JLT Marine Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

Site Information

• Marina Address
  Address

• Marine Manager

• Telephone

• Fax

• Email

• Marina Activities

Safety Management System

• Is there a full and documented SMS system in place?

  Yes

  No

  N/A

• Does it fully allocate SMS responsibilities?

  Yes

  No

  N/A

• Are they audited and monitored (at what frequency)?

  Yes

  No

  N/A

• Does the site hold a copy of the ‘The Yacht Harbour Association’ ‘Code of Practice’ (7th Edition)?

  Yes

  No

  N/A

• Is the Marina accredited

  Yes

  No

  N/A

• Is the Marina Manager a ‘Certified Marina Manager’?

  Yes

  No

  N/A

• Has the marina been assessed by the YHA, at what is the level gold anchors they hold?

  Yes

  No

  N/A

Risk Assessment - General

• Has the marina risk assessed its activities?

  Yes

  No

  N/A

• When were they last reviewed?

  Date

• Are staff involved in their completion

  Yes

  No

  N/A

• Are recommendations completed?

  Yes

  No

  N/A

• Is there a safety action plan in place?

  Yes

  No

  N/A

• Are COSHH Assessments complete?

  Yes

  No

  N/A

• Have manual handling assessments been completed?

  Yes

  No

  N/A

Fire Controls & Risk Assessment

• Has a FRA been completed?

  Yes

  No

  N/A

• Date of Last Assessment

  Date

• Who completed last assessment

• Are extinguishers provided? Who services and when?

  Yes

  No

  N/A

• Do the pontoons hold the correct amount of extinguishers (ACOP)

  Yes

  No

  N/A

• Are the local Fire Service Involved in the Marina, do they understand the hazards and risks associated with the Marina?

  Yes

  No

  N/A

• Does the marina know what fuel and LPG (maximum capacity) each craft is carrying when they berth?

  Yes

  No

  N/A

• Are fire marshals appointed?

  Yes

  No

  N/A

• Is there a site grab pack denoting fuel storage, LPG storage, and Chemical storage, is it available to the visiting Fire Officer?

  Yes

  No

  N/A

• Is emergency lighting installed? Is it tested in accordance with BS 52 66?

  Yes

  No

  N/A

Safe Operating Procedures

• Are SOP’s completed?

  Yes

  No

  N/A

• Are staff involved in their completion?

  Yes

  No

  N/A

• Are they used for induction and ongoing training?

  Yes

  No

  N/A

General Marina Training

• Have all staff completed the British Marine Federation Marina Operatives program?

  Yes

  No

  N/A

• Is customer care training in place?

  Yes

  No

  N/A

• Are lone working procedures in place?

  Yes

  No

  N/A

• Describe the above?

General Marina Training

• Is a safety induction program in place?

  Yes

  No

  N/A

• Is there an induction program in place for temps / school leavers?

  Yes

  No

  N/A

• Does the marina employ / use young persons? Are their tasks specifically assessed? Are their guardians informed of the risks?

  Yes

  No

  N/A

Pontoons

• Are the pontoons in good condition?

  Yes

  No

  N/A

• Are they on an inspection program?

  Yes

  No

  N/A

• Are trailing cables managed for berth holders?

  Yes

  No

  N/A

• Are the berth piles clearly marked?

  Yes

  No

  N/A

• Is the lighting suitable on the pontoons and fingers, (ACOP, 148 Section 15.2)?

  Yes

  No

  N/A

Refueling

• Are staff who dispense fuel trained to do so?

  Yes

  No

  N/A

• Has a DSEAR Assessment been conducted?

  Yes

  No

  N/A

• Is there a competent person trained to accept fuel deliveries?

  Yes

  No

  N/A

• Are spill kits available?

  Yes

  No

  N/A

• Who supports the serious spillage controls?

• Is the correct PPE used?

  Yes

  No

  N/A

• Are ‘no smoking’ signs prominent and in the locality?

  Yes

  No

  N/A

• Are tanks pressure tested?

  Yes

  No

  N/A

• Who by, and frequency?

Quay Walls

• Do the quay edges and walls comply with L148?

  Yes

  No

  N/A

• Are their escape ladders positioned as required by L148

  Yes

  No

  N/A

• Are life rings provided on the quay edges / walls as required by L148?

  Yes

  No

  N/A

• Are breaks or changes to walkways clearly identified around the marina?

  Yes

  No

  N/A

• Are the quay edges / walls fenced in, L148 150 / 151 / 152 / 154?

  Yes

  No

  N/A

Boatyard stands and cradles

• Are they in good condition?

  Yes

  No

  N/A

• When were they last inspected.

  Date

• Who last inspected them

  Yes

  No

  N/A

• Are they included in the MH assessment?

  Yes

  No

  N/A

Life Saving Aids

• Life rings - Are they inspected? Who by?

  Yes

  No

  N/A

• Throw lines - Are they inspected? Who by?

  Yes

  No

  N/A

• Life jackets, Expiry Date?

  Yes

  No

  N/A

• Life jackets - Are they inspected? Who by?

  Yes

  No

  N/A

• Jacobs Cradles / Rescue Hook - Are they inspected? Who by?

  Yes

  No

  N/A

• Safety Ladders / on pontoons - Are they positioned at 1 at 25 metres from and walkway or at 1 per 30 berth intervals

  Yes

  No

  N/A

Electrical Systems / Bollards / Afloat

• Craft Connections

  Yes

  No

  N/A

• Are they inspected annually?

  Yes

  No

  N/A

• Who by?

• Are in house checks completed, what are the frequency?

  Yes

  No

  N/A

• Where are the records held?

Electrical Systems Ashore

• Who conducts the electrical testing on the fuel dispensing systems?

• Are the offices and workshops hard wire tested at 5 yearly intervals?

  Yes

  No

  N/A

• Who by?

• Is Potable Appliance testing carried out? Who by? When ?

  Yes

  No

  N/A

Gas Systems

• Are gas systems serviced?

  Yes

  No

  N/A

• Who by?

• Are they gas safe registered?

  Yes

  No

  N/A

LPG

• Does the marina hold LPG canisters ?

  Yes

  No

  N/A

• Are the bottles caged, in full and empty areas, are signs denoting these published?

  Yes

  No

  N/A

• Are the cages secure at all times?

  Yes

  No

  N/A

• Are valves on empties in the off position and tight when returned for disposal?

  Yes

  No

  N/A

Water quality

• Is water testing conducted?

  Yes

  No

  N/A

• When, and by whom?

• Are hoses provided on the pontoons?

  Yes

  No

  N/A

• Are the hoses sterilised? What frequency?

  Yes

  No

  N/A

• If tanks are used are they drained and sterilised at least annually?

  Yes

  No

  N/A

Environmental Controls

• Is there an environmental policy in place?

  Yes

  No

  N/A

• Are environmental audits carried out? who by

  Yes

  No

  N/A

• Is there a Port waste Management plan in place?

  Yes

  No

  N/A

• What is the date of the expiry?

  Date

• OPRC plan in place

  Yes

  No

  N/A

• Expiry Date

  Date

• Are tanks bunded?

  Yes

  No

  N/A

• Waste Transfer notes held? (Example)

  Yes

  No

  N/A

• Are the vehicles licenced to carry waste (inc marina own vehicles) (expiry date of licence)

  Yes

  No

  N/A

Lifting Gear

• Does the site operate a hoist?

  Yes

  No

  N/A

• Are staff formally trained? When?

  Yes

  No

  N/A

• Who inspects as required by LOLER?

• Does the site hold any ancillary lifting gear, note alongside this box.

  Yes

  No

  N/A

General Work Equipment

• Are staff trained in the correct use of work equipment?

  Yes

  No

  N/A

• Are electric or diesel or petrol power washer used?

  Yes

  No

  N/A

• Do staff ensure that they are not exposed to fumes from work equipment?

  Yes

  No

  N/A

• Are they serviced and maintained? Who by?

  Yes

  No

  N/A

• Are hand tools used? Are they CE marked and in good condition?

  Yes

  No

  N/A

• Are hand power tools used? Are they PAT Tested?

  Yes

  No

  N/A

Personal Protective Equipment

• Is foul weather clothing provided?

  Yes

  No

  N/A

• Are drying rooms provided?

  Yes

  No

  N/A

• Is suitable footwear provided?

  Yes

  No

  N/A

• Are hard hats, hi vis, goggles and ear defenders, gloves, coveralls, dust masks, provided?

  Yes

  No

  N/A

• Is the PPE signed for against the issue?

  Yes

  No

  N/A

• Are staff trained in its correct use?

  Yes

  No

  N/A

• Is sunscreen provided and worn by all marina Staff?

  Yes

  No

  N/A

Lock Operations

• Are staff trained?

  Yes

  No

  N/A

• Are emergency shut down procedure displayed and trained to all operators?

  Yes

  No

  N/A

• Who maintains and services? At what frequency?

• Are insurers required to inspect?

  Yes

  No

  N/A

• Do staff exit the lock when craft are trans versing?

  Yes

  No

  N/A

• Are craft owners / skipper informed to shut down engines when using the lock?

  Yes

  No

  N/A

Control of Contractors

• Does the marina use external contractors?

  Yes

  No

  N/A

• Are the contractors subject to scrutiny for their work?

  Yes

  No

  N/A

• Does the marina inform the contractor of inherent hazards and risk associated with the site?

  Yes

  No

  N/A

• Do contractors provide RA, SOP’s Method statement for their works?

  Yes

  No

  N/A

• Do contractors provide relevant copies of their insurance?

  Yes

  No

  N/A

• Does the site induct contractors?

  Yes

  No

  N/A

• Are hot work permits required or used? Provide an example?

  Yes

  No

  N/A

• Are dive permits required and used? Provide an example?

  Yes

  No

  N/A

Dredging

• Does the marina require dredging?

  Yes

  No

  N/A

• Are staff trained?

  Yes

  No

  N/A

• Is the dredger owned or hired in?

• If owned who services and maintains?

• Is the effluent / waste discharged in accordance with local controls and the Environmental Protection Act requirements?

  Yes

  No

  N/A

• Date of last hydrography survey?

  Date

Office Controls

• Are the offices well laid out? Enough storage for files provided?

  Yes

  No

  N/A

• Are DSE assessment conducted?

  Yes

  No

  N/A

• Are the portable appliances tested?

  Yes

  No

  N/A

Signs and Notices

• Are all emergency signs displayed?

  Yes

  No

  N/A

• Is an in date copy of the ‘what you should know’ health and safety law poster displayed?

  Yes

  No

  N/A

• Are first aid posters displayed?

  Yes

  No

  N/A

• Are COSHH notices displayed (do they reflect the new signage as at June 2015)

  Yes

  No

  N/A

• Are pictogram running men signs pointing to the correct direction?

  Yes

  No

  N/A

• Are the emergency signs for the berth holders up to date and relevant?

  Yes

  No

  N/A

• Are ‘No Smoking Signs’ posted at the fuelling stations? Are they adhered to?

  Yes

  No

  N/A

• Are specific signs applied in certain marinas? If so give an example?

  Yes

  No

  N/A

First Aid

• Does the marina have sufficient trained first aiders?

  Yes

  No

  N/A

• Are they 1st aid at work, or appointed persons? How many?

  Yes

  No

  N/A

• Where are the first aid kits held? Are the contents in date? And who checks and at what frequency?

• Are eye wash systems required, and where are they positioned? Are they in date?

  Yes

  No

  N/A

Welfare Facilities

• Are facilities provided?

  Yes

  No

  N/A

• Are they cleaned regularly? Who by?

  Yes

  No

  N/A

• Are the showers for berth holders cleaned correctly with shower heads disinfected regularly? (what frequency) records held?

  Yes

  No

  N/A

• Are the floors in good condition?

  Yes

  No

  N/A

• Are staff provided with quality hand wash creams / soaps / swafega or latex gloves?

  Yes

  No

  N/A

• Are there appropriate ratio of showers to berths?

  Yes

  No

  N/A

• Are there appropriate ratio of toilets for both male and females to berths? (In accordance TYHA ACOP).

  Yes

  No

  N/A

• Are laundry facilities provided?

  Yes

  No

  N/A

• Are the machines maintained and electrically inspected?

  Yes

  No

  N/A

• Are there appropriate ratio of washing machines to berths? (In accordance TYHA ACOP).

  Yes

  No

  N/A

• Are the drying vents discharge cleaned and cleared of lint regularly?

  Yes

  No

  N/A

• Are the exhaust systems for drying (gas systems) only allowing 1 bend?

  Yes

  No

  N/A

• Is there suitable car parking for the ratio of berth holders?

  Yes

  No

  N/A

• Is the car park well lit?

  Yes

  No

  N/A

Automated barriers and entrance gates

• Are gates serviced?

  Yes

  No

  N/A

• Who by, and when?

• Are auto return clutches installed, do they work, have they been tested within the past month of this audit, and has the test been recorded?

  Yes

  No

  N/A

Co Vehicles, Inc Fork Lift Trucks

• Are all those who drive the co vehicles including tractors, FLT or the marina vans licenced to do so?

  Yes

  No

  N/A

• Does the insurance cover ALL those who drive?

  Yes

  No

  N/A

• Are licences checked at least annually?

  Yes

  No

  N/A

• Are the vehicles inc FLT, Van, Tractor Knijpster, serviced in accordance with the manufacturers prescribed intervals and recommendations ?

  Yes

  No

  N/A

• Does the driver complete vehicle checks before journeys commence, such as fuel levels, tyre tread depth, screen washer?

  Yes

  No

  N/A

• Is there a key routine in place that removes the keys whenever the vehicle (inc FLT) is not in use?

  Yes

  No

  N/A

FLT

• Does the FLT driver conduct a daily / pre user check BEFORE use, is it recorded?

  Yes

  No

  N/A

• Is the FLT serviced in accordance with Insurer requirements with the mast and ancillaries’ checked by the external insurer appointed person?

  Yes

  No

  N/A

• Does the FLT driver monitor ground condition and report on breaks in tarmac or uneven ground, is this action recorded?

  Yes

  No

  N/A

Hard standing

• Are there regular checks conducted on the areas of vehicle operation, are they recorded?

  Yes

  No

  N/A

• Are reported areas of concern isolated or managed and repaired within a set timescale?

  Yes

  No

  N/A

• Are photographs taken of areas of concern or uneven areas, are they forward to HO for comment and approval?

  Yes

  No

  N/A

Workboat dory

• Do those who drive the craft hold a RYA licence or certificate, at what level?

  Yes

  No

  N/A

• Is the Dory / Workboat serviced in accordance with manufacturers recommendations ?

  Yes

  No

  N/A

• Are lifejackets worn every operation?

  Yes

  No

  N/A

• When clearing debris from the harbour / marina is the boat weighted correctly?

  Yes

  No

  N/A

• If working under bridges / gates / other overhangs are Hard Hats provided and worn?

  Yes

  No

  N/A

• Is foul weather PPE provided and worn during the winter months?

  Yes

  No

  N/A

• Is sunscreen worn in the summer months?

  Yes

  No

  N/A

Navigation (LATON’s – Local aids to navigation) (GLHA – General Light House Authority)

• Has a navigational risk assessment been undertaken?

  Yes

  No

  N/A

• Date of last navigational risk assessment?

  Date

• Do LATON’s comply with GLHA requirements?

  Yes

  No

  N/A

• Are inspection records kept for LATON’s

  Yes

  No

  N/A

• Date of last inspection?

  Date

• Are you required to report defects to GLHA?

  Yes

  No

  N/A

• Number of days within the past year when LATON’s have not been working?

• Have local Notices to Mariners been issued?

  Yes

  No

  N/A

• Number of navigational N to M’s issued this year?

• Yes

  No

  N/A

• Number of navigational N to M’s issued this year?

• Port Marine Safety Code Audited?

  Yes

  No

• Port code and location information not required in this audit.

Introduction and Information

• The Port Marine Safety Code (the Code) applies to all harbour authorities. The Code is primarily intended for ‘‘the duty holder’’ who is directly accountable for the safety of marine operations in their waters and approaches. In most authorities, the harbour board is the duty holder, so board members should regard themselves as individually and collectively responsible for meeting the Code’s standards.
  
  The Code has been developed to improve safety in UK ports and to enable harbour authorities to manage their marine operations to nationally agreed standards. It provides the standard against which the policies, procedures and the performance of harbour authorities can be measured. It also describes the role of board members, officers and key personnel in relation to safety of navigation and summarises the main statutory duties and powers of harbor authorities. As well as complying with these duties and powers, the authority must develop an effective marine safety management system based on formal risk assessment. When fully implemented, the Code should reduce the risk of incidents occurring in harbour waters and provide some protection for the duty holder if an incident does occur.
  

Port Details

• Port Address
  Address

• Telephone

• Fax

• Email

Duty Holder Details

• Address of duty holder same as above?

  Yes

  No

• Duty holder address as above

• Duty Holder Address
  Address

• Telephone

• Fax

• Email

Type of Ownership

• Municipal

• Owned by a Company

• Trust

• Local Harbour Authority

Port Activities

• Commercial

• Container/dry cargo

• Bulk dry cargo

• Bulk liquids

• Bulk Hazardous

• Passenger – Cruise, Tender and alongside

• Fishing

• Passenger - Ferry

• Leisure

• Other Activities

Port Statistics

Commercial

• Annual throughput of Cargo (Tonnes)

• Vessel Movements

Fishing

• Annual throughput of fish

• Vessel movements

Leisure

• Total number of berths

Summary of reporting dates

• Last statement of compliance to MCA

  Date

• Last internal audit

  Date

• Last report to governing body

  Date

• Last published commitment to the code

  Date

Port Marine Code Application

• Does this site require a Port Marine Safety Code Audit

  Yes

  No

• Port Marine Safety Code not audited during this review

Information

• Who has been appointed DP and when was the appointment

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

  Yes

  No

  N/A

• 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

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

  Yes

  No

  N/A

• When did the DP last audit compliance with the Code: Provide the last 2 reports

• 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

• What Port management group meetings does the DP attend

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

Duty holders

• Are the Duty Holders clearly identified and published?

  Yes

  No

  N/A

• Is it stated that they are collectively and individually responsible…..

  Yes

  No

  N/A

• ....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

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• ….Published plans and any assessments against their performance in meeting the obligations against the Code at least once every 3 years?<br>If so, when:

  Yes

  No

  N/A

• Is PMSC a standing agenda item on Board meetings?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Duties and powers

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

  Yes

  No

  N/A

• When was the legislation last reviewed:

  Date

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Has the Harbour Authority made Byelaws?

  Yes

  No

  N/A

• If so, when were they last updated:

  Date

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Consultation & information dissemination

• How does the Harbour Authority formally consult with its employees?

  Yes

  No

  N/A

• How does the Harbour Authority consult with contractors or related service providers?<br>How are the contractors obliged to conform to the safety requirements of the<br>Port’s SMS?

  Yes

  No

  N/A

• How does the Harbour Authority consult with its stakeholders?

• How is information publicly disseminated by the Harbour Authority?

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

  Yes

  No

  N/A

Risk assessment

• Have all routine and non-routine risks associated with marine operations been formally assessed?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Have the risk assessments been completed by competent people?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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

• When were the risk assessments last reviewed?

• 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?

Safety Management System

• Has the port developed a Safety Management System that:

• Defines the Safety policy(s)?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Produces instructions and checklist to comply with the procedures?

  Yes

  No

  N/A

• Generates accident and incident reports?

  Yes

  No

  N/A

• Defines the organisation and personnel roles?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Develops performance measuring methods?

  Yes

  No

  N/A

• Develops performance measuring methods?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Safety Management System (Cont)

• Does the Safety Management System:

• Deal with preparedness for emergencies?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Cover the use of harbour craft and the provision of moorings?

  Yes

  No

  N/A

• Provide for tug crews to train with pilots and other marine personnel?

  Yes

  No

  N/A

• Govern the use of the power to regulate the mooring of vessels in the harbour?

  Yes

  No

  N/A

• Provide procedures for reporting deficiencies on visiting ships to an appropriate manager including arrangement for deficiencies to be reported to the MCA?

  Yes

  No

  N/A

• Who wrote the SMS and when was it last updated/amended?

• Are the employees required to read and sign the SMS?

  Yes

  No

  N/A

• How does port management test that the SMS is working?

Powers and enforcement

• Has the Harbour Authority kept under review their powers and the extent of their jurisdiction?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is there a policy on enforcement and prosecution?

  Yes

  No

  N/A

• When was the policy last practiced?

  Date

• Has the Harbour Authority ever prosecuted an offender?

  Yes

  No

  N/A

• Are the Harbour Masters powers determined in: *byelaws or *Directions

  Yes

  No

  N/A

Pilotage and passage plans

• Does the Harbour Authority provide a pilotage service?

  Yes

  No

• Section Not applicable or not tested

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• If pilotage is compulsory have pilotage directions been issued?

  Yes

  No

  N/A

• Does the Safety Management System address:<br>The duty to keep the need for pilotage under review?

  Yes

  No

  N/A

• The authorisation of pilots?

  Yes

  No

  N/A

• The arrangement under which its Authorised pilots are engaged?

  Yes

  No

  N/A

• The approval of pilot launches?

  Yes

  No

  N/A

• The approval of pilot launches?

  Yes

  No

  N/A

• The issue of pilotage directions?

  Yes

  No

  N/A

• The issue of exemption certificates?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Do pilot boats meet statutory requirements and appropriate Codes?

  Yes

  No

  N/A

• 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

• 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

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

  Yes

  No

  N/A

• Does the Harbour Authority ensure pilots and PEC holders are appropriately trained and that their authorisations are re-validated every<br>5 years?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Tugs, workboats and marine services

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

  Yes

  No

• Not applicable

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Have the towage guidelines been reflected in directions?

  Yes

  No

  N/A

• 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

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

  Yes

  No

  N/A

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

Conservancy obligations

• Are properly maintained aids to navigation provided?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Date

• Were the findings of that audit satisfactory?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• If so, when was the last:

  Date

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

  Yes

  No

  N/A

• Are the results published and disseminated to stakeholders?

  Yes

  No

  N/A

• Is the Hydrographic Code of Practice referenced in the Conservancy section of the SMS?

  Yes

  No

  N/A

Directions

• Does the Harbour Authority have a procedure of how General Directions should be given?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Training

• Does the Harbour Authority have a stated training policy?

  Yes

  No

  N/A

• Is there a training programme?

  Yes

  No

  N/A

• Are training records maintained?

  Yes

  No

  N/A

• Do persons appointed to positions with responsibility for the safety of marine operations possess appropriate competencies?; for example:
  *Tick as appropriate

• Designated Person

• Harbour Master

• Assistant Harbour Master (this is designated as the Senior Berthing Master)

• Marine operatives (this is designated as the Berthing Master)

• Pilots

• Pilot boat crew

• VTS Operator - (V103/1 + V103/3)

• VTS Supervisor - (V103/2) (if appointed)

• VTS On-the-Job-Training-Instructor – (V103/4)

• Tug skippers and crews

Vessel Traffic Services (VTS)

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

• Information Service

• Navigational Assistance Service

• Traffic Organisation Service

• If VTS is considered excessive or inappropriate by the Harbour Authority is a<br>Local Port Services (LPS) provided?<br>Describe the Local Port Services (LPS):<br>

  Yes

  No

  N/A

• When was the VTS or provision of Port Information last audited and reviewed?

  Yes

  No

  N/A

• During this audit and review was the effectiveness of the equipment, manning and procedures evaluated?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are VTS On-the-Job-Training-Instructors appointed and qualified to V103/4?

  Yes

  No

  N/A

Published documents

• Has the Harbour Authority published:<br><br>It’s Safety Management System?

  Yes

  No

  N/A

• A clear commitment to comply with the Code?

  Yes

  No

  N/A

• A Safety plan for Marine Operations?

  Yes

  No

  N/A

• An assessment of performance against the Safety plan?

  Yes

  No

  N/A

• A safety policy for marine operations?

  Yes

  No

  N/A

• Appropriate hydrographical information Including warnings on new hazards?

  Yes

  No

  N/A

Final Check

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Audit Completion & Sign Off

Declaration

• Declaration information and text

Sign Off - JLT

• Name

• Signature

  Sign