Audit to ensure compliance with the Port Marine Safety Code.

• Conducted on

  Date

• Prepared by

• Location
  Address

• Audit Team

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?

• 2.2 Is the DP role outside of any management function within the harbour authority?

  Yes

  No

  N/A

• 2.3 Does the DP provide 'independent' assurance about the operation of the Port's Marine Safety Management System? How is this undertaken?

  Yes

  No

  N/A

• 2.4 Does the DP have direct access to the highest level of authority (Duty Holder)?

  Yes

  No

  N/A

• 2.5 When did the DP last audit compliance with the Code:

  Date

• 2.6 Was the audit report formally presented to the Governing body at the first opportunity?

  Yes

  No

  N/A

• 2.6.1 Can the minutes be provided and dates that the report was presented to the board

  Yes

  No

  N/A

• 2.7 What Port management group meetings does the DP attend?

• 2.8 How closely do the competencies of the DP match the competencies recommended by the GTGP

  Compliant

  Non-Compliant

  N/A

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 GTGP Sect. 2 )

• 3.1 Are the Duty Holders clearly identified and published?

  Yes

  No

  N/A

• 3.2 Is it stated that they are collectively and individually responsible?

  Yes

  No

  N/A

• 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

  Yes

  No

  N/A

• 3.4 Are there clear lines of communication from the ports professional staff to the governing body and vice versa?

  Yes

  No

  N/A

• 3.5 Are the roles and functions of staff clear and formal?

  Yes

  No

  N/A

• 3.6 Has the governing body published their commitment to the Code?

  Yes

  No

  N/A

• 3.7 Publically reported their performance against the PMSC on an annual basis?

  Yes

  No

  N/A

• 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:

  Yes

  No

  N/A

• 3.9 Is PMSC a standing agenda item on Executive Management meetings?

  Yes

  No

  N/A

• 3.10 Is there a standing safety committee meeting? Provide the minutes of the last 2 safety committee meetings

  Yes

  No

  N/A

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

• 4.1 Is the legislation, including all local legislation, available and up to date?

  Yes

  No

  N/A

• 4.2 When was the legislation last reviewed:

  Date

• 4.3 Does the Harbour Authority have the ability to make General Directions?

  Yes

  No

  N/A

• 4.4 If so, have General Directions been formally given to regulate marine operations?

  Yes

  No

  N/A

• 4.5 Has the Harbour Authority made Byelaws?

  Yes

  No

  N/A

• 4.6 If so, when were they last updated:

  Date

• 4.7 Has a statement been included in the Harbour Authority's plan about their legal duties & powers?

  Yes

  No

  N/A

• 4.8 Is the jurisdiction of the Harbour Authority clearly defined and known?

  Yes

  No

  N/A

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?

• 5.2 How does the Harbour Authority consult with contractors or related service providers?

• 5.3 How does the Harbour Authority consult with its stakeholders?

• 5.4 How is information publicly disseminated by the Harbour Authority?

• 5.5 Is the current list of local Notices or Information Notes up to date and how are they published?

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

• 6.2 Have the environmental consequences to the Safety Management System and consequent risk control measures been assessed and implemented?

  Yes

  No

  N/A

• 6.3 Have past events and accidents/MAIB reports been analysed in preparing the risk assessments?

  Yes

  No

  N/A

• 6.4 Have the risk assessments been completed by competent people?

  Yes

  No

  N/A

• 6.5 Do the risk assessments clearly identify those risks that are not ALARP (as low as reasonably practicable)?

  Yes

  No

  N/A

• 6.6 Are the risk assessments continuously re‐assessed with new hazards and changed risks, properly identified?

  Yes

  No

  N/A

• 6.7 Have the 4 standard criteria for identified outcomes been assessed i.e. life, environment, business (reputation) and damage (port and shipping)?

  Yes

  No

  N/A

• 6.8 When were the risk assessments last reviewed?:

  Date

• 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?

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

  No

  N/A

• 7.1.2 States the procedures to implement those policy(s)?

  Yes

  No

  N/A

• 7.1.3 Produces instructions and checklist to comply with the procedures?

  Yes

  No

  N/A

• 7.1.4 Generates accident and incident reports?

  Yes

  No

  N/A

• 7.1.5 Defines the organisation and personnel roles?

  Yes

  No

  N/A

• 7.1.6 Sets standards and levels of qualifications for various employees and contractors?

  Yes

  No

  N/A

• 7.1.7 Develops performance measuring methods?

  Yes

  No

  N/A

• 7.1.8 Generates plans and assessments against the ports performance (3 yearly)?

  Yes

  No

  N/A

• 7.2 Does the Safety Management System:

  Yes

  No

  N/A

• 7.2.1 Deal with preparedness for emergencies?

  Yes

  No

  N/A

• 7.2.2 Establish a formal procedure for notification of various publications (MAIB reports etc.)?

  Yes

  No

  N/A

• 7.2.3 Require the provision of aids to navigation to be based on formal risk assessment?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 7.2.5 Identify safe pilot boarding and disembarkation areas and incorporate the latest statutory requirements and Codes of Practice?

  Yes

  No

  N/A

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

  No

  N/A

• 8.2 Are available powers to direct vessels used to ensure the safety of navigation?

  Yes

  No

  N/A

• 8.3 Is there a policy on enforcement and prosecution?

  Yes

  No

  N/A

• 8.4 When was the policy last practised:

  Date

• 8.5 Has the Harbour Authority ever prosecuted an offender?

  Yes

  No

  N/A

• 8.6 Are the Harbour Masters powers determined in Byelaws or Directions

  Yes

  No

  N/A

9. PILOTAGE POLICY

• 9.1 Does the Harbour Authority provide a pilotage service?

  Yes

  No

  N/A

• 9.2 Has the Harbour Authority risk assessed whether and what pilotage service they must provide?

  Yes

  No

  N/A

• 9.3 Has the Harbour Authority risk assessed to determine whether pilotage should be compulsory?

  Yes

  No

  N/A

• 9.4 If pilotage is compulsory have pilotage directions been issued?

  Yes

  No

  N/A

• 9.5 Does the Safety Management System address?

• 9.5.1 The duty to keep the need for pilotage under review?

  Yes

  No

  N/A

• 9.5.2 The authorisation of pilots?

  Yes

  No

  N/A

• 9.5.3 The arrangement under which its Authorised pilots are engaged?

  Yes

  No

  N/A

• 9.5.4 The approval of pilot launches?

  Yes

  No

  N/A

• 9.5.5 The issue of pilotage directions?

  Yes

  No

  N/A

• 9.5.6 The issue of exemption certificates?

  Yes

  No

  N/A

• 9.6 Is there a system in place to ensure pilots are properly rested before duty?

  Yes

  No

  N/A

• 9.7 Is proper time allocated for the development of the Pilotage Passage plan?

  Yes

  No

  N/A

• 9.8 Has a formal risk assessment been used to identify when more than one pilot would be needed?

  Yes

  No

  N/A

• 9.9 Do pilot boats meet statutory requirements and appropriate Codes?

  Yes

  No

  N/A

• 9.10 Does the Harbour Authority have formal procedures for assessing applicants for pilot exemption certificates and issue of subsequent certificates and revalidations?

  Yes

  No

  N/A

• 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

  No

  N/A

• 9.12 Does the Harbour Authority have formal procedures for suspension and revocation of a pilot’s authority?

  Yes

  No

  N/A

• 9.13 Does the Harbour Authority ensure pilots and PEC holders are appropriately trained and that their authorisations are re‐validated every 5 years?

  Yes

  No

  N/A

• 9.14 Does the Harbour Authority formally require the use of passage plans (e.g. in the pilotage directions)?

  Yes

  No

  N/A

• 9.15 Do they publish up to date guidance or general passage plans adopted by the port?

  Yes

  No

  N/A

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

• 10.1 Does the Safety Management System cover the use of harbour craft including tugs and the provision of moorings?

  Yes

  No

  N/A

• 10.2 Have the risks associated with the use of harbour craft including tugs been formally assessed?

  Yes

  No

  N/A

• 10.3 Has the Harbour Authority developed towage guidelines including operations in restricted visibility?

  Yes

  No

  N/A

• 10.4 Have the towage guidelines been reflected in directions?

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

• 10.6 Do all small commercial craft operated by the Harbour Authority possess a valid Small Commercial Vessel Certificate?

  Yes

  No

  N/A

• 10.7 What qualifications do the Coxswains have, are they appropriate and in date?

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?

  Yes

  No

  N/A

• 11.2 Are aids to navigation subject to periodic review by relevant General Lighthouse Authority (GLA)?

  Yes

  No

  N/A

• 11.3 If so, when was the last audit completed by the GLA:

  Date

• 11.4 Were the findings of that audit satisfactory?

  Yes

  No

  N/A

• 11.5 Have any changes to navigation aids been advised to the GLA and properly recorded?

  Yes

  No

  N/A

• 11.6 Are hydrographic surveys completed, in accordance with any risk assessments?

  Yes

  No

  N/A

• 11.7 If so, when was the last:

  Date

• 11.8 Are the results of the surveys assessed and actioned as appropriate?

  Yes

  No

  N/A

• 11.9 Are the results published and disseminated to stakeholders?

  Yes

  No

  N/A

• 11.10 Is the Hydrographic Code of Practice

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

• 12.2 Does the Harbour Authority have a procedure of how a Special Direction should be given?

  Yes

  No

  N/A

• 12.3 Has the Harbour Authority identified who and how Directions can be given?

  Yes

  No

  N/A

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

  No

  N/A

• 13.2 Is there a training programme?

  Yes

  No

  N/A

• 13.3 Are training records maintained?

  Yes

  No

  N/A

• 13.4 Do persons appointed to positions with responsibility for the safety of marine operations possess appropriate competencies?

  Yes

  No

  N/A

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

• 14.1 Has the need for VTS been identified by risk assessment?

  Yes

  No

  N/A

• 14.2 If the Harbour Authority provides VTS, what types of service are offered and are these appropriate to the risk?

• 14.3 If VTS is considered excessive or inappropriate by the Harbour Authority is a Local Port Services (LPS) provided?

  Yes

  No

  N/A

• 14.4 Was the effectiveness of the equipment, manning and procedures evaluated?

  Yes

  No

  N/A

• 14.6 Have all VTS or Port Information personnel been appropriately trained?

  Yes

  No

  N/A

• 14.7 Are the log books for VTS personnel being kept up to date?

  Yes

  No

  N/A

• 14.8 Is there a process to ensure that VTS staff are in date for “refresher training”?

  Yes

  No

  N/A

• 14.9 Is MSN 1796 and ALRS up to date. Are the sailing directions accurate?

  Yes

  No

  N/A

• 14.10 Are VTS On‐the‐Job‐Training‐Instructors appointed and qualified to the appropriate standard.

  Yes

  No

  N/A

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

  No

  N/A

• 15.1.2 A clear commitment to comply with the Code?

  Yes

  No

  N/A

• 15.1.3 A Safety plan for Marine Operations?

  Yes

  No

  N/A

• 15.1.4 An assessment of performance against the Safety plan?

  Yes

  No

  N/A

• 15.1.5 A safety policy for marine operations?

  Yes

  No

  N/A

• 15.1.6 Appropriate hydrographical information including warnings on new hazards?

  Yes

  No

  N/A

16. Final Check

• 16.1 Is the Harbour Authority aware of their existing powers and duties?

  Yes

  No

  N/A

• 16.2 Appoint someone as an ‘independent 'designated person' with direct access to the board?

  Yes

  No

  N/A

• 16.3 Develop an effective marine safety management system, which employs formal risk assessment techniques?

  Yes

  No

  N/A

• 16.4 Employ people who are competent and qualified for the positions they hold?

  Yes

  No

  N/A

• 16.5 Publish a comprehensive safety plan, along with regular assessment showing the authorities performance measured against the code

  Yes

  No

  N/A

Sign off.

• Name of auditor.

• Signed.

  Sign

• Name of auditor.

• Signed.

  Sign