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Safety Management
System Manual
CHC Controlled Document no.1
Issued: 14th of August 2013
Date last updated: 19 June 2014
This manual outlines the structure of Cowes Harbour Commissions Safety Management
System. Furthermore, it describes in detail the key functions and responsibilities of the
Commission, and contains advice for its officers on fulfilling those duties in a way that is
commensurate with best practice(s).
Amendment Record
Amendment Number
Amendment Date
Revision History
1/2013
24/08/2013
SMS reviewed in 2013 by Marine Officer
and Deputy Harbour Master.
1/2014
12/05/2014
SMS Reviewed in 2014 by the Deputy
Harbour Master.
2/2014
12/05/2014
Section 7 - Risk Assessment Chapter
Replaced with details of the HAZMAN II
software.
3/2014
12/05/2014
Accident and Incident Forms deleted from
Annexes and replaced with new
combined form available from
www.cowesharbourcommission.co.uk
4/2014
26/05/2014
Navigational Safety Policy Inserted
i
Amendment Record ............................................................................................................... i
Section 1 -
Background ..................................................................................................... 1-1
Section 2 -
Introduction ..................................................................................................... 2-1
Section 3 -
Accountability for Marine Safety .................................................................... 3-1
Operational Responsibilities of the CHC Officers ........................................................... 3-1
Section 4 -
Schedule of Policies ........................................................................................ 4-1
Section 5 -
Harbour Authority Duties and Powers ........................................................... 5-1
General Duties and Powers .............................................................................................. 5-1
Harbour authority powers ................................................................................................. 5-3
Reviewing Existing Powers ............................................................................................... 5-6
Section 6 -
Specific Duties and Powers and Risk Control Measures ............................. 6-1
Directions (usually referred to as special directions) ..................................................... 6-1
General Directions (GDs) .................................................................................................. 6-2
Byelaws .............................................................................................................................. 6-2
Incidents threatening pollution or safety......................................................................... 6-3
Vessel traffic services ....................................................................................................... 6-6
Pilotage .............................................................................................................................. 6-6
Ship towage ....................................................................................................................... 6-7
The General Lighthouse Authorities ................................................................................ 6-8
Section 7 -
The Risk Assessment ...................................................................................... 7-1
Defining Risk ..................................................................................................................... 7-2
Scope ................................................................................................................................. 7-2
Navigation Risk Assessment Methodology ..................................................................... 7-3
Permit to Work ................................................................................................................ 7-10
Section 8 -
Reporting of Accidents and Dangerous Occurrences ................................... 8-1
ii
Incidents Involving Death or Crime .................................................................................. 8-2
National Regulatory Framework ...................................................................................... 8-3
Statutory Reporting Requirements .................................................................................. 8-5
Local CHC Reporting Requirements (marine accidents, haz incidents, injuries) ......... 8-5
Purpose and Conduct of Marine Incident Investigations ............................................... 8-6
Reporting Accidents to the MAIB ..................................................................................... 8-9
Summary Reporting Procedures .................................................................................... 8-12
Accident Investigation..................................................................................................... 8-17
Legal Framework for Non-Marine Accidents and Occurrences ................................... 8-20
Section 9 -
Emergency Preparedness and Response ..................................................... 9-1
Oil Pollution and Dangerous Vessels ............................................................................... 9-2
National and Other Plans ................................................................................................. 9-5
Section 10 -
Regulation and Management of Navigation ............................................ 10-1
Public Right to Navigate ................................................................................................. 10-1
Existing Controls.............................................................................................................. 10-3
Harbour Service(s) .......................................................................................................... 10-9
Recreational Navigation .............................................................................................. 10-10
Section 11 -
Conservancy .............................................................................................. 11-1
Section 12 -
Pilotage ...................................................................................................... 12-1
The Competent Harbour Authority ................................................................................. 12-1
Pilotage Exemption Certificates ..................................................................................... 12-9
Section 13 -
Auditing & Reviewing Performance .......................................................... 13-1
The Audit & Review Process ........................................................................................... 13-2
Section 14 ANNEX A.
Document Control ..................................................................................... 14-3
Organisational Structure ................................................................................ A-1
iii
iv
Section 1 -
Background
Cowes Harbour is a ‘trust port’, controlled by the independent statutory body Cowes
Harbour Commission (CHC), and governed by Cowes Harbour Acts 1897-2012 and
various other relevant statute laws, common laws, and fiduciary duties. As a trust port,
‘there are no shareholders or owner(s)’… and through the commercial undertakings of
CHC ‘any financial surplus is ploughed back into the port for the benefit of the
stakeholders of the trust port’ (Modernising Trust Ports [Second Edition] ii. Background,
2009).
Also relevant to undertakings of CHC, is ‘The Port Marine Safety Code’ (PMSC, latest
edition 2012) which ‘applies to all harbour authorities in the UK that have statutory
powers and duties’. The PMSC has established the principle of a national standard for
every aspect of port marine safety; and since its publication, CHC has maintained a policy
of measuring its performance in relation to this code (see Chapter 3 - CHC Schedule of
Policies). A significant requirement of the PMSC is to ‘develop an effective marine safety
management system (SMS), which employs formal risk assessment techniques’ to
‘eliminate or reduce risks to as low as reasonably practicable’. A SMS, in the context of
the PMSC, is intended to ‘manage the hazards and risks’ of the port, and to confirm that
‘preparations for emergencies’, that the port is likely to experience, are appropriate and
proportional to risk(s).
The PMSC ‘relies upon the principle that all harbours will base their policies, procedures,
and control measures relating to marine operations, on a formal assessment of hazards
and risks to marine operations’ (A Guide to Good Practice on Port Marine Operations,
2013). This is representative of a trend in recent decades to move away from
prescriptive rules, and focus instead on implementing appropriate controls based on an
assessment of the risks.
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Section 2 -
Introduction
This manual sets out the provisions of the Cowes Harbour Commission (CHC) Safety
Management System (SMS).
Background of the SMS
The SMS is the formalised on-going process of implementing, maintaining, reviewing, and
improving the management control mechanisms in place for the safety of navigation and
marine operations within the jurisdiction of CHC (see figure 1 below).
Figure 1 illustrates the jurisdiction of Cowes Harbour
Commission.
2-1
Summary and Principles of the CHC SMS
One of CHCs objectives is to ‘manage effectively the safety of the harbour’ (Cowes
Harbour Commission Annual Report 2011/12). Managing the safety of the harbour is
one of CHC’s primary objectives, and in this respect CHC takes a proactive approach. The
PMSC has established a set of minimum standards which all ports are expected to
comply with. A very clear requirement of this code is that a SMS will be developed,
implemented, and maintained; this manual describes and explains how CHC achieves
this.
The SMS developed by CHC is applicable to its duties as both a Statutory/Competent
Harbour Authority. The Health and Safety Executive (HSE, 1997) outlines the essential
components of any SMS, irrespective of its particular application (see figure 2).
Figure 2 Key elements of the CHC safety management system
With figure 2 in mind, the functional requirements of the CHC SMS include:
1. A safety and environmental protection policy (See CHC Schedule of Policies);
2. Defined levels of authority and lines of communication between, and amongst,
CHC personnel;
3. Instructions and procedures for staff, stakeholders, and harbour users, to ensure
the safe management of the port area and the environment;
4. Procedures for internal audits and reviews.
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The objectives of the CHC SMS are therefore to:
1. Ensure safe practices in port operations through effective communication across
all levels of the organisation and stakeholders regarding port safety;
2. Establish safeguards against identifiable risk(s) by identifying any risk(s)
concerning the safety of navigation and implement suitable controls through ongoing assessments of the identifiable risk(s);
3. Continuously improve the management of safety within the harbour so that the
SMS remains effective and efficient (fit for purpose).
4. Ensure that provisions for emergency situations, which are appropriate and
proportional to the risk(s), are in place and ready for use.
Cowes Harbour and its Port Marine Safety Requirements
Cowes Harbour is the largest port on the Isle of Wight, and handled approximately
227,000 tonnes of cargo and approximately 3,000,000 passengers, in 2012.
Additionally, Cowes is a popular destination for sailors and leisure craft, and plays host to
a relatively large number of sailing and recreational events throughout the year. CHC has
to therefore liaise with and manage a diverse range of commercial interests and
stakeholders. Each stakeholder offers a different viewpoint and it is for CHC to manage
the potential conflicts of interest safely. CHC under the guide to good governance
facilitates a CHC Advisory Committee. This committee provides an authoritative forum
which promotes communication between stakeholders and recommendations to CHC’s
board of Commissioners.
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Section 3 -
Accountability for Marine Safety
The Code clearly states that the ‘executive and operational responsibilities for marine
safety must be clearly assigned, and those entrusted with these responsibilities must be
answerable for their performance’; this chapter identifies who is accountable for port
safety in Cowes harbour waters and their approaches.

The Board of Commissioners as the duty holder, on behalf of the harbour
authority is accountable for managing operations within the port safely and
efficiently.

CHC has appointed the Deputy Harbour Master as the Port Safety Officer. The
Port Safety Officer is tasked with the day to day management of safety within
the Port of Cowes.

The Commissioner for Safety, Security & Environment, acts as the ‘Designated
Person’ and provides independent assurances to the Board on matters
concerning safety.
Operational Responsibilities of the CHC Officers
The key to effective discharge of the functions described in the Port Marine Safety Code
is the development and operation of this marine safety management system for marine
operations. That in turn depends upon a clear assignment and organisation of relevant
executive and operational responsibilities to the authority's officers.
The Duty Holder
The Cowes Harbour Commission Board of Commissioners shall accept responsibility for
ensuring Cowes Harbour Authority discharges its duties and powers to the appropriate
standard. Board members are collectively and individually responsible for the proper
exercise of their authority’s legal duties. It follows clearly that it and they are severally
and collectively the ‘duty holder’.
Board members may not abdicate accountability on the grounds that they do not have
particular skills. They retain strategic oversight and direction in all aspects of the
harbour. They shall ensure that all powers are discharged but not exceeded.
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The role of the duty holder includes:

Maintaining strategic oversight and direction of all aspects of the harbour
operation, including marine safety;

Responsibility for the development of policies, plans, systems and procedures for
safe navigation;

Ensuring that assessments and reviews are undertaken as required, to maintain
and improve marine safety;

Ensuring that the harbour authority seeks and adopts appropriate powers for the
effective enforcement of their regulations, and for setting dues at a level, which
adequately funds the discharge of all their duties.
Cowes Harbour Commission has the power to appoint a harbour master, to authorise
pilots, and may properly entrust the operation of the harbour to such professional
people; but the duty holder cannot assign or delegate its accountability for compliance
with the Code.
All board members should take time to gain an appropriate insight and understanding of
the port’s marine activities, marine safety management system and supporting systems.
This can be accommodated through briefings and operational visits.
CHC, holds itself publicly accountable for the duties they have to the public interest,
these duties are primary. The Board is accountable for the standards they set, the
resources they allocate to safety and for the effectiveness of systems they choose to
adopt. The Board members approach to safety will be judged by the decisions they make.
The Designated Person
Cowes Harbour Authority has appointed the Commissioner for Safety, Security, and
Environment as the designated person to provide independent assurance directly to the
duty holder that the marine safety management system, for which the duty holder is
responsible, is working effectively. His main responsibility is to determine, through
assessment and audit, and whether or not the marine SMS is in compliance with the
Code.
In order to fulfil this function the designated person must have a thorough knowledge
and understanding of the requirements of this code (and supporting Guide to Good
Practice) and associated port and marine legislation. Their role does not obscure the
accountability of the authority and its board members.
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Chief Executive/Harbour Master
The Chief Executive is accountable for the operational and financial control of the
authority. The CE/HM will advise the authority on all matters related to its duties and
powers, with appropriate advice from other officers. He or she will:
a. Oversee the implementation of its policies and decisions;
b. Have overall executive responsibility for the safety of operations and staff; and;
c. Will oversee the recruitment and training of staff.
The harbour master has day-to-day responsibility for the safe operation of navigation and
other marine activities in the harbour and its approaches. The post holder must be
competent and a suitably qualified person, with sufficient experience for the role. They
must also be competent to undertake other relevant duties, in relation to Health & Safety
at Work and Merchant Shipping legislation.
The Harbour Master:
a. Has powers of direction to regulate the time and manner of ships' entry to,
departure from and movement within the harbour waters, and related marine
safety purposes.
b. Ensures the co-ordination and regulation of all vessels within the harbour and its
approaches. He may also be responsible for developing and implementing
emergency plans and procedures, for regulating dangerous goods in transit on
ships and for counter-pollution and waste disposal plans.
In relation to the authority's conservancy duties, the harbour master has overall
responsibility for the provision and maintenance of aids to navigation (see Chapter on
Conservancy).
The Authority's Officers
The appointment of officers is a matter for the authority. Delegations must be clear,
formal and must not obscure the accountability of the authority and its board members.
It is important that:
a. Executive and operational responsibilities are appropriately assigned to properly
trained people,
b. If some of the functions are combined, a proper separation of safety and
commercial activities needs to be maintained; and
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c. All employees must have training that is appropriate for their level of
responsibility.
Within Cowes Harbour Commission the following officers are appointed:

Harbour Master is responsible for overseeing the day-to-day management of the
harbour but these duties may be delegated to the Deputy Harbour Master.

Port Safety Officer is the Deputy Harbour Master, who is responsible for the
operational implementation of the Code and the Marine SMS, and ensuring that
safe working practices are written, followed and reviewed.

Cowes Pilots are responsible for implementing the competent pilotage service
that is provided by the authority to individual vessels visiting the port.

Berthing Masters are responsible for the local enforcement of the authorities
General Directions, Byelaws and Local Notice to Mariners by giving advice,
directions and warnings where appropriate.

Marine Services Manager is responsible for the Commissions commercial
activities and is reportable to the Harbour Master and to the Port Safety Officer on
any matters relating to safety.
Marine Officer appointed to assist the Deputy Harbour Master in their role as the Port
Safety Officer.
Delegations are no substitute for the duty holder being directly involved in safety
management. Therefore, at least one principal officer, holding delegated responsibilities
for safety, should attend board meetings.
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Section 4 -
Schedule of Policies
General Management
The Harbour Authority will support the commercial and recreational activities of the
Port of Cowes through the provision of appropriate services at competitive cost, and
the safe and efficient regulation of shipping / users within Harbour limits.
The ‘Designated Person' is the Commissioner who holds the Safety Portfolio.
The policy of the Board of Commissioners and Management is to:
i.
Manage the assets of the Harbour Authority safely, economically and efficiently;
ii.
Maintain harbour craft and equipment to the highest industry standards;
iii.
Pursue modern, cost effective methods of dredging and surveying;
iv.
Train operational staff to the highest professional standards; and
v.
Ensure that their staff is properly trained in emergency and contingency
procedures.
Cowes Harbour Navigational Safety Policy
Cowes Harbour Commission (CHC) has a primary responsibility to enable the safety of
navigation within Cowes harbour and the River Medina north of the Folly Inn. To this
end, it is Board policy that CHC shall:
Maintain an effective navigational Safety Management System based on a continuing,
formal assessment and mitigation of risk in consultation with river users;
i.
Review regularly the effectiveness of, and if necessary seek amendments to, its
legal powers, Byelaws and Directions in respect of navigational safety;
ii.
Provide appropriate pilotage services in accordance with the Pilotage Act 1987;
iii.
Make and publish hydrographic surveys;
iv.
Undertake maintenance dredging as appropriate;
v.
Remove sunken vessels and other obstructions that may impede safe
navigation;
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vi.
Provide all necessary aids to navigation within port limits
vii.
Promulgate effectively navigational, tidal and other relevant information to all
port and river users;
viii.
Provide effective management and co-ordination in respect of the CHC’s
response to emergency incidents within its area of jurisdiction;
ix.
Consult widely with port and river users and other relevant stakeholders in
respect of navigational safety issues and proposed changes to navigational
arrangements;
x.
Ensure, through risk assessment that the licensing of works takes due regard of
the safety of navigation;
xi.
Investigate all navigational incidents and near misses to a proportionate level to
ensure that any future lessons are identified to inform the risk assessment
processes.
Enforcement & Prosecution Policy
Cowes Harbour Commission (CHC) is responsible under the Port Marine Safety Code for
the effective enforcement of its regulations, which are adopted in order to assist in
managing the safety of navigation within the port. In this Policy, enforcement comprises
the promulgation of regulation and guidance, effective surveillance, incident
investigation, and where appropriate formal warning and prosecution.
Our policy is based on education in the first instance and generally only reverting to
prosecution for repeat offenders, for offences bringing significant risk of serious injury
or loss of life or for when users threaten or abuse our staff members. Where
appropriate, and where empowered to do so, CHC will prosecute offenders for
committing criminal offences, including those set out in the Merchant Shipping Act
1995 and in ancillary regulations and byelaws.
To this end, it is Board policy that CHC shall:
i.
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;
ii.
Ensure that CHC regulations and associated guidance are widely promulgated;
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iii.
Develop and maintain effective enforcement procedures, which comply with
relevant national legal requirements and guidelines;
iv.
Develop and maintain effective investigation procedures for use in the event of
a navigational incident, which support CHC enforcement procedures, but also
meet the requirements of the navigational Safety Management System in
respect of identifying and promulgating any ‘lessons learned’;
v.
Ensure that all staff involved in an incident investigation, or who are required to
follow CHC enforcement procedures, receive effective and relevant training;
vi.
Maintain an effective surveillance and spot check regime, to monitor
compliance with, and detect breaches of, relevant national and CHC regulations;
vii.
Respond to breaches of regulation, where justified by the evidence and other
circumstances, by the use of formal warnings and legal prosecution;
viii.
When bringing prosecutions observe the Code for Crown Prosecutors and
evidential Codes in so far as appropriate;
ix.
Manage the progress of enforcement activities, including incident investigations
and prosecutions, and the maintenance of appropriate records.
Safety and Environmental Protection
The Harbour Master is responsible for the implementation of the marine safety
management system but delegates the day-to-day responsibility to the Deputy Harbour
Master in his role as the Port Safety Officer.
The Harbour Authority will discharge its general and specific statutory duties in respect
of:
i.
The regulation of traffic and safety of navigation within Harbour limits;
ii.
The conservancy of the Harbour and its seaward approaches;
iii.
The protection of the environment within the Harbour and its surroundings; and
iv.
Ensuring so far as reasonably practicable the safety at work of its employees
and other persons who may be affected by its activities;
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And for these purposes will:
i.
Facilitate the safe movement of vessels and craft into, out of, and within the
Harbour;
ii.
Carry out the functions of the Harbour Authority with special regard to their
possible impact on the environment;
i.
Prevent acts of omissions which may cause personal injury to employees or
others, or damage to the environment;
ii.
Create and promote an interest and awareness in employees and others with
respect to safety and protection of the environment; and
iii.
Take a leading role in the implementation of any management plan.
Competence standards
Under the PMSC, all persons involved in the management and execution of marine
services should be qualified and trained to the appropriate standard. Cowes Harbour
Authority assesses the fitness and competence of all persons appointed to positions
with responsibility for safe navigation using the most appropriate means available,
Achieving marine port safety is a team operation and Cowes Harbour Authority
recognises that the people in these roles must be competent and adequately trained.
Agents and Joint Arrangements
The Pilotage Act provides for the delegation of certain Harbour Authority functions or
the establishment of joint arrangements with other Harbour Authorities in order to
exercise given functions. Where applicable the Harbour Authority will ensure that any
such arrangements are formally organised in a manner that provides for associated
statutory obligations.
Pilotage
The Harbour Authority shall be accountable for its statutory duty to provide a pilotage
service; and for keeping the need for pilotage and the service provided under constant
and formal review.
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The Harbour Authority shall therefore exercise control over the provision of the service,
including the use of pilotage directions, and the recruitment, authorisation,
examination, employment status, and training of pilots.
Pilotage shall be fully integrated with other port safety services under Harbour Authority
control.
Authorised pilots are accountable to their authorising authority for the use they make
of their authorisations: the Harbour Authority has a signed agreement in place with its
authorised pilots, regulating the conditions under which they work including procedures
for resolving disputes.
Pilotage Exemption Certificates
The Harbour Authority will issue Pilotage Exemption Certificates to appropriately
qualified mariners who are the bona fide Master of Chief Officer of a vessel.
The standards for exemption certificates must not be more onerous than those
required for an authorised pilot; but they should be equivalent.
Exemption certificate holders and their employers are accountable to the Cowes
Harbour Authority for the proper use of any certificate.
The Harbour Authority shall have formal written agreements with certificate holders
and their employers to regulate the use of certificates, these agreements are contained
within the Pilotage Directions.
Health and Safety at Work
Our policy is to provide and maintain safe and healthy working conditions, equipment
and systems of work for all our employees.
CHC recognises its responsibility to its employees and will do all that is reasonably
practicable to ensure their health, safety and welfare at work.
CHC will, so far as is reasonably practicable, ensure that the health and safety of other
persons is not put at risk by its undertaking.
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The CHC Board of Commissioners give matters of health and safety equal importance
to those of economy and productivity. Improvement in health and safety performance
year after year is one of CHC's main business objectives.
The CHC Board of Commissioners believes that injuries and ill health suffered at work
can be prevented through effective management control and action.
CHC will provide health and safety information, instruction and training to its
employees at all levels.
The CHC Board of Commissioners will monitor the implementation of this Policy and the
performance of health and safety.
CHC will provide competent resources in the field of health and safety to provide
guidance to managers.
CHC seeks co-operation from all employees in matters of health and safety at work. We
are all directly responsible for health and safety at work.
CHC, through its health and safety programmes, will promote off-the-job health and
safety amongst its employees.
CHC intends to set high standards in the industry. CHC recognises the important and
valuable role played by staff safety representatives. Safety Committees will be set up to
facilitate consultation on health and safety issues.
CHC will review the Company's Health and Safety Policy on a regular basis, and at least
once per annum.
Safety Assessment and Management
The Harbour Authority approach to safety assessment and management is aimed at
enhancing marine safety within its jurisdiction, including protection of life, health, the
marine environment and property.
The ‘ALARP' Principle (As Low as Reasonably Practicable).
The Harbour Authority will, so far as is practicable take measures to eliminate any risks
identified, through the assessment / review process as intolerable.
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Risk Assessment
The Harbour Authority has undertaken a formal, documented marine risk assessment
of the port and established a system designed to review the findings of the
assessments continuously.
The risk assessment process provides a means of checking the existence and
sufficiency of measures that are already in place as part of marine operational
practices to prevent, minimise, or at least contain, a hazardous incident. The risk
assessment and implementation of safety management arrangements provide a
means of formal identification of safety issues, ratification of control measures, and
auditable management control so as to assess system effectiveness.
The Harbour Authority will monitor its performance in relation to port-marine safety. The
process of port marine safety assessment is continuous and therefore will be a living
and evolving system. This will ensure that new hazards and changing risks are properly
identified and addressed. A strong commitment is needed to ensure continuous
improvement involving the constant development of policies, systems and techniques
of risk control. It will therefore need to be effectively managed and maintained to
remain effective and to change with the changes in both the internal and external
environment.
All final decisions about risk control methods will take into account relevant legislation,
minimum standards, cost benefit analysis and human factors.
In considering the safe operation and management of the Port of Cowes, the CHA will
monitor and review its performance against a number of predetermined indicators,
which will be derived from the port's risk assessment reporting system.
Cowes Harbour Commission maintains risk assessments covering all identified marine
risks; these risk assessments are reviewed at least once per year and when any
significant change occurs or after an incident, accident or near miss.
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Good Practice
The Harbour Authority will ensure that the safety management system is prepared and
updated with reference to the Port Marine Safety Code and the Guide to Good Practice
on Marine Operations in Ports.
Stakeholder Consultation
The Harbour Authority will seek to consult with all Harbour users and interested parties
when considering port marine safety related matters. This will be done using the CHC
website and the Advisory Committee.
Cowes Recreational Users:
Cowes Yacht Haven
East Cowes Marina
Royal Yacht Squadron
Royal London Yacht Club
Royal Corinthian Yacht Club
Island Sailing Club
East Cowes Sailing Club
the Royal Ocean Racing Club
Gurnard Sailing Club
Cowes Corinthian Yacht Club
Cowes Combined Clubs
UKSA
Cowes Harbour Advisory Committee:
Cowes Harbour will hold an Advisory Committee Meeting, chaired by a nominated
chairman every three months. The following organisations are represented on the
committee:
Commercial Wharfs
Cowes Town Waterfront Trust
Cowes Business Association
Cowes Clubs and Classes Assoc.
Cowes Marine Cluster
Cowes Town Council
East Cowes Town Council
Medina Combined Clubs
Red Funnel Group
Newport Harbour Authority
Dean and Reddyhoff
Cowes Sailing Schools
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Pilotage Operational Meetings
At a minimum of every six months (although any item may be discussed at any time) a
meeting is held between the Harbour Master and the Cowes Pilot’s representative to
discuss any of the following:

Matters arising from operations and risk assessment forms;

Pilot and ship statistics;

Pilot launch operations; and

Any other matters.
Solent Pilotage Co-ordination Committee
Held quarterly, with membership consisting of the Harbour Authorities of:
Cowes
Southampton
Portsmouth (Commercial)
Portsmouth (HM Dockyard)
Langstone
Solent Forum
Solent Forum is a partnership of over 50 organisations that share a commitment to the
unique marine environment of the Solent.
The Solent Forum was formed in 1992 and has published a ‘Strategic Guidance for the
Solent’, which aims to ensure that all the issues relating to the use of the Solent are
fully understood and managed in an informed and environmentally effective manner.
Solent European Marine Site (SEMS)
The Solent European Marine Sites (SEMS) is a collective name, which covers
internationally important areas in the Solent. It includes areas designated under the EU
Habitats Directive as Special Areas of Conservation (SAC), areas designated under the
EU Birds Directive as Special Protection Areas (SPAs) and areas designated as Ramsar
sites.
The Directive requires that all European sites are sustainable in order to protect the
features for which the area has been designated.
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The Habitats Regulations outline specific provisions which need to be considered for
new ‘Plans and Projects' in European sites.
The Habitats Regulations identify specific provisions for European marine sites
including methods for considering the management of ‘on-going activities' through the
production of a management scheme for each European marine site.
ABP Cowes is one of the relevant authorities involved in the European Marines Sites
Management scheme for Cowes Water, as well as providing funding for a SEMS
website and Project Officer.
SEMS Management Scheme
The relevant authorities responsible for the SEMS are working together to produce a
management scheme.
The management scheme will guide the way in which relevant authorities will exercise
their functions so as to secure compliance with the requirements of the Habitats
Directive
Management Group (MG)
The SEMS MG is made up of all relevant authorities in the Solent including the Harbour
Authorities, Local Authorities, Sea Fisheries Committees, English Nature, MMO, Trinity
House and Southern Water.
Conservancy
The Harbour Authority will endeavour to conserve the harbour to ensure it is reasonably
fit for use as a port, taking reasonable care to ensure that it is in a fit condition for a
vessel to resort to it.
Hydrography
The Harbour Authority will use all appropriate means to find, mark and monitor the best
navigable channel or channels in the Harbour. The Authority will promulgate, as
appropriate, relevant hydrographic information associated with its ports and harbours,
including information relating to navigational hazards.
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Admiralty Charts
The Harbour Authority will seek to work closely with the Hydrographic Office to ensure
that relevant information required for inclusion within Admiralty Charts and
publications is proactively made available.
Local Lighthouse Authority Dues
The Harbour Authority, in its role as a local lighthouse authority, will seek to maintain
applicable aids to navigation in accordance with the availability criteria laid down by
the General Lighthouse Authorities.
Tugs
The Harbour Authority will ensure that, where applicable, appropriate guidance is
provided for the use of tugs, including recommendations on the number of tugs
required where appropriate.
Vessel Traffic Services
The Harbour Authority will determine, through a process of formal risk assessment,
circumstances in which a functional radar vessel traffic service should be established
and operated in accordance with internationally agreed guidelines. Cowes Harbour is
located in the central Solent and is bordered on both approaches by the Port of
Southampton and any vessel bound for Cowes benefits from the coverage of
Southampton VTS.
Prevailing Conditions
The Harbour Authority will ensure, so far as practicable, that information is made
available regarding prevailing and forecast meteorological conditions and, where
necessary, their effect on the operation of the Harbour.
Enforcement
The Harbour Authority will monitor and, where appropriate, actively enforce,
compliance with the Port of Cowes General Directions, Byelaws and Special Directions.
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It is to be noted that an apparent contravention of such byelaws or directions may
result in the prosecution of the offender.
Collision Regulations
The Harbour Authority will, where necessary, seek to ensure that the Port of Cowes
General Directions provide for circumstances that the collision regulations do not
consider.
Dangerous Vessels
The Harbour Authority will ensure that due notice is provided to the directions that may
need to be given in relation to a dangerous vessel that may wish to enter the Harbour.
Waiving Directions
The Harbour Authority acknowledges the need for directions to be carefully drafted to
ensure that special circumstances in which they would otherwise apply are properly
covered.
Emergency Planning and Prevention of Pollution
The Harbour Authority will ensure that appropriately detailed emergency plans are
published and periodically exercised, such plans included:
Oil Pollution Response Plan
Emergency Plan
Crisis Management Plan
Works in Harbours
The Harbour Authority will ensure that its marine safety management systems have
appropriate provision for works undertaken in the harbour, in particular for the
regulation of dredgers and other craft associated with such works.
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Wrecks
The Harbour Authority will ensure that its marine safety management systems require a
risk assessment to be undertaken of any wreck in, or in the approaches to the Harbour,
which may cause a danger to navigation.
Moorings
The Harbour Authority will make appropriate use of mooring plans and, where
practicable, ensure that mooring parties meet the industry's competence standards.
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Section 5 -
Harbour Authority Duties and
Powers
General Duties and Powers
For the purposes of the PMSC, the Board of Commissioners as the duty holder will
ensure that the harbour authority discharges its responsibilities to:

Take reasonable care, so long as the harbour is open for the public use, that
all who may choose to navigate in it may do so without danger to their lives or
property;

Conserve and promote the safe use of the harbour; and prevent loss or injury
caused by the authority’s negligence;

Have regard to efficiency, economy and safety of operation as respects the
services and facilities provided.

Take such action that is necessary or desirable for the maintenance,
operation, improvement or conservancy of the harbour.

In addition, the duty holder must ensure that enough resources are available
to discharge their marine safety obligations and set the level of dues
accordingly.
‘Open port duty’
Cowes Harbour Commissions statutory powers are subject to what is called the ‘open
port duty’. This means that the harbour, dock, or pier must be open to anyone for the
shipping and unshipping of goods and the embarking and landing of passengers, on
payment of the rates and other conditions set by the local legislation for that port.
This provision is fundamental to the statutory powers of harbour authorities. The
provision of harbour facilities is of the nature of a monopoly created by Parliament
and undertakers benefiting from the powers conferred are obliged to serve the public
interest in certain specified ways. The shipper of goods has a right to bring them on
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to the dock premises and through these premises to the ship on which they are
shipped. The dock company can reasonably regulate the order and place of shipping
so long as they do not destroy or unreasonably limit the shipper’s right to ship.
Conservancy duty
Cowes harbour authority has a duty to conserve the harbour so that it is fit for use as
a port, and a duty of reasonable care to see that the harbour is in a fit condition for a
vessel to utilise it safely. Cowes harbour authority provides users with adequate
information about conditions in the harbour. This duty covers several specific
requirements:
a) To survey as regularly as necessary and find the best navigable channels. As a
minimum the whole of the CHC area of jurisdiction is surveyed at intervals not
exceeding 3 years. Additional surveys may be conducted if deemed necessary
this includes in and around commercial wharves, marinas and areas where
works have taken place. The results of all bathymetric surveys are supplied to
the UK Hydrographic Office for the updating of navigational charts.
b) To place and maintain navigation marks in the optimum positions, which are
suitable for all conditions. CHC ensures that an inspection and maintenance
program of the navigation marks within Cowes Harbour is undertaken
c) To keep a ‘vigilant watch’ for any changes in the sea or riverbed affecting the
channel or channels and move or review the navigation marks as appropriate;
d) To keep proper hydrographic and hydrological records;
e) To ensure that hydrographic information is published in a timely manner; and
f) To provide regular returns and other information about the authorities’ local
aids to navigation as the General Lighthouse Authority may require.
Where Cowes harbour authority has established that there is a certain depth of water
at a part of the harbour over which vessels may be obliged to pass, it will use
reasonable care to provide that the approaches to that part are sufficient, under
normal conditions, or give warning that the advertised depth has not been
maintained. CHC will supply the UK Hydrographic Office (UKHO) with information that
may be needed for their Admiralty charts and other publications.
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Environmental duty
Cowes harbour authority has a general duty to exercise their functions with regard to
nature conservation and other related environmental considerations and may where
appropriate seek additional powers for these purposes. CHC also has an obligation,
where a Special Protection Area for Birds or a Special Area of Conservation has been
designated under the Wild Birds or Habitats Directives, to have regard to the
requirements of the Habitats Directive so far as they may be affected by the exercise
of those functions. Cowes harbour authority also has to comply with The Natural
Environment and Rural Communities Act 2006, which strengthened the requirement
for public bodies, including statutory undertakers, to have regard for bio-diversity in
undertaking their activities.
Civil contingencies duty
The Civil Contingencies Act 2004 provides a framework for civil protection in the
event of an emergency that threatens serious damage to human welfare, the
environment or security. Cowes harbour authority is classified as a category 2
“cooperating body”, and is involved in the associated planning work, and will be
heavily involved in incidents that affect the port. Cowes harbour authority is
responsible for co-operating and sharing relevant information with Category 1
(emergency services and local authorities) and other Category 2 responders.
Harbour authority powers
Cowes harbour authority has the power to make the use of services and facilities
provided by them at the harbour subject to the terms and conditions as they think fit.
The Harbour Authority will keep its powers and the extent of its jurisdiction under
review to ensure that they are appropriate for maintaining the overall safety of the
port, promoting changes where necessary.
Revising duties and powers
A harbour revision order can be used to amend statutory powers to the authority’s
local legislation. It can be used to achieve various outcomes, one of which is to
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impose or confer additional duties or powers on the harbour authority. It can also be
used in the context of the Code to substitute or amend existing duties and powers. It
could be used for the purpose of (but not limited to):
a) Improving, maintaining or managing the harbour (including harbour
reorganisation schemes);
b) Marking or lighting the harbour, raising wrecks or otherwise making navigation
safer; or
c) Regulating the activities of other individuals and groups in connection with the
harbour and the marine/shore side interface.
d) Extending controls into the approaches of a harbour (for example, to extend
compulsory pilotage beyond the harbour).
Harbour orders are made by the Secretary of State in England. Before making an
order, the appropriate Minister will need to be satisfied that the order would:
a) Secure the improvement, maintenance or management of the harbour in an
efficient and economical manner; or
b) Facilitate the efficient and economic transport of goods by sea; or
c) Be in the interests of sea-going leisure vessels.
There are similar provisions for varying or abolishing such powers.
Dues
Cowes harbour authority has powers to collect dues from users and should raise
enough to provide resources to enable them to pay for the discharge of their
statutory functions.
Members of the harbour board are responsible for ensuring that adequate resources
are provided to its officers to enable them to operate the policies, procedures and
systems effectively. It is obligatory for the purposes of meeting the standards in the
Code that measures are taken to reduce all risk associated with port marine
operations to a tolerable degree, and even where this remains impossible the risk
should be made to be ‘as low as reasonably practicable’ (ALARP). This includes
adequate resource for training. There should be no presumption that dues levied on
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a specific group or type of user should be exclusively reinvested in improving services
and facilities on offer to that user.
Pilotage Charges
The Cowes Pilotage authority may make reasonable charges in respect of any vessel
subject to its pilotage directions. Such charges apply to vessels with an authorised
pilot aboard, or to vessels where the master or first mate hold a pilotage exemption
certificate in respect of the area and vessel in question. Charges may include:

Charges for the services of an authorised pilot;

Charges for expenses incurred by the pilot in providing his services;

Penalties for failure to keep an estimated arrival or departure time;

Charges for providing, maintaining and operating a pilot boat; and

Any other costs in providing and maintaining the authority’s pilot organisation.
Pilotage directions and schedule of charges are reviewed annually and published in
such a manner as to bring them to the notice of those persons likely to be interested
and are available on the CHC website.
Appeals against Dues
The Cowes Harbour Authority power to levy dues is subject to a statutory right of
objection to the Secretary of State. This is to ensure that the right to use the harbour
is not prejudiced by the imposition of unreasonable dues. An objector must have a
substantial interest and the objection may relate to one of the following:

That the charge ought not to be imposed at all;

That the charge ought to be imposed at a lower rate;

That particular classes ought to be excluded from the scope of a charge.
The statutory right to use a harbour is expressed to be subject to payment of dues. As
a general principle, all those who use facilities for the shipping and unshipping of
goods or the embarkation and disembarkation of passengers should contribute
through dues to the safe operation of the harbour. Exceptional reasons are therefore
needed to justify any exemption - whether total or partial.
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Where any appeal against dues is made to the Secretary of State, consideration will
be given - among all other relevant considerations - to the need for resources to
discharge fully the duties of the harbour authority, and the requirements of this Code
and other related regulations.
The right of objection to harbour dues has been extended to pilotage charges.
Enforcement and Prosecution
CHC shall be responsible for the effective enforcement of its regulations, which are
adopted in order to assist in the safe management of the Port. 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, CHC shall prosecute offenders
for committing criminal offences, including those set out in the Merchant Shipping
Act 1995 and in ancillary regulations and byelaws.
Reviewing Existing Powers
Existing powers are reviewed on a periodic basis, to avoid a failure in discharging its
duties or risk exceeding its powers. A summary of the main duties and powers for
harbour authorities are included under chapters four & five of the PMSC; not all of
these are relevant to Cowes harbour authority.
CHC understands the local legislation - harbour acts, harbour orders and byelaws - as
well as the procedures and systems that are in place. Additional powers will be
sought if a risk assessment concludes that this would be the best means of meeting
its safety obligations. The updated PMSC advises harbour authorities to secure
powers of general direction to support the effective management of vessels in their
harbour waters; CHC obtained these powers in 2013.
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Section 6 -
Specific Duties and Powers
and Risk Control Measures
Cowes Harbour Commission has specific duties and powers, which are relevant to
port safety, to ensure:

The safety of navigation within the harbour area; That dangerous vessels and
dangerous substances (including pollution) are effectively managed;

A pilotage service is provided when required in the interests of safety.

That as a local lighthouse authority aids to navigation are appropriate to
reduce danger to navigation from wrecks or obstructions.
Directions (usually referred to as special directions)
The harbour master duly appointed by CHC has powers of direction to regulate the
time and manner of ships' entry to, departure from and movement within Cowes
harbour waters, and related purposes. These powers are given for the purpose of
giving specific directions to specific vessels for specific movements. The Harbour
Master's directions may be referred to as 'special directions'. Special directions are
not for setting general rules but relate to specific vessels – or in an emergency, to a
class of vessels - on particular occasions.
The powers of direction are also exercisable by a harbour master's assistant - or any
other person designated for the purpose in accordance with the authority's statutory
powers. It is an offence not to comply with directions but the master - or pilot - of a
vessel is not obliged to obey directions if he believes that compliance would
endanger the vessel. It is the duty of the harbour master in exercising these powers
to consider the interests of all shipping in the harbour. Directions may include the
use of tugs and other forms of assistance.
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General Directions (GDs)
The Cowes Harbour Revision Order 2012, allows Cowes Harbour Commission to give
general directions to promote ‘conditions conducive to the ease, convenience or
safety of navigation, the safety of persons and the protection of property, flora and
fauna of the harbour’. New GDs have largely superseded the existing CHC Byelaws;
however, there are currently (2013) both Byelaws and GDs whilst further consultation
on particular issues takes place. More details are contained in the Cowes HRO 2012,
and the current Cowes Harbour GDs.
Byelaws
Byelaws can be made by Cowes harbour authority, as laid down in the Cowes
Harbour Act 1964. The procedure for making and confirming byelaws is modelled on
the one used for local authority byelaws.
Byelaws empower harbour authorities to regulate activities for specific purposes,
reflecting the local circumstances and enabling business to be conducted efficiently
and safely. This power goes beyond simple management to include a power to create
and prosecute in the Courts for offences in which fines may be levied.
Priority
In the event of any conflict arising between the provisions of these General
Directions, the Byelaws, any Mooring Licences issued by the Cowes Harbour
Commissioners and any Special Directions:
Special Directions shall take precedence over all others;
General Directions shall take precedence over the Byelaws and any Mooring Licence.
Directions and passage plans
The development of a port passage plan and the continuous monitoring of the
vessel’s progress during the execution of the plan are essential for safe navigation
and protection of the marine environment. ‘Harbour authorities’ and ‘harbour
masters’ powers to regulate the time and manner of ships entry to, departure from
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and movement within their waters serve to complement port passage planning.
Passage plans are currently only enforced using the pilotage directions.
Incidents threatening pollution or safety
The Secretary of State has power to give directions to a harbour authority, a harbour
master, and certain other persons where an accident has occurred to or in a ship
and, in his opinion, there is a risk to safety or that there is a risk of pollution by a
hazardous substance. The Secretary of State’s Representative (SOSREP) has been
appointed to exercise these functions. The person directed may be required to take,
or to refrain from taking, such action as may be specified. Among other things, the
direction may require that the ship is moved or not moved to or from a specified area,
locality or place, that any oil or cargo should or should not be discharged, or that
specified salvage measures should be taken. The Secretary of State also has wide
powers to take action or authorise others to do so where it is considered that issuing
directions would not be sufficient.
Directions may or may not be given in writing (though if not given in writing they will
be confirmed in writing as soon as is reasonably practicable). Persons to whom a
direction is given must try to comply with the direction in a manner which avoids risk
to human life. A person who does not comply with the direction or intentionally
obstructs anyone acting on behalf of the Secretary of State is subject, on summary
conviction, to a fine of up to £50,000 on summary conviction (there is no limit to the
fine following a conviction on indictment).
Dangerous Vessels Act 1985
The harbour master may give directions prohibiting the entry into, or requiring the
removal from, the harbour of any vessel if, in his opinion, the condition of that vessel,
or the nature or condition of anything it contains, is such that its presence in the
harbour might involve a grave and imminent danger to the safety of persons or
property or risk that the vessel may, by sinking or foundering in the harbour, prevent
or seriously prejudice the use of the harbour by other vessels. The harbour master
will have regard to all the circumstances and to the safety of any person or vessel.
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Such directions may be over-ridden by SOSREP who may issue contrary directions to
the harbour master.
Dangerous Substances in Harbour Area Regulations (DSHAR) 1987
The Dangerous Substances in Harbour Area regulations 1987 defines the meaning of
a dangerous substance and sets out the requirements for its entry into the harbour
area. It includes the harbour masters powers, marking and navigation of vessels,
handling of dangerous substances, bulk liquids, packaging and labelling, storage and
explosives. The harbour master also has powers to prohibit the entry into a harbour
of any vessel carrying dangerous goods, if the condition of those goods, or their
packaging, or the vessel carrying them is such as to create a risk to health and
safety, and to control similarly the entry on to dock estates of dangerous substances
brought from inland. The harbour master also has powers to regulate the movement
of vessels carrying dangerous goods. Prior notice must be given to bring dangerous
substances into a harbour area from sea or inland. The period of notice is normally
24 hours, although the harbour master has some powers of discretion on both the
period and form of the notice. The purpose of notification is to ensure adequate
preparation can be made to store and handle the appropriate substance. The
harbour master shall consider the safety of any person either within or outside the
harbour area when giving directions. The harbour master shall consult the police
before directing the removal of dangerous substances from the port. CHC has
prepared an emergency plan for dealing with dangerous substances (See CHC
Emergency Plan).
Dangerous Substances
Merchant Shipping (Dangerous Goods and Marine Pollutants) Regulations 1997
defines the various categories of substances classified as Dangerous and refers to
International Maritime Dangerous Goods Code (IMDG) for individual definitions and
classifications. These Regulations apply if dangerous substances transit, or are
handled, within the harbour area. Part V of the Dangerous Substances in Harbour
Area Regulations 1987 covers Liquid Dangerous Substances in Bulk.
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Prevention of pollution
The harbour master may detain a vessel if he has reason to believe that it has
committed an offence by discharging oil, or a mixture containing oil, into the waters
of a harbour. Notice must be given to a harbour master before oil is transferred at
night to or from a ship in Cowes harbour. All oil spills into harbour waters must be
reported to the harbour authority. Harbour masters have powers to board ships to
investigate possible offences.
CHC’s powers are considered to be wide enough to empower them to clear oil spills
from their harbour. CHC has prepared an Oil Spill Contingency Plan that has been
approved on behalf of the Secretary of State by the MCA.
Drink and drugs
Under the provisions of the Railways and Transport Safety Act 2003, the harbour
master has the power to detain a vessel if he suspects that a mariner (master, pilot,
seaman) has committed a drink or drugs related offence when on duty. The power
can be exercised only if the harbour master summons a police officer before, or
immediately after the vessel is detained. The power of detention lapses after the
police officer has decided whether to administer a preliminary test and has notified
the harbour master of that decision.
Vessel traffic monitoring reporting requirements
The owner or master of a ship which is subject to these requirements must provide
information about the vessel, cargo and its passage to the harbour authority as
required. The port is required to forward this information to the MCA by the quickest
possible means. For ships visiting Cowes the relevant ships agent inputs the required
data directly into the Agents Online Portal, this information is stored at the
Southampton VTS centre, the data is also available to the MCA via the CEMS
database.
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Vessel traffic services
Harbour Authorities have the power to establish Vessel Traffic Services (VTS) to
mitigate risk, enhance vessel safety and to protect the environment. To be
recognised as a VTS, the service must conform to IMO and national standards and
operated by personnel trained to the appropriate standard. The VTS must be
designated as such by the MCA in its capacity as the National Competent Authority
for VTS (MGN 401(M+F) contains further information). Southampton VTS has been
established and covers the areas of the port of Southampton and Portsmouth which
includes the approaches to Cowes harbour. Vessels that enter a harbour authority’s
VTS area (operated in accordance with the IMO guidelines) must comply with the
rules of that service.
Pilotage
Competent harbour authorities have specific powers under the Pilotage Act to enable
them to discharge the duties imposed under that Act.
Authorities should determine, through risk assessment a. Whether any and, if so, what pilotage services need to be provided to secure
the safety of ships (including those carrying dangerous goods or harmful
substances) navigating in or in the approaches to its harbour; and
b. Whether in the interests of safety, pilotage should be compulsory for ships
navigating in any part of that harbour or its approaches and, if so, for which
ships and in which circumstances and what pilotage services need to be
provided for those ships.
Cowes as a competent harbour authority provides such a pilotage services as is
necessary.
Pilotage directions
CHC as a competent harbour authority has specific powers and duties for marine
pilotage and issues pilotage directions based on its assessment of the risks, and
considers that pilotage should be compulsory. The directions specify how and to
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which vessels they apply. Ship owners and any other interested parties who use the
port on a regular basis, are consulted before the directions are implemented or
changed.
The master of a vessel not subject to pilotage directions has a right to request a pilot.
In these circumstances, the authority will decide in the interests of safe navigation,
whether pilotage services are applicable.
Pilotage exemption certificates
Cowes Harbour Authority will grant a bona fide master or first mate of any vessel a
‘pilotage exemption certificate, if they demonstrate they have sufficient skill,
experience and local knowledge to pilot the vessel within the harbour. The
requirements for granting an exemption do not exceed and are no more onerous
than those needed for an authorised pilot.
Authorisation of pilots
CHC may, as a competent harbour authority, authorise suitably qualified pilots in its
area. Authorisations may relate to ships of a particular description and to particular
parts of the harbour. The authority determines the qualifications for authorisation in
respect of medical fitness standards, time of service, local knowledge, skill, character
and otherwise. It may also - after giving notice and allowing a reasonable opportunity
to make representations - suspend or revoke an authorisation if it appears to the
authority that the authorised person is guilty of any incompetence or misconduct
affecting his capability as a pilot, or has ceased to have the required qualifications or failed to provide evidence that he still has them. An authorisation may also be
suspended or revoked, on reasonable notice, if any contract or other arrangement
under which the services of pilots are provided is terminated.
Ship towage
While any contract for the use of tugs is formally for the master of a vessel, the use of
harbour tugs is one of the principal and most direct means open to a harbour
authority to control risk. Cowes Harbour Authority do not own or operate any tugs but
the authority has determined, through risk assessment, appropriate guidance on the
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use of tugs in harbour areas when the nature of the vessel, tow or weather conditions
deem it appropriate. At present this guidance can only be enforced using a special
direction where a master or pilot proposes that the guidelines should not be applied
in some respect.
The General Lighthouse Authorities
The General Lighthouse Authorities (GLAs) are responsible for the superintendence
and management of all lighthouses, buoys or beacons within their respective areas.
They have a duty to inspect all lighthouses, buoys, beacons and other navigational
aids belonging to, or under the management of a local lighthouse authority. They may
also give directions concerning the provision and positioning of aids to navigation.
Local lighthouse authority duties
CHC is a local lighthouse authority for its area. They have the power to carry out and
maintain the marking or lighting of any part of the harbour within the authority's area.
A local lighthouse authority shall not, without the General Lighthouse Authority's
consent, erect, remove or vary the character of any lighthouse, buoy or beacon.
All aids to navigation maintained by CHC are maintained in accordance with the
availability criteria laid down by the GLAs, and are subject to periodic review. The
characteristics of these aids to navigation must comply with the ‘International
Association of Marine Aids to Navigation and Lighthouse Authorities (IALA) Guidelines
and Recommendations’. Information and periodic returns must be supplied, when
required, to the appropriate General Lighthouse Authority.
Wrecks
Where there is a wreck in, or near the approaches to, a harbour, which is or is likely
to become a danger to navigation, the harbour authority may take possession of,
remove or destroy it. They may also light or buoy it until it is raised, removed, or
destroyed.
Harbour authorities must exercise their wreck marking and removal powers where, in
their opinion, a wreck is - or is likely to become - an obstruction or danger to
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navigation. They have a duty to have regard to the environment in the exercise of this
and all other duties and powers.
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Section 7 -
The Risk Assessment
The risks associated with marine operations need to be assessed and a means of
controlling them needs to be deployed. The aim of this process is to eliminate the risk
or, failing that, to reduce risks to as low as reasonably practicable. Formal risk
assessments are used to:

Identify hazards and analyse risks;

Assess those risks against an appropriate standard of acceptability; and

Where appropriate, consider a cost-benefit assessment of risk reducing
measures.
The risk assessments are undertaken by the Port Safety Officer who has been
determined to be appropriately skilled to do so. The risks are judged against
objective criteria, without being influenced by the financial position of the authority,
to ensure they are kept as low as reasonably practicable (ALARP). The greater the
risk, the more likely it is that it is reasonable to go to the expense, trouble and
invention to reduce it. There is a preferred hierarchy of risk control principles:

Eliminate risks - by avoiding a hazardous procedure, or substituting a less
dangerous one;

Combat risks - by taking protective measures to prevent risk;

Minimise risk - by suitable systems of working.
The Port Safety Officer, Designated Person and Harbour Master review all the risk
assessments annually and when there is a need for an update or a new hazard is
identified.
Risk assessment files have been developed for each cost centre, each employee is
actively encouraged to take ownership of the risk assessments and be proactive in
their review and development. Any new hazards or risks are to be brought to the
attention of the line manager and Port Marine Safety Officer as soon as practicable.
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The process of assessment is continuous, so that new hazards to navigation and
marine operations and changed risks are properly identified and addressed. Where
appropriate, Cowes harbour authority will consider publishing relevant details of the
risk assessments.
Defining Risk
A hazard is a source of potential harm or damage or a situation with potential for
harm or damage.
Risk has two elements:

The likelihood that a hazard may occur; and

The consequences of the hazardous event.
Scope
Regulation requires that a suitable and sufficient assessment be made of the risks to
the health and safety of workers arising in the normal course of their duties. This
requirement to assess risk relates only to risks which arise directly from the work
activity being undertaken and which have the potential to harm the person(s) actually
undertaking that work, or those that may be directly affected by that work. The
requirement to assess risk does not extend to any consequential peril resulting from
the particular work activity, nor to any external hazard, which may cause harm to
others.
The assessment of risk must be ‘suitable and sufficient’. The process need not be
overcomplicated. This means that the amount of effort that is put into an assessment
should depend on the level of risks identified and whether those risks are already
controlled by satisfactory precautions or procedures to ensure that they are ALARP.
Risk assessments should be seen as a continuous process. In practice, the risks in
the workplace should be assessed before work begins on any task for which no valid
risk assessment exists. An assessment must be reviewed and updated as necessary,
to ensure that it reflects any significant changes of equipment or procedure.
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Navigation Risk Assessment Methodology (HAZMAN II)
CHC subscribe to the HAZMAN II software provided by Marico Marine. The NRA
methodology, used for this assessment, has been specifically developed for
navigational use in ports/harbours. It is fundamentally based on concepts of the
“Most Likely” (ML) and “Worst Credible” (WC) scenarios that reflect the range of
outcomes arising from a navigation hazard (see Figure 1). This approach fits the
available marine incident data, as data shows a high frequency of minor events,
separated from a much lower frequency of worst credible events.
Figure 1: MARICO hazard identification and risk assessment process.
The NRA process is based on the Formal Safety Assessment methodology as adopted
by the International Maritime Organisation (IMO) and follows the requirements of the
Port Marine Safety Code (PMSC). The NRA uses the proprietary Marico Marine
“Hazman II®” programme to undertake the risk assessment process. .
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IMO guidelines define a hazard as “something with the potential to cause harm, loss
or injury”, the realisation of which results in an accident. The potential for a hazard
to be realised can be combined with an estimate or known consequence of outcome.
This combination is termed “risk”. Risk is therefore a measure of the frequency and
consequence of a particular hazard and in order to compare risk levels a matrix is
used.
At the low end of the scale, frequency is extremely remote, consequence insignificant
and risk can be said to be negligible. At the high end, where hazards are defined as
frequent and the consequence catastrophic, then risk is termed intolerable.
Between the two is an area defined “As Low As Reasonably Practicable” (ALARP).
The IMO guidelines allow the selection of definitions of frequency and consequence
to be made by the organisation carrying out the NRA. This is important, as it allows
risk to be applied in a qualitative and comparative way. To identify high risk levels
using a quantitative mathematical approach would require a large volume of casualty
Catastrophic
Severe
INTOLERABLE
Minor
Significant
CONSEQUENCE
data, which is not generally available.
ACCEPTABLE
Extremely
Remote
Remote
Reasonably
Probable
FREQUENCY
General Risk Matrix
Figure 2: Frequency/Consequence chart.
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Frequent
ALARP can be defined as “Tolerable”, if the reduction of the risk is impracticable, or if
the cost of such reduction is disproportionate to the improvement (see Figure 2).
1.2
RISK MATRIX CRITERIA
1.2.1 Frequency
In this study, each hazard was reviewed with respect to cause and effect, with
frequency of occurrence derived for notional “most likely” and “worst credible”
hazard events based on Table 1.
Scale
Description
Definition
Operational
Interpretation
F5
F4
Frequent
Likely
An event occurring in the range once a week to
One or more times in
once an operating year.
1 year
An event occurring in the range once a year to
One or more times in
once every 10 operating years.
10 years
1 - 9 years
F3
Possible
An event occurring in the range once every 10
One or more times in
operating years to once in 100 operating years.
100 years
10 – 99 years
F2
Unlikely
An event occurring in the range less than once in
One or more times in
100 operating years.
1,000 years
100 – 999 years
F1
Remote
Considered to occur less than once in 1,000
Less than once in
operating years (e.g. it may have occurred at a
1,000 years
similar site, elsewhere in the world).
>1,000 years
Table 1: Hazard frequency ranges.
1.2.2 Consequence
Consequence (or impact of risk realisation) was assessed in four key categories:
•
People - Personal injury, fatality etc.;
•
Property - Port and third party;
•
Environment - Oil pollution etc.; and
•
Stakeholder/ Business - Reputation, financial loss, public perception, etc.
7-5
Consequence is assessed against “most likely” and “worst credible” outcomes. It
should be noted that in terms of property, the risk assessment process by necessity
considers that the loss of a large commercial vessel is of wider implication than the
loss of a private leisure cruiser. This assessment criterion is not intended to
undervalue damage suffered by the leisure user, whose personal loss may be very
significant in relative terms, however, it is recognised that the loss of a commercial
vessel often has a wider implication in terms of business and negative media
exposure.
The rating applied is such that the consequences are of broadly equivalent value
across the categories (see Table 2).
Table 2: Consequence categories (costs in £).
7-6
1.3
PROJECT RISK MATRIX
Navigation hazards were identified by the project team, and scored for “frequency”
and “consequence”, in terms of a “most likely” (ML) and “worst credible” (WC)
Consequences
outcome, with results documented in a “Hazard Log”.
Cat 5
5.1
5.9
7.0
8.3
10.0
Cat 4
4.1
4.9
5.9
7.4
9.4
Cat 3
2.9
3.5
4.4
5.9
8.3
Cat 2
1.5
1.8
2.4
3.5
5.9
Cat 1
0
0
0
0
0
Frequency
>1,000 years
100-1,000
10-100 years
1 to 10 years
Scale
[F1]
years [F2]
[F3}
[F4]
Yearly [F5]
Table 3: Projected Risk Matrix
1.3.1 Risk Treatment Criteria
Risk scores are calculated for each hazard under the “most likely” and “worst
credible” scenarios for each of the consequence criteria (people, property,
environment and business) based on the scores in the hazard log, using a risk matrix
(see Table 3). This generates eight individual risk scores per hazard which are
documented in the “Ranked Hazard List”. The individual risk scores for each
consequence category are then combined, using a proprietary algorithm in Hazman
II, to derive an overall risk score. The overall baseline risk scores are used to create
a ranked hazard list.
All risk scores, whether individual related to a hazard consequence category, or
overall combined for an individual hazard are scored on a scale of 0 (low risk) to 10
(high risk) (see Table 4 for more details).
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Matrix
Risk Definition
Action Taken
0&1
Negligible Risk
A level where operational safety is unaffected.
2&3
Low risk
A level where operational safety is assumed.
4 ,5 and 6
As Low As
A level defined by study at which risk control in place is
Reasonably
reviewed. It should be kept under review in the ensuing
Practicable
Safety Management System.
Outcome
(ALARP)
7&8
Significant Risk
A level where existing risk control is automatically
reviewed and suggestions made where additional risk
control could be applied if appropriate. Significant risk
can occur in the average case or in individual categories.
New risk controls identified should be introduced in a
timescale of two years.
9 & 10
High Risk
A level requiring immediate mitigation.
Table 4: Risk bands.
1.4
REDUCING RISK
It is possible to reduce the risk of a hazard occurring by implementing risk controls.
Risk controls are generally considered as barriers / mitigation, as they are designed
to reduce either the consequences or likelihood of a hazard.
It is possible to estimate a risk control’s effectiveness, by determining the extent to
which it reduces the likelihood of a hazard occurring, or the magnitude of a hazard’s
consequences. This is beneficial in determining the merits (either absolute or
relative) of implementing risk controls, which can also lead on to effective cost
benefit analysis.
There are two assessments of risk required for most projects;
•
Baseline Risk: The assessed risk score of the project which includes all
current risk controls in place; and
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•
Residual Risk: The baseline risk score with additional risk controls in place
that were not included when the risk assessment was undertaken.
Risk Reduction
Procedural risk controls
Physical risk controls
…
Table 5: Risk reduction levels.
The effectiveness of risk controls is assessed against a nominal scale, which applies
differing percentage reductions, based on their estimated effectiveness (e.g. see
Table 5). The percentage reduction is then made to both the likelihood or
consequence values, essentially entailing a further calculation using the risk matrix,
and a “residual” risk score is calculated using proprietary Hazman II software.
As an example, take a hazard with a “property” score equivalent to £100,000. A risk
control judged to reduce the consequence of this hazard by 20% will generate a
residual “property” value, equivalent to £80,000. The same reduction is applied to
the other consequence categories (e.g. people, environment and business) for the
“most likely” and the “worst credible” scenarios, and the risk matrix used to
determine the residual risk scores. The combined risk score is calculated the same
as for baseline risk.
It is therefore possible to determine the reduction in risk score from the difference
between the baseline and residual risk, enabling an assessment of total risk
reduction for each hazard.
The application of risk control measures is assessed using a compound calculation.
From the example above, a further risk control could be applied at 20%, which would
reduce the “property” cost, from £80,000 to £64,000. A third risk control, with 10%
effectiveness, would reduce the same property cost from £64,000 to £57,600, and
so on. The residual risk score, with all these risk control measures in place, would
therefore utilise the £57,600 “property” value in the calculation of risk.
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It should be noted that as risk by definition is a non-dimensional number (being a
combination of likeliness and consequence), a 50% reduction in frequency of hazard
occurrence will not result in a 50% reduction in risk, because no similar reduction in
consequences have been applied. A further complexity is added by the nonlinearity
of the risk matrix (which is in part due to societal aversion to large scale
consequence hazards); thus risk reduction is not uniform over either frequency or
consequence ranges.
Also, it is often very difficult to determine the exact effectiveness of risk controls in a
dynamic and changing system such as a port and, as such, a significant degree of
subjectivity is commonly used. However, given that a standardised framework is
applied across all hazards, then the resulting scores can be used to judge the relative
and absolute merits of implementing additional risk controls.
Permit to Work
Based on the findings of the risk assessment, appropriate control measures shall be
put into place to protect those who may be affected.
There are many types of port operations where the routine actions of one person may
inadvertently endanger another or when a series of action steps needs to be taken to
ensure the safety of those engaged in a specific operation. In all instances it is
necessary, before the work is done, to identify the hazards and then to ensure they
are eliminated or effectively controlled.
The permit to work system consists of an organised and predefined safety procedure.
A permit to work does not in itself make the job safe, but contributes to measures for
safe working.
In using a permit to work, the following principles apply:

The permit should be relevant and as accurate as possible. It should state the
location and details of work to be done, the nature and results of any
preliminary tests undertaken, the measures undertaken to make the job safe
and the safeguards that need to be taken during the operation.
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
The permit should specify the period of its validity (which should not exceed
24 hours) and at any time limits applicable to the work, which it authorises.

Only the work specified on the permit should be undertaken.

Before signing the permit, the authorising person shall ensure that all
measures specified as necessary have in fact been taken.

The authorising person retains responsibility for the work until he / she has
either cancelled the permit or formally transferred it to another authorised
person who should be made fully conversant with the situation. Anyone who
takes over, either as a matter of routine or in an emergency, from the
authorising person, should sign the permit to indicate transfer of full
responsibility.

The person responsible for carrying out the specified work shall countersign
the permit to indicate his understanding of the safety precautions to be
observed.

On completion of the work, that person should notify the authorised person
and get the permit cancelled.
Copies of the following permits to work can be found in the company Health and
Safety File and in the Risk Assessment files:

Hot work

Entry into Enclosed Spaces

Maintenance to Machinery or Electrical Systems

Working Aloft
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Section 8 -
Reporting of Accidents and
Dangerous Occurrences
The Code relies upon the principle that duties and powers in relation to marine
operations in ports should be discharged in accordance with a Safety Management
System. This system is informed by and based upon a formal risk assessment. The
aim is to establish a system covering all marine operations, which ensures that risks
are both tolerable and ALARP.
It is recognised however, that no matter how informed the risk assessment process
and how effective the safety management regime is, accidents and incidents do
occur in harbours. Such accidents and incidents may involve death, serious injury,
collision, pollution and other undesirable outcomes and they may involve breaches of
national or local laws.
It is, therefore, essential that this Safety Management System addresses the
potential for incidents to occur and provides instruction and guidance on any
investigations that may be required as a result. The duty holder can be assured that
their obligations for compliance have been addressed by ensuring that a robust,
rigorous, independent investigation has been carried out.
Investigations of accidents and incidents have two essential purposes:

To determine the cause of the accident or incident, with a view to preventing a
recurrence of that accident or incident; and

To determine if an offence has been committed: if so, there may be the need
on the part of a harbour authority to initiate criminal proceedings in their own
right or through the agency of another authority such as the Health and Safety
Executive (HSE) or the MCA.
In the first case, the role of the harbour authority is similar to that of the Marine
Accident Investigation Branch (MAIB) and it is quite likely that the MAIB will be
involved in an investigation.
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In the event that an offence has been committed, the police may also have a duty to
investigate.
The legal framework for incident investigation is effectively 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 police
will investigate any incident in the event of death - both in relation to any possible
offence (possible homicide - murder or manslaughter) and on behalf of the coroner. A
police investigation may also be necessary to see if other criminal offences have
been committed and to consider whether a prosecution should be brought.
However all accidents, incidents and near misses that occur within the jurisdiction of
Cowes harbour will be investigated internally, commensurate with the severity of the
accident, incident or near miss. This will be carried out irrespective if the accident,
incident or near miss is required to be reportable to the MAIB or HSE as required by
Marine Guidance Note MGN 458 [M+F]. The guidance found in is this chapter will be
used when determining the method of investigation.
Incidents Involving Death or Crime
When someone dies in a work-related incident, a number of different organisations
will require to work together to ensure that the incident is investigated and that the
reasons for the death are understood. The police will investigate any incident in the
event of death - both in relation to any possible offence (possible homicide - murder
or manslaughter) and on behalf of the coroner.
A police investigation may also be necessary to see if other criminal offences have
been committed and to consider whether a prosecution should be brought. Different
organisations have different but important roles in this process and good coordination is vital to ensure that the investigation is as smooth and as seamless as
possible. Close liaison with the police, therefore, is essential in such incidents.
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National Regulatory Framework
Legal Framework
The Merchant Shipping Act 1995 and the Merchant Shipping (Accident Reporting and
Investigation Regulations 2005 (SI No. 881) mainly govern procedures.
Enforcing Authorities
The Marine Accident Investigation Branch (MAIB) is responsible for the investigation
of all types of marine accidents, both to ships and to those on-board. The MAIB is a
separate branch within the Department of the Environment, Transport and the
Regions (DETR) and is not part of the Maritime and Coastguard Agency.
The MAIB’s fundamental purpose in investigating an accident under the Regulations
is to determine its circumstances and the causes with the aim of improving the safety
of life at sea and the avoidance of accidents in the future. It is not the purpose to
apportion liability, nor, except as far as is necessary to achieve the fundamental
purpose, to apportion blame. The MAIB is not an enforcement or prosecuting agency
MCA-HSE-MAIB
The legal framework for incident investigation is effectively summarised in the 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;

The MAIB investigates accidents related to ships and crew;

The HSE investigates land based accidents, and accidents occurring on
offshore installations.
The MoU aims to identify which organisation will take the lead in investigations where
they share a common interest, particularly at the ship/shore interface.
Its purpose is to ensure effective co-ordination between those organisations, where
their duties for health and safety enforcement and accident investigation overlap at
the water margin, offshore and on inland waterways.
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The organisations undertake to use their best endeavours to co-operate effectively to
enable and assist each other to carry out their responsibilities and functions, and to
maintain effective working arrangements for that purpose. Such co-operation should
improve the effectiveness of each of the parties and avoid difficulties, which may
arise from uncoordinated approaches by the organisations.
MAIB- Association of Chief Police Officers (ACPO)
A MoU also exists between the MAIB and the Association of Chief Police Officers
(ACPO). The aim of this MOU is to ensure effective investigation of marine accidents
in England, Wales and Northern Ireland, while maintaining the independence of all
parties and reinforcing the importance of close co-operation between MAIB and the
police.
In summary:

MAIB investigates accidents related to ships and crew;

HSE investigates land based and offshore accidents;

The Police will investigate accidents involving death.
In general, the HSE is responsible for enforcing the Health and Safety At Work Act
(HSWA) in respect of land based and offshore work activities, including loading and
unloading a ship, and for all work activities carried out in a dry dock.
The MCA is responsible for enforcing all Merchant Shipping Regulations in respect of
occupational health and safety, the safety of vessels, safe navigation and operation
(including manning levels and crew competency). Merchant Shipping health and
safety regulations extend to all those working on the ship and to all shipboard
activities carried out by the crew under the control of the ship's master.
Where there is overlapping legislation, the accident investigation provisions are set
out in the appropriate chapter of the MoU, but each organisation is able to call on the
expertise of the other as the need arises.
It should be noted that there may be situations where there is a duty to report the
same accident to both the HSE (under 'RIDDOR' regulations) and the MAIB (under
Merchant Shipping Accident Reporting Regulations). In these situations, the person
8-4
filing the report with one organisation will be advised and the report passed to the
other.
Statutory Reporting Requirements
Marine Guidance Note MGN 458 [M+F] “ACCIDENT REPORTING AND
INVESTIGATION” is addressed, inter alia, to harbour authorities. It explains the
reporting requirements of the MERCHANT SHIPPING (ACCIDENT REPORTING AND
INVESTIGATION) REGULATIONS 2005 - ‘the Regulations’. Details of what should be
reported are given in Annex A of the Notice and are given in detail in the Guide to
Good Practice.
In particular, harbour authorities should report any accident of which they are aware
to the Chief Inspector of the MAIB by the quickest means available. Accidents on
board ships in ports, with the exception of those involving stevedores or workers
ashore, are covered by the Regulations and should be reported. Incidents involving
shore-based workers should be reported to the Health and Safety Executive.
The MAIB’s Incident Reporting Form (IRF) provides a convenient format for reports
but plain narrative giving the above information may be used if the form is not
available. As full an account as possible should be given whether or not the form is
used; the list of items given in the M Notice is not intended to be limiting and any
matter should be included which will help to make the circumstances clear or to
show how similar incidents may be prevented. Sketches, plans and photographs of
the damaged areas, taken both before and after the event, are often helpful and may
be attached to the report.
Local CHC Reporting Requirements (marine accidents,
hazardous incidents and injuries)
Cowes Harbour Commission Area of Jurisdiction
All marine accidents, hazardous incidents and injuries, as previously defined, which
occur within the CHC area of jurisdiction, shall be reported to the harbour authority as
soon as possible using the ‘Solent Incident and Accident Reporting Form’ or if
8-5
appropriate the ‘Leisure Incident Report Form’ also available to download from the
harbour website:
www.cowesharbourcommission.co.uk/accident_and_incident_reporting
CHC will also investigate incidents and accidents that do not require statutory
reports. The process of continual improvement envisaged by the Code can only be
achieved if there is a mechanism by which non-compliance with the objectives of the
SMS is identified, analysed, and steps are taken to mitigate such non-compliances;
for example, as a result of an accident or incident.
Such incidents, therefore, need to be reported and to be investigated at an
appropriate level. All stakeholders are encouraged to report an accident, incident or
dangerous occurrence using the ‘Solent Incident and Accident Reporting Form’ or if
appropriate the ‘Leisure Incident Report Form’.
Local CHC Investigations
CHC has a responsibility to investigate marine incidents in harbour waters and the
Port Safety Officer (PSO) will carry out the initial investigation reporting to the Harbour
Master and Designated Person. A decision will then be made on the further course of
action. This may include further internal investigation or identify the need to engage
external resources to assist in furthering the investigation. It is noted that other
bodies such as the MAIB may rely upon the investigation undertaken by CHC.
If the investigating officer is directly involved in the incident to be investigated, for
example the PSO when acting as an authorised pilot on a vessel involved in an
incident, an alternative officer will be required to carry out the investigation to ensure
that the investigating officer is independent of the incident.
Purpose and Conduct of Marine Incident Investigations
The Solent Accident Investigation Handbook has clear guidelines on the procedures
to be adopted with respect to accident and incident investigation. These guidelines
provide clear indicators to the authority’s officers on how to determine, at an early
stage, whether the purpose of the investigation is either for safety purposes or for
enforcement purposes. The guidance also establishes and maintains procedures for
8-6
a consistent approach to safety and environmental accidents, incidents and
breaches of regulations. Such procedures clearly establish the stages of an accident
investigation which include:

reporting;

investigating;

analysing; and

documenting
A reported incident should be investigated as soon as possible so that essential facts
are not overlooked or the evidence destroyed by other activities. The initial stage of
fact gathering will often take place under time and resource pressures. It is essential
that as much factual detail about the accident is obtained as soon as possible.
Whatever the purpose of an investigation - i.e., is it to determine cause and to
prevent recurrence or is it to determine if an offence has been committed? - The
investigation should be carried out in a robust and rigorous manner such that all
possible aspects are covered.
Where it becomes appropriate to carry out an accident or incident investigation to
determine if an offence has been committed, a harbour authority may need to initiate
criminal proceedings, either in their own right or through the agency of a prosecuting
authority such as the police, the MCA or the HSE. The involvement of these agencies
will be determined, in part, by the statutory requirements for reporting accidents and
incidents. Under these circumstances it may become necessary to determine which
authority will take the lead, also known as primacy.
Not all investigations undertaken for enforcement will result in further action. If the
regulator or prosecuting authority decides that it is not appropriate to continue with
an investigation or that a prosecution is inappropriate, CHC may decide after
conclusion of the investigation, that a written warning will be a sufficient response.
Alternatively, or additionally, it may become apparent that there is a need for some
form of disciplinary action against a harbour authority employee. The investigation
should be carried out in an independent manner - as noted above, it would be
8-7
inappropriate for the harbour master / duty pilot to carry out an investigation into his
own incident.
The IMO adopted an Assembly Resolution A.849 (20) - CODE FOR THE
INVESTIGATION OF MARINE CASUALTIES AND ACCIDENTS. The aim of this Code is “to
promote a common approach to the safety investigation of marine casualties and
incidents.” The Annex to the Resolution provides the detail of the Code and the
Appendix gives ‘Guidelines to assist investigators in the implementation of the Code’.
Publishing Information
Where CHC determines that an accident investigation will be carried out to determine
the cause of the accident or incident, with a view to preventing a recurrence of that
accident or incident, it will ensure that appropriate results of the investigation are
made widely available to the employees of the Authority as soon as possible. The
causes of the accident and the recommendations and requirements for further
accident prevention will be clearly identified. Such recommendations will be
disseminated by internal memos or by Notices to Mariners for the benefit of all
stakeholders.
Any marine accidents or incidents within Cowes harbour are reported to the Solent
Operators Group (SOG) who meet quarterly and discuss incidents in the Solent area.
Training
Cowes Harbour Commission will aim to keep the personnel responsible for accident
and incident investigation trained, and will look to source courses that will keep such
skills up to date.
Training programs should be based around, but not limited to, the following:
1. PMSC
2. Guide to Good Practice.
3. The IMO Code for the Investigation of Marine Casualties and Incidents
A.849(20)
4. Amendments to the Code for the Investigation of Marine Casualties and
Incidents (IMO Resolution A.849(20) & A.884(21)
8-8
5. MAIB Handbook
6. HSE Enforcement Guide
Reporting Accidents to the MAIB
The Regulations require Masters, Skippers and Owners to report accidents. Accidents
must be reported initially within 24 hours. Serious injuries must be reported within
14 days. Although there is no requirement to report hazardous incidents, Owners,
Masters and Skippers and others are strongly urged to do so voluntarily since useful
lessons can always be learnt.
Accident Reports should be sent by the quickest means available, including
telephone, facsimile, telex or e-mail, to the MAIB.
Disclosure of Records
Unless a Court determines otherwise, the names, addresses and any other details of
anyone who has given evidence to an inspector shall not be disclosed.
Reporting Requirements MGN 458(M&F), PMSC 3.17
1. Accidents involving or occurring on-board:
a. Any United Kingdom ship (must be reported under the Regulations).
2. Accidents involving or occurring aboard:
a. A pleasure vessel;
b. A recreational craft hired on a bareboat basis, and
c. Any other craft or boat, other than one carrying passengers, which is in
commercial use in a Harbour or on an inland waterway and is less than
8 metre in length, do not need to be reported to the MAIB, unless the
accident involves:
i. Explosion;
ii. Fire;
iii. Death;
iv. Major injury;
8-9
v. Capsize of a power driven craft or boat, or
vi. Pollution causing significant harm to the environment.
3. Accidents involving or occurring aboard:
a. Any ship within the jurisdiction of a Harbour master or Queen’s
Harbour master appointed, or required to be appointed;
b. Any ship carrying passengers to or from a port in the United Kingdom
must be reported to the MAIB under the Regulations.
4. Accidents involving shore based workers while a ship is in port or in a shipyard
within the United Kingdom should be reported by the person’s employer to the
Health and Safety Executive. No report to the MAIB is required.
5. Accidents involving divers whilst diving are not covered by the Regulations.
Any such incident should be reported to the British Sub Aqua Club. No report
to the MAIB is required.
Accidents, and Major and Serious Injuries
An accident means any occurrence on board a ship or involving a ship whereby:
1. There is loss of life or major injury to any person on board, or any person is
lost or falls overboard from, a ship or ship’s boat;
a. A ship:
i. Causes any loss of life, major injury or material damage;
ii. Is lost or is presumed to be lost;
iii. Is abandoned;
iv. Is materially damaged by fire, explosion, weather or other
cause;
v. Grounds;
vi. Is in collision;
vii. Is disabled; or
viii. Causes serious harm to the environment.
b. Any of the following occur:
i. A collapse or bursting of any pressure vessel, pipeline or valve;
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ii. A collapse or failure of any lifting equipment, access equipment,
hatch cover, staging or boatswain’s chair or any associated load
bearing parts;
iii. A collapse of cargo, unintended movement of cargo or ballast
sufficient to cause a list, or loss of cargo overboard;
iv. A snagging of fishing gear which results in the vessel heeling to
a dangerous angle;
v. A contact by a person with loose asbestos fibre except when full
protective clothing is warn; or
vi. An escape of any harmful substance or agent.
Provided these occurrences, taking into account their circumstances, might have
been liable to cause serious injury or to cause damage to the health of any person.
2. Major injury means:
a. Any fracture, other than to the fingers, thumbs or toes;
b. Any loss of a limb or part of a limb;
c. Dislocation of the shoulder, hip, knee or spine;
d. Loss of sight (whether temporary or permanent)
e. Penetrating injury to the eye; or
f. Any other injury:
g. Leading to hypothermia or to unconsciousness, or
h. Requiring resuscitation, or
i.
Requiring admittance to hospital or similar for more than 24 hours or if
at sea requiring confinement to bed for more than 24 hours.
3. Serious injury means an injury, other than a major injury, to a person
employed or carried in a ship which occurs on board or during access which
results in incapacity for more than three consecutive days excluding the day of
the accident, or as a result of which the person concerned is put ashore and
the ship sails without that person, unless the incapacity is known or advised
to be of three consecutive days or less, excluding the day of the incident.
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4. “Hazardous incident” means any event, other than an accident, associated
with the operation of a ship which involves circumstances indicating that an
accident nearly occurred.
Summary Reporting Procedures
INCIDENT
INITIAL
FOLLOW UP PROCEDURE
REQUIREMENT
Accident (Includes Major
The master or senior
An additional report must
Injury)
surviving officer (being
be sent to the MAIB using
either the senior surviving
the quickest means
officer in the deck
available.
department or if there is no
senior surviving officer in
the deck department, the
senior surviving engineer
officer), and the ship’s
owner are responsible for
sending a report to the Chief
Inspector by the quickest
means available.
In addition, the following
shall report any accident /
serious injury of which they
are aware;
The appropriate Harbour
authority in respect of an
incident within or adjacent
to its Harbour limits;
The appropriate authority
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INCIDENT
INITIAL
FOLLOW UP PROCEDURE
REQUIREMENT
having responsibility for the
particular waters concerned
in respect of any accident
on any inland waterway in
the United Kingdom;
The Maritime and
Coastguard Agency in
respect of an accident
within United Kingdom
waters.
Serious Injury
No requirement.
A report outlining the
Onboard examination of the
circumstances of the
circumstances of the
serious injury to be sent to
serious injury required.
the Chief Inspector within
14 days of the incident.
Hazardous Incident (Non-
No requirement.
specified)
It is strongly
recommended that a
report be sent to the MAIB.
Contact Details
Marine Accident Investigation Branch
Mountbatten House,
Grosvenor Square,
Southampton,
SO15 2JU,
United Kingdom
Telephone:
Office Hours 023 80 395500
8-13
Telephone:
24 Hours
023 80 232527
Fax:
023 80 232459
Telex:
477917 MAIB SO G
E-mail:
maib@dft.gsi.gov.uk
Internet:
http://www.maib.gov.uk/home/index.cfm
Reporting Information

Initial reports of accidents should include as much of the following as
possible:

Name of vessel and IMO, official number;

Name and address of owners;

Name of master, skipper or person in charge;

Date and time of incident;

Where from and where bound;

Latitude and longitude or geographical position in which the incident
occurred;

Part of ship where accident occurred on board;

Weather conditions;

Name and port of registry of any other ship involved;

Number of people killed or injured together with their names, addresses and
gender;

Brief details of the accident, including sequence of events leading to the
accident, extent of damage and whether accident caused pollution or hazard
to navigation.

If the vessel is fitted with a voyage data recorder, the make and model of the
recorder.
Follow up accident reports and initial reports of serious injuries should include the
above information as well as the conclusions of any on board examination covering
the cause, how a future similar incident might be avoided and what action has been
taken or recommended.
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The MAIB’s Incident Reporting Form (IRF) provides a convenient format for reports
but plain narrative giving the above information may be used if the form is not
available. As full an account as possible should be given whether or not the form is
used; the list of items above is not intended to be limiting and any matter should be
included which will help to make the circumstances clear or to show how similar
incidents may be prevented. Sketches, plans and photographs of the damaged
areas, taken both before and after the event, are often helpful and may be attached
to the report.
The reports should be signed by the master, skipper or owner’s representative and by
the ship’s safety officer if one is carried.
Reporting of Potential Risk
The Cowes Harbour Commission, SMS, endeavours to reduce the risks arising from
the day-to-day operations in the harbour and pilotage areas to as low a level as
reasonably practical.
In accordance with the requirements of the Code CHC has undertaken, in
consultation with stakeholders, a formal safety assessment of the hazards in the
port, assessed the associated risks and introduced or verified control measures, to
minimise the risks.
To ensure the control measures remain valid, it is essential that all the port's
stakeholders (port staff, PEC holders, agents, berth operators, recreational users)
advise CHC of 'potential risks', which, in their opinion, could indicate a weakness in a
particular control measure or risk assessment.
8-15
Figure 3 shows the relationship between Safety Management System and Risk Assessment.
The process will only be effective if all stakeholders participate in it to achieve an
incident free harbour and pilotage area.
The ‘Solent Incident and Accident Report Form’ contains a section to report any
'potential risks' encountered in harbour or pilotage waters and shall be completed
and submitted.
The form is available to download from the website:
www.cowesharbourcommission.co.uk/accident_and_incident_reporting
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Accident Investigation
Port Safety Officer
The Port Safety Officer to investigate all such accidents and dangerous occurrences
is the Deputy Harbour Master.
Investigations are conducted to fulfil the requirements of safety management under
the Port Marine Safety Code.
Upon receiving reports the Designated Person will review and evaluate to determine
corrective action and to ensure that reoccurrences are avoided.
The evaluation of reports may result in:

Corrective action being taken;

Distribution of experiences throughout the organisation;

Amendment to existing SMS procedures and instructions; and

The development of new SMS procedures.
The PSO will report to the Designated Person and Harbour Master who shall discuss
all such items at safety and management meetings.
The Designated Person shall report to the Board of Commissioners on all matters of
Health and Safety and Pollution.
Conduct of Investigation
The following provides guidance and a common framework for the conduct of
accident investigation.
General
A reported incident should be investigated as soon as possible so that essential facts
are not destroyed by other activities; the initial stage of fact gathering often takes
place under time and resource pressure. Gather as much factual detail about the
incident as soon as possible.
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Aim of the Investigation
Initially focus on what caused the accident; however, the investigation should also try
to discover latent failures and other contributory causes.
Facts should be gathered with two aims:

Establish what actually caused the incident; and

What happened as a result of the incident?
Facts should be assembled in a logical sequence to establish what failures in
management terms occurred and why the failure happened. As the structure of an
event and casual diagram is developed, the relevance of facts gathered will emerge.
Facts that contribute to an understanding of any elements will be seen as relevant.
Other facts may be discarded at a later stage.
Prior to an investigation, establish a framework on which to build enquires. A guiding
principle is to align the framework to the construction of the final report. Although the
framework will almost certainly change as the investigation proceeds, it is essential
to have it in mind that vital evidence will not be lost.
Draft an outline account of what occurred within 24 hours of starting an
investigation. This will help clarify your mind and provides a foundation on which to
base your actual report.
At the initial stage of an investigation, establish who needs to give evidence.
Every person has his or her own method of interviewing. In general the sooner an
interview can be carried out the better. Very often his or her memory may be faulty
and the immediate (and usually accurate) recollection of events has been replaced
by an interpretation of what occurred. Interviewing is best done with two or more
persons present. Short questions requiring a short answer of the facts are the most
effective.
In addition to establishing names, age, function, qualifications etc. of any witness, it
is essential that the individual’s involvement in the accident be carefully stated.
The investigator should state why the investigation is being carried out and on what
authority / jurisdiction.
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Gathering Evidence
Evidence shall be gathered from the following areas:

Environmental;

Standing Instructions / Orders;

Safety Policy;

Management; and

Human Factors:
o Activities before the accident;
o Duties at the time of the accident;
o Actual behaviour at the time of the accident;
o Physical condition;
o Workload / complexity of tasks; and
o Work and rest periods / recreational pattern.
Methods of collecting evidence
Evidence shall be collected from the following sources:

Interviewing witnesses;

Measurement;

Photography (still and video);

Examination of documentation / material evidence;

Computer records;

Data recorders;

Certification;

Invoices;

Weather forecasts and actual weather reports;

Manufacturer’s handbooks;

Company annual reports;

Media reports; and

Standing orders / instructions.
8-19
Final Incident Report Format

Introduction
o Who carried out the Investigation?
o Time of incident and persons / vessels involved.

Executive Summary
o Brief outline of what happened; and
o Environmental / weather conditions.

Factual Information
o Location of incident;
o Key personalities;
o Particulars of persons / vessels involved; and
o Injuries to persons / damage to vessels.

Narrative
o Of whole incident.

Analysis
o What were causes?

Conclusions
o Root and contributory causes; and
o Outcome of investigation.

Recommendations
o Post event actions.
Legal Framework for Non-Marine Accidents and Occurrences
The legal requirements for recording and reporting accidents, diseases and
dangerous occurrences at work other than at sea or on vessels are laid down in:

Social Security (Claims and Payments) Regulations 1979

Social Security Administration Act 1992

Reporting of Injuries, Diseases and Dangerous Occurrences Regulations
(RIDDOR) 1995.
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Enforcing Authorities
The enforcing authority is the Health and Safety Executive (HSE) or Local Authority.
Port Safety Officer
The Port Safety Officer will also record all such accidents, dangerous occurrences
and investigate where appropriate.
Data Protection Act
To comply with the Data Protection Act 1998 (DPA), all personal details entered into
accident reports must be kept confidential.
Recording Accidents
The employer must keep a record of all injuries that happen to employees. The
employee must inform the employer as soon as possible when you are injured at
work. All accidents, dangerous occurrences and injuries are to be reported to the
Designated Person and recorded in the Accident Book (BI 510); an accident book is
held at each site and is supplemented by the appropriate Cowes Harbour
Commission SMS Form.
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995
(RIDDOR)
In addition to recording accidents in the Accident Book (BI 510), deaths and some
injuries arising from accidents at work must be notified under RIDDOR.
The Port Safety Officer must notify the Health and Safety Executive (HSE) or the Local
Authority as soon as possible. A full report must be made within ten days.
Reportable major injuries:

Fractures other than to fingers, thumbs or toes;

Amputation;

Dislocation of the shoulder, hip, knee or spine; and

Loss of sight (temporary or permanent).
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
Chemical or hot metal burn to the eye or any penetrating injury to the eye;

Injury resulting from electric shock or electrical burn leading to
unconsciousness or requiring admittance to hospital for more than 24 hours;

Any other injury leading to hypothermia or unconsciousness; or requiring
resuscitation; or requiring admittance to hospital for more than 24 hours;

Unconsciousness caused by asphyxia or exposure to harmful substance or
biological agent;

Acute illness requiring medical treatment, or loss of consciousness arising
from absorption of any substance by inhalation, ingestion or through the skin;

Acute illness requiring medical treatment where there is reason to believe that
this resulted from exposure to a biological agent or its toxins or infested
material; and

Any injuries to people not at work as a result of an accident ‘arising out of or
in connection with work’ where they are taken to hospital from the scene of
the accident.
Over-Seven-Day Injuries
The Designated Person is to notify the HSE or Local Authority with a full report within
ten days.
An over-three-day injury is when a person at work is injured as a result of an accident
and is away from work or not able to do the full range of their normal work for more
than three consecutive days (excluding the day of the accident).
Dangerous Occurrence
If something happens which does not result in a reportable injury, but which might
have done, then this might be a dangerous occurrence.
The Port Safety Officer is to notify the HSE or Local Authority as soon as possible. A
full report is to be made within ten days.
For a full list consult the guide to RIDDOR.
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Notification and Reporting
The quickest way is for the Designated Person to call:
Incident Contact Centre
Monday to Friday, 0830 am to 5.00 pm
0845 300 9923.
Notification and Reporting
Incident Contact Centre
Telephone: 0845 300 9923
Fax: 0845 300 9924
Internet reports: www.riddor.gov.uk or link in via the HSE website www.hse.gov.uk
E-mail: riddor@natbrit.com
Post: Incident Contact Centre
Caerphilly Business Park
Caerphilly CF83 3GG
Record Keeping
The Port Safety Officer will keep records of any reportable death, injury, disease or
dangerous occurrence for three years after the date on which it happened. This must
include the date and method of reporting; the date, time and place of the event;
personal details of those involved; and a brief description of the nature of the injury,
event or disease.
Records can be kept in any form, e.g. paper or electronically.
The Port safety Officer must produce the records when asked by the HSE or Local
Authority inspectors. They must also be available to safety representatives for
inspection on request.
8-23
Cowes Harbour Commission recognizes that accidents may occur ashore at CHC
owned and operated premises the procedure to be followed in the event of such an
accident is covered in the company Health and Safety Policy.
8-24
Section 9 -
Emergency Preparedness and
Response
Summary
The SMS includes preparations for emergencies and these are identified as far as
practicable from the formal risk assessment. Emergency plans have been published
and exercised.
Planning an effective response to all emergencies, whether foreseen or not because
it secures the following:

A pre-designed structure to work;

A swift reaction;

Measured decisions;

Prioritisation; and

Co-ordination between other agencies.
Dangerous Substances
Merchant Shipping (Dangerous Goods and Marine Pollutants) Regulations 1997
define the various categories of substances classified as Dangerous and refers to
International Maritime Dangerous Goods Code (IMDG) for individual definitions and
classifications. These Regulations apply if dangerous substances transit, or are
handled, within the harbour area. Part V of the Dangerous Substances in Harbour
Area Regulations 1987 covers Liquid Dangerous Substances in Bulk.
Dangerous Substances in Harbour Area Regulations (DSHAR) 1987
The Dangerous Substances in Harbour Area regulations 1987 defines the meaning of
a dangerous substance and sets out the requirements for entry into the harbour
area. It includes the harbour masters powers, marking and navigation of vessels,
handling of dangerous substances, bulk liquids, packaging and labelling, storage and
9-1
explosives. Most importantly, it requires the preparation of an emergency plan by the
Harbour Authority.
The harbour master must record the granting or revoking of an exemption from the
requirement to notify the entry of a dangerous substance. The purpose of notification
is to ensure adequate preparation can be made to store and handle the appropriate
substance.
The harbour master shall consider the safety of any person either within or outside
the harbour area when giving directions. The harbour master shall consult the police
before directing the removal of dangerous substances from the port.
Oil Pollution and Dangerous Vessels
The Secretary of State has power to give directions to a Harbour Authority, a Harbour
master, master of a vessel, pilot, or salvor or owner of a vessel, where an accident
has occurred to or in a ship and, in his opinion, oil from the ship will or may cause
pollution on a large scale.
The Secretary of State, or persons authorised by him, may take any action they may
direct to be taken; and that a representative of the Secretary of State (SOSREP) has
been appointed to exercise these functions.
The Harbour master may detain a vessel if they have reason to believe that it has
committed an offence by discharging oil, or mixture containing oil, into the waters of
a Harbour. All oil spills into Harbour waters are to be reported and Harbour masters
have powers to board ships to investigate possible offences.
Under the Merchant Shipping (Oil Pollution Preparedness Response and Co-operation
Convention) Regulations1998 (the OPRC Regulations), Cowes Harbour Authority has
prepared a plan to respond to oil spills in their waters.
The plan is approved by the Maritime and Coastguard Agency (MCA) every 3 years.
Scope of Harbour Authority Responsibilities
The OPRC obligation arises if a port has oil handling facilities (vessels over 400 GT or
oil tankers over 150 GT), bunker vessels, or a turnover in excess of £1 million; the
9-2
1998 Regulations are now the principal legislation on counter pollution from a
Harbour Authority perspective.
The obligation in the Regulations relates to pollution, or risk of pollution, by oil being
discharged into harbour waters. The requirement is to plan to remove oil pollution
from the harbour waters; and from structures owned by the Harbour Authority. The
National Contingency Plan assumes that the cleaning of the shoreline is assigned to
local authorities and the landowners.
Cowes Harbour Authority has in place sufficient equipment to adequately deal with
what the Regulations term a Tier 1 response. Cowes Harbour Authority also has in
place a contract with a competent response company that has the capability to
respond to what the Regulations term a Tier 2 spillage. The effect of these provisions
is to limit the quantity of spilled oil for which a Harbour Authority must plan removal.
See controlled document number 2, Oil Spill Response Plan.
Government Support for Large Spills (TIER 3)
Under the Merchant Shipping Act, the UK Government has prepared a National
Contingency Plan to manage very large spillages. The plan is a good guide particularly
on Harbour Authority powers and SOSREPs function.
Consultation
The Cowes Harbour Authority Oil Spill Contingency Plan has been compiled in
consultation with adjacent ports, Local Authorities, the Marine Management
Organisation (MMO), the Environment Agency and Natural England. The plan was
submitted to the MCA for formal approval in November 2005 and will be submitted
for re-approval after consultation with the above every 5 years.
Resources
CHC has an adequate number of proficiently trained personnel capable of managing
a pollution incident. Additional resources needed to cope with a Tier 2 spillage
includes mutual help agreements with other ports, oil companies and local
authorities, and a formal contract is in place with an oil spill contracting company to
ensure that a response will be guaranteed in the event of an accident.
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Merchant Shipping (Prevention of Oil Pollution) Regulations 1996
This legislation is directed mainly at a satisfactory operational capability of the
vessel, when navigating within the vicinity of the coast. The Harbour Authority must
report to the MCA any noticeable defect of a vessel when operating within harbour
limits or when a pilot is on board.
Dangerous Vessels Act 1985
Under this Act, the harbour master may give directions prohibiting the entry into, or
requiring the removal from, the harbour of any vessel if, in his opinion, the condition
of that vessel, or the nature or condition of anything it contains, is such that its
presence in the harbour might involve a grave and imminent danger to the safety of
persons or property or risk that the vessel may, by sinking or foundering in the
harbour, prevent or seriously prejudice the use of the harbour by other vessels. The
harbour master must have regard to all the circumstances and to the safety of any
person or vessel.
Directions given under the Act by a harbour master may be over-ridden by the
Secretary of State. This power is likely to be exercised through SOSREP, having
assumed powers of intervention relating to the salvage of the casualty.
Police
The role of the police is to:

Act as overall co-ordinators of any major incident on land;

Secure and protect the scene;

Investigate the incident;

Collect casualty information;

Identification of the dead on behalf of the coroner;

Prevent crime.
In the event of a major incident outside of the port area, which to all intents and
purposes from police is private, then the police are overall co-ordinators but this is
not the case in the event of a port marine incident.
9-4
Emergency Services
The harbour master, and the master of any vessel involved, shall give every
reasonable assistance to the fire, police ambulance and other emergency services
for dealing with, alleviating or preventing any emergency. At any fire, the Senior Fire
Brigade Officer shall have sole charge and control of all operations subject to the
overall authority of the master if on board ship (Fire Services Act of 1947 and Fire
Precautions Act 1971) although they are not in charge of ship safety and other
matters within the marine sense.
The Environment Agency
The Environment Agency is a non-departmental public body with statutory duties and
powers in relation to water resources, pollution control, flood defence, fisheries,
recreation, conservation and navigation in England and Wales. Under the Water
Resources Act 1991, the Environmental Protection Act 1990 and the Environment
Act 1995. The Environment Agency is responsible for the control of pollution and
water quality in all controlled waters, which include ground waters, fresh waters,
estuaries and relevant territorial waters (these extend 3 miles seaward from specific
baselines).
Search and rescue
It is the responsibility of HM Coastguard to co-ordinate the search and rescue phase
of any distress within harbour limits. HM Coastguard will assist a Harbour Authority
and provide co-ordination in the search and rescue phase of any incident, which is
being carried out under the Port Emergency Plan. The Harbour Authority will remain
responsible for managing the overall response to a port emergency.
National and Other Plans
Major Incident Plan
In England and Wales the Home Office has instructed the Police to draw up a plan to
manage a major incident. Its main modus operandi is based upon a tiered level of
response:
9-5

Gold (strategic);

Silver (tactical); and

Bronze (operational).
The gold, silver and bronze categorisations relate to the function of the post rather
than the seniority of the officer dealing with the emergency.
The plan works on the basis of mutual support with each organisation involved in the
incident providing personnel to provide the relevant expertise.
Search and Rescue
The MCA have a national plan to manage major sea borne incidents. This is an
integrated response relying upon voluntary bodies such as the RNLI and local
resources. Arrangements have been made with various fire services and the RAF to
provide helicopter support.
Regional Plans
Each region within the UK has a Marine Rescue Co-ordinating Centre (MRCC)
specifically designed to manage offshore and inshore incidents. The MRCC also has a
resident Counter Pollution Officer for that region who is responsible for managing
pollution incidents that occur outside Port Limits.
Pollution
Some areas have regional counter pollution plans, which have been compiled with
the input of all relevant agencies they detail:

Sensitivity of information;

Prioritisation; and

Locations for shoreline response centres and marine response centres.
These plans act as an umbrella support to individual; port and organisational plans
and provide a bridge to The NCP plan.
Local non-port Plans

Environment Agency-flooding; and
9-6

Local Authority, IWCC Emergency Response Plan.
Port Plans

Cowes Harbour Emergency Plan;

Oil Spill Contingency Plan;

Port Facility Security Plan
9-7
Section 10 - Regulation and Management
of Navigation
Public Right to Navigate
There is a general public right to navigate in tidal waters, subject to the payment of
proper tolls and dues, and to the provision of any laws regulating the operation of the
harbour. These laws may impose special restrictions on the otherwise general
freedom of navigation. Therefore CHC’s right to regulate the entry and movement of
ships within the port to ensure the safety of navigation must be conferred by statute.
CHC’s Powers
Cowes Harbour Authority has special directions, and rules in General Directions and
byelaws, which every harbour user must obey as a condition of his or her right to use
the harbour. Cowes harbour also issues guidance in the form of Local Notices to
Mariners.
Cowes Harbour Authority has a duty to make proper use of its powers to make
General Directions and byelaws, and to give special directions and make pilotage
directions, to regulate vessel movements in their waters.
The powers shall be exercised in support of the policies and procedures developed in
CHC's safety management system, and shall be used to manage the navigation of all
vessels.
Powers of direction would amongst other items be used to require the use of port
passage plans in appropriate cases - whether vessels are piloted or not.
Available Powers
There are five main powers currently available to Cowes Harbour Authority to regulate
ship movements:
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Special Directions
Given by the harbour master. These directions are time and vessel specific, and are
most apt for operational purposes and for emergencies. Directions should apply to all
vessels, including where a pilot or the holder of a pilotage exemption certificate
conducts a vessel.
Dangerous Vessel Directions
a special case, permitting the harbour master to remove a vessel from the harbour in
clearly defined circumstances: they may be over-ruled by the Secretary of State.
General Directions
Apply to all vessels navigating within Cowes harbour, and can be issued to promote
conditions conducive to the ease or safety of navigation, the safety of persons and
the protection of property, flora and fauna of the harbour. The power to issue General
Directions has been granted through the Cowes Harbour Revision Order 2012.
Byelaws
provide a general framework for rules of navigation, which apply to all vessels including speed limits, defining fairways, anchorages, etc. -, and which can be treated
as unlikely to require frequent or short term amendment.
Pilotage Directions
Given by Competent Harbour Authority which have the power to regulate navigation.
These determine the circumstances in which pilotage is to be compulsory.
The use of all these powers shall be governed by the authority's formal risk
assessment, and shall support the safety management system. It is to be noted, in
this connection, that the master or pilot of a vessel is not obliged to obey directions if
he believes that compliance would endanger the vessel. It is therefore essential that
the use of any of these powers should be clearly based on a proper assessment of
the risk(s).
10-2
Existing Controls
Collision Regulations
The Collision Regulations apply to all vessels upon the high seas and in all waters
connected therewith navigable by sea-going vessels. Nothing in the rules interferes
with the operation of special rules by an appropriate authority (including a Harbour
Authority). Such special rules should conform as closely as possible to those in the
Regulations. Thus, a General Direction or byelaw made by a Harbour Authority will
prevail if inconsistent with the Regulations, but there must be strong reasons for
making or confirming such a byelaw. General Directions and byelaws should be
considered to meet circumstances for which the Collision Regulations do not provide.
Port Control
CHC’s primary duty is to ensure the safe and efficient use of the harbour by those
who have a right to use its facilities and navigate its waters. This includes a duty to
regulate navigation.
The extent to which port control is required depends upon:

Traffic density;

Traffic patterns and intersections;

Port and river regimes, depth of water, sand banks, bars, shoaling patterns,
meteorological conditions, tides and currents;

Hazardous and pollutant cargo trades;

Berth locations;

Proximity of the navigation channel to shore structures; and

Recreational craft.
The need to regulate is determined by an appropriate assessment of the risk(s).
Management is achieved by various measures: observing, advising, educating as well
as enforcing formal rules. The resources required to manage navigation effectively
depend on the measures, which need to be taken. These may be simple and
inexpensive, or involve sophisticated equipment and specially trained operators.
10-3
Communicating with Port Traffic
Port control depends upon effective two-way communication between port personnel
ashore and vessels using the harbour.
A number of different methods are used to monitor the movement of traffic within the
Cowes port areas. They include:

Visual observation;

VHF surveillance;

Closed Circuit Television (CCTV); and

Automatic Identification System (AIS).
A person managing traffic movements in a port may use any of the following to
communicate with waterborne users:

VHF radio; and

Telephones (fixed and mobile);

E-mail;

Visual signalling equipment (signal lights, shapes, etc.);
In-Port Communications
In-port communication links are needed in addition to links provided for
communication with vessels. These include:

VHF communications with tugs, pilot cutters, and other harbour craft;

Low power UHF radio for use in berthing/docking operations;

Computer networks and mobile telephones;

Fixed data links (analogue and digital) for transmission of remote sensor
information; and

Fibre optic landlines for transmission of broadband sensor and other data.
Procedures
Navigational information or assistance is most commonly provided as advice. In
managing navigation, in the interests of safety however, it will often be necessary to
require vessels to alter their navigation in some way. Such requirements may be
10-4
expressed in the form of a request, but it should be made clear that the Harbour
Master or an assigned deputy has the power to issue special directions, and should
consider doing so, if a vessel ignores, or declines to comply with a direction, for
reasons other than safety.
Passage Planning
The Harbour Masters powers to regulate the time and manner of ships entry to,
departure from and movement within their waters will then serve to complement port
passage planning.
Port Passage Guidance
Port passage guidance is given legal force by CHC's statutory powers currently only
under the pilotage directions. It is to be used in conjunction with master/pilot
exchange forms, which ensure that both have information needed for an agreed
pilotage passage plan.
The object of port passage guidance is to ensure that:

All 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 ships 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.
CHC intend to use directions not only to require the use of plans, but also the
advance preparation of appropriate passage plans by visiting ships masters, whether
using a pilot or not. Cowes Harbour Authority shall monitor compliance with such
requirements.
Passage plans are not immutable. It is the responsibility of a pilot, on embarkation, to
brief the master on his proposals for the pilotage passage plan within the pilotage
area. This plan should be agreed with the master as soon as practicable. The plan
will make allowance for any variations of tide and other local circumstances such as
vessel movements, berth availability etc. It is important not to constrain the pilots
10-5
need to react to unforeseen circumstances; but deviations from the agreed plan
should be discussed with the master and, when relevant, with port control, and
recorded with reasons.
Scope of Passage Planning Requirements
The use of passage planning is not confined to vessels conducted by a pilot, but shall
also be required for vessels conducted by a certificated PEC holder, and on vessels
exempted from the CHC's pilotage directions. Passage plans may be dispensed with
for particular kinds of vessel if the formal risk assessment has established that they
are not necessary for the management of risk in such cases. As a general rule it is
acceptable to exclude those vessels for which CHC's GDs and byelaws give sufficient
control; for example, recreational vessels. However, such vessels shall be included if
that is necessary and practicable.
Role of Harbour Authority on Port Passage Guidance
CHC shall take the lead in promoting the use of passage planning. CHC shall seek to
establish general guidance in simple cases for any entry to the port; in others,
elaborated for particular berths, ship sizes, cargoes, conditions, tidal constraints, tug
allocation, holding areas, etc. Particular attention should be paid to critical port
movements, for example the movement of deep draught vessels to particular berths.
Publication of Port Passage Guidance
CHC shall take appropriate steps to publish up to date guidance or general plans
adopted by the port.
Passage Record Keeping
Access to proper records is required for the port to monitor the ports safety
management system, and to investigate incidents. It is also in the interest of all
concerned that, in the event of an incident, it is possible to demonstrate the master
was properly briefed by the pilot (if one is used), and that there was an agreed
pilotage passage plan. Plans adopted for particular passages shall be recorded.
Recordings of VHF and CCTV may well also provide evidence.
10-6
Master / Pilot Exchange
IMO Assembly Resolution A485 (xii) is being amended to include, at Annex 2, a
summary of the respective responsibilities of master and pilot. It recommends that
they should exchange information regarding navigational procedures, local conditions
and the ships characteristics, and that this information exchange should be a
continuous process that generally continues for the duration of the pilotage. The
pilot’s presence on board does not relieve the master or officer in charge of the
navigational watch from their duties and obligations for the safety of the ship. It is
important that, upon the pilot boarding the ship and before the pilotage commences
the pilot, the master and the bridge personnel are aware of their respective roles in
the safe passage of the ship. The master, bridge officers and pilot share a
responsibility for good communications and understanding of each other’s role for
the safe conduct of the vessel in pilotage waters. Masters and bridge officers have a
duty to support the pilot and to ensure that his actions are monitored at all times.
Port passage guidance provides a general framework for the preparation and
agreement of specific passage plans for particular transits in the port. This
preparation depends upon an exchange of information between master and pilot.
This includes but goes further than the statutory requirements. The Pilotage Act 1987
requires a certain minimum exchange of information between the master of a ship
and the pilot. In addition, the Merchant Shipping (Port State Control) Regulations
1995 (SI 1995 No. 3128) requires a pilot to report to the Port State (MCA), through
his harbour authority where appropriate, any ship deficiencies that may affect its safe
navigation.
The master / pilot exchange of information needs to be both detailed and structured,
if the respective roles of the pilot and the master are to be integrated to best effect. It
should include as a minimum the following:

The provision by the pilot of detailed local navigational information, including
his recommended pilotage passage plan such details will assist the master to
update his own plan and charts.
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
Details on how the bridge is managed, and who fulfils what functions will also
assist the pilot to integrate into the bridge team.

Presentation by the master to the pilot of a completed standard Pilot Card in
addition information should be provided on rate of turns at different speeds,
turning circles, stopping distances and, if available, other appropriate data.

General agreement on plans and procedures, including contingency plans, for
the anticipated passage.

Discussion of any special conditions such as weather, depth of water, tidal
currents and marine traffic, which may be expected during the passage.

Discussion of any unusual ship-handling characteristics, machinery
difficulties, navigational equipment problems or crew limitations, which could
affect the operation, handling or safe manoeuvring of the ship.

Information on berthing arrangements; use, characteristics and number of
tugs; mooring boats and other external facilities.

Information on mooring arrangements.

Confirmation of the language to be used on the bridge and with external
parties.
This should ensure that the vessel has an agreed pilotage passage plan, and that the
vessels position can be monitored independently on the bridge whilst the pilot has
the conduct of the ship.
In order to help avoid misunderstandings, and to overcome any possible language
problems, an oral exchange between master and pilot should be complemented by
written details. Such details will also facilitate the provision of a record of the
exchange, should it ever be necessary to establish who said what. The paper-based
records should include the following:
Master Pilot Exchange
Master to pilot
The Pilot Card
This should provide, in clear, written / diagrammatic format all
relevant information and details regarding the vessel and its
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Master Pilot Exchange
equipment.
Pilot to master
Pilotage Passage Plan
This should provide a written / chart / schematic containing all
information relevant to the passage from pilot station to berth,
including any tidal constraints and abort plans.
Pilot to CHA/MCA
Pilots have a statutory duty to report ship deficiencies that may
affect adversely its safe navigation. These should be reported
to the Harbour Authority, which should, in turn, inform the MCA.
(If any such defects are of major concern, the pilot should not
commit the vessel to a passage in confined waters but instead
abort the proposed movement to a place of safety).
Master to pilot
HAZMAT checklist
The master of any vessel carrying dangerous or polluting goods
must supply to the pilot an appropriate checklist. If the
checklist is not satisfactorily completed, or it is not supplied,
the pilot must report this fact to the Harbour Authority
immediately. The Harbour Authority in turn must pass this
information to the MCA.
CHC pilots shall ensure that they allocated adequate time to prepare passage plans
prior to boarding a vessel.
Harbour Service(s)
CHC patrols play an important role in the management of navigation within port
limits. The object of the harbour service function includes:

Maintaining a visual presence in the port area, and in so doing representing
the harbour master on the water;
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
Enforcing port byelaws and Directions;

Collecting evidence following an incident and conducting preliminary
investigations;

Conducting spot checks on vessel navigational documentation;

Assisting craft in difficulty, and responding to other emergencies;

Acting as Forward Control/On-Scene Commander respectively during port
emergencies and SAR incidents;

Escorting vessel as required (e.g. vessels restricted in their ability to
manoeuvre);

Control and Directing vessel traffic (e.g. during partial port closures);

Monitoring jetty and other navigation lights and aids; and

Conducting routine surveillance of licensed works and moorings.
Recreational Navigation
Recreational users are not all well-trained, safety conscious, experienced boat
handlers affiliated to local clubs; or the RYA; neither do they all have detailed
knowledge of the harbour. CHC has traditionally given passage-planning advice to
recreational users without making a distinction regarding their affiliation or
experience. There is, however, a need for educating recreational users about the
CHC’s role and responsibilities as they relate to different harbour functions.
Recreational navigation includes a wide range of differing activities and craft types,
ranging from off-shore power boats, cabin cruisers, yachts, sailing dinghies, rowing
sculls, canoes, personal watercraft, and water-ski boats. The requirements and
priorities of such sports are often at variance both with each other and with other
harbour users and interests (including conservation of the environment). Good
management, use of appropriate powers, and consultation are all needed to strike a
balance.
CHC General Directions and byelaws provide the main formal statutory mechanism
for managing recreational navigation. Subjects covered include:

Requirement to maintain VHF communications;
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
Speed limitations in specified areas;

Prohibitions on defined recreational activities close to beaches,
navigational channel, or environmentally sensitive areas,

Navigation restrictions in the vicinity of specified port infrastructure;

The timing and manner of races, or other events, which may interfere with
the safe use of the navigable channels
Event Planning
Cowes Harbour Authority regularly consults with organisers of recreational events in
their waters about the need for risk assessments. The need will be proportional to
the activity. CHC may be able to agree that formal assessments are not needed for
some low-key leisure activities. Those intending to hold a recreational event for which
any form of risk assessment will be required should consult the Harbour Master at
the earliest opportunity. Formal approval for such events can then be made subject
to a proper risk assessment conducted by the event organiser. In approving any
event, the harbour master needs to be satisfied that the risk(s) to the safety of
navigation, or other port users have been effectively mitigated. The harbour master
also needs to ensure that the event organiser has consulted with, and has met the
requirements of, the MCA (Coastguard), local emergency services, and local authority
where appropriate.
Any requirement for additional CHC resources, be they additional navigational marks,
craft to patrol, control, or escort the event, or any emergency or SAR response
resources, will normally be at the expense of the event organiser.
Having conducted a risk assessment, and following any advice or requirement of the
Harbour Master, the event organiser shall be required to promulgate clear details of
the event, including where appropriate:

Names of event organisers and officials;

List of participants;

List of authorities consulted;

Timetable and programme of events;
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
Arrangements for controlling the event, including any special
communications, i.e. contact telephone numbers, VHF channels and call
signs;

Any navigational constraints being imposed, e.g. restricted areas, or partial
port closures;

Emergency arrangements; and

Media arrangements.
Depending on the scope of the event, it may be appropriate to publish also the full
risk assessment and associated mitigating measures.
Dialogue with the Recreational Port User
CHC shall make available to all users of the port, including recreational users,
published material relevant to the safety of navigation, including the following:

Byelaws and General Directions;

Local Notices to mariners;

Port guides;

Details of the facilities available to visiting recreational users;

Advice on passage planning, including the identification of any areas of
high density recreational activity;

Port emergency arrangements; and

The International Collision Regulations.
The promulgation of this information is achieved by direct provision to local sailing
and boating clubs, through articles and features in local press and radio, and by the
use of notice boards in key locations and using the port website.
The CHC web site assists with promoting general awareness of the port and the
details of its regulatory regime.
Regular dialogue with the recreational users shall also be achieved by means of
liaison meetings, and participation on working groups and committees. With the
advent of the SMS, there is a need for all port users, including the recreational user,
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to contribute to the hazard identification and risk assessment process, and
subsequently to assist in reviewing the safety of navigation.
Education and Training
In discharging its responsibilities for the safety of navigation, CHC shall take a keen
interest in helping to educate recreational users and others about safety on the
water. To this end, CHC shall encourage recreational users to attend training courses
run by the RYA and other associations.
Facilities for the Recreational User
Facilities provided for the recreational user often require specialised management.
These include:

Moorings design and specification of moorings and mooring areas,
maintenance schedules etc.;

Alongside berths maintenance, access, security, collection of charges,
provision of services, waste disposal, emergency arrangements etc.;

Drying grids, safety inspections maintenance of safe drying area including
MMO consent for works below MHW;

Slipways for launching/recovery of trailed craft. Requirement for
maintenance and manning, supervision of launching and recovery where
necessary, enforcement and collection, parking of trailers;

Slipways for careening and repairs. Health & safety requirements, waste
reception for contaminants;

Boat lifts, cranes, hoists health & safety requirements, training for crane
operators etc., storage, shoring arrangements ashore;

Provision of fuel health & safety, pollution prevention, emergency
procedures, formal safety inspections for installations;

Supply of electricity health & safety, prevention of misuse, failsafe devices;

Shore side services including showers, toilets etc. repair and maintenance,
compliance with regulations, access for people with disabilities, security;
and
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
Conservancy facilities in addition to those necessary for large vessels
marking of secondary channels, maintaining depth in secondary channels
and other areas, removing obstructions in areas of recreational activity.
Leisure Moorings
CHC license and regulate leisure moorings on the seabed in the harbour limits. to
facilitate the safety of navigation. Whilst providing leisure moorings CHC shall take
into consideration the need to:

Maintain safe navigational channels;

Ensure that a selected position takes into account size and type of craft,
swinging areas, depths of water, type of seabed, and the need for safe
access to and from the mooring areas; and

Ensure that environmental / hydrographic regimes are not adversely
affected.
In providing and licensing moorings, those owned by CHC shall ensue that they are fit
for the purpose, regularly maintained and checked.
A published mooring plan of each area of the harbour shall be maintained, which
clearly identifies the positions of all moorings.
Marinas
The resulting density of boat traffic will need to be reflected in port pollution and
other emergency plans. All marinas are required to put into operation waste
reception management plans.
Traffic management procedures may be needed to facilitate entry into, and departure
from, a marina. Lighting levels in and around a marina, whilst serving their purpose,
must not impede the safety of navigation at night in the port area adjacent to a
marina. Noise levels within marinas may need to be controlled.
Access to shore from a marina must be safe, and fit for purpose. The maintenance of
lifesaving appliances throughout the marina is a fundamental responsibility of the
marina operator.
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An effective liaison shall be maintained between the marina operators and CHC. In
particular, the movement of craft to and from a marina may need to be confirmed
from marina records, which should be available for scrutiny by CHC.
Shore Side Life Saving Appliances
The provision of shore side lifesaving equipment is the responsibility of the relevant
riparian landowner, including, where appropriate, CHC. The availability of such
equipment should be taken into account when conducting risk assessments.
Riparian authorities have a duty of care to ensure that adequate lifesaving
equipment is made available, despite its vulnerability to abuse by vandals.
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Section 11 - Conservancy
CHC has a duty to conserve the harbour so that it is reasonably fit for use as a port,
and a duty of reasonable care to see that the harbour is in a fit condition for a vessel
to resort to it. The conservancy duty covers several specific requirements, as
mentioned in the Code (PMSC, 2012):

To survey (and re-survey as regularly as necessary) and find the best
navigable channel or channels;

To place and maintain navigation marks where they will be of the best
advantage to navigation (marked appropriately by day and night);

To keep a vigilant watch for any changes in the sea or river bed affecting the
channel or channels and move or renew navigation marks as appropriate;

To keep proper hydrographic and hydrological records; and

To publish as conspicuously as possible such further information as will
supplement the guidance given by navigation marks.

Provide regular returns and other information about the authorities local aids
to navigation as the General Lighthouse Authority may require.
Where CHC states that there is a certain depth of water at a part of the harbour over
which vessels may be obliged to pass, it shall use reasonable care to provide that the
approaches to that part are sufficient, under normal conditions, or give warning that
the advertised depth has not been maintained.
Conservancy includes not only monitoring but also management of the hydrographic
regime in a harbour, and so covers the licensing of construction and dredging in
order that the safety of navigation is not adversely affected.
Conservancy therefore involves a number of functions:

Hydrography;

Promulgation of survey and navigation information;

Dredging;
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
Maintaining aids to navigation;

Managing wrecks; and

Regulating construction works.
Hydrography
Hydrography is the precise determination of navigational information, and the
provision of charts and other navigational products for use by the mariner and those
with a responsibility for conservancy.
Aids to Navigation
CHC shall ensure that all aids to navigation, both fixed and floating, have their
positions accurately determined. Lighted fixed marks will have their characteristics
regularly checked. The mean positions of floating marks are determined from
observations taken at full ebb and at full flood.
Frequency of Survey
The frequency of surveys shall be determined by formal risk assessment. It shall
reflect the stability of the seabed and its susceptibility to siltation or erosion. The
depth of available water, in relation to the draught of vessels using that water, shall
also be a consideration.
Surveys are needed firstly to facilitate the production of charts. The intervals between
surveys of the whole harbour below high water shall vary from two to ten years. The
interval may be different for different parts of the harbour. More frequent periodic
surveys will be necessary where the depth of water is known to fluctuate in areas
critical to navigation.
Incident assessments may also indicate a survey requirement. For example, where a
vessel has grounded, it is important for the area to be re-surveyed as soon as
possible to check the accuracy of published information; and to ensure that any
resultant disturbance to the bed does not present a hazard to other vessels. It is also
prudent in the event of a grounding, to establish promptly the depth of water
available at the time of the incident in case of subsequent dispute. Post-incident
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surveys shall also be conducted whenever there is a risk that the navigation channel
has been compromised in some way, such as might happen when a large object is
known to have fallen in the water.
Promulgation of survey and navigation information
Cowes Harbour Authority is responsible for ensuring that the mariner is provided with
the necessary information to ensure that they can safely navigate through the port.
The UK Hydrographic Office (UKHO) has the responsibility of compiling and publishing
charts for all tidal waters around the UK, and the Admiralty Sailing Directions. CHC
when conducting surveys shall arrange to provide the UKHO with the results of their
surveys. The UKHO has a standard form of agreement for these arrangements. It has
also published a code of practice on the provision of hydrographic information by
ports (Provision of Hydrographic Information, A Code of Practice for United Kingdom
Ports and Harbours).
CHC shall issue a suitable warning as soon as they become aware, through survey or
other means, that the water available to the mariner is less than that promulgated in
nautical charts and publications.
CHC will normally broadcast such warnings in the first instance over the appropriate
VHF channel(s). Where a local Notice to Mariners is issued, distribution shall include
the UKHO, all pilots authorised by the authority, all current PEC holders and Masters
of vessels not subject to compulsory pilotage where appropriate, and other Masters
and vessels not subject to compulsory pilotage. Shipping agents shall also be
included, so that they are alerted to the changes.
The UKHO will decide if the local notice to mariners should be promulgated more
widely as a chart correcting Admiralty Notice to Mariners. In order to avoid the need
for frequent chart corrections it is sensible to arrange with UKHO that in areas prone
to depth fluctuations the minimum water available is that shown on the admiralty
chart.
Where changes within harbour limits may impact on the safe navigation of passing
coastal traffic or vessels approaching the port, CHC, as the local lighthouse authority
11-3
(see below), shall inform the UKHO Radio Navigation Warning section. The UKHO will
determine if a Coastal Navigation Warning will be issued on Navtex and/or through
the Coastguard Coast Radio Stations. Such changes may include:

Casualties to aids to navigation particularly a principal Fairway Buoy or major
Category 1 lights with ranges beyond Harbour limits;

New wrecks or shoals and their marking located towards the outer limits of
the port;

Closure of a port or anchorage in exceptional circumstances; and

The failure of local VHF radio navigation services.
The UKHO issues these warnings, but the Maritime and Coastguard Agency (MCA) is
responsible for their transmission. MCA may invoice CHC for this service to help cover
costs. CHC shall therefore make provision for these expenses.
Where tidal heights vary significantly from those predicted, periodic warnings shall be
made over the appropriate VHF channel. Where tidal variations potentially affect
vessels alongside or at a mooring, consideration shall be given to alerting the
relevant shipping agents if the vessel risks taking the ground or could otherwise be
put at risk. The tidal information available to CHC may be useful for warning of
possible local flooding. Arrangements shall be made in such cases for the
appropriate local authority and/or the Environment Agency to be informed.
Dredging
Cowes Harbour Authority has statutory powers in local legislation to dredge for the
maintenance and improvement of channels. The latter is commonly referred to as
capital dredging, although the distinction between the two kinds may be blurred in
practice.
Maintenance Dredging
Maintenance dredging is that which is required to maintain existing access to the
port and discharges the responsibility to ensure that all vessels using the port may do
so safely. It is done on a routine basis to maintain the level of water at the depth
advertised on charts. It is important that risk assessments deal with this
11-4
requirement. Maintenance dredging shall be planned for the sake of efficiency and to
minimise environmental effects. Advertised depths shall be determined and reviewed
having regard to the need to ensure the safety of commercial and recreational
vessels using the port. Water depth may be reduced to a level less than that charted,
or otherwise promulgated, for example because no user any longer requires the
charted depth to be maintained. However, appropriate warnings to mariners must be
given and charts up-dated as soon as reasonably practicable.
Capital Dredging
Capital dredging can take the form of deepening or widening an existing channel or
to construct an entirely new channel to facilitate access to a new facility. Capital
dredging may often be prompted by commercial considerations. However, a risk
assessment might also identify a safety requirement for better access even for
vessels already using the port.
Controls on Dredging
Where the Crown Estate or another person owns the bed of the harbour their
permission for dredging operations is likely to be needed.
CHC's statutory power to dredge is subject to consent to dispose of dredged
materials in tidal waters. This consent is required from Marine Management
Organisation. This requirement is usually found in the Harbour Authority's local
legislation alongside the power to dredge. It mirrors and takes the place of the
requirement in Part II of the Coast Protection Act 1949. The1949 Act will also apply if
dredging is proposed beyond the limit (usually the harbour limit) of the Harbour
Authority's power to dredge. The consenting Department can advise which control
applies. Capital dredging may require additional powers, for which a harbour order is
required.
Consent to dredge is subject to the Harbour Works (Environmental Impact
Assessment) Regulations 1999. The Directive, which these regulations transpose,
imposes controls on projects. This means that consideration must be given to the
dredging and disposal of material, even though the consent requirement may relate
11-5
to the disposal only. Consents may also be subject to the Habitats Regulations 2000,
which impose severe restrictions and special tests on works, which may adversely
affect a European site. There are similar controls on harbour orders in Schedule 3 of
the Harbours Act 1964 (as amended). It is even more likely in these cases that an
environmental assessment will be required, or that adverse effects on a European
site will have to be considered.
All applications for consent have to be advertised by the consenting Department and
will take at least ten weeks after application and submission of all relevant
information. The advertising periods are longer where an environmental assessment
is required and decisions may take months. Early dialogue with the consenting
Department is essential.
A licence to dispose of dredged spoil at sea must also first be obtained from DEFRA,
in accordance with the Food and Environmental Protection Act. Seabed samples will
be required from the areas in which it is proposed to dredge, for chemical analysis by
DEFRA. The means and location for spoil disposal must also be agreed and approved
with all the relevant authorities. Early consultation with all parties concerned,
including those who navigate or fish in the area is strongly advised.
Dredging and Hydrography
CHC shall undertake a hydrographic survey before dredging work commences and
when it has been completed. This will establish the need and the basis for any
contract, as well as ensuring that the contract has been fulfilled. Post dredging
survey information shall always be supplied to the UKHO.
Regulating Harbour Works
CHC has powers to license works where they extend below the high watermark, and
are thus liable to have an effect on navigation.
Where necessary, consideration shall be given to requiring the planning applicants to
conduct a risk assessment in order to establish that the safety of navigation is not
about to be put at risk. Examples of where navigation could be so affected include:
11-6

High constructions, which inhibit line of sight of microwave transmissions, or
the performance of port radar, or interfere with the line of sight of aids to
navigation;

High constructions, which potentially affect wind patterns; and

Lighting of a shore development in such a manner that the night vision of
mariners is impeded, or that navigation lights, either ashore and on-board
vessels are masked, or made less conspicuous.

An obstruction is created in the harbour
Aids to Navigation
CHC is the Local Lighthouse Authority (LLA) for its area of jurisdiction. The LLA has
the power to carry out and maintain the marking or lighting of its harbour or any part
of its harbour within the Harbour Authority's area or on harbour land.
General Lighthouse Authority
The General Lighthouse Authority (GLA) has prepared guidance on the provision and
maintenance of aids to navigation by the LLA. This guidance contains information
concerning the revised local aids to navigation inspection regime that is to come into
effect from January 2002.
The GLA has the general superintendence and management of all lighthouses, buoys
or beacons within their respective areas. They have a duty to inspect all lighthouses,
buoys, beacons and other navigational aids belonging to or under the management
of a LLA, and may give directions to a LLA. The LLA may not, without the GLA consent,
erect, remove or vary the character of any lighthouse, buoy or beacon.
The GLA for England and Wales is Trinity House. Where aids to navigation lie within
the limits of a port, but are solely or mainly used by vessels transiting through the
area en route to another port, then it is usual for the GLA to retain responsibility.
Local Lighthouse Authority
The LLA has a responsibility for providing and maintaining buoys and lights within its
limits, but the establishment of a light or mark, or any alteration to existing lights and
11-7
marks, may only be done with the approval of the GLA. All approved alterations
should be notified to the UKHO. The LLA shall give the GLA all such returns,
explanations or information concerning the lighthouses, buoys and beacons under
their management as the GLA may require.
Availability Criteria
The LLA shall establish and maintain aids to navigation within its area of
responsibility in accordance with the availability criteria laid down by the GLA unless
otherwise agreed by the GLA. The characteristics of local aids to navigation should
comply with IALA Guidelines and recommendations. The GLA has a responsibility for
ensuring that any aids to navigation within the port established and/or maintained by
another party meet these standards. The categories, detailed below, are based on
Guidelines developed by the IALA. The three categories are to be applied according to
the importance of a particular aid for safety of navigation:
Category Availability

Category 1 99.8%

Category 2 99.0%

Category 3 97.0%
Each LLA needs to adopt state and accomplish the availability targets and response
priorities for individual aids to navigation, in consultation with the GLA.
GLA Superintendence
The LLA shall report quarterly to the GLA on the availability criteria of its aids to
navigation. Reports are made through the GLA’s reporting programme ‘Ports Aids to
Navigation Reporting’ (PANAR). Inspections announced / unannounced are carried
out by the GLA.
Casualties and Alterations
The LLA is responsible for notifying users of casualties to any aids to navigation
within the port. The LLA shall also notify the UKHO where appropriate. This
notification shall normally be by means of local broadcasts but may involve Coastal
11-8
Navigational Warnings on Navtex and/or through the Coastguard Coast Radio
stations. However, the issue of a Local Notice to Mariners may be more appropriate
in cases where the casualty is likely to take more than seven days to rectify.
Alterations to aids to navigation must be notified to users and the UKHO, where such
alterations affect the advertised characteristics of the aids to navigation. Wherever
possible, this notification shall be carried out in advance of any change taking place.
The procedures laid down in respect of Notices to Mariners shall take into account
the UKHO timescales for publishing Admiralty Weekly Notices to Mariners.
Wrecks
In the event of a vessel becoming a wreck in or near the approaches to port limits,
the process of removing the wreck is laid down in Section 252 of the Merchant
Shipping Act 1995.
CHC's SMS shall require a risk assessment to be undertaken of any wreck in, or near
the approaches to a harbour. The authority's powers to raise, remove, destroy and
mark a wreck which is, or is likely to become, a danger to navigation shall be
exercised having regard to that assessment, with the aim of reducing the risk to as
low as reasonably practicable.
The UKHO should be informed of wrecks within port limits.
Salvage
CHC may:

Take possession of, raise, remove or destroy the whole, or any part of the
vessel, and any other property to which the power extends;

Light or buoy the vessel until it is raised, removed or destroyed; and

Subject to various restrictions, sell the vessel or part of the vessel so raised or
removed and any other property recovered during the exercise of the above
powers.
If a vessel is abandoned, or if the owner has made no valid attempt to remove a
vessel that has been sunk or stranded, then CHC may act to raise or remove or
11-9
destroy the vessel if it is an obstruction or danger to navigation. Before embarking on
the removal of the vessel a CHC shall ensure that:

There is a well-documented reason for the authority to require the removal of
the vessel;

That ownership of the vessel is established beyond any doubt or evidence
obtained to show that the vessel has been abandoned;

Notice is given to the owner (if known), or posted on the vessel or in a public
place that the authority intends to take possession of the vessel and raise,
remove or destroy it (so that the owner has a reasonable opportunity to
remove the vessel himself);

Any sale is well advertised in the local press;

Where the wreck has not sunk, and is still visible, a photographic record of the
vessels condition is made before any attempt is made to salvage it;

If the vessel is beyond the salvage or dispersal capabilities of the authority, a
reputable salvor or wreck removal contractor is engaged to carry out the work
under a recognised wreck removal contract (wreck hire, wreck con, wreck
fixed, etc.);

It has suitable insurance to cover any residual liability;

Any such salvor or wreck removal contractor submits a detailed salvage plan
covering;

The method of raising the vessel including whether explosives are to be used;

Any temporary lay-by berth for the vessel;

Arrangements for limiting environmental damage;

If pollution does occur, how it will be dealt with;

Agreed delivery location/beaching site/drying berth;

Diving operations connected with the salvage operation, and an assurance
that they are to be carried out in accordance with the relevant diving
regulations; and

A suitable plan for the final disposal of the vessel, whether this involves sale
of the entire vessel or part thereof
11-10
Section 12 - Pilotage
The Competent Harbour Authority
CHC shall, through the Board of Commissioners, play a formal role in the recruitment,
training, authorisation and discipline of pilots. They shall also approve the granting of
Pilotage Exemption Certificates (PECs) and the discipline of PEC holders.
The Harbour Master shall be responsible for the management of pilotage and the
Deputy Harbour Master shall administer the service with the assistance of the
Finance Officer.
Providing a service
The pilotage service provided by CHC shall be based upon a continuing process of
risk assessment. This process will be composed of the following elements:

Safety assessment;

Agents and joint arrangements;

Pilotage directions;

Boarding and landing;

Consultation;

Pilotage regulations;

Authorisation of pilots;

Contracts with authorised pilots;

Training;

Rostering pilots; and

Incident and disciplinary procedures.
Safety Assessment
The Harbour Authority shall keep under consideration:
12-1

Whether any and, if so, what pilotage services need to be provided to secure
the safety of ships navigating in or in the approaches to its harbour; and

Whether in the interests of safety, pilotage should be compulsory for ships
navigating in any part of that harbour or its approaches and, if so, for which
ships and in which circumstances and what pilotage services need to be
provided for those ships.
The hazards involved in the carriage of dangerous goods, pollutants or harmful
substances by ship have to be particularly considered. These requirements are
clearly best addressed as part of CHC's overall risk assessment and SMS.
For the purposes of the SMS, pilotage is to be treated as a risk control measure, to
be considered with other possible measures to mitigate the risks in question. There
may be no need for a pilotage service where other measures are considered
sufficient.
It is important to note that the Harbour Authority has two separate decisions to make:

To identify the pilotage service required in the interests of safety; and

The scope of pilotage directions.
The service provided must obviously cover all vessels required to have a pilot by the
directions. However, the Harbour Authority must also consider two other points:

That some vessels subject to directions may not require a pilot because the
master or first mate is entitled to use a pilotage exemption certificate; and

A vessel not subject to directions may nevertheless need a pilot in the
interests of safety (for example in unusual conditions such as poor weather,
reduced visibility, unfamiliarity with, or lack of knowledge of, the port or due to
fatigue).
A master entitled to conduct their vessel under an exemption certificate may
nevertheless ask for a pilot for assistance. The Harbour Authority has a duty to
provide the service required in the interests of safety.
12-2
Where necessary to ensure that pilots retain the required currency and competence
they are to trip in vessels, which are excepted, from compulsory pilotage covered by a
PEC holder.
In providing a pilotage service, the Harbour Authority incurs an obligation to find and
maintain the resources and expertise.
Agents and Joint Arrangements
A Competent Harbour Authority may arrange for certain pilotage functions to be
exercised on its behalf by such other persons as its sees fit, including a company
established for the purpose, or another Competent Harbour Authority. A Competent
Harbour Authority may assign all its pilotage functions to another Competent Harbour
Authority; however the following arrangements may not be assigned or shared:

The duty to keep the need for pilotage under review;

The authorisation of pilots;

The arrangement under which its authorised pilots are engaged;

The approval of pilot launches;

The issue of pilotage directions; and

The issue of exemption certificates.
These are all key elements of the CHC SMS.
Cowes Competent Harbour Authority has a memorandum of understanding with
Southampton Competent Harbour Authority
Pilotage Directions
(Controlled Document Number 16)
Where the Competent Harbour Authority decides in the interests of safety that
pilotage should be compulsory in the harbour or any part thereof, it must issue
pilotage directions. Vessels are subjected to pilotage directions where the authority
has decided that the management of safety so requires.
Such vessels may nevertheless be conducted by PEC holders who have been
assessed for skills, experience, local knowledge and knowledge of English. The
authority will need to satisfy itself that the risks relating to vessels that are not
12-3
subject to compulsory pilotage are appropriately managed. This applies both to
vessels which the authority decides to exclude under its pilotage directions, as well
as those excepted by statute.
The authority's pilotage directions define the geographic area within which pilotage is
compulsory, describes how pilotage applies to vessels using the port and specify the
ships or type of ship, and the geographical area, to which they apply; and in any
circumstances in which an assistant pilot must accompany an authorised pilot.
(Cowes Harbour Pilotage Directions, Controlled Document Number 16)
(Solent Pilotage Directions Guide, Controlled Document Number 17)
Boarding and Landing
Attention is drawn to the British Ports Associations Code of Practice entitled The
Boarding and Landing of Pilots by Pilot Boat and the Merchant Shipping (Pilot
Transfer Arrangements) Regulations 1999 and revised 2007.
In designating pilot boarding and landing positions the following considerations shall
apply to the fixing of these positions, especially the seaward position:

It must be in a safe place to transfer a pilot to and from a vessel;

It must allow for a pilot to be on board where the pilotage directions so
require; and

It must be where there is sufficient time and sea room to allow a proper
master pilot information exchange.
Requirements might also vary according to different kinds of vessel and for other
temporary reasons, such as adverse weather. There is no power for the Harbour
Authority or for any pilot or port control officer to waive the pilotage directions.
Pursuant to the above boarding and landing position would normally be at the limit to
which the relevant pilotage direction applies.
Consultation
Before issuing a new direction, the authority shall consult with ship owners whose
vessels use the port, or those who represent them, and with those who conduct
12-4
operations within the harbour. The authority shall publish its directions so that they
are readily available to all who require them, or are likely to be interested in them.
Pilotage Regulations
Pilotage directions exist to define formally the broad structure of a pilotage service,
and in particular to define where, and for whom, compulsory pilotage applies.
Pilotage regulations provide a method of publishing administrative requirements and
details, which support these directions. These may include:

Arrangements for the application, assessment, approval, renewal and use of
Pilotage Exemption Certificates;

Pilot authorisation procedures;

Any conditions governing the provision of the pilotage service;

How vessels should obtain the services of a pilot;

Details of the local radio communications allocated for pilotage; and

Criteria for excepted ship status.
Authorisation of Pilots
The competent Harbour Authority shall authorise suitably qualified pilots in its area.
Authorisations may relate to ships of a particular description and to particular parts
of the port. The authority determines the qualifications for authorisation in respect of
age, medical fitness standards, time of service, local knowledge, skill, character and
otherwise.
Subject to the principle that it is for the Harbour Authority alone to decide (using
appropriate procedures for delegation to its officers) that an authorisation should be
given, it is for the authority, to determine that a particular authorised pilot is
appropriately qualified and fit to pilot any ship on any occasion. The authority shall
have discretion to decide not to allocate an authorised pilot for a period, or for
particular ships, and this shall be an accepted condition of every authorisation.
The authority may also suspend or revoke an authorisation after giving notice and
allowing a reasonable opportunity for representations to be made, if it appears to the
authority that the authorised person is guilty of any incompetence or misconduct
12-5
affecting their capability as a pilot. The same applies if an authorised pilot has
ceased to have the required qualifications; or level of medical fitness; or failed to
provide evidence of continuing to meet any of the criteria. An authorisation may also
be suspended or revoked, on reasonable notice, if any contract or other arrangement
under which the services of pilots are provided is terminated. The authority shall have
formal procedures for these circumstances; incorporated in the contracts they have
with authorised pilots. It is obviously good practice and in the interests of all
concerned, for the authority to act on legal advice in such matters.
The authority shall have procedures for re-validating authorisations not less than
every five years. The authority shall not allow pilot authorisations to be held by
persons who have not been rostered as working pilots for more than two years.
Revalidation shall include an assessment of competence sufficient to satisfy the
authority that the pilot remains qualified to be authorised. The authority shall reassess any authorised pilot who has not been active for any reason if it considers
that competence may be in question. It shall do the assessment, and arrange
appropriate training, before allowing the pilot to be rostered.
Contracts with Authorised Pilots
(Controlled Document Number 15, Memorandum of Understanding Cowes Pilots)
For the purposes of being able to regulate the provision of its pilotage service, the
authority shall have a contractual arrangement with its authorised pilots (whether
under a contract of employment or a contract for services). This shall be individual
with each pilot. The contract should reflect the general conditions under which
people are employed by the authority, including regulation of hours, leave, medical
standards, training, incident reporting, discipline, employment protection, grievance
and complaints procedures. The purpose of the contract is to regulate the
relationship between the authority and its pilots in the proper interests of both. In the
authority's case, it should retain sufficient control over the provision of the service,
which it has a statutory duty to provide.
12-6
The contract between the authority and its authorised pilots shall also take account
of any contract the authority has made with another body or authority to have
pilotage functions discharged on its behalf.
An authorised pilot’s contract shall enable the authority to decide that a particular
pilot may, or shall not be allocated to a particular ship on a particular occasion.
The authority shall ensure that any arrangements, by which the operation of the
pilotage service is delegated, reserve their control over rostering.
Training
The Harbour Authority shall ensure that all their authorised pilots are trained and
qualified to conduct the vessels to which they are likely to be allocated. The authority
shall not allow any pilot to be allocated if not appropriately trained and qualified. The
training standards should be appropriate to the National Occupational Standards.
Every authorised pilots training needs to be kept under review, with additional
training provided as necessary before allocation to different types of vessels or to the
use of new types of tugs. It is good practice for shipping companies, particularly
regularly trading ferries under PECs, to also participate in pilot training programmes.
These programmes promote shared good practice and team working.
Rostering Pilots
The shift patterns for any given pilotage service will vary depending on local
circumstances, including the length of act, density of shipping, proximity of boarding
and landing areas, etc. In designing shift patterns, care shall be taken to ensure that
pilots are suitably rested before commencing an act of pilotage, and that time has
been allocated for the proper development of the pilotage passage plan.
The formal risk assessment shall be used to identify any circumstances in which
more than one pilot would be needed to conduct the navigation of a vessel safely.
Pilot Launches and Workboats
12-7
(Memorandum of Understanding Solent and Wightline Cruises, Controlled Document
Number 13,)
The Harbour Authority shall ensure that only those vessels that are specifically
approved for the purpose will be used as pilot vessels. Pilot launches and workboats
used in the port will, where applicable, comply with the Merchant Shipping (Small
Workboats and Pilot Boats) Regulations 1998 and the associated Safety of Small
Workboat and the Pilot Boat Code of Practice.
Pilotage and the Port State
The Harbour Authority shall ensure that the Maritime and Coastguard Agency are
informed whenever reports are received from pilots that a vessel has deficiencies
which may prejudice the safe navigation of that vessel, or may pose a threat to the
harm of the environment.
Pilotage Charges
The Harbour Authority shall ensure that pilotage charges are published to those
persons likely to be interested.
Directions and Passage Plans
The Harbour Authority will use and promote the use of appropriately detailed passage
plans.
Publication of Port Passage Guidance
The Harbour Authority shall provide, in the most appropriate format, up to date
passage guidance applicable to the harbour.
Incident and Disciplinary Procedures
The authority shall have a formal incident and discipline procedure in the event of a
marine incident. The Harbour Authority shall make provision for ship Masters to make
reports, including confidential ones, of unsatisfactory performance by an authorised
pilot, whether or not there has been an incident. Such provision must, however, be
coupled with an equitable investigation procedure.
12-8
Pilotage Exemption Certificates
Eligibility for a PEC
The Competent Harbour Authority (CHA) will issue a PEC to applicants who are bona
fide the master or chief officer of a vessel. In practice, a large proportion of
commercial shipping movements, especially ferries, are conducted by such officers
with PECs. Many are highly trained and experienced not only to be familiar with their
ship but also harbours which they visit regularly. The arrangements whereby
applicants may qualify, obtain, and use a PEC shall be laid down in the pilotage
regulations, which normally accompany the pilotage directions. The pilotage
directions will specify the type and size of vessels which are subject to pilotage and
therefore, by definition, the vessels to which PECs apply.
Bona Fide Master and First Mate
PECs shall be granted only to persons who are bona fide the master or chief officer of
a ship. The chief officer is the person on board who will take command in the event
of the master being indisposed.
Award of Certificates
Once the requirements have been determined, an applicant who satisfies them has a
right to exemption whilst serving as bona fide master or chief officer on the vessel for
which they hold a certificate whether they choose to use it or not. The authority has a
duty to issue pilotage exemption certificates to appropriately qualified mariners, and
is not allowed to withhold one for reasons unconnected with an applicant’s skill and
experience, local knowledge and knowledge of English. A risk assessment may show
for example that special requirements apply if the vessel were to take tugs. In that
case, the authority has to choose whether it is reasonable to make the related skills
a requirement for exemption; or whether to adopt an alternative risk management
device. If the ship for which the master holds a PEC requires the services of tugs on a
12-9
regular basis then this particular experience and ability should be covered with other
relevant matters in the assessment prior to granting a PEC.
Responsibility of the Authority
PECs are valid for one year from date of issue. Renewal shall depend upon the CHA
being satisfied with the conduct of the PEC holder. The PEC shall only be renewed on
confirmation that the holder’s certificate of competency remains valid and that a
predetermined number and frequency of trips, with conduct of the vessel, have been
undertaken by the applicant within the harbour during the previous year. A system for
recording all trips made by individual PEC holders will facilitate confirmation that the
prescribed number of trips has been taken.
There shall be procedures to ensure that a PEC holder’s local knowledge is kept
permanently up to date. In cases where a PEC is not renewed continuously, any
subsequent application by the previous PEC holder shall require a further
assessment and/or examination. Where a PEC is continuously renewed, the holder
shall be fully reassessed, and/or re-examined every five years.
Training
The CHA shall offer the training and examination required without undue delay. The
CHA shall also provide to the PEC holder, and the PEC holders employer relevant up
to-date navigation information.
Assessment of Competence
The qualifications required for exemption are determined by the CHA under its safety
management system. The user of a PEC conducts a vessel in a harbour in conditions
where a pilot is normally required. The guidelines shall identify necessarily in general
terms the competencies and knowledge (general and local) agreed to be required to
do this safely. These will cover what a PEC holder must know and be able to do. The
authority shall set out an agreed assessment methodology for assessing how the
CHA shall be satisfied that the PEC holder has that competence and knowledge.
12-10
Assessment of Local Knowledge
The local knowledge shall be assessed practically and by written and/or by oral
examination. The level should be sufficient for the applicant to pilot his vessel with
safety throughout the area covered by the PEC. It shall also confirm that the
applicant:

Has a good knowledge of local byelaws, directions and notices to mariners;

Has a comprehensive knowledge of all channels, and charted features,
including navigation marks;

Is able to prepare and implement a pilotage passage plan;

Is aware of any navigational constraint or hazard that can arise, particularly in
poor visibility, or unexpected tidal variation;

Has a working knowledge of port emergency plans, and how they potentially
affect vessels in port; and

Is able to communicate effectively in English.
Certificates of Competency
His or her certificate of competency in principle, confirms a mariner’s level of skill. It
is fundamental that PEC applicants hold valid certificates of competency, which
entitles them to hold the position as master or chief officer in the ship(s) named in
the application.
The authority is not bound to rely upon certificates of competency from whatever
country as sufficient evidence of an applicant’s suitability for exemption. It is good
practice to confirm the overall competency of an applicant, together with his or her
ability to communicate effectively in English, during a practical assessment of his or
her local pilotage knowledge. The CHA shall also ensure that the applicant’s
certificate of competency is applicable to the type and size of ship being navigated.
Masters, or chief officers certificate of competency should reflect achievement of a
reliable and stringently examined standard in respect of the safe operation of a ship,
and a minimum time spent at sea. It is not a record of service on ships of particular
types and sizes. Requiring PEC applicants to complete a number of training acts in
12-11
the company of an authorised pilot thereof, shall ensure experience of the relevant
area, or part, or the holder of a valid PEC for the area concerned.
Practical Assessment
It is good practice for shipping companies to ensure that officers seeking exemption
have tripped with a master holding a PEC or an authorised pilot before applying. It is
good practice for the Harbour Authority to promulgate a requirement for such prior
experience as part of the qualifications necessary for exemption. This will involve
specifying a reasonable period over which the trips are undertaken and the number
required in daylight and at night. It may also specify whether any trips should be
undertaken with an authorised pilot, rather than a PEC holder. The proportion of
inward trips to outward trips might also be defined. In order to minimise the risk of
qualifying trips being falsely claimed or denied, the use of a tripping log is
recommended, so that the accompanying pilot or PEC holder can countersign to the
effect that the PEC applicant had responsibility for the navigation of the vessel
throughout the qualifying trip. Tripping logs can also be validated by comparison with
port records.
The CHA may not make qualifying for a PEC more onerous than qualifying for an
authorisation as a pilot, the requirements should be equivalent. It should be borne in
mind that a PEC relates to one particular vessel whereas a pilots authorisation can
cover a wide range of different vessel types and sizes.
Knowledge of English
The CHA shall consider whether a sufficient knowledge of English is required in the
interest of safety. This shall be ascertained during an oral examination or a practical
assessment. Signed affirmations by third parties that the applicants English is
adequate shall be avoided. Sufficient knowledge of English can be ascertained by the
production of an education certificate, during tripping, and at the examination panel.
Additional Vessels
It is often the case that a PEC applicant will require his/her certificates to be valid for
more than one vessel. However, where the other vessels involved differ significantly
12-12
in size or manoeuvring characteristics, from that named in the original application,
the applicant shall have to demonstrate proficiency in those different vessels, before
approval from the CHA to the addition of such vessels to his certificate.
Additional Areas
A PEC holder may require that his certificate be extended to embrace additional
areas of the port. In these circumstances, the requirements for additional tripping
and/or further assessment shall be specified in the pilotage directions, and shall be
fully satisfied before any such extension is approved.
Authority not to Grant a PEC
The CHA may apply to the Secretary of State to be allowed not to grant certificates, if
the CHA believes that exceptional navigational hazards exist within its pilotage
district, such that safety considerations dictates that all vessels navigating within the
district must take an authorised pilot.
Suspension or Revocation of a PEC
The CHA may suspend or revoke a PEC if it appears that the holder has been guilty of
negligence, incompetence or misconduct. Before doing so, prior written warning of
the suspension or revocation must be given, as must the right to make
representations. The procedure for suspending, or revoking a PEC shall be
documented in pilotage regulations.
This procedure can often be lengthy, even when the evidence supporting a charge of
misconduct or incompetence is overwhelming. Meanwhile, the PEC holder remains
legally authorised to continue conducting pilotage in accordance with his certificate.
To overcome the obvious risk to safety inherent in these circumstances,
consideration shall be given to employing a letter of agreement between the CHA and
the PEC holder and his employer, which defines the criteria to be met by the holder
for his certificate to remain valid. Such a mechanism, following a serious incident and
pending formal investigation and disciplinary processes, would allow the CHA, to
invalidate a PEC immediately, and thus minimise the risk of safety being further
compromised.
12-13
Vessels Operated by the CHA
Pilotage directions and regulations also bind any vessels operated, or owned by the
CHA.
12-14
Section 13 - Auditing & Reviewing
Performance
The SMS depends upon systematic review of performance using information from
monitoring and from independent audits of the whole system. A strong
commitment is needed to continuous improvement involving the constant
development of policies, systems and techniques of risk control.
Performance can be assessed by internal reference to performance indicators
and by external comparison with the performance of business competitors and
good practice.
Performance can be measured either proactively or reactively. Performance is
best measured by a combination of both proactive and reactive assessments.
Examples may include:
Proactive

Safety inspections;

Periodic reviews;

Reviews; and

Continuous appraisal.
Reactive

Accident / incident reporting;

Hazardous incident reporting; and

Informal reporting and observation.
The Designated Person shall ensure that the internal SMS audits are prepared
and conducted in accordance with accepted audit principles.
The Designated Person will plan effective internal audits conducted by suitably
experienced and qualified personnel. Internal audits of the SMS will take place at
least annually.
The following principles are to be understood:
13-1

The audit is to measure the performance of the SMS meeting its stated
objectives of the Code;

On completion, the conclusions drawn from the audit are to be fed back
into the SMS for corrective action;

Each audit is to be conducted in an objective manner; and

Each audit is to be carried out by personnel who, at the time of the audit,
are independent of the area, office or department or activity being audited.
The Designated Person shall report to the Board of Commissioners at least
annually on the performance of the SMS.
The Audit & Review Process
The audit process should include the whole of the SMS and must be proactive in
searching for weaknesses and failings in current procedures and systems. The
audit is conducted in house by the Designated Person annually and an external
audit is conducted every 3 years the results of which are reported to the duty
holders.
Periodic reviews may be a detailed examination of one or more parts of the
system or a comprehensive review of larger elements of the system if an audit or
significant changes to the operating environment deem it necessary.
Auditors should ensure that the audit reports are distributed to relevant personnel
in the SMS. The auditee(s) should be provided with a copy, the auditor should
retain a copy, and the Designated Person should be provided with a copy.
The identification of a non-conformity should have an immediate effect on the
operation of the SMS. In identifying a non-conformity it is also essential to identify
appropriate corrective actions, including agreement on a time scale for effective
close out.
During the introduction of the SMS or subsequently, should a serious deficiency in
the system become apparent, unscheduled audits maybe initiated by instruction
of the Board of Commissioners or at the discretion of the Designated Person.
13-2
Section 14 - Document Control
The Port Safety Officer (PSO) is responsible for the implementation, controlling
and maintaining of documents in the safety management system.
It is important to ensure that latest revisions, including new documents, are
properly introduced into controlled manuals and that superseded or obsolete
documents are removed and destroyed.
Two concurrent versions of the SMS manual will be in force at any given time,
namely, an abridged public version and a comprehensive private version. It is the
responsibility of the PSO and his/her team to ensure that the latest version of
these documents is promulgated through the agreed distribution channels.
One hard copy of the full SMS will be held at the harbour office and an electronic
copy available at each of the company sites. An abridged public version will be
available to download from the company website.
14-3
Government, Secretary of State & Department for Transport
ANNEX A.
Cowes Harbour Act 1897 & Cowes Harbour (Constitution) Revision Order 2001
Board of
Commissioners
CHC Organisational Structure
KEY:
Designated
Person
CHC Commercial Activities
Stautory Harbour
Authority / Competent
Harbour Authority
(see accompanying
diagram next page)
Harbour Dues
Group/Role
Activity
Schedule of
Policies
Responsibility
Harbour Master
Cost-Centre
Finance Officer &
Admin. Team
Deputy Harbour
Master
Legislation
Marine Officer
Harbour Office
Pilotage Act 1987
ISPS Code
Port Waste Reception
Facilities Regulations 2003
Port Marine
Safety Code
Habours Docks & Piers Act
1847, Harbours Act 1964,
Cowes HRO 2012
OPRC Regulations
1998
Security Plan
Port Waste
Management Plan
Safety
Management
System
General
Directions &
Byelaws
Oill Spill
Contingenecy
Plan
Solent Pilotage
Committee
CHC Pilotage
Authority
Cowes Harbour
Pilotage
Directions
Pilots
Formal Safety
Assessment
Policies, Implementation,
Review and Auditing
Procedures
CHC Methods/Lines of Communication:
LNTMs - Website (s) - eNewsletter - CHC Public
Meetings - Other Methods
PEC Holder(s)
Harbour User(s) / Stakeholders
A-1
CHC Organisational Structure Continued
Board of
Commissioners
Stautory Harbour Authority /
Competent Harbour Authority
CHC Commercial
Activities
(see accompanying diagram
previous page)
Policies
Harbour Master
Deputy Harbour
Master
Marine Officer
Finance Officer &
Admin Team
Harbour Office
Legislation affecting operations, HSWA
1974 & MHSWA 1992 etc.
(see SMS Manual for more details)
KEY:
Deputy Harbour
Master
Marine Services
Manager
Shepards
Kingston
Group/Role
CHM
CHF
SWM
KMB
KMS
Berthing Masters
Fuel Operatives
Port Operatives
Port Operatives
Port Operatives
Activity
Responsibility
Cost-Centre
CHC Methods/Lines of Communication:
Website (s) - eNewsletter - CHC Public Meetings - Other Methods
Legislation
Customer(s) / Stakeholders
A-2
KMP
A-1