to achieve these aims the Authority will:

• undertake hydrographic surveys in accordance with the International Hydrographic

Organisations guidelines as are necessary for safe and efficient navigation

• provide the appropriate stakeholders with up to date, timely and accurate hydrographic and environmental information

• provide continuous timely and accurate tidal and meteorological data

• maintain close liaison with and provide relevant data to the United Kingdom Hydrographic office

• as the local Lighthouse Authority, ensure the provision of necessary aids to navigation within its area of jurisdiction in accordance with the availability criteria laid down by the General Lighthouse Authority

• ensure that a risk assessment is carried out on any wreck or other obstruction in its area of jurisdiction that may pose a hazard to navigation

• ensure compliance with the MS (Oil Pollution Preparedness, Response and Co-ordination Convention) regulations. Ensure involvement and liaison with appropriate pollution groups

• maintain and operate appropriate craft to support and deliver the Authority’s conservancy responsibilities

• manage the allocation of moorings including those for the leisure community in line with current environmental advice, whilst ensuring safety of navigation. Maintain close liaison with and provide information to local leisure vessel groups

2.4.5. Maintenance Dredging Policy

In order to achieve the stated Purpose and Mission, with respect to dredging activities the Authority will:

• plan, procure and manage Maintenance Dredging operations, including the

beneficial disposal programmes, to allow continued safe access to areas within its responsibility

• carry out dredging activities in accordance with the requirements and conditions of any licences and/or consents

• seek to minimise the effects of dredging and disposal operations by the adoption of established and current best practice and at the same time seek to refine and improve dredging cost effectiveness and efficiency

• continually seek to increase the scientific understanding of sediment dynamics and developments in dredge techniques

• communicate relevant information to appropriate stakeholders in a timely manner

• produce and keep updated, a Maintenance Dredging Protocol: Baseline Document for dredging activities in the Estuaries


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2.4.6. VTS Policy

The Authority has a statutory duty, as well as a responsibility under the Port Marine Safety Code, to regulate the safe movement of vessels traffic within the harbour and its approaches; to achieve this the Authority will:

• establish and continually review the provision of a Vessel Traffic Service (VTS)

based on the outcome of formal risk assessment

• ensure that a legal basis for the VTS is provided for and that it is operated in accordance with national and international law

• determine the type and level of services to be provided by the VTS having regard to the objectives set

• provide and maintain appropriate equipment and facilities standards for the VTS necessary to effectively accomplish the objectives set

• ensure that the VTS is provided with sufficient staff, appropriately qualified, suitably trained and capable of performing the tasks required, taking into consideration the type and level of services in accordance with the UK Training and Certification Strategy

• establish operating procedures for the VTS and for implementing emergency contingency plans

• ensure that operators of the VTS are vested with the appropriate authority and delegations to fulfill their duties

• audit and review the performance of the VTS, recommending and facilitating improvements where necessary

2.4.7. Enforcement Policy

Harwich Haven Authority is responsible under the Port Marine Safety Code for the effective enforcement of its regulations. In this Policy, enforcement comprises the promulgation of regulation and guidance, effective surveillance, incident investigation, and where appropriate formal warning and prosecution. Where appropriate, and where empowered to do so, the Authority will prosecute offenders for committing criminal offences, including those set out in the Harwich Harbour Act 1974 (as amended), the Merchant Shipping Act 1995 and in ancillary regulations and byelaws.

To this end, it is Board policy that the Authority shall:

• maintain through regular reviews, an effective regulatory framework, which is

integrated with relevant national legislation and includes local regulation resulting from risk assessment, or as otherwise made necessary

• ensure that HHA regulations and associated guidance are widely promulgated

• develop and maintain effective enforcement procedures, which comply with relevant national legal requirements and guidelines

• develop and maintain effective investigation procedures for use in the event of an incident, which support the Authority’s enforcement procedures


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• ensure that all staff involved in an incident investigation, or who are required to follow the Authority’s enforcement procedures, receive effective and relevant training

• maintain an effective surveillance and spot check regime, to monitor compliance with, and detect breaches of, relevant national and HHA regulations

• respond to breaches of regulation, where justified by the evidence and other circumstances, by the use of formal warnings and legal prosecution

• manage the progress of enforcement activities, including incident investigations and prosecutions, and the maintenance of appropriate records

2.4.8. Stakeholder Consultation Policy

To ensure the effectiveness of the Safety Management System the involvement and commitment with all stakeholders and beneficiaries is essential. To this end, it is Board policy that the Authority shall: • consult as early as is practicable with stakeholders and beneficiaries when

changes to HHA legislation and policy are being considered

• include appropriate staff in the consultation process

• maintain an effective consultation mechanism with appropriate stakeholders and beneficiaries on safety and other operational issues

• include appropriate stakeholders in the continual assessment process to identify navigational hazards, assess the risk of such hazards and recommend appropriate control and mitigation measures; provide regular feedback on the Authority's performance, in particular its compliance with the Port Marine Safety Code, to all stakeholders and beneficiaries

• publish regular reviews of the Authority’s activity and achievements

2.4.9. Environmental Monitoring & Research Policy

In order to achieve the stated Purpose and Mission, with respect to environmental monitoring and research activities the Authority will:

• develop and manage a programme of environmental monitoring and research,

required by previous projects and consents, and relating to ongoing activities and future proposals

• report to, and gain approval from the Mitigation and Monitoring Regulators Group for the on-going works and research required by the Channel Deepening and subsequent harbour development consents

• work towards reductions in cost and complexity whilst improving effectiveness and certainty of outcome

• provide information to the Stour and Orwell Estuary Management Group to comply with Scheme of Management and Plan research commitments

• consider new beneficial works or compensation projects for long-term development with the Environment Agency (EA), English Nature (EN) and others


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• maintain involvement with processes working towards implementing new legislation

• provide engineering and environmental input to the Authority’s involvement with external management and conservation bodies including but not limited to: EA Flood management Strategy EA River Basin Liaison Panels

2.4.10. Marine Engineering Policy

The aim is to provide a quality cost-effective marine engineering Service delivered efficiently, safely and reliably; to achieve this aim the Authority will:

• maintain an appropriate fleet of craft to support and deliver the Authority’s pilotage,

conservancy, monitoring and environmental responsibilities in accordance with MS legislation and associated small commercial vessel codes

• conduct annual refits and ensure vessel inspections are carried out in accordance with national certification requirements

• ensure a regime of Health & Safety is embodied into tasks that are undertaken and a culture of safe working practices is pursued

• monitor performance trends, reviewing results with the aim of improving reliability and sustaining serviceability of the Authority’s marine assets

3. ORGANISATION AND RESPONSIBILITIES

3.1. Organisation

3.1.1. HHA Board

The Board of Harwich Haven Authority is collectively accountable and individually responsible for the proper exercise of the Authority’s statutory functions and legal duties and as such discharges the function of Duty Holder as defined in the Port Marine Safety Code by ensuring compliance with the Code and the marine safety management system. Responsible for:-

(i) The Authority’s safety performance and effectiveness of the safety management system.

(ii) Ensuring that it is kept fully informed of relevant safety risk management issues through regular safety briefings at Board meetings and sub committees.

(iii) Ensuring active participation of employees through staff consultation. (iv) Ensuring that the safety responsibilities of the Board are properly discharged,

the Chief Executive, as an executive member of the Board, is appointed to direct and advise the Board on all safety matters.

3.1.2. Designated Person

The function of the designated person is to provide independent assurance directly to the duty holder that the safety management system is working effectively.


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Responsible for determining through assessment and audit, the effectiveness of the marine safety management system in ensuring compliance with the Code.

3.1.3. Safety and Environment Committee

The Safety and Environment Committee is a Sub-Committee of the Authority’s Board, The Committee’s role is to ensure that the Safety Management System fulfills the Authority’s requirements to conserve and facilitate the safe use of the harbour, and maintains safety of operations regarding the services and facilities provided.

3.1.4. Haven Ports Pilotage Committee (HPPC)

Pilotage Arrangements between Competent Harbour Authorities (CHAS) In Harwich Haven

In addition to Harwich Haven Authority, the Port of Felixstowe, Harwich International Port and ABP Ipswich Port Ltd. are all Statutory Harbour Authorities within the Act which became CHAs and thus are empowered to provide their own pilotage service. Within the Haven, the CHAs and other ports in the harbour area agreed that it would be appropriate to provide a common service for all ports, and that HHA was the appropriate body to act as agents.

3.1.5. Management Team

The Management Team are responsible for the continued development and implementation of the safety management system and for promoting a safety culture that will attract the support and commitment of employees, contractors and suppliers and ensure compliance with appropriate legal requirements. The Management Team is responsible for the safety of employees and for the safe management of operations within their areas of responsibility. These responsibilities include:

(i) Ensuring that risk assessments are carried out covering all operations in relevant areas.

(ii) Development and issuance of programmes, plans, and procedures. (iii) Ensuring compliance with rules, procedures, instructions and applicable

legislation by all personnel. (iv) Provision of training for staff and maintaining safe working conditions. (v) Suspending activities when there is a perceived threat to life and/or the

environment.

3.1.6. Navigational Safety Committee (NAVSAFCOM)

A Committee of Senior Operations staff who advise the Harbour Master on issues relating to the safety of navigation within the Authority’s area of jurisdiction, with specific reference to:

• review of MAIB Safety Bulletins in relation to the Authority

• decline of Pilotage Acts

• training and examination requirements for Pilots and PEC holders

• review of Marine Risk Assessments

• review of Risk Assessments and operational procedures following marine incidents


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• implementation of operational procedures following Risk Assessment

• review and monitor the compliance of General and Pilotage Directions

3.2. Allocated Responsibilities

3.2.1. The Chief Executive

Responsible for:- (i) The Operational and Financial Control of the Authority’s function. (ii) Advising the Board on all matters related to the Authority’s responsibilities. (iii) Particularly to direct and advise the Board on relevant health and safety

matters. (iv) Implementation of the Board’s policies and decisions. (v) Overall safety of operations and staff. (vi) External and internal communications. (vii) Maintaining and improving standards of operational training.

3.2.2. The Harbour Master

Responsible for:- (i) The regulation of all traffic and the safety of navigation within harbour limits. (ii) The day-to-day operation of the Haven Ports Pilotage Service. (iii) Be responsible for ensuring that the Marine Safety Management System

complies with the Port Marine Safety Code. (iv) Ensuring that all Pilots are properly trained and aware of the Authority’s

Operations Manual, Operational Instructions, Operational Memos, Notices to Mariners and Safety Bulletins.

(v) The Health and Safety of the Haven Pilots. (vi) Monitoring the operation of the Harwich VTS and ensuring that operations staff

are properly trained and aware of the Authority’s Operations Manual, Operational Instructions, Notices to Mariners, Operational Memos and Safety Bulletins.

(vii) The formulation and implementation of emergency plans and procedures. (viii) The regulation of dangerous goods in transit. (ix) The implementation of the Authority’s Policy on recreational craft moorings. (x) The Health and Safety of all operations. (xi) The investigation of Navigational Incidents, as required. (xii) The provision of buoys, markers, beacons, moorings and navigational aids. (xiii) Authorisation of Pilots, PEC holders and VTS operators. (xiv) Providing advice to the Chief Executive and to the Board of the Authority on

appropriate marine and navigational issues including training matters. (xv) Ensuring that Byelaws and General Directions to Navigation are kept under

regular review. (xvi) The timely promulgation of navigational safety instructions and guidance to

HHA staff. (xvii) The timely promulgation of safety information to all harbour users.

3.2.3. The Deputy Harbour Master (Operations)

Responsible for:- (i) Assisting the Harbour Master, as required. (ii) The day-to-day management of the Harwich VTS and Operations Centre. (iii) The operation and development of the Harwich VTMIS.


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(iv) The timely promulgation of changes to the HHA Operations Manual as a controlled document.

(v) Reviewing operational information on a quarterly basis. (vi) Authorisation of Pilots, PEC holders and VTS operators. (vii) Ensuring the implementation of regulations concerning the sea transport of

hazardous substances. (viii) Liaising with towage companies to ensure safe towage procedures are

conducted within the Haven Ports. (ix) To ensure that Operational Instructions and Operational Memos are

promulgated in a timely manner. (x) The Health and Safety of Operations Centre staff. (xi) In conjunction with the Harbour Master undertaking investigations into

casualties or incidents in accordance with laid down procedure.

3.2.4. The Deputy Harbour Master (Conservancy)

Responsible for:- (i) Assisting the Harbour Master as required. (ii) The day-to-day operation of all pilot launches and harbour craft. (iii) The maintenance of all buoys, markers, beacons, moorings and navigational

aids. (iv) The implementation of MARPOL requirements including the co-ordination of

garbage plans within the harbour. (v) Oil spill response plans and appropriate training. (vi) The carrying out of internal enquiries into navigational and safety incidents. (vii) The Health and Safety of Survey Staff and marine support staff. (viii) Liaison with Brokers on matters relevant to the Authority’s insurance policies. (ix) Ensuring that regular hydrographic surveys are carried out as necessary and

that timely advice is given to the Harbour Master of any reduction in depths. (x) Carrying out those duties in the role of “Designated Person” as required by the

Port Marine Safety Code by: • ensuring the effectiveness of the Authority’s Safety Management System

• reporting deficiencies to the Chief Executive and the Board

3.2.5. The Harbour Engineer

Responsible for:- (i) Planning, procurement and management of maintenance dredging operations,

including the beneficial disposal programmes, to allow continued safe access to all areas and berths.

(ii) Providing information to the Harbour Master regarding dredging activities and levels achieved throughout the dredging program.

(iii) Complying with all details of consent, ensuring licences are kept up to date and disposal returns made to Defra at appropriate intervals.

(iv) Environmental monitoring within HHA’s area of operation (v) Providing advice to the Chief Executive on appropriate engineering and environmental issues.


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3.2.6. The Safety Manager

Responsible for:- (i) Actively ensuring that HHA vessels, shore operations, piers and land holdings

are properly and responsibly operated and managed, having due regard to health, safety, security and the protection of the environment.

(ii) Maintaining close contact with HHA line management. Health and Safety in each Department is the responsibility of individual Line Managers. The Safety Manager will ensure that these responsibilities are actioned effectively.

(iii) Auditing all areas of operation at frequent regular intervals. (iv) Ensuring that all management and staff are properly trained and instructed (as

appropriate) in their safety responsibilities. (v) The timely promulgation of Health and Safety information and legislation to all

HHA staff. (vi) The management of the Authority’s responsibilities under the Dangerous

Substances in Harbour Areas Regulations. (vii) The updating of the Authority’s emergency response plans and ensuring

through exercises that emergency response times are effective.

Additionally the Safety Manager will meet with the Authority’s Senior Management Team on a regular basis. This comprises of the Chief Executive, Harbour Master, Deputy Harbour Masters, Marine Engineering Manager, Harbour Engineer and Financial Controller, for the specific purpose of reviewing the Authority’s performance on Safety, identifying further needs and setting target dates for completion.

3.2.7. Marine Engineering Manager

Responsible for:- (i) Ensuring the efficient maintenance and repair of the pilot launches and other

HHA craft. (ii) The safe condition, maintenance and use of all marine workshop and stores

areas and associated equipment. (iii) The Health and Safety of all Marine Engineering staff. (iv) Ensuring that all Authority buildings, quays and jetties are maintained in a safe

condition.

4. PLANNING AND IMPLEMENTATION

4.1. Risk Assessment

4.1.1. Risk Assessment

(i) The Active Risk Management Module within the Harwich Integrated Management Database System (HIMDS) provides the Authority a platform for risk assessment and risk management based on the Formal Safety Assessment (FSA) method.


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The Active Risk Management Module is designed to assist the Authority in the assessment of operations and activities by which hazards specific to that operation or activity are identified.

The process involves the input and review of hazards and risk controls identified by the Risk Assessments defined by operation, navigational action and vessel category.

(ii) The risk assessment process of identifying new hazards is continuous and any change or temporary change to the harbour infrastructure, hydrographical or geographical perimeters within the Authority’s area, or new vessel types navigating within the Authority’s area will generate a new risk assessment.

4.1.2. Risk Assessment Principles

(i) Marine Risk Assessment - to determine the hazards associated with an operation and examine the likelihood and consequences of those hazards, and a risk management plan that specifies control measures to mitigate those hazards. (ii) Marine Assessment - is the process for identifying hazards and assessing risks posed by each. (iii) Accident Category - is a defined list (MAIB) of events affecting/involving

injury, ship loss or damage, other property loss or damage, or environmental damage.

(iv) Marine Assessment Process

• define Operation

• define Stakeholders (group undertaking assessment)

• identify Hazards (a condition that has the potential to cause harm)

• assign Consequences (estimated outcome of an accident)

• assign Frequency(estimated likelihood of a hazard causing an accident)

• calculate Risk

(v) Risk Management - is the process for dealing with the assessed risks through the risk control measures. (vi) Risk Management Process

• define Risk Controls (means of reducing the impact of an accident or reducing the frequency of an accident)

• estimate Frequency mitigation effectiveness

• estimate Consequence mitigation effectiveness

• analysis Risk Reduction


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4.2. Regulations And Management Of Navigation

4.2.1. Harwich Haven Authority Bylaws

From time to time, the Authority in exercise of the powers vested in it by sections 38, 39 and 40 of the Harwich Harbour Act 1974 and other enabling legislation, enacts bylaws which are brought into effect after confirmation by the Secretary of State for Transport. Current bylaws from 1994 are available published in booklet form.

4.2.2. General Directions For Navigation.

Under Section 32 of its Act, Harwich Haven Authority has issued General Directions for Navigation. General Directions are issued by the Authority and apply to all ships or specific classes of ships. General Directions are published legal documents which are subject to consultation with port and harbour users and other relevant bodies before issue.

4.2.3. Special Directions

Under Section 33 of the Harwich Harbour Act 1974, The Harbour Master is given special powers to issue Special Directions to a specific ship or ships for safe regulation of the harbour. Special Directions can be given verbally or in writing.

4.2.4. Emergency Procedures

The HHA Emergency Procedures Manual is a set of emergency plans and actions enabling the Authority to respond to both minor and major incidents. These procedures have been agreed with local harbour operators, CHAs, Emergency Services and local authorities, who have been issued with controlled copies.

4.2.5. VTS Rules

Under the provisions of the MS (Vessel Traffic Monitoring and Reporting Requirements) Regulations 2004 (as amended), VTS rules which have been published and promulgated require vessels to comply with those rules when in the VTS area. For the purposes of Harwich VTS, The General Directions of Navigation shall be considered as the VTS Rules.

4.2.6. Pilotage Directions

Under the provisions of the Pilotage Act, CHAs may make Pilotage Directions. HHA, as the providing agent, has made Pilotage Directions. These Directions cover the Haven Ports Pilotage Area and Haven Ports Pilotage Limit, as well as detailing the reporting, boarding and landing arrangements for both inward and outward-bound vessels. Pilotage Directions are required to be reviewed by the CHA every 3 years.

(i) Pilotage

The statutory definition of a Pilot as given in the Merchant Shipping Act 1997, is a person not belonging to a ship who has the conduct thereof. The Pilot does not assume the role of the Master, who remains at all times in charge of


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the safety of the vessel, including navigation. The essence of pilotage is the provision to a Master of expert navigational advice, and subject to the Master’s overall responsibility for his ship a Pilot must have sole conduct of its navigation.

The Pilot is to be seen as a representative of the harbour authority on board. In addition to observance of the Authority’s policies relating to the Statement of Purpose of the Harwich Haven Authority [2.4(i)] and the Environmental Monitoring and Research Policy [2.4.9], the Pilot has an important role in ensuring adherence to those policies by all persons operating within the Authority’s Area of Jurisdiction.

4.3. Implementation Of The Management System

The effectiveness of the Safety Management System, Pilot organisation and Vessel Traffic Service will be monitored by the Harbour Master utilising management methods which will include:-

4.3.1. Weekly Management Team Meetings

The Harbour Master and Deputy Harbour Masters will report to the Chief Executive and Management Team on the following matters:

• Reports of incidents involving Pilots and PEC holders

• Pilot Launch Operations

• Internal and external complaints

• Recruitment and training matters

4.3.2. Haven Ports Pilotage Committee

This committee meets three times a year and is Chaired by the Chief Executive. The Harbour Master will report to the Committee on the following matters:

• Pilotage statistics

• Pilotage revenue and expenditure

• Personnel matters

• Operational matters including towage

• Pilotage Exemption Certificates

• Pilot Launch Operations

• Accident/Near Miss Reports

• Future planning to meet customer demands

The committee will provide the Authority with customer feedback relating to the effectiveness of the Pilot organisation, future demand and requirements.

Agreement for the provision of pilotage services at haven ports


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1. This agreement is for the provision of Pilotage Services in accordance

with the Pilotage Act 1987 and the Review of the Pilotage Act 1987 carried out in 1997.

The Parties are:-

i. Harwich Haven Authority (HHA) ii. Felixstowe Dock & Railway Company (FDRC) iii. ABP Port of Ipswich iv. Harwich International Port (HIP)

For the purposes of this agreement the Haven Ports Area comprises the statutory areas of the Parties.

2. HHA shall provide Pilotage Services on behalf of the Parties for a minimum period of five years, commencing on the 1st December, 1999, and terminable thereafter by any two of the Parties by two years notice expiring at any time after 31st December, 2004.

i. HHA will allocate the management responsibility for operating

the service to officers under the executive authority of the Chief Executive.

ii. The determination of policy and financial strategy will be the responsibility of the main Board of HHA to whom the Chief Executive will refer such matters for decision.

iii. The nominated officers will exercise normal operational management responsibility over the day to day operation of the service.

iv. HHA will be responsible for the implementation of the Port Marine Safety Code in respect of the Pilotage Service.

3. There shall be a Pilotage Committee which will make

recommendations to HHA via the Chief Executive. The Pilotage Committee will keep the service under review and make recommendations for improvements and changes as appropriate.

The Committee will comprise one representative nominated by each of the following:-

i. Harwich Haven Authority (HHA) ii. Felixstowe Dock & Railway Company (FDRC) iii. ABP Port of Ipswich iv. Harwich International Port (HIP) v. Harwich Dock Company vi. Mistley Quay & Forwarding

and

vii. Two representatives nominated by HHA annually who shall not

be employees of HHA. viii. Each member of the Committee shall have one vote.


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ix. The HHA representative shall be the Harbour Master. The HHA Chief Executive shall chair the Committee and in his absence HHA will nominate a substitute.

x. The Committee shall meet as necessary, but not less than once every three months.

xi. Minutes of meetings shall be kept. xii. The Committee may invite others to attend meetings, but they

may not vote. xiii. The Deputy Harbour Master (Operations) will attend meetings

of the Committee but will not have a vote.

4. Where the Committee fails to reach agreement on any matter a report to HHA shall be made via the Chief Executive.

5. The Committee shall be provided with such information as it requires to

enable it to carry out its functions. 6. Any Pilotage Bye-Laws which may be required shall be considered by

the Committee before these are submitted to HHA. 7. The ABP Port of Ipswich representative to have power to stipulate the

standard of Pilotage Services required in his Authority’s area. 8. The Committee will recommend pilot numbers for the pilotage district

as a whole. 9. The Committee will make recommendations as to requirements for

PEC examination and renewal procedures. 10. In all cases where a vessel with an authorised pilot or pilotage

exemption certificate holder aboard is involved in collision, stranding, or damage to a third party, the Committee will be informed and copies of the official reports will be provided on a confidential basis to committee members having a direct port interest.

11. The Committee will make recommendation as to rates and the charges

structure for Pilotage. 12. The arrangements set out above to be amended as may from time to

time be agreed by the Parties to this Agreement.

The HPPC meets not less than once every three months to discuss the efficiency of the service. This includes pilotage charges and expenditure, recruitment and training, the maintenance of standards, particular operational problems which impact across the harbour, the provision of boat services, and the relationship between pilots and towage contractors. The Haven Ports Pilotage Committee acts as an advisory body to the Board of the Harwich Haven Authority, and reviews the working arrangements as described above.

The pilotage service is managed by the Harbour Master. In the prolonged absence of the Harbour Master the service will be managed by the Deputy Harbour Master (Operations) [DHM(O)].


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4.3.3. Haven Towage/HHA Liaison Meetings

At these meetings, which are held three times a year, all matters relating to the interface between Pilots and the towing company are discussed. Particular attention is paid to PMSC and other matters relating to the safety of towage operations and the compatibility of operating procedures.

4.3.4. Port of Felixstowe/HHA Liaison Meetings

These meetings are held three times a year. Representatives from the Port of Felixstowe meet with HHA Staff. All matters relating to PMSC and the berthing of ships at the Port are discussed and the compatibility of operating procedures is ensured.

4.3.5. Harwich International Port/HHA Liaison Meetings

Representatives from HIP will meet with HHA staff. PMSC and operational matters relating to berthing of ships at the Port are discussed and the compatibility of operating procedures is ensured. These meetings are held three times a year.

4.3.6. ABP Port of Ipswich/HHA Liaison Meetings

Representatives from ABP Ipswich will meet with HHA staff. PMSC and operational matters relating to the navigation and berthing of ships at the Port are discussed and the compatibility of operating procedures is ensured. These meetings are held three times a year.

4.3.7. Harwich Dock Company/HHA Liaison Meetings

Representatives from HDC will meet with HHA staff. PMSC and operational matters relating to the navigation and berthing of ships at the Port are discussed and the compatibility of operating procedures is ensured. These meetings are held twice a year.

4.3.8. Mistley Quay Forwarding/HHA Liaison Meetings

Representatives from MQF will meet with HHA staff. PMSC and operational matters relating to the navigation and berthing of ships at the Port are discussed and the compatibility of operating procedures is ensured. These meetings are held twice a year.

4.3.9. Management/Pilot/VTS/Launch/Marine Support Working Groups

Periodically working groups will be formed to deal with specific tasks, e.g. Sunk Boarding and Landing, Training, Surveying. Additionally, watch representatives meet with the Harbour Master at regular intervals to raise issues relating to general pilotage matters.


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4.4. Consultation Management

4.4.1. Harbour Liaison Meeting (HLM)

The Harwich Haven Authority will convene a Harbour Liaison Meeting, chaired by the Chief Executive, or his Deputy annually. The Harbour Liaison Meeting is intended to be inclusive to all of the Authority’s external stakeholders, including but not limited to:-

Local Authorities Environmental Agencies Leisure boating users Trinity House Maritime & Coastguard Agency/Emergency services Shipowner representatives Fishing interests Marina operators Port and Terminal operators RNLI Ferry Operators RYA

The minutes of the Harbour Liaison Meeting will be forwarded to all members of the Authority prior to the first Board Meeting following the HLM and will form the basis of an agenda item at that Board Meeting.

4.4.2. Leisure Vessels Navigation Sub-Committee

A leisure vessels navigation sub-committee of the HLM chaired by the Deputy Harbour Master (Conservancy) [DHM(C)] or his Deputy, will meet twice a year. The minutes of this meeting will form a report item at the HLM and will therefore also be brought to the attention of the Board.

The constitution of the sub-committee will vary from time to time but will generally include:-

• one member representing the Royal Yachting Association (RYA)

• one member representing the Harwich Area Sailing Association (HASA).

• one member representing the British Maritime Industries Forum (BMIF)

• one member representing the Yacht Harbour Association

• Maritime & Coastguard Agency

• Haven Pilots

• Representation from local yacht clubs

The agenda for the leisure vessels navigation sub-committee will include but not be limited to:- • navigational incidents since the last meeting

• conservancy issues

• navigation safety


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• Notices to Mariners and Marine Safety Bulletins

• any other business

4.4.3. Publication of Accounts

Every year before the end of July the Authority will publish its Annual Accounts.

4.4.4. Performance Report

The Authority will publish a Performance Report detailing the Authority’s progress and plans for the future at not more than three yearly intervals.

4.5. Information Management

4.5.1. Operational Information

(i) Operational information will be issued in controlled form in the following formats:

i. Operational Instructions – OPS 003

Issued by the Harbour Master and Deputy Harbour Master providing additional instruction, amplification, adjustment and changes to Marine Operations, functions and procedures. These instructions may also contain information of general use to VTS Officer, Launch Staff and Pilots.

ii. Notices to Mariners – OPS 004 Issued by the Harbour Master providing navigational procedures or navigational safety information to masters and port users.

iii. Operational Memos – OPS 005 Issued by the Harbour Master and Deputy Harbour Master providing general information to operational personnel.

iv. Marine Safety Bulletins – OPS 006 Issued by the Harbour Master when important lessons need to be promulgated following a serious incident.

v. Port Information Notices – OPS 020 Issued by the Harbour Master providing operational or organisational information to port users.

vi. Occupational Safety Notices – OPS 028 Issued by the Safety Manager providing Safety requirements and information to Authority’s staff.

vii. Notice Board (uncontrolled) Day to day events and comments will be promulgated by means of the notice board, which is presented electronically in the ready rooms, Operations Centre and all MIS Work Stations.

(ii) Issue of Operational Information

i. Operational information will be issued in controlled form and maintained by Marine Administration in manuals in the following locations:

Chief Executive Harbour Master Deputy Harbour Master (Operations) Deputy Harbour Master (Conservancy)


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Operations Centre Pilots’ Ready Room

ii. Operational information is issued in controlled form and maintained by Marine Administration in electronic form in the HHA Library available to all personnel.

iii. Operational information will be issued in uncontrolled form to individual Pilots, Duty Officers and Watch Coxswains on a weekly basis.

iv. Operational information pertaining to shipping companies and other port users will be issued to Ship’s Agents, PEC Holders and other Marine and Port establishments.

(iii) Control of Operational Information

All operational information will be reviewed quarterly and an Operational Instruction, Notice to Mariners, Operational Memo issued listing all those still in force and those withdrawn due to inclusion into the Operations Manual, sufficient promulgation, or the information no longer being valid.

5. PERFORMANCE MEASUREMENT

Risk Controls through active or passive traffic management are implemented to prevent or minimise the risks associated with identified hazards from risk assessment. An incident indicates an inadequacy of those controls. To determine the control failings it is essential to understand the causes or contributing factors that lead to the incident. Incident factors (causes) are related to risk control measures in that risk control measures are elements designed to minimise incident factors. Incident factors have two components, Internal Factors which are within the control, influence or authorisation of HHA and External Factors which are outside the control of HHA.

5.1. Continued Development And Revalidation

The training and certification procedures as detailed in appendices requires all Pilots, VTS operators and Launch crew to undertake refresher training, assessment and certificate revalidation at regular intervals.

The training and certification procedures as detailed in appendices require PEC Holders to undertake pilot assessment on change of vessel characteristic and annual revalidation interviews (Class A).

The Harwich Integrated Port Operations course (HIPOC) for all Pilots, PEC Holders, VTS Operators, Launch Coxswains, Tug skippers and Port Operators aims to promote understanding between parties or services, develop teamwork and review procedures.

Communicating for Safe Operations Seminars are aimed at Pilots, PEC Holders, Operations staff and others involved in the safety of marine operations within the Haven to inform participants of recent developments within the UK and the Harwich area.

5.2. Incident Management

The purpose of the Harwich Incident Management and Harwich Active Risk Management system within HIMDS is to achieve active rather than a reactive use of marine risk assessments, so that assessments are not only reviewed at set intervals or following marine accidents but continually analysed and dynamically linked by all reported occurrences with regards to, potential (frequency), impact (outcome) and effectiveness of risk control measures (procedures). The system electronically links incident reports to applicable marine risk assessments by navigational


Section 1 3-07

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action and navigational area and then compares the actual factors and outcomes of any incident with the assessed control measures and consequences. By linking all marine incident reports dynamically, any increase in the potential of an accident within a particular area or from a particular navigational action or procedural deficiency is immediately highlighted. In this way the system promotes a proactive management of navigational risk, operations and compliance monitoring.

5.3. Operational Reports

In meeting the principles of the incident management system it is essential that all occurrences affecting or having the potential to affect safety are reported. The Authority actively encourages the use of reports through liaison, training, and individual responsibility.

A Marine Incident Report and Accident Report should be used to report any occurrence or incident that affects, or is liable to affect the safety of any person, vessel or environment within the Authority’s area of jurisdiction.

The Senior Duty Officer shall be informed immediately if any accident occurs to pilots, launch crews, pilot boats or other staff. The Senior Duty Officer will inform the Safety Manager in the case of a major injury or if he considers it appropriate.

GD 6 The Master (Duty to Report) of every vessel which is berthed, anchored, moored, or underway

within the Authority’s area shall ensure that Harwich VTS is kept fully informed of any matter or incident which he considers to be relevant to safety, environmental protection, proper traffic organisation, or the efficient organisation of the port.

5.3.1. All operational incidents, occurrences or equipment deficiencies must be entered electronically in HIMDS or manually using the following Operational Report forms:

Marine Incident Report - Form HHA OPS 001 Marine Report - Form HHA OPS 002 Pollution Report - Form HHA OPS 004 Delay Report - Form HHA OPS 005 Accident Reports - Form HHA OPS 008 a,b,c,d Request to Bunker - Form HHA OPS 010

(i) Marine Incident Report

The Marine Incident Report should be used to report any occurrence or incident that affects, or is liable to affect the safety of any person, vessel or environment within the Authority’s area of jurisdiction.

Marine Incident Reports should be an ordered and logical, factual account of the incident and must not contain conjectural or personal opinions.

Marine Incident Reports will be used by the Authority as required in promulgating incident facts and details to Government Agencies or other interested parties.


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Completing an Incident Report In order to achieve a common format, allowing wider use by the MCA or MAIB and the Authority’s Safety Management System, defined entries should be used whenever possible.

Additional Reports In all instances when the marine incident involves personal injury to any member of the Authority an Accident Report must also be completed. In all instances when the marine incident involves a defect to one of the vessels involved, a Vessel Defect Report must be completed and forwarded to the MCA.

Supporting Documents Any Incident Logs, Emergency Action cards or other documents relating to the marine incident must also be submitted.

(ii) Marine Report

The Marine Report is used to report or raise any matters or issues that do not affect the safety of vessels, but do affect the Authority in terms of operations, equipment or safety and personnel issues.

(iii) Vessel Defect Report

The Vessel Defect Report must be used to report serious deficiencies in vessels’ equipment or condition for navigating, Pilot access arrangements or cargo, to the MCA. Vessel Defect Reports must be forwarded to the MCA as required by the Operations Manual, and a copy for collection by Marine Administration. One copy should be held on file in the Operations Centre together with any associated paperwork from the MCA or Admiralty Marshal until the vessel is released or clear to proceed.

(iv) Delay Report

The Delay Report should be used in circumstances where the Duty Officer considers a vessel is delayed due to operational, cargo or resource availability. Whilst delays can be the result of a combination of factors only the predominant delay cause should be entered.

5.3.2. All reports must be entered in HIMDS. Any reports not input directly in HIMDS are to be

placed for collection by Marine Administration, or handed directly to the Harbour Master or Deputy Harbour Master for input into HIMDS.

5.4. Procedure For Actioning Reports

5.4.1. All actions taken during an investigation must be recorded in HIMDS.

5.4.2. Marine Reports will be actioned by the Deputy Harbour Master as appropriate.


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5.4.3. All Health and Safety incidents and Accident Reports will be investigated by the Department Head or other senior Manager aided if needed by the Safety Manager.

5.4.4. Following any complaint, the Deputy Harbour Masters will ensure that preliminary investigation and reports are prepared for the Harbour Master.

5.4.5. Following any Incident Report the Deputy Harbour Master (Operations) and Deputy Harbour Master (Conservancy) will ensure that all available reports, evidence and records are collated and a preliminary investigation prepared for the Harbour Master.

The Harbour Master or Chief Executive will decide what level of investigation is warranted. (i) Accident Inquiry - Convening of an Accident Investigation Panel (ii) Formal Investigation – Formal investigation of incident by the Harbour Master (iii) Administration Investigation - Documentary investigation of incident (iv) Evaluation - Evaluation of incident reports with regard to frequency

5.4.6. Following each incident investigation a full incident analysis will be undertaken by the

Harbour Master to determining the impact or potential impact and the contributing factors into the cause of the incident and review the associated assessments and risk controls to that navigational action.

Part of the incident investigation is to determine whether or not there has been an infringement of the Merchant shipping Act 1995, a Byelaw or a General direction. Where, with appropriate legal assistance, this is established the Authority will consider instituting a prosecution, administering a caution or issuing a warning. It is recognised that whenever possible the policy of ensuring compliance is through education, and persuasion. However it may be apparent that for persistent offenders prosecution may be the most appropriate option. The following factors are to be considered when deciding whether or not to prosecute:

• Death or injury • Damage • Ability to foresee the offence or the circumstances leading to it • Intent of the Offender • Attitude of the Offender • Deterrent effect of a prosecution on the offender and others • Circumstances of the Offender.

5.4.7. Where the incident investigation and analysis necessitate, the Harbour Master shall

review the incident at NAVSAFCOM and promulgate any lessons to be learnt, procedural reminders or additional operational procedures through Operational Notices.

5.4.8. An Incident Report shall only be closed on completion of an incident analysis and publication of any resultant measures or findings.

5.4.9. The Deputy Harbour Master (Operations) will report to the Chief Executive at each Management Team Meeting on all reports received and their current status.

5.4.10. The Harbour Master will report on the investigation and outcome of all marine accidents and hazardous incidents at each Board meeting.


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5.5. Accident Inquiry

When a vessel in the charge of, or acting under the specific advice or instruction of:-

• Pilot authorised by the Harwich Haven Authority

• a Master or Deck Officer holding a current and valid Pilotage Exemption certificate

• a VTS Officer

• a Designated Officer

has touched the ground, or has been in collision with, or dangerous proximity to any other vessel, or any fixed or floating object in the waters under the pilotage or navigational jurisdiction of the Authority, she/he shall report the occurrence immediately to the Authority’s Harbour Master (The Harbour Master), giving all the circumstances leading up to the occurrence.

If the casualty or incident occurred in the waters under the jurisdiction of the Port of Ipswich, all such reports shall also be passed by the Harbour Master to the Ipswich Harbour Master.

If the casualty or incident involved a Pilot or VTS Officer authorised by the HHA, the Harbour Master may recommend that the Pilot or VTS Officer be suspended from duty on full pay pending the consideration of the casualty report and further investigation, should the circumstances appear to warrant such action in the interests of safety or the wellbeing of the Pilot, VTS Officer or Launch Crew staff.

If the circumstances appear to warrant such action, the Harbour Master may also recommend to the Chief Executive Officer that the Pilotage Exemption Certificate of a Master or Deck Officer be immediately temporarily suspended pending further investigation.

All available reports, evidence and records shall be gathered and considered by the Harbour Master, assisted by the Deputy Harbour Master. The Harbour Master may also seek a second opinion from an independent person with appropriate knowledge. If the casualty or incident occurred in waters under the jurisdiction of the Port if Ipswich, the report shall be considered in consultation with the Ipswich Harbour Master. The Harbour Masters may, if necessary, obtain clarification from any person who may have a direct interest in the casualty or incident on such points as will assist them in taking the most appropriate action.

Consequent upon such consideration and consultation, the Harbour Master may either declare the matter closed or decide there should be further investigation of the incident and the roles played by all or any of the Pilots, PEC Holders, Masters, VTS Officer or Launch Crew staff involved.

If the Harbour Master declares the matter closed, no further action will be taken. If subsequently, new information comes to light, the matter may be re-opened for further consideration.

If the Harbour Master decides there should be further consideration of the casualty or incident, the procedure shall be as follows:-

5.5.1. The Harbour Master will recommend the convening of an Accident Investigation Panel

which will consist of four of the following:-

i. A Senior Manager with experience of chairing investigating panels (The Panel Chairman). As an alternative, an independent person with appropriate experience may be invited to chair the panel.


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ii. The Harbour Master. iii. The Deputy Harbour Master. iv. A retired Senior Pilot or an experienced PEC holding shipmaster.

5.5.2. The Pilot, PEC holder, VTS Officer or Launch Crew involved in the casualty shall be

informed, in writing, that the Accident Investigation Panel is to hold a hearing. She/He shall be given notice of the date, time and place and required to attend. She/He will be advised of the right to be accompanied by a colleague or a trade union representative.

5.5.3. On conclusion of the hearing, the Panel Chairman may announce the decision of the Panel but will, in all cases, produce a written report of the proceeding and the decision of the Panel within seven days. The Panel may recommend to the Authority:-

(i) In the case of an Authorised Pilot or VTS Officer:-

i. That no further action needs to be taken. ii. That no further action needs to be taken against the Pilot or VTS

Officer, but there are lessons to be learned from the incident and remedial action required.

iii. That further action against the Pilot or VTS Officer shall be considered within the terms of the Disciplinary Procedure, in which case they may recommend suspension of the Pilot or VTS Officer from duty on full pay pending the outcome.

iv. That Pilot’s or VTS Officer's Authorisation should be downgraded, suspended for an appropriate period or revoked.

(ii) In the case of a PEC Holder:-

i. That no further action needs to be taken, ii. That no further action needs to be taken against the PEC Holder but

there are lessons to be learned from the incident and remedial action is required.

iii. That the PEC shall be suspended pending re- examination of the holder.

iv. That the PEC should be suspended for an appropriate period or revoked.

5.5.4. In the event that the Chief Executive Officer accepts a recommendation as contained in

[5.5.3] the Pilot, PEC holder or VTS Officer may appeal to the Chairman of the Board of the Harwich Haven Authority.

5.5.5. The appeal must be made in writing and it must reach the Chairman of the Board of HHA not more than 28 days after the Pilot or PEC holder has been made aware of the Chief Executive Officer’s decision.

5.5.6. As soon as is reasonably practicable, the Chairman of the Board of HHA will convene a Hearing at which Board Members (a minimum of three), will hear the appeal. The Pilot, PEC holder, or VTS Officer shall be given notice of the date, time and place and required to attend. She/He will be advised of the right to be accompanied by a colleague or trade union representative.

5.5.7. The decision of the Harwich Haven Authority will be final.


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5.5.8. In circumstances where action is taken against the Pilot or VTS Officer concerned under the Authority’s Disciplinary Procedure, the normal appeals procedure contained in the Disciplinary Procedure will apply.

5.5.9. In all cases where an occurrence is reported in accordance with the Accident Inquiry Procedure, the Haven Ports Pilotage Committee shall be informed and each Committee member shall receive a copy of the report referred to in [5.5.3].

5.6. Incident/Accident Investigations By External Agencies

The UK national legal framework for incident investigation is summarised in a memorandum of understanding (MOU) between the MCA, the MAIB and the HSE for health and safety enforcement activities at the water margin and offshore:

• The MCA is responsible throughout the UK for implementing the government’s

maritime safety policy as enacted through merchant shipping regulations

• The MAIB investigates accidents related to ships and crew

• The HSE investigates land based accidents, and accidents occurring on offshore installations

There is a further MOU covering the investigation of marine accidents between the MAIB and the association of chief police officers (ACPO).

• MAIB investigates accidents related to ships and crew;

• The police will investigate accidents involving death.

Additionally the Police have a duty to investigate where a possible criminal offence has been committed.

Accident/incident reporting requirements are set out in the Merchant Shipping (accident reporting and investigation) regulations No 881/2005, guidance is contained within MGN 458 [M+F] “accident reporting and investigation”

6. AUDIT AND REVIEW

Marine operations will be audited annually both internally and externally to ensure compliance with the Authority’s policies and operational procedures, as contained in the Marine Safety Management System and compliance with the Port Marine Safety Code.

6.1. Internal And External Safety And Quality Audits

The Harbour Master will ensure that an annual internal safety and quality audit is carried out to verify the implementation of the Safety Management System and to determine the effectiveness of the Marine organisation.

6.1.1. Audit Team

The audit team will consist of the Deputy Harbour Master (Conservancy) and Safety Manager.


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If there is a non-fulfillment of a specified requirement discovered during audit a non-conformity report is to be raised. These reports will be processed by the audit team and any non-conformities reported to the Chief Executive.

6.1.2. Internal Audit

An annual audit of all HHA Marine Operations will be carried out; a report of which will be made to the Chief Executive Officer who will inform the Board of its findings.

6.1.3. Non Scheduled Audits

Additionally, audits will be undertaken as deemed necessary by the Designated Person covering either the whole or part of the Marine Safety Management System.

6.1.4. Fit for Purpose Audit

A fit for purpose audit of all towage operations within the Haven area, in conjunction with the individual operators and organisations will be carried out. These audits are planned for completion annually.

6.1.5. External Audit

An annual audit of the Marine Safety Management System will be carried out by an external organisation to ensure continued compliance with the requirements of the Port Marine Safety Code and Guidance; a report of which will be made to the Board (Duty Holder).

6.2. HIMDS System Review, Revision And Audit

Each marine risk assessment entered within the system must have a date input. The date input automatically creates an archive assessment which is recorded as an entry in the revision section attached to the individual assessment. Each revision entry records the archive assessment, reason of review or amendment, reviewer and outline description of review or amendment undertaken. This process is triggered for every revision entry and amendment or change to an assessment within the system. The system also itemises assessments due or overdue scheduled review automatically based on the review period set for each assessment, which in all cases is set at less than five years.

In creating an archive assessment for each amendment or change the system maintains a complete audit record. Using a complete archive of the assessment as opposed to a record of tracked changes creates a comprehensive history and allows easier recall of amendments.