AUDIT CHECK LIST PORT MARINE SAFETY AUDIT

2014

AUDIT CHECK LIST

PORT MARINE

SAFETY AUDIT

DUCHY OF CORNWALL ST MARY’S HARBOUR

PORT MARINE SAFETY AUDIT

PORT OF

St Mary’s ,Scilly Isles

Date of Audit:-

13th October to 15th October 2014

Audit carried out by:-

Capt. Mike Sutherland .

Port Personnel Involved:-

Capt Dale Clark, Harbour Master

Allan Hartwell, Senior assistant Harbour Master

Duty of Care Holder:-

Chris Gregory, Land Steward Duchy of Cornwall

Contents Heading

Page(s)

1.Port details 2.Designated Person

3 4

3.Duty Holders 5/6

4.Duties and Powers 6/7

5.Consultation and Information Dissemination 7/8

6.Risk Assessment 7.Safety Management

8. Systems Powers and enforcement

9 . Pilotage and Passage Plans

10. Tugs, Workboats and Marine Services

9

10/11 11/12 13/15 15/16

11.Conservancy Obligations 16/17

12.Directions 17

13.Training 17/18

14.Vessel Traffic Services 18

15.Published Documents 19

16.Final check 20

Annex 1 DESIGNATED PERSON CRITERIA 21

1a. Port details

Port business address

Harbour Office, The Quay, St Mary’s, Isles of Scilly, TR21 0HU Telephone 01720 422768 Fax 01720 423890 Email hm@stmarys‐harbour.co.uk Website www.stmarys‐harbour,co.uk Name and Address of Duty Holder:‐ Mr Chris Gregory, Land Steward, Duchy of Cornwall Address The Duchy Of Cornwall, Hugh House St Mary’s, Isles of Scilly,TR21 0HU Telephone 01720 422508 Email [email protected]

1b. Type of ownership Owned by The Duchy of Cornwall

1c. Port activities and statistics Port Activity 2009 2010 2011 2012 2013 2014

cargo inwards 10864 20501 17590 15575 6333

outwards 1365 1407 1590 1534 801

foot passenger arrivals 43271 46928 44247 39667 47415 51377

Calls of M.V.SCILLONIAN 168

Calls of m.v.GRY MARITHA 74

cruise liner passengers 1931 7472 7472 7948 6970 10500

cruise liner calls 38 35 35 33 37

Number of pilotage acts 65 55 74 38

local moorings 211 231 231

visitor moorings 38 38 38

licensed trip vessels 26 26 26

visiting yacht night stays 2500 2500

1e. Organogram Summary of reporting dates Last statement of compliance to MCA: 1ST July 2014

Last internal audit: an external audit is carried out annually. This year between 13th to 14th October 2014 Last report to governing body: 15th October 2014

2. Designated Person ( ref:‐ PMSC 2.1 2.8 3.13.9 GTGP 2.1(e)2.2.25 – 2.2.30 )

2.1 Who has been appointed DP and when was the appointment? Captain Mike Sutherland MBE,FNI Master Mariner 2.2 Is the DP role outside of any management function within the harbour authority? The Designated person is completely independent of the Port 2.3 Does the DP provide 'independent' assurance about the operation of the Port's Marine Safety Management System? How is this undertaken? The designated person is an independent consultant 2.4 Does the DP have direct access to the highest level of authority (Duty Holder)? The designated person meets with and reports directly to the Duty of Care Holder attending an executive meeting 2.5 When did the DP last audit compliance with the Code: The Designated person audited the system on four occasions the last one on 13-14 October 2014 2.6 Was the audit report formally presented to the Governing body at the first opportunity? Provide the minutes and dates that the report was presented to the board A verbal report was made to the executive meeting on 15th October followed by written report and audit checklist. 2.7 What Port management group meetings does the DP attend? The executive meeting HexCo 2.8 How closely do the competencies of the DP match the competencies recommended by the GTGP The Designated person had 25 years’ experience as a harbour master who was actively involved in the introduction of the PMSC and GTGP. In total he had 33 years in the ports industry including managing fishing co-operative. He spent 5 years as a ships pilot and has towage and survey experience. He has audit training. Attached resume

3. Duty holders (Sections refers PMSC 2.1,2.3 – 2.7, 2.14 – 2.15, 3.1, 3.17, 3.19, 3.22 –

3.23 GTGPSect. 2 ) 3.1 Are the Duty Holders clearly identified and published? There is a letter appointing the Land steward Chris Gregory to be the duty of care holder 3.2 Is it stated that they are collectively and individually responsible? He is individually responsible 3.3 And that they cannot assign or delegate their accountability for compliance with the Code on the grounds they do not have particular skills He does not delegate the responsibility 3.4 Are there clear lines of communication from the ports professional staff to the governing body and vice versa? Yes the Harbour Master reports directly to the Duty of Care holder who is the senior executive for the Duchy 3.5 Are the roles and functions of staff clear and formal? Yes 3.6 Has the governing body published their commitment to the Code? The Governing Body is the Duchy of Cornwall and publishes a policy statement that it will meet the requirements of the PMSC as far as is practicable along with other safety measures as below:- Policies for the purpose of the Port Marine Safety Code 11th March 2010 POLICY STATEMENT • St Mary’s Harbour Authority will ensure that the Harbour is operated efficiently and safely so as to safeguard the Harbour, its users, members of the Public and the environment. It is committed to performing all of its duties and responsibilities in a safe and efficient manner. • The Harbour Authority will comply with the requirements of the Health and Safety at Work act 1974 and will so far as is practicable meet the requirements of the Port Marine Safety Code and heed the guidance in the guide to good practice on marine operations. The functions of the Harbour Authority will be conducted openly and transparently and will be in the overall long term interests of the Harbour stakeholders and beneficiaries. • The Harbour Authority is committed to improving the safety culture within the Port and will ensure that the following duties are met: 1) Ensure so far as is reasonably practicable the safety of all those who use and work in the Harbour. 2) Preserve the environment and maintain approved pollution prevention and nature conservation measures. 3) Facilitate the safety of navigation in the Harbour and its approaches together with safeguarding the navigational access to and from the Harbour. 4) The provision and maintenance of viable Harbour facilities. 5) Provide an efficient pilotage service. 6) Regulate the activities of all those that use the Harbour and ensure the applicable laws and by laws are enforced whenever appropriate.

7) Formally review the Harbour Authorities plans, policies and procedures at intervals not exceeding five years. The statements in this section have been approved by the Duchy of Cornwall. Signed……………………………………. Date…………………………………. 3.7 Publically reported their performance against the PMSC on an annual basis? There is an annual meeting for harbour users and stakeholders where the Authority reports on performance 3.8 Published plans and any assessments against their performance in meeting the obligations against the Code at least once every 3 years? If so, when: This is considered an impracticable function in meeting the code 3.9 Is PMSC a standing agenda item on Executive Management meetings? Yes 3.10 Is there a standing safety committee meeting? Provide the minutes of the last 2 safety committee meetings. There are several standing meetings including the Navigation Advisory Panel and Harbour user Forum(HUF)or group(HUG)

4. Duties and powers (ref PMSC 3.3 – 3.4 4.9 4.11 5.3 – 5.5 GTGPSect 1&7 )

4.1 Is the legislation, including all local legislation, available and up to date? It is available. Byelaws are 1st July 1963 made under Pier and Harbour (53 and 54 Vict C.98 private act sect.23) Statutory Instruments 2007 No. 1554 HARBOURS, DOCKS, PIERS AND FERRIES The St Mary’s (Isles of Scilly) Harbour Revision Order 2007 Made 24th May 2007 Came into force 31st May 2007 A new harbour revision order for the future management of the SHA is being consulted on at this time 4.2 When was the legislation last reviewed: The Byelaws are reviewed annually and whilst there is deemed a need to update these with future plans for harbour developments it has been decided to delay the process 4.3 Does the Harbour Authority have the ability to make General Directions? Not yet although this is being considered in a propsed harbour revision order 4.4 If so, have General Directions been formally given to regulate marine operations? n/a 4.5 Has the Harbour Authority made Byelaws? Yes see above 4.6 If so, when were they last updated: 1963

4.7 Has a statement been included in the Harbour Authority's plan about their legal duties & powers? yes 4.8 Is the jurisdiction of the Harbour Authority clearly defined and known? It is clearly defined and known with maps and chart lets available. Consideration is being given to publish on the website

5. Consultation & information dissemination ( ref PMSC 3.12

– 3.13 3.19 and GTGP Sect. 3)

5.1 How does the Harbour Authority formally consult with its employees? There are 4 employees and several temp summer staff. Weekly meetings of the staff are held and senior members of the management team update staff and they have access to the Duchy of Cornwall web links 5.2 How does the Harbour Authority consult with contractors or related service providers? How are the contractors obliged to conform to the safety requirements of the Port’s SMS? Regular meetings are held with frequently used contractors and pre contract and update meetings are held on each contact project. All contractors have to submit their safety management policies, risk assesssments and compliance records prior to contracts being signed.Where contractors are working for third parties in the harbour the SHA require pre consultation and submissions of the same documents. In many cases the SHA will carry out its own risk assessments.

5.3 How does the Harbour Authority consult with its stakeholders? Through harbour users group meetings with published minutes. Through navigational advisory panel and boatman association liaison and regular meeting the IOSSC. Much information and news items are available on the website or on Twitter. 5.4 How is information publicly disseminated by the Harbour Authority? Published minutes and copies to all participants, website publication and free copies in the harbour office. There are feedback and comments facility and twitter. 5.5 Is the current list of local Notices or Information Notes up to date and how are they published? Notices to mariners is up to date. Latest No 32/14 dated 30th September re unmanned vessels trials. Hard copy and or email to pilots, agents, IOSSC licensed boatmen. Published on website Local Notices to Mariners No.32 30th September 2014 - Marine Autonomous Systems No.31 23rd & 24th September 2014 - Diving Operations No.30 19th September 2014 - Quayhead Sector Light No.29 21st September 2014 - Tresco Tack Sailing Race No.28 15th September 2014 - Quayhead Sector Light No.27 9th September 2014 – Woolpack Beacon No.26 6th September 2014 – Survey Work No.25 8th September 2014 – Survey Work No.24 5th August 2014 – Precious Lives Atlantic Challenge No.23 21st July 2014 – Cable Vessel CS Resolute No.22 14th July 2014 – Inter Island Cable Laying – BT Project No.21 30th May 2014 – Quay sector light is inoperative No.20 20th May 2014 – Quay sector light repaired No.19 20th May 2014 – Quay sector light is inoperative No.18 15th May 2014 – Wave Buoy No.17 29th April 2014 – Harbour Movements No.16 April 2014 No.15 3rd April 2014 - Porthloo Beach No.14 11th February 2014 - Quay Sector Light No.13 6th February 2014 - Quay Sector Light No.12 6th February 2014 - Woolpack Beacon No.11 29th January 2014 - Forecasted Weather No.10 20th January 2014 - Cardinal Marks No.9 18th January 2014 - Cardinal Marks No.8 11th January 2014 - Quay End Steps No.7 10th January 2014 - Bartholomew Beacon No.6 10th January 2014 - North Bartholomew Buoy No.5 10th January 2014 - St. Mary’s Quay Navigational Sector Light No.4 4th January 2014 - St. Mary’s Quay Navigational Sector Light No.3 4th January 2014 – Storm Damage & Debris No.2 4th January 2014 - St. Mary’s Quay Navigational Sector Light No.1 1st January 2014 – Steeple Cardinal Mark off station

6. Risk assessment ( ref PMSC 3.5 – 3.6 3.15 4.2 GTGP 4.2 )

6.1 Have all routine and non‐routine risks associated with marine operations been formally assessed? A comprehensive list of risk assessments has been under taken and completed. An on going programme of risk assessment reviews is undertaken. 6.2 Have the environmental consequences to the Safety Management System and consequent risk control measures been assessed and implemented? Yes. There is an environmental policy statement published. The Authority is very conscious of their responsibilities in where they live and operate and work closely with the various environmental bodies linked to the management of the Isles of Scillies. 6.3 Have past events and accidents/MAIB reports been analysed in preparing the risk assessments? If there is an event affecting the harbour and the safety management system the causes and results of the event are taken into account when the subsequent risk review takes place. MAIB reports are considered and recommendations implemented where practicable. 6.4 Have the risk assessments been completed by competent people? Some risk assessments have been carried out by Marico Marine and other by the Harbour Master or Senior Assistant Harbour master who have both been trained in doing risk assessments.Pilots are carrying out their risk assements. 6.5 Do the risk assessments clearly identify those risks that are not ALARP (as low as reasonably practicable)? Yes using a format simplified from the Marico Marine system 6.6 Are the risk assessments continuously re‐assessed with new hazards and changed risks, properly identified? Yes and at least yearly 6.7 Have the 4 standard criteria for identified outcomes been assessed i.e. life, environment, business (reputation) and damage (port and shipping)? This is contained within the Marico recording system 6.8 When were the risk assessments last reviewed?: Throughout the year a rolling programme of review and assessment 6.9 How does the Port help employees understand the standing risks they will encounter from the risk assessments? How does the port help them dynamically assess each situation on the day?

Risk assessments are regularly included in weekly meetings

7. Safety Management System ( ref:‐PMSC Intro. 3.1,3.8 – 3.11

3.14 – 3.15,3.1 7,3.19, 4.3, 4.6 GTGP 4.3 )

7.1 Has the port developed a Safety Management System that: 7.1.1 Defines the Safety policy(s)? Yes these are all published 7.1.2 States the procedures to implement those policy(s)? Yes 7.1.3 Produces instructions and checklist to comply with the procedures? Procedure documents are published for various procedures 7.1.4 Generates accident and incident reports? There is a detailed system for accident and incident reports 7.1.5 Defines the organisation and personnel roles? Roles are defined 7.1.6 Sets standards and levels of qualifications for various employees and contractors? There is a comprehensive training policy 7.1.7 Develops performance measuring methods? This is not contained within the safety management system however is covered in the DOC procedures 7.1.8 Generates plans and assessments against the ports performance (3 yearly)? This is not carried out

7.2 Does the Safety Management System: 7.2.1 Deal with preparedness for emergencies?

There is an emergency plan linked to the Island Council plan. an oil pollution plan exists to deal with anticipated spill within the harbour area

7.2.2 Establish a formal procedure for notification of various publications (MAIB reports etc.)? This is not a plan item but exists within the management operations

7.2.3 Require the provision of aids to navigation to be based on formal risk assessment? 11 aids to navigation are provided .Trinity House provide the majority of aids around the Isles of Scilly. All aids were in existence prior to PMSC and any new aids would be by risk assessment and in consultation with NLA

7.2.4 Provide for works in the harbour, especially dredging operations, liable to interfere with

navigation? Dredging would be undertaken as required following survey. 7.2.5 Identify safe pilot boarding and disembarkation areas and incorporate the latest statutory

requirements and Codes of Practice?

Boarding and landing dealt with in pilotage service operating procedures 7.2.6 Cover the use of harbour craft and the provision of moorings? There is a procedures document for the operation of Pegasus the harbours marine

operations craft 7.2.7 Provide for tug crews to train with pilots and other marine personnel? NOT APPLICABLE 7.2.8 Govern the use of the power to regulate the mooring of vessels in the harbour? Byelaws and national acts 7.2.9 Provide procedures for reporting deficiencies on visiting ships to an appropriate manager

including arrangement for deficiencies to be reported to the MCA? Pilots report to the harbour master or his deputy who reports to MCA. 7.3.0 Who wrote the SMS and when was it last updated/amended? The main SMS was written by Marico marine other section in house. Various reviews on

rolling programme 7.3.1 Are the employees required to read and sign the SMS? They read the SMS. 7.3.2 How does port management test that the SMS is working? By external audit

8. Powers and enforcement ( ref :‐PMSC 3.3 – 3.4 3.18 4.9 4.11 – 4.13 5.3 –

5.6 GTGP ) 8.1 Has the Harbour Authority kept under review their powers and the extent of their jurisdiction? Yes.

8.2 Are available powers to direct vessels used to ensure the safety of navigation? Harbour masters powers used 8.3 Is there a policy on enforcement and prosecution? Yes published on website with other policies ENFORCEMENT POLICY • St Marys Harbour Authority has statutory powers to regulate the conduct of vessels within the jurisdiction of the Harbour and to assist in managing the risks involved with marine operations. To ensure that those risks can be safely and efficiently managed the Authority recognises that when it exercises its statutory powers there will be occasions when those powers need to be enforced. • St Mays Harbour Authority recognises that its power to regulate users of the Harbour is directly related to the management of risk and any enforcement action will reflect this principle. The Harbour Authority will seek to minimise the costs of compliance for users by ensuring that any action taken is proportionate to the risks. • St Marys Harbour Authority recognises that the effectiveness of legislation in managing the risks involved in marine operations depends crucially on the compliance of those regulated. The Harbour Authority recognise that most users of the Harbour want to comply with the law but will take firm action, including prosecution where appropriate, against those who flout the law or act irresponsibly.

• St Marys Harbour Authority will provide information and advice in plain language on the rules that apply and will disseminate this as widely as possible. • In considering the action to be taken the Authority will take into account the circumstances of the case, the risks involved and the attitude of the operator. In general, all reports of incidents that may require enforcement action will be investigated as appropriate. • St Marys Harbour Authority will carry out its duties in a fair, equitable and consistent manner and will liaise with other authorities and enforcement bodies as appropriate. PROSECUTION POLICY • St Marys Harbour Authority has statutory powers to enforce legislation and in some circumstances prosecution may be appropriate. Prosecution however, is a serious step and will be regarded as the ultimate sanction. A prosecution will only be initiated when the alleged conduct has been such that the Authority cannot impose any appropriate sanctions itself and the matter therefore deserves the attention of the court. • St Marys Harbour Authority is committed to assisting other enforcement agencies, including the Police, in pursuance of their statutory duties. The Authority will liaise with any enforcement agency that may also have an interest in any matter being considered for prosecution. • Each case will be considered on its individual merits and prosecution will only be initiated in accordance with this policy together with the Authorities enforcement policy. Having duly considered the Authorities internal policies due regard will be given to the ‘Code for Crown Prosecutors’ which was updated in 2009 and can be found at ‘www.cps.gov.uk’. Any decision to initiate a prosecution will be recorded in writing and the reasons for initiating the prosecution will be given. • Any investigation carried out by the Authority will be conducted pursuant to the Police and criminal Evidence Act 1984 with due regard to the applicable codes of practice. Information on this can be found at ‘police.homeoffice.gov.uk’ or by typing in ‘police and criminal evidence act 1984’ into any search engine. • The Authority recognises that once a prosecution has been commenced control of the matter is ceded to the Courts and Criminal Justice system. 8.4 When was the policy last practised: Enforcement takes place daily. No prosecutions have taken place in the last year 8.5 Has the Harbour Authority ever prosecuted an offender? The present management has not prosecuted and there are no records since PMSC of prosecutions. 8.6 Are the Harbour Masters powers determined in: byelaws or Directions Through local and national legislation

9. Pilotage and passage plans ( ref:‐PMSC 5.17 – 5.18 (a & b) 5.20 – 5.23

GTGP Sect. 7 & 8 )

PILOTAGE POLICY The Duchy of Cornwall is a Competent Harbour Authority (CHA) within the meaning of the Pilotage Act 1987 and publishes Pilotage Directions. The Pilotage Directions define the Isles of Scilly Pilotage District and the requirements for compulsory pilotage within it. They also lay down regulations under which Pilotage Exemption Certificates (PECs) are issued and administered in that District.

Board policy in respect to pilotage is to: 1) Ensure that the operation of the pilotage service is compliant with national regulations, guidelines and competency standards.

2) Keep under review its Pilotage Directions to ensure that they are fully in accord with the current Navigational SMS. 3) Maintain competent and authorised pilots. 4) Maintain a fully supported Pilotage Service, able to respond to 99% of all properly notified pilotage requirements. 5) Keep the means of boarding and landing pilots under review to ensure that these operations are always undertaken as safely as possible. 6) Administer the PEC system to ensure that all PEC applicants and holders fully meet the requirements laid down in the Pilotage Directions. 9.1 Does the Harbour Authority provide a pilotage service? yes 9.2 Has the Harbour Authority risk assessed whether and what pilotage service they must provide?

The pilotage service was introduced prior to PMSC and the service and assessment were originally carried out by Trinity House. In 1988 on the transfer of pilotage to the CHA/ SHA formal reviews were carried out and this is done annually to determine the ongoing pilotage requirements.

9.3 Has the Harbour Authority risk assessed to determine whether pilotage should be compulsory? Compulsory pilotage has been set following risk assessments 9.4 If pilotage is compulsory have pilotage directions been issued? Pilotage directions have been issued

9.5 Does the Safety Management System address?

A separate document forming part of the SMS titled ISLES OF SCILLY PILOTAGE SERVICE OPERATING PROCEDURES details all pilotage matters. 9.5.1 The duty to keep the need for pilotage under review? Pilotage is reviewed annually by the Navigation advisory Panel and the HEXCO 9.5.2 The authorisation of pilots? Authorisation of pilots is reviewed regularly with amendments made in 2013 9.5.3 The arrangement under which its Authorised pilots are engaged? These are reviewed with contracts being agreed 9.5.4 The approval of pilot launches? The Authority approves the pilot cutter relying on the MCA survey and the certification of the craft as a pilot cutter. The authority needs to issue a certificate and show on board the vessel in compliance of the pilotage act:- Pilot boats. 6.—( 1) Ships regularly employed in pilotage services provided by or on behalf of any competent harbour authority (in this Act referred to as "pilot boats") shall— (a) if they are operated by the authority, be approved by the authority; and (b) otherwise be licensed by it; and the authority shall not approve or license any ship under this subsection unless it is satisfied that it is suitable for use as a pilot boat.

(2) A competent harbour authority shall make such other provision as it considers necessary for the operation of pilot boats. 9.5.5 The issue of pilotage directions? Directions are issued in the operational procedure .It would be better to issue an annual notice to mariners confirming the direction 9.5.6 The issue of exemption certificates? The issue of Pilotage Exemption Certificates has been reviewed during 2013 9.6 Is there a system in place to ensure pilots are properly rested before duty? Most pilotage acts are carried out after sunrise and before sunset. Pilots have a night clear of duty and have a rest period before departures 9.7 Is proper time allocated for the development of the Pilotage Passage plan? Work is being progressed in the production of GENERIC PILOTAGE PASSAGE PLANS .the operations manual and publicised details will then be amended. a formal document is used recording the pilot / master exchange and brief out lines of the passage plan. 9.8 Has a formal risk assessment been used to identify when more than one pilot would be needed? There are no formal risk assessments covering this practise. Most pilotage act are to bring the vessels to an anchorage. 9.9 Do pilot boats meet statutory requirements and appropriate Codes? Yes. MCA survey. 9.10 Does the Harbour Authority have formal procedures for assessing applicants for pilot exemption certificates and issue of subsequent certificates and revalidations? Yes the CHA has standards to be met and these are reviewed regularly. PEC applicants are examined. 9.11 Does the Harbour Authority have formal written agreements with Pilot Exemption Certificate holders and their employers to regulate the use of certificates? Yes. these are in place with annual renewal procedure including evidence of use of PEC. There is on main Company user of PEC s covering the ferry and small cargo vessel servicing the Islands 9.12 Does the Harbour Authority have formal procedures for suspension and revocation of a pilot’s authority? Yes these are published 9.13 Does the Harbour Authority ensure pilots and PEC holders are appropriately trained and that their authorisations are re‐validated every 5 years? On the job training is carried out for pilots and PEC holders. Very little training for pilots exists which would benefit the special form of pilotage. The authority endeavours to ensure appropriate training is undertaken when available. In house training takes place. 9.14 Does the Harbour Authority formally require the use of passage plans (e.g. in the pilotage directions)? The authority requires the ships staff to have produced a passage plan and have itemised list of on board charts and publications. The ships plan is discussed with the pilot on boarding. The need for

vessel specific passage plans is being discussed with pilots including a record of the master pilot exchange. Many vessels are repeat callers having records of previous passages under pilotage. Records of ship declarations need to be kept. The Guide to good Practise highlights the use of Pilotage passage plans. A revised procedure of providing up to date information on the ship and its operational capabilities to the pilot before arrival is being introduced with the ships agent 9.15 Do they publish up to date guidance or general passage plans adopted by the port? The CHA publish generic guidance on passage plans include in the Pilotage Operational procedures. Consideration is being given to publishing the Guidance information separately making it more accessible to ship owners and port users

10. Tugs, workboats and marine services (ref PMSC 5.24 – 5.25 GTGP Sect. 9 )

Tugs do not operate in the authorities area. There is occasional small craft towage mainly carried out by contractors 10.1 Does the Safety Management System cover the use of harbour craft including tugs and the provision of moorings? The safety management system covers the operation of Pegasus the authorites harbour carft and pilot boat. 10.2 Have the risks associated with the use of harbour craft including tugs been formally assessed? Yes 10.3 Has the Harbour Authority developed towage guidelines including operations in restricted visibility? These are not required. Occasional tows enter the pilotage area and are piloted 10.4 Have the towage guidelines been reflected in directions? Not applicable 10.5 Has the Harbour Authority ensured that harbour craft including tugs are fit for purpose and that the crew are appropriately trained and qualified? The authority’s craft having passed annual survey are fit for purpose. Staff receive on the job training and attend courses when available 10.6 Do all small commercial craft operated by the Harbour Authority possess a valid Small Commercial Vessel Certificate? Yes 10.7 What qualifications do the Coxswains have, are they appropriate and in date? Boatman’s licenses are the minimum qualification with RYA commercial powerboat certification.

11. Conservancy obligations ( ref:‐ PMSC 4.3 – 4.4 5.26 – 5.29 GTGP Sect. 6)

11.1 Are properly maintained aids to navigation provided? 11 aids to navigation are provided and fully inspected and maintained at a high standard. An inspection of records was carried out as part of the Annual audit.. 11.2 Are aids to navigation subject to periodic review by relevant General Lighthouse Authority (GLA)? Trinity House inspects and reviews all aids annually including the PANAR record system 11.3 If so, when was the last audit completed by the GLA: May 2014 11.4 Were the findings of that audit satisfactory? Yes 11.5 Have any changes to navigation aids been advised to the GLA and properly recorded? Whenever there are changes or works carried out on aids this is advised to Trinity House. Trinity House owns , operates and maintains a large number of navigational aids around the Scilly Isles with regular by their craft and personnel. A good working relationship exists with the authority facilitating assistance locally. 11.6 Are hydrographic surveys completed, in accordance with any risk assessments? The has been an extensive programme of hydrographic surveys of the harbour, its approaches and anchorages and areas pilot acts are carried out 11.7 If so, when was the last: 2014 see website for published surveys 11.8 Are the results of the surveys assessed and actioned as appropriate? They are reviewed by the navigational advisory panel before publishing operational procedures including under keel clearances have been revised 11.9 Are the results published and disseminated to stakeholders? The charts are published with copies to pilots and PEC holders and other harbour users. They are published in the authorities website. The information is sent to the Hydrographic Office ,Taunton to update published charts 11.10 Is the Hydrographic Code of Practice No the authority requires the contracted Hydrographic surveyors to comply with and meet the Code of Practice for United Kingdom Ports and Harbours and Provision of Hydrographic Information Version 2.1 (Jan 2012) developed by The United Kingdom Hydrographic Office and The Harbour Masters Association of the United Kingdom,The Channel Islands and the Isle of Man

12. Directions ref:‐(PMSC 5.2 – 5.5 GTGP Sect. 1 & 8)

12.1 Does the Harbour Authority have a procedure of how General Directions should be given? General Directions are not available at present 12.2 Does the Harbour Authority have a procedure of how a Special Direction should be given? Not applicable 12.3 Has the Harbour Authority identified who and how Directions can be given?

13. Training PMSC 2.10 2.14(c) 3.13 GTGP Sect. 11 13.1 Does the Harbour Authority have a stated training policy? Yes this comprehensive MARINE OPERATIONS TRAINING POLICY Important Information: An additional detailed Health and Safety training policy and policy statement is kept in the Health and Safety/ Training Folder and should be used in conjunction with this. • St Marys Harbour Authority’s services depend upon the quality of its personnel and is therefore committed to the proper training needs of all personnel must be kept under regular review. • The Authority recognises that all of its employees should have training appropriate to the responsibilities assigned to them relating to the safety of marine operations. • The Authority will assess the fitness of all persons appointed to positions with responsibility for safety of marine operations and will measure their competence against the competence standards associated with the British Ports industry and the Port Marine Safety Code. • Additionally the Authority is committed to ensuring that the crew of Harbour Vessels, including ferries, launches, workboats and patrol boats are appropriately trained and qualified. 13.2 Is there a training programme? Training is undertaken when available. Due to the remoteness of the Islands specialized training is difficult. 13.3 Are training records maintained? Yes and these have been inspected 13.4 Do persons appointed to positions with responsibility for the safety of marine operations possess appropriate competencies?; Designated Person Yes Harbour Master yes Assistant Harbour Master yes Marine operatives yes Pilots yes Pilot boat crew yes

14. Vessel Traffic Services (VTS) Ref (PMSC 5.15 GTGP Sect. 7)

14.1 Has the need for VTS been identified by risk assessment? The traffic to the port does not require a VTS system. 14.2 If the Harbour Authority provides VTS, what types of service are offered and are these appropriate to the risk? Not applicable An Information Service is provided to vessels calling “St.Mary’s Harbour “ VHF:Working Channel 14, Listening on Channel 14/16. 14.3 If VTS is considered excessive or inappropriate by the Harbour Authority is a Local Port Services (LPS) provided? Describe the Local Port Services (LPS): Information on where to berth .Ferry and Cargo ship movements are monitored and permission granted. The Scillonian and Gry Maritha call in prior to arrival. 14.4 was the effectiveness of the equipment, manning and procedures evaluated? VHF listening watch on Ch.16 and working channel is maintained during working hoursThe equipment is the latest available for the purpose. 14.6 Have all VTS or Port Information personnel been appropriately trained? All have VHF operators licenses and training 14.7 Are the log books for VTS personnel being kept up to date? Not applicable 14.8 Is there a process to ensure that VTS staff are in date for “refresher training”? Not applicable 14.9 Is MSN 1796 and ALRS up to date. Are the sailing directions accurate? MSN 1796 does not apply Yes the Admiralty List of Radio Signals is up to date together with the Admiralty List of Lights and Fog Signals 14.10 Are VTS On‐the‐Job‐Training‐Instructors appointed and qualified to Not applicable

15. Published documents ref (PMSC 3.19 4.3 (d & e) GTGP Sect. 2)

15.1Has the Harbour Authority published: 15.1.1 Its Safety Management System? yes 15.1.2 A clear commitment to comply with the Code? Yes 15.1.3 A Safety plan for Marine Operations? Yes 15.1.4 An assessment of performance against the Safety plan? Not applicable 15.1.5 A safety policy for marine operations? Yes NAVIGATIONAL SAFETY POLICY • The Duchy of Cornwall (the Board) in its role of St Mary’s Harbour Authority and the Isles of Scilly Pilotage Authority has a responsibility to facilitate the safety of navigation in the Isles of Scilly and within St Mary’s Harbour. • To this end, it is the Board’s policy to, 1) Develop and maintain an effective Navigational SMS based on continuing assessment and mitigation of risk. 2) Consult widely with port and other relevant stakeholders in respect of navigational safety issues. 3) Review regularly the effectiveness of, and if necessary seek amendments to, its legal powers, Byelaws and Directions in respect of navigational safety. 4) Review regularly duties and powers to maintain an up to date set of Directions and Bye-Laws in respect of navigational safety and enforce them so as to effectively regulate and facilitate harbour use. 5) Provide for an appropriate level of pilotage services in accordance with the Pilotage Act 1987. 6) Ensure that the best channels for navigation are determined, marked and monitored. 7) Provide an effective system for promulgating navigation warnings affect the Harbour. 8) Promulgate weather forecasts to Harbour users. 9) Promulgate tidal times and information. 10) Designate suitable anchorages and/or mooring locations. 11) Monitor and maintain lights and marks used for navigation within the jurisdiction. 12) Make and promulgate hydrographical surveys and berth inspections. 13) Keep berth areas free from underwater debris. 14) Provide suitable plans for emergency situations are maintained. 15) Keep under review the cost effectiveness of modern technology for Harbour monitoring. 16) Ensure that appropriate competency standards are laid down for passenger, freight and other commercial operations. 17) Provide effective management and co-ordination in response to emergency situations within the area of jurisdiction. 15.1.6 Appropriate hydrographical information including warnings on new hazards? Yes see website. This include hydrographic surveys undertaken

16. Final Check 16.1 Is the Harbour Authority aware of their existing powers and duties? Yes 16.2 Appoint someone as an ‘independent 'designated person' with direct access to the board? This has been done. 16.3 Develop an effective marine safety management system, which employs formal risk assessment techniques? In place 16.4 Employ people who are competent and qualified for the positions they hold? Yes 16.5 Publish a comprehensive safety plan, along with regular assessment showing the authorities performance measured against the code in place Declaration The answers supplied are done as part of an audit of the safety management system carried out between 13th and 15th October 2014 and a review of the operational documents as per the attached list Signed Capt M.J.SUTHERLAND DESIGNATED PERSON 20th October 2014 Annex 1

DESIGNATED PERSON CRITERIA.

Captain Mike Sutherland, Designated Person – meeting the criteria In the Port Marine Safety Code it states:-

“Each harbour authority must appoint an individual 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. Their main responsibility is to determine, through assessment and audit, the effectiveness of the marine safety management system in ensuring 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.” Meeting the criteria expected for a designated person 1. Has first-hand experience of the marine environment and how ports operate; Captain Sutherland, a master mariner, has served in the ports industry since 1977 with experience in fishing co-operative management, has been a Trinity house Pilot and served as deputy Harbour Master for 3 years and then as Harbour master and chief executive for Fowey Harbour Commissioners for 25 years. A sea going career with the New Zealand Shipping co followed by service with the Royal maritime auxiliary service on tugs and cable ships provided him with the experience and qualification to manage marine matters. In his duties he managed the port’s marine operations including, pilotage, an in-house towage operation, in house dredging and maintenance together with the environmental considerations. As Chief executive his role covered all the other functions and he was a board member following the Trust Port Review. 2. To provide independent assurance directly to the Duty Holder. Captain Sutherland is completely independent of the Great Yarmouth Port Company or the port Authority and has never been employed by or connected to either or any of their operations. He is not related or connected to any director or staff member. 3. 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. Captain Sutherland was involved in the early set up of the code being a member on various working groups for the code and the Guide to Good Practise for both the UK Harbour Master Association and the British Ports Association. Wrote and managed the safety management system for the port of Fowey and has acted as adviser to The Duchy of Cornwall for their Port of St. Marys where he is also the Designated Person appointed in 2011. Has advised on various shipping safety matters in relation to compliance with the code. 4. Understanding of the design, implementation, monitoring, auditing and reporting of Safety

Management Systems. Undertook training in Risk Assessment practises and Procedures by Heath Lambert Risk Assessment consultants together with courses in oil pollution and health and safety as well as two courses on auditing and auditing procedures. Has had practical experience in auditing and reporting on port and associated industry safety management systems. 5. Further relevant back ground Captain Sutherland was awarded an MBE in the 2009 New Year’s Honours for services to the ports industry. He is a Fellow of the Nautical Institute, and served on The British Ports Association Council from its beginning including the role of Vice chairman, was the 1st secretary and treasurer of UKHMA also being its vice president. He served as the 1st Chairman of the Channel Ports Federation for French and UK ports and the 1st Chairman of the South West Ports Association serving for 9 years and then latterly being it secretary. Served for five years as the 1st Chairman of Destination South West. This body of the south west ports and organisations including councils and tourist attractions promotes the south west regional as a cruise liner destination.

Has served on numerous working groups for the above organisations together with ones for Ports Skills and Safety and British Tug Owners Association. Has undergone both Harbour Commissioner trustee training and the training for pension trustees.

AUDIT CHECK LIST PORT MARINE SAFETY AUDIT

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