Joint Service Publication 430 -...

Joint Service Publication

Joint Service Publication 430 Management of Ship Safety and

Environmental Protection

Part 1: Regulations

Issue 5

MINISTRY OF DEFENCE

Published December 2013 by the Defence Maritime Regulator

JSP 430 MANAGEMENT OF SHIP SAFETY & ENVIRONMENTAL PROTECTION

JSP430 Part 1 Issue 5 i 2013

RECORD OF CHANGE

Issue Amdt Authority Date Key Changes

0 DCI 1993 1 SSB Jan 1996 Ship Safety Management System Handbook 2 SSB May 2002 Separation of policy and code of practice 3 SSB Jul 2004 Introduction of Naval Authority Regulations 1 SSB Mar 2005 2 SSB Sep 2006

4 SESB Jun 2011 Focus on Operating Duty Holder 1 DSEA-DMR Apr 2012 Formation of Defence Maritime Regulator

5 MSSEC Dec 2013 DMR Certification and Reporting; Clarity on Duty Holder construct; and assessment of personnel safety in the context of hostile activity

Authority: This Joint Service Publication 430 Issue 5 : Regulations dated December 2013 supersedes Joint Service Publication 430 Issue 4 Part 1 Amendment 1 : Regulation dated April 2012. It is issued by the Defence Maritime Regulator, under the authority and direction of the Secretary of State for Defence. Copyright: This work is crown copyright and the intellectual property rights of this publication belong exclusively to the Ministry of Defence. However, material or information contained in this publication can be reproduced, stored in a retrieval system or transmitted in any form provided it is used for the purposes of furthering safety and environmental management. Status: All printed copies of Joint Service Publication 430 are uncontrolled. To check the latest amendment status reference should be made to one of the following sites:

Internet: http://www.nakmo.co.uk/ RLI: http://www.bmtdsl.r.mil.uk/nas/

Equality & Diversity. This publication has been equality and diversity impact assessed in accordance with Departmental policy. This resulted in a Part 1 screening only completed (no direct discrimination or adverse impact identified). This publication is due for review in June 2014. FEEDBACK

Comments and queries about this publication should be addressed to:

Defence Maritime Regulator McIntosh #0014 Ministry of Defence Abbey Wood South Bristol BS34 8JH [email protected]

http://www.nakmo.co.uk/

http://www.bmtdsl.r.mil.uk/nas/

mailto:[email protected]

mailto:[email protected]


JSP430 Part 1 Issue 5 ii 2013


JSP430 Part 1 Issue 5 iii 2013

CONTENTS

Record of Change .................................................................................................................... i

Feedback .................................................................................................................................. i

Contents ................................................................................................................................. iii

Glossary ................................................................................................................................. iv

1 Regulatory Principles .......................................................................................................... 1

2 Application ........................................................................................................................... 4

3 Goal ...................................................................................................................................... 5

4 Responsibilities ................................................................................................................... 6

5 Management of Safety and Environmental Protection ......................................................16

6 Certification .........................................................................................................................27

7 Reporting of Observations and Non-Conformities ............................................................32

Annex A: Interacting Stakeholder Responsibilities ............................................................. A1


JSP430 Part 1 Issue 5 iv 2013

GLOSSARY

This publication uses the terms defined here to talk about generic roles. The names of the particular posts carrying out those roles will vary across the organisation.

Phrases defined in the glossary are shown in the text by using coloured bold type.

Accident An event, or sequence of events, that causes unintended harm. [Def Stan 00-56 issue 5]

Acquisition cycle A sequence of distinct phases that provide the structure and approach for progressively delivering the requirements of an acquisition project. The MOD’s standard acquisition cycles are CADMID and CADMIT, but other life cycles may be appropriate for specific projects.

[Adapted from APM BoK v5]

ALARP As Low As Reasonably Practicable. A risk is ALARP when the cost of any further risk reduction (in terms of money, time or trouble including the loss of defence capability), is grossly disproportionate to the benefit obtained from that risk reduction.

Anniversary Date The day and month of each year that corresponds to the date of expiry of the relevant document or certificate.

Assurance Adequate confidence and evidence, through due process, that safety and environment requirements have been met.

[JSP 815]

Authorise or Authorisation (of a document)

The approval by a named person, formally recorded, of a document being ready for use. Following their approval, that person becomes accountable for the contents of the document, once issued.

CADMID Concept, Assessment, Demonstration, Manufacture, In-service, Disposal. The standard phases of the MOD acquisition cycle for materiel.

CADMIT Concept, Assessment, Demonstration, Migration, In-Service, Termination. The standard phases of the MOD acquisition cycle for services.

Combat Safety The identification and management of hazards from hostile acts, where they may harm personnel.

Command Safety and Environmental Summary

A summary of the Safety Case Report produced to inform a Commanding Officer of the safe and environmentally sound operating envelope of a ship and identify the key limitations imposed by design parameters, Naval Authority Certification, risk assessment, combat safety, Environmental Impact Assessments and environmental assessment studies.


JSP430 Part 1 Issue 5 v 2013

Commanding Officer Duty Holder

The person charged with the safe operation of a ship and conduct of defined onboard activities. A Commanding Officer Duty Holder may also be known as a Ship’s Master or Captain.

Defence Lines of Development

A framework to be used by deliverers of capability to ensure that all key factors relevant to the capability have been considered and that issues for resolution have been identified. The eight Defence Lines of Development (DLODs) are Training, Equipment, Personnel, Information, Concepts & Doctrine, Organisation, Infrastructure and Logistics (TEPIDOIL). Interoperability is included as an overarching factor that must be considered when any DLOD is being addressed.

[From 2005DIN03-012] In this context, 'Equipment' includes delivery of equipment, systems, ships and other types of platform.

Defence Maritime Regulator

The maritime component of the Defence Safety & Environment Authority, that is headed by the Maritime Regulator, that provides maritime safety and environmental Regulation, advice and guidance on compliance. The third party independently check of Duty Holders’ assurance, by audit that safety and environmental protection is being delivered, and where necessary inspection and Regulation through issuing observations and non conformities and scrutinise requests for concessions.

Design Authority Authority vested in an individual or organisation to systematically ensure the fitness for purpose of a design through life and to make design decisions, or approve changes to the design intent, or material state. Such authority may be split into approving, integration and technical authority.

Designated Person Ashore

A person or persons ashore having direct access to the highest levels of management providing a link between the ODH and those onboard.

Duly Authorised Person or Organisation

A competent person/organisation, internal to the Ministry of Defence, authorised to provide second party assurance of the conduct of an activity considered to significantly affect the safety or environmental protection of MOD Shipping activities, where those responsibilities go beyond their normal managerial duties or across line responsibilities.

Duty Holder A key person appointed by the Secretary of State to discharge a duty of care for a Defence undertaking such that others do not suffer unreasonable harm or loss from a Defence activity. They shall have sufficient control to supervise operations that significantly affect the safety or environmental protection of MOD Shipping activities and hold responsibility and accountability beyond normal managerial duties that cross line management responsibilities, e.g DLODs.


JSP430 Part 1 Issue 5 vi 2013

Endorse To assert that a document meets the requirements of relevant policy, procedures and good practice.

[JSP 520] Endorsement must be formally recorded.

Environmental Aspect

Any element of MOD Shipping that can interact with the environment and causes, or has the potential to cause, harm to the environment

[Adapted from ISO 14001]

Environmentally Sound

The application of, and demonstration that, all environmental aspects are being managed as part of an environmental management system resulting in minimising harm to the environment so far as reasonably practicable.

Equipment An item that is designed to provide one or more services or functions to the user or the system of which it forms a part.

[JSP 454 and JSP 520] e.g. pumps, motors, valves, air conditioning plant, radar, gun,

Equipment Authority The person charged with the development and maintenance of the Management Regime for an equipment or a subsystem of a ship.

Good practice The generic term for those baseline standards for controlling risk which have been judged and recognised by Health and Safety Executive or another authoritative body as satisfying the law, regulatory goal and continuous improvement when applied to a particular relevant case in an appropriate manner.

[Adapted from HSE ALARP guidance]

Harm Death, physical injury or damage to the health of people, or damage to materiel or the environment.

[Def Stan 00-56 issue 4]

Hazard Potential to cause harm e.g. a physical situation or state of a system, often following from some initiating event, that may lead to an accident.


Hostile Activity A deliberate action designed to inflict damage or disable a vessel, its personnel or systems.

Incident The occurrence of a hazard that might have progressed to an accident, but did not.

[Def Stan 00-56 issue 5] Sometimes called a near miss.


JSP430 Part 1 Issue 5 vii 2013

Independent Environmental Auditor

An individual or team, from an independent organisation, that undertakes audits and other assessment activities to provide assurance that environmental protection activities comply with planned arrangements are implemented effectively and are suitable to achieve objectives; and whether related outputs are correct, valid and fit for purpose.

Independent Safety Auditor

An individual or team, from an independent organisation, that undertakes audits and other assessment activities to provide assurance that safety activities comply with planned arrangements, are implemented effectively and are suitable to achieve objectives; and whether related outputs are correct, valid and fit for purpose.


Inherent risk The exposure arising from a specific risk before any action has been taken to manage it.

[JSP 892]

Intelligent Customer The ability and capability of the MOD, as the contracting authority, to retain adequate resources and technical competence, to supervise, monitor, and judge whether the deliverables and activities of contractors meet the requirements of the contract and other legal duties.

Management Regime The overarching structure for managing safety and environmental protection and discharging associated responsibilities.

Material State The extent to which the materiel of a ship, system or equipment meets suitable standards and is free from flaws which could give rise to or contribute to hazards or failure modes that contribute to a hazard

MOD Ship "Ministry of Defence Ship" is a legally defined term in the Merchant Shipping (Ministry of Defence Ships) Order 1989 that means a Government ship in the service of the Ministry of Defence. To avoid confusion, this term is not used in JSP 430 as it does not include ships of Her Majesty's Navy. See MOD Shipping.

MOD Shipping Ships owned by, operated by or operated on behalf of the Ministry of Defence. This includes some shipping services provided under the Private Finance Initiative or through a Managed Service.

Naval Authority The Duly Authorised Organisation, independent of Duty Holders that provides certification for the hazard areas specified in JSP 430 (see Chapter 6). The Naval Authority identifies and develops standards and approved codes of practice and provides advice and guidance relating to the hazard areas it covers.

Near miss An event with potential to cause harm, but which was avoided by circumstance or through timely intervention


JSP430 Part 1 Issue 5 viii 2013

Objective evidence Quantitative or qualitative information, records or statements of fact pertaining to safety or to the existence and implementation of a safety management system or element (risk control system), which is based on observation, measurement or test and which can be verified.

[ISM Code]

Operating Duty Holder

The person charged with the overall safe administration and employment of MOD Shipping at the operational level such that it is operated safely and is environmentally compliant

Operating Environment

The total set of all external natural and induced conditions to which a system is exposed at any given moment.


Platform A series of integrated component systems and equipment designed to carry out a function within an operating environment. e.g. a ship, aircraft, vehicle, communications network, etc.

[JSP 520]

Platform Duty Holder The person charged with development and maintenance of the Management Regime, on behalf of the Operating Duty Holder, so a platform is safe to operate. This is typically the project team or business unit leader.

Property A physical item owned by an organisation or individual: it includes, but is not limited to, onboard equipment, the seabed, land, the built and natural environments etc.

Recognised Organisation

A competent, independent organisation, external to the Ministry of Defence, authorised to provide second party assurance or to act on behalf of the Naval Authority or the Defence Maritime Regulator under the terms detailed in their letter of authorisation. Oversight provided by a Recognised Organisation significantly affects the safety or environmental protection of MOD Shipping activities where those responsibilities go beyond single duties under tort or delict.

Regulation An agency that assures compliance with laws, regulations and established rules. (MOD or Statutory). A Regulator sets, enforces and assures mandatory requirements for a defined activity, using an empowered organisation.

[Modified DefStan 00-56 issue 5 & JSP 815]

Residual risk The exposure arising from a specific risk after action has been taken to manage it, and making the assumption the action is effective.

[JSP 892]


JSP430 Part 1 Issue 5 ix 2013

Risk Combination of the likelihood of harm and the severity of that harm.


Risk Control System A formal management processes in which specific risk areas are considered in order to ensure, so far as is reasonably practicable, that such accidents, incidents or near misses are minimised.

Risk Management The Identification, analysis, estimation, evaluation, reduction acceptance and performance monitoring of risk.

[IEC73]]

Risk to Life Risk of harm to people [Def Stan 00-56 issue 5]

Safe Freedom from unacceptable or intolerable levels of harm. [Def Stan 00-56 issue 5]

Safety or Environmental Case

A set of structured arguments, supported by a body of evidence that provides a compelling, comprehensible and valid case that a system is safe to operate and is operated safely and environmentally soundly for a given application in a given operating environment.

[adapted from Def Stan 00-56 issue 4]

Safety/Environmental Case Report

A report that summarises the arguments and evidence of the Safety and Environmental Case, and documents progress against the Safety and Environmental Management Plan.

[Adapted from Def Stan 00-56 issue 4 and POEMS v2.2e]

Safety/Environmental Committee

A group of competent stakeholders that exercises, oversees, reviews and endorses safety/environmental management and safety engineering and environmental protection activities.

[Adapted from Def Stan 00-56 issue 4]

Safety/Environmental Management Plan

A document that defines the strategy for addressing safety or environmental protection and may document the Safety and Environmental Management System for a specific project.


Safety/Environmental Management System

The organisational structure, processes, procedures and methodologies that direct and control the activities necessary to meet safety or environmental requirements and policy objectives.


Safety/Environmental Schedule

The part of a Safety and Environmental Management Plan that documents safety/environmental timescales, milestones and other date-related information.


Safety/Environmental Requirement

A requirement that, once met, contributes to the safety or environmental protection of the system or the evidence of the safety or environmental protection of the system.



JSP430 Part 1 Issue 5 x 2013

Senior Duty Holder The person with overall responsibility for safety and environmental protection management of MOD Shipping on behalf of the Secretary of State

Senior Manager A person with responsibility for allocating resources or providing direction or advice to Duty Holders, the Naval Authority or other Authorities.

Ship For the purpose of JSP 430, the term ‘ship’, either manned or unmanned, includes warships, submarines, submersibles, auxiliary vessels, boats, novel craft, reserve or cadet vessels (including those permanently moored alongside), barges operated on open water (whether powered or not), landing craft and riverine craft. ‘Ship’ does not include floating jetties, cranes, docks and pontoons and other items used as part of dockyard infrastructure.

Sponsor The Ministry of Defence requirements and planning staff, to whom Platform Duty Holders are charged with providing Ships that meet the Goal of these regulations prior to the In-service Phase.

Standard A set of technical definitions, rules, codes or practice and guideline that function as instructions to designers, manufacturers, operators of users of equipment. It provides a solution or generic risk control measure selected as being appropriate to the nature of the system and its intended use or to an activity, that will eliminate or reduce risk from one or more hazards

[ASME and R2P2]

System A combination, with defined boundaries, of elements that are used together in a defined operating environment to perform a given task or achieve a specific purpose. The elements may include personnel, procedures, materials, tools, equipment, facilities, services and/or software as appropriate.


Training Authority An organisation supplying suitable training for the development of competent personnel to the levels specified in Training Needs Analyses.


JSP430 Part 1 Issue 5 1 2013

1 REGULATORY PRINCIPLES

1.1 Introduction

1.1.1 These regulations set out the Ministry of Defence’s (MOD) requirements for the effective management of safety and environmental protection for MOD Shipping. JSP430 Part 1 describes the Regulatory framework within which the Goal of these regulations is to be achieved.

1.2 Leadership

1.2.1 Under United Kingdom law, all employers owe a duty of care to their employees, others who may be affected by their activities and the wider environment. The MOD has an obligation to manage the safety and environmental protection requirements associated with design, construction and operation of military systems when at peace and in war. A strong and just safety and environmental protection culture is key to achieving this and requires effective leadership, a positive attitude, clear accountability and commitment to safety and environmental protection at all levels of management. Also, all employees and service personnel are to take reasonable care of their own health and safety and to take reasonable care not to put other people at risk by what they do or don't do in the course of their work

1.3 Independent Regulatory Authority

1.3.1 The Secretary of State’s policy statement1 imposes specific requirements in the areas of safety and environmental protection, which are discharged through a delegation to the Defence Safety & Environment Authority, to establish departmental policy, standards, rules and, where appropriate, regulations for the management of safety and environmental protection.

1.3.2 The Defence Maritime Regulator, as part of the Defence Safety & Environment Authority, sets safety and environmental protection regimes for all maritime activities, including MOD Shipping, diving, ports and harbours and water safety. The regulatory regime for MOD Shipping is set out in these regulations, the objective of which is for MOD Shipping to meet the Goal.

1.4 People Empowered with Delegated Authority

1.4.1 Everyone involved in this Regulatory Regime shall be suitably resourced, developed to have the right competencies to discharge their role and, where appropriate, authorised through a safety and environmental protection delegation. Overall responsibility for safety and environmental protection within the MOD rests with the Secretary of State for Defence who has delegated authority to the Permanent Under Secretary the duty of ensuring that effective management arrangements are in place to comply with the policy. Top Level Budget Holders shall discharge their authority from the Secretary of State and their Permanent Under Secretary by cascading this authority as appropriate throughout their organisation, so that the safety of personnel and protection of the environment, will be ensured.

1 Joint Service Publication (JSP) 815, Defence Health, Safety and Environmental Protection. Leaflet 01



1.5 Simplicity

1.5.1 When managing safety and environmental protection every opportunity shall be taken to target action on the highest risks and to simplify and sharpen documentation and advice so that it is clear and remains so.

1.5.2 Meeting the Goal of these regulations relies on compliance with the applicable policies of other safety and environmental regimes. It is important to ensure the occupational safety of people onboard ships (for whom the ship shall provide a safe working environment) is achieved by compliance with JSP 375, the MOD Health and Safety Handbook, whilst environmental protection is more broadly addressed in JSP 418, the MOD Corporate Environmental Protection Manual. JSP 815 Chapter 2 shows the relationship between policies and regulations.

1.6 Regulation, Codes of Practice and Guidance

1.6.1 JSP 430 is a regulatory regime within the policy set by JSP 815 but takes precedence over all other MOD documents relating to safety management and environmental protection for MOD Shipping. It is written in five parts:

• Part 1: Regulations;

• Part 2: Specific Regulations;

• Part 3: Naval Authority Certification;

• Part 4: Guidance; and

• Part 5: Assurance Handbook.

1.6.2 JSP430 Part 1 is presented in a hybrid style that presents clear regulations complemented by established codes of practice.

1.7 The Duty Holder

1.7.1 In accordance with JSP815, Duty Holders have a specific focus for the management of risk to life2. In addition, JSP430 draws its main statutory baseline from the Merchant Shipping Act 1995 and the associated International Maritime Organisation Conventions (e.g. MARPOL, SOLAS). This regulatory regime has a scope and defined responsibilities that requires maritime Duty Holders to focus on the management of all sources of potential harm from MOD Shipping activities to people, the environment and property.

1.7.2 The nominated Duty Holders within this regulatory framework are the Senior Duty Holder, Operating Duty Holder, Platform Duty Holder and the Commanding Officer Duty Holder.

1.8 Intelligent Customer Capability

1.8.1 The MOD is subject to duties embodied in Sections 2 to 9 of The Health and Safety at Work etc. Act 1974, and other legislation, relating to the safety of a given undertaking.

2 JSP815, Chapter 3 draws its main statutory baseline from The Health and Safety at Work etc. Act 1974 and the Environmental Protection Act 1990



Therefore, the Secretary of State for Defence requires 3 that health and safety risks are reduced to as low as reasonably practicable (ALARP). In order to declare risks are ALARP, the MOD must demonstrate an inherent and appropriate knowledge and understanding of the design and operation of MOD Shipping, both as the operator and controller of MOD Shipping activities.

1.8.2 Discharge of a part of MOD’s duties through contractors does not in any way diminish the ultimate responsibility of the MOD. Therefore the MOD must remain a sufficiently intelligent customer, within the duty holder chain of delegation to be suitably in control of the undertakings assigned to each organisation and of staff under contract so it is able to assert that the Goal of these regulations is met. This organisational capability will include the ability to understand and accept the Safety or Environmental Case, to authorise the risks and hazards identified within it, taking account of applicable evidence from contractors and, appropriate assurance from 2nd and 3rd parties including Regulators. The required size of the organisational capability to be the controlling mind will depend on several factors, including the magnitude and severity of the hazards being managed, the complexity of the equipment, system or platform, its novelty and the extent to which it might be used to the assessed limits or even beyond the standard operating limits

3 Joint Service Publication (JSP) 815, Defence Health, Safety and Environmental Protection, Leaflet 01



2 APPLICATION

2.1.1 These regulations shall apply:

a. To all MOD staff (both service and civilian) and contractors who are required to serve in or work onboard MOD Shipping, and to all those who are involved in the acquisition or operation of MOD Shipping activities;

b. To all MOD Shipping activities that have the potential to harm;

• People; • The environment; or • Property.

c. At all stages of the acquisition cycle;

d. Irrespective of the procurement strategy, support strategy, contractual arrangements, type of owner, or operational arrangements;

e. Across all Defence Lines of Development that affect the safety, environmental aspects or combat safety of MOD Shipping;

f. To all MOD Shipping, equipment and subsystems fitted to MOD Shipping and other maritime domain related equipment operated in the maritime environment (e.g. life jackets); and

g. During trials, training, normal operation, maintenance, peacekeeping, tension, transition to war and wartime, and for the planning or development of such activities.

2.1.2 When exceptional circumstances exist that require an activity to be conducted outside of the operating parameters or limitations specified in the Safety or Environmental Case, or in a manner not assessed within it, and where failure to conduct that activity presents a greater risk to safety or national security than ceasing the activity, the associated risks shall be assessed in the operational context and suitable mitigation implemented. When circumstance permits, the activity shall be demonstrated to be As Low As Reasonably Practicable (ALARP) and Tolerable and the relevant Duty Holder or Equipment Authority consulted. Once the exceptional circumstances cease to exist, the activity shall cease. Where a Duty Holder decides to operate outside of the Safety or Environmental Case they should be conscious that they may be held accountable for their actions.



3 GOAL

3.1.1 The goal of these regulations is to ensure that MOD Shipping activities are safe and environmentally sound. To achieve this goal the following criteria shall be met:

a. Outcomes from every phase of the acquisition cycle for all ships or equipment operated by, or for, the MOD complies with applicable legal requirements;

b. Relevant safety, environmental and combat safety requirements are met;

c. Risk of death, injury or ill health to crew members or other parties is broadly acceptable or tolerable and ALARP;

d. The environmental aspects of MOD Shipping are managed and harm to the environment is minimised so far as is reasonably practicable;

e. Risk of loss or damage to property is reduced to tolerable levels;

f. Residual risk is controlled; and

g. Good practice is used as the baseline when choosing standards and requirements, preparing management arrangements or considering the practicability of risk controls.

3.1.2 Where there are exemptions, derogations or disapplications from either domestic or

international law applicable to MOD Shipping, standards and management arrangements selected to meet 3.1.1 produce outcomes that are, so far as is reasonably practicable, at least as good as those required by the legislation. The level of risk implied by these standards and management arrangements shall, so far as is reasonably practicable, be equivalent to that implied by law.



4 RESPONSIBILITIES

4.1 Delegations

4.1.1 Within the MOD, authority for implementation of the Safety and Environmental Management Regime for MOD Shipping flows from the Secretary of State for Defence to the Senior Duty Holder. The Senior Duty Holder shall, for a specified ship or ships, ensure that the named Operating Duty Holder, Platform Duty Holder and Equipment Authority have delegated authority for the management of safety and environmental protection. Senior Managers who are not themselves delegated Duty Holders will be held accountable for ensuring corporate governance of defence activities and that their staff are properly able to carry out the requirements of the regulations (see Section 4.3), through their chain of command.

4.1.2 Those nominated to hold Duty Holder or Equipment Authority roles shall be given the resource necessary to meet their safety and environmental protection responsibilities.

4.1.3 Delegation shall not be requested or accepted until the recipient is deemed competent to discharge their delegated responsibilities.

4.1.4 At any one time there shall only be one Operating Duty Holder and one Platform Duty Holder named for each platform. A single person may however be named as a Duty Holder for more than one platform, class or group of ships.

4.1.5 Senior Managers, Duty Holders and Equipment Authorities shall ensure that their management arrangements, letters of delegation and terms of reference reflect the supporting and supported roles of all stakeholders. Processes shall exist to manage safety and environmental protection across all interfaces and over the whole regulatory regime in an integrated and coherent way (see 5.4.7).

4.1.6 Transfer of Duty Holder responsibility to another person, or transfer between key safety authorities internal or external to the MOD shall be formally agreed in accordance with the requirements of Section 5.8. The Defence Maritime Regulator is to be notified.

4.1.7 Everyone who holds a position with identified safety and environmental management responsibilities shall have a clear remit and appropriate letters of delegation or authority that specifies the duties and levels of competence required for the post.

4.1.8 Where resources are identified to be insufficient to deliver against the delegation individuals are required to notify their relevant Duty Holder.

4.2 General Responsibilities

4.2.1 Every individual to whom this policy applies shall exercise due care and diligence according to the principles set out in these regulations, by ensuring that:

a. They understand and meet their legal obligations, applicable safety and environmental protection policies and objectives;

b. Immediate action is taken to remedy any concern or shortfall in safety or environmental protection that could pose imminent danger or compromise safety or



environmental protection. If the action is outside the individual's control, they are to inform their line management or those with the authority to take appropriate action;

c. They request adequate resources, including funding and people, for the safety and environmental protection tasks they are responsible for, so that they are achieved in reasonable timescales;

d. Tasks are understood and carried out according to appropriate procedures;

e. They do not carry out tasks for which they are not suitably competent or allow a third party to take on tasks on their behalf for which the third party is not competent;

f. They maintain their competence for their post;

g. They take reasonable care of their own health and safety and exercise a duty of care to other persons affected by their acts or omissions at work;

h. They understand their organisation’s Safety and Environmental Management System and its relationship with the other management systems it interfaces with, both within and external to their organisation;

i. They collaborate with other people who are affected by, or have a shared responsibility for, the same platforms, systems, equipments or management systems;

j. They seek continuous improvement in safety and environmental performance;

k. They lead by example, to provide leadership commensurate with their status, to ensure that a strong and just safety and environmental protection culture exists;

l. They consult the Defence Maritime Regulator where an identified requirement has been established for either an exemption, derogation or disapplication of MOD Shipping activity from statutory legislation or concessions from MOD regulations or policy; and

4.2.2 At times when safety and environmental protection responsibility may transit between duty holders, a suitable regime is to be established that clearly documents and manages the relevant safety and environmental protection responsibilities between each party.

4.2.3 When using contractor support, the Duty Holder or Equipment Authority shall ensure that:

a. Safety and environmental protection has been adequately addressed;

b. The regulatory and certification regime and any MOD regulatory requirements are clearly specified in the contract;

c. The chosen contractors are professionally competent and resourced to undertake the work;

d. Safety and environmental requirements are clearly specified and the interfaces between the MOD and contractors are clearly defined;

e. The required format for contractor’s safety and environmental deliverables is specified, and enables the deliverables to be audited;

f. The contractor allows MOD authorities and MOD contracted Independent Safety Auditors and Independent Environmental Auditors appropriate access; and

g. Contractors are given access to all relevant data to support their work.



4.3 Senior Duty Holder Responsibilities

4.3.1 The Senior Duty Holder is accountable and responsible for the safety and environmental protection of MOD Shipping throughout the acquisition cycle and are key leaders of its safety and environmental culture. They set the direction for safety and environmental management and, when challenged, shall be able to demonstrate that their organisation and arrangements enable the requirements of the regulations to be met.

4.3.2 The Senior Duty Holder shall ensure that the safety and environmental protection implications of any organisational changes are analysed and appropriately reported in advance through a documented process (see Section 5.8).

4.3.3 The Senior Duty Holder shall ensure that it is made clear which individuals hold the following roles and what the scope of their accountability and responsibility is:

• Operating Duty Holder;

• Platform Duty Holder;

• Equipment Authority; and

• Commanding Officer Duty Holder.

4.3.4 At all stages of the acquisition cycle, for all MOD Shipping, the Senior Duty Holder shall ensure that nominated Duty Holders or those with Equipment Authority roles clearly understand who they are accountable to, and are given the resource necessary to meet their safety and environmental protection responsibilities.

4.4 Operating Duty Holder Responsibilities

4.4.1 The Operating Duty Holder is accountable and responsible to the Senior Duty Holder for ensuring that the requirements detailed below are complied with to an extent and to a level of detail that is appropriate to the platform’s or equipment’s stage in the acquisition cycle:

a. An effective regime is established and maintained so that the safety and environmental aspects of MOD Shipping activities is managed as part of a Safety and Environmental Management System throughout the life of the systems, ensuring that interfaces with other regimes are also managed effectively (See 4.1.5 and Chapter 5);

b. Safety Cases and Environmental Cases exist that justify the operation of the MOD Shipping activity, and are maintained as described in Chapter 5 for the operation of each ship, demonstrating that the ship is safe to operate, that it is operated safely, and in an environmentally sound manner; and people with sufficient competence are available to assist those charged with developing and maintaining valid arguments and evidence;

c. Assurance is obtained from an Independent Safety Auditor and an Independent Environmental Auditor that management activities across the whole safety and environmental regime comply with planned arrangements, are implemented effectively and are suitable to achieve objectives; and that related outputs are correct, valid and fit for purpose (see Section 5.19);



d. Platform Duty Holders and Equipment Authorities understand the level of safety and environmental information to be provided by them to enable the Operating Duty Holder to make informed and timely decisions about safety risks and environmental aspects associated with a system;

e. Formally manage the integration of those elements and activities within the Defence Lines of Development that directly affect safety risks and environmental aspects associated with a system;

f. Valid Safety Case Reports and Environmental Case Reports are authorised as per paragraph 5.15.1 and are available in the circumstances described in Section 5.13;

g. Formally indicate their acceptance of the Safety Case Report, Environmental Case Report and the supporting evidence;

h. Obtaining Defence Maritime Regulator Certification as described in Section 6.3;

i. Ships are operated and maintained by adequate numbers of competent personnel; where sufficient competent personnel cannot be provided, the safety and environmental implications of this shortfall are assessed and suitable mitigation put in place;

j. Systems and procedures are not modified in a way that prejudices safety or environmental protection;

k. Ships are tasked and operated in accordance with their Safety Cases and Environmental Cases, including the requirements for Naval Authority Certificates given in Section 6.2; the Naval Authority and Platform Duty Holder are to be consulted if it is desired to submit a case for revised certification to allow operation of a ship beyond the prior limits of its Naval Authority certification;

l. Emergency arrangements are put in place, documented, followed, understood, tested, monitored and subject to regular review and improvement (see Section 5.12); and

m. Ensuring that all accidents, incidents, near misses and hazards are reported, analysed, investigated and acted upon (see Section 5.11).

4.4.2 If the authority to direct the command of a ship or place tasks on its Commanding Officer Duty Holder is to be passed outside the Operating Duty Holder's organisation, the Operating Duty Holder shall ensure that arrangements and responsibilities for safety and environmental protection remain clear and documented.

Operating Outside the Safety Case.

4.4.3 If exceptional circumstances require the operation of any system outside of the Safety or Environmental Case, such operation shall be strictly in accordance with 2.1.2 and, if within the scope of Naval Authority Certification, 6.1.1a

4.5 Platform Duty Holders and Equipment Authorities Responsibilities

4.5.1 A Platform Duty Holder or Equipment Authority is responsible for ensuring that the requirements detailed below are complied with to an extent and to a level of detail that is appropriate to the platform’s or equipment’s stage in the acquisition cycle:

a. Implementing and maintaining an effective regime to control the safety and environmental aspects of the design and material state of a platform or



equipment throughout the acquisition cycle, ensuring that interfaces with other regimes are managed (see 4.1.2 and Chapter 5);

b. Identifying safety, environmental protection and combat safety requirements, standards and tolerability criteria for the platform or equipment, in consultation with the Sponsor and Operating Duty Holder and, where appropriate, the Naval Authority or relevant subject matter experts;

c. Advising on balance of investment decisions to the Sponsor (see 4.9) or Operating Duty Holder as required to ensure the necessary resources are available to address safety and environmental protection through the whole acquisition cycle;

d. Identifying, planning and defining funding for through life maintenance activities essential to make sure that the upkeep of the platform or equipment meets the Goal;

e. Ensuring feedback processes are in place to confirm that risk control measures are effective;

f. Ensuring that suitable arrangements, in conjunction with the Operating Duty Holder, are in place to manage material defects in the platform or equipment and that analysis of the safety and environmental protection implications of defect data is carried out;

g. Ensuring that where a safety or environmental argument makes assumptions that those assumptions are validated, and where those assumptions are about actions or risk control measures which are the responsibility of other organisations (e.g. Operating Duty Holder, Training Authorities), those responsible have acknowledged and agreed their responsibilities;

h. Authorising of key documents that contribute to Safety Cases or Environmental Cases, irrespective of whether their production is contracted out or not, to confirm that their contents are comprehensive, credible and coherent. Before authorisation, the document shall, where required by the Operating Duty Holder or another Duty Holder, be endorsed by an Independent Safety Auditor and Independent Environmental Auditor;

i. Providing comprehensive operating, maintenance and long term storage instructions to the relevant Duty Holder;

j. Issuing safety and environmental documentation when needed, particularly before trials; and

k. Escalating to the Operating Duty Holder, Senior Managers and, if necessary, the Defence Maritime Regulator, any risk that threatens the Goal where control is beyond the control of the Platform Duty Holder or Equipment Authority.

4.5.2 A Platform Duty Holder shall also be specifically accountable and responsible for:

a. Generating and maintaining the argument and evidence necessary, on behalf of the Operating Duty Holder, to support the Safety Case and Environmental Case to demonstrate that the platform is safe to operate and environmentally sound (as per 5.13), the arguments related to safety risk shall demonstrably employ the ALARP principle, unless a more stringent requirement is appropriate. The arguments relating to combat safety shall demonstrate that the risk of death or injury to the crew from hostile activity is minimised so far as reasonably practical. The arguments related to environmental protection shall demonstrate that



environmental aspects are managed and harm to the environment is minimised as far as reasonably practicable;

b. Leading on integration of equipment and systems into the platform, providing functional and integrity requirements for equipment and systems and determining the level of detail required to allow Equipment Authorities to supply the right safety and environmental information;

c. Obtaining Naval Authority Certification as described in Section 6.2.;

d. Supporting the Operating Duty Holder in the provision of emergency arrangements; and

e. For ensuring that, at times when there is a shared safety and environmental protection responsibility with an external duty holder, a suitable regime is established that clearly documents and manages the relevant safety and environmental protection responsibilities between the two parties.

4.5.3 The Equipment Authority shall be responsible to the Platform Duty Holder who in turn shall be responsible to the Operating Duty Holder. By exception, and for specific equipment only, the Equipment Authority may be directly responsible to the Operating Duty Holder.

4.5.4 An Equipment Authority shall also be specifically responsible for:

a. Generating and maintaining the argument and evidence about the equipment or subsystem necessary to support the Safety Case and Environmental Case for its use independently or when fitted to a platform (as per Section 5.13). The arguments shall demonstrate compliance with the Goal, unless a more stringent requirement is appropriate; and

b. Providing safety and environmental documentation to the Platform Duty Holder, at the level of detail and in the timescales set by the Platform Duty Holder. Where the equipment is used independently of a platform, the Operating Duty Holder shall specify these requirements and receive the documentation directly.

4.5.5 Those Platform Duty Holders or Equipment Authorities who hold Design Authority may formally delegate all or part of the Design Authority function to a suitably competent design organisation. They shall, however, retain responsibility for ensuring the safety of the ship or equipment through-life, minimising the environmental harm caused by the ship or equipment through-life, authorisation of key documents that contribute to the Safety Case or Environmental Case, and ensuring that the organisation that has received the delegation is competent and is fulfilling their delegated duties. In these circumstances the Platform Duty Holder or Equipment Authority is to ensure the adequacy of design and that the design organisation is aware of their responsibilities and is suitably contracted to support them.

4.5.6 The Platform Duty Holder or Equipment Authority shall ensure that safety and environmental protection is not compromised when transferring a system between authorities during its life, or by implementing (or failing to implement) design changes, modifications, updates or upgrades (see Section 5.8).



4.6 Commanding Officer Duty Holder Responsibilities

4.6.1 Commanding Officer Duty Holders shall be accountable and responsible to the Operating Duty Holder for:

a. Establishing and maintaining effective Safety and Environmental Management Systems for their ship that reflect the requirements of the Operating Duty Holder's Safety and Environmental Management Systems and are detailed in Standing Orders and operating instructions;

b. Operating a ship in a way that meets the Goal in accordance with the requirements for Certification specified in Chapter 6, and exercising a duty of care to its crew, all others onboard, third parties that could be affected by it, and the environment;

c. Ensuring that systems and procedures are not modified in such a way as to prejudice safety or environmental protection;

d. Ensuring that all accidents, incidents, near misses and hazards are reported, analysed, investigated and acted upon (See Section 5.11 );

e. Ensuring emergency arrangements are in place, followed, understood and tested; and

f. Ensuring that shortfalls in the safety or environmental performance of the ship’s design, material state or procedures are notified to the appropriate authority in a reasonable timescale.

4.6.2 If exceptional circumstances requires the operation of any system outside of the

Safety or Environmental Case, such operation shall be strictly in accordance with 2.1.2 and, if within the scope of Certification, 6.1.1a

4.7 Designated Person Ashore

4.7.1 To ensure the safe and environmentally sound operation of MOD Shipping and to provide a link between the Operating Duty Holder and those on board, the Operating Duty Holder shall designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons shall include monitoring the safety and environmental protection aspects of the operation of MOD Shipping and ensuring that adequate resources and shore-based support are applied, as required.

4.8 Senior Managers Responsibilities

4.8.1 Senior Managers are responsible for ensuring that the resources allocated to Duty Holders or Equipment Authorities and the directions or advice given, meet the requirements of the regulations at all times. The Senior Managers’ responsibilities shall include:

a. Ensuring that JSP 430 and lower-level safety and environmental protection policies are widely available, understood and applied and that appropriate safety and environmental Management Regimes exist, including formal delegations for safety and environmental protection (see Section 4.1.5);



b. Making available adequate resources, including funding and people, for the safety and environmental tasks that they delegate, so that they are achieved in reasonable time scales;

c. Ensuring adequate arrangements exist to capture feedback and resolve shortfalls relating to safety or environmental issues in management systems, design performance, materiel or operational aspects through-life;

d. Ensuring adequate arrangements are in place for learning from experience; and

e. Reporting safety and environmental performance to the Defence Safety & Environment Authority.

4.8.2 When decisions about a safety or environmental protection risk have been escalated to

a Senior Manager, the Senior Manager shall take advice (e.g. engineering, safety, environmental and legal) from the Operating Duty Holder, Platform Duty Holder and appropriate specialist areas.

4.9 Sponsor Responsibilities

4.9.1 Those formulating capability requirements or other Defence Lines of Development shall consider ship safety, combat safety and environmental protection at all stages of the acquisition cycle and make investment decisions as required and in line with departmental safety and environmental policy.

4.10 Defence Maritime Regulator

4.10.1 The Defence Maritime Regulator shall audit MOD Shipping compliance with these regulations and assure compliance with applicable statutory legislation.

4.10.2 The Defence Maritime Regulator shall, following satisfactory assurance, provide certification for the shore based and shipboard safety and environmental management areas specified in Section 6.3

4.10.3 For the MOD Shipping regulatory regime, the Defence Maritime Regulator shall be responsible for:

a. Setting safety and environmental policy, specifying duties and outputs so that the MOD is enabled to meet its legal duties and setting performance standards where legislation does not apply;

b. Providing advice and guidance on compliance with policy, including advice on risk control systems and leadership role in driving corporate understanding of risk;

c. Providing assurance to Director Defence Safety and Environment Authority regarding Duty Holder compliance with policy;

d. Scrutinising and providing advice on concessions from Defence Maritime Regulator regulations and staffing exemptions, derogations or disapplications of MOD Shipping from statutory legislation where required;

e. Auditing and authorising Duly Authorised Persons or Organisations (including the Naval Authority and other independent assurance bodies); and

f. Providing assurance of the resilience of systems during change.



4.11 Naval Authority

4.11.1 The Naval Authority shall provide certification for hazard areas specified in Section 6.2, identify and develop standards and approved codes of practice where no suitable MOD or third party publication exists, and provide advice and guidance relating to the hazard areas covered. The Naval Authority shall also provide assurance on the mitigation of combat safety in the wider Safety Case and Safety Case Report including where such mitigation falls within the scope of existing Naval Authority certification.

4.11.2 The Head of the Naval Authority may delegate certain functions (in whole or in part) where appropriate to suitably competent individuals (Duly Authorised Person) or organisations (Duly Authorised Organisation) inside the MOD or to Recognised Organisations outside the MOD.

4.11.3 The Naval Authority’s rules for certification are defined in JSP 430 Part 3, Naval Authority Certification.

4.11.4 The Naval Authority is a Duly Authorised Person who shall be responsible for:

a. Agreeing Certification Strategies with the Platform Duty Holder; b. Completing, in accordance with the agreed Certification Strategy, a timely review of

Requests for Certification by Platform Duty Holders and issuing Certificates, where there is sufficient evidence;

c. Providing timely advice on identification of appropriate good practice, standards or design criteria;

d. Agreeing with Platform Duty Holders the selection of safety requirements, good practice, standards and tolerability criteria on which certification is based;

e. Identifying good practice and producing and maintaining standards as appropriate;

f. Reporting concerns on inadequate safety management or environmental protection (where such aspects are covered by Naval Authority Certification) to the Platform Duty Holder in the first instance and then to the Defence Maritime Regulator, be these within or outside of the scope of certification as detailed in Section 6.2;

g. Recruiting, or developing, competent personnel within the Naval Authority and allocating sufficient resources to enable them to perform their duties;

h. Monitoring delegated Naval Authority performance;

i. Conducting internal audits;

j. Defining procedures for undertaking all of the above;

k. Monitoring the scope of Certification as detailed in Section 6.2 and emergent safety issues and, as appropriate, proposing amendments to the scope to the Defence Maritime Regulator;

l. Improving the safety culture in their specialist subject-matter area;

m. Liaising with the Operating Duty Holder where necessary to support Naval Authority certification; and



n. Maintaining survivability policy for vulnerability and recoverability on behalf of the Sponsor and the translation of policy into survivability and combat safety requirements.



5 MANAGEMENT OF SAFETY AND ENVIRONMENTAL PROTECTION

5.1 Management Regime

5.1.1 For all MOD Shipping, the Goal shall be met by the implementation of an effective Management Regime consisting of the Risk Control Systems as detailed below.

5.1.2 The Management Regime shall be suitable and sufficient to support a valid argument that the operation of MOD Shipping is safe and environmentally sound, which shall be presented in:

• Safety Case Reports; • Environmental Case Reports; and • Command Safety and Environmental Summary.

5.2 Risk Control Systems

5.2.1 Duty Holders shall demonstrate their effective compliance with these regulations through the implementation, as a minimum, of the following Risk Control Systems:

a. Safety and Environmental Management Plans and Systems;

b. Requirements Management;

c. Integration of Safe Design and Construction;

d. Maintenance of the Ship and Equipment; e. Management of Change;

f. Documentation;

g. Manning and Training;

h. Incident Reporting and Analysis;

i. Emergency Preparedness;

j. Safe Operating Envelope;

k. Safety and Environmental Cases, Reports, Summaries and Statements;

l. Certification; and

m. Internal Audit.

5.3 Safety and Environmental Management Plans

5.3.1 Each Duty Holder shall maintain a Safety and Environmental Management Plan.

5.3.2 The Safety and Environmental Management Plan shall describe the means by which the safety and environmental Management Regime is developed, managed and resourced. The plan shall also include timescales, milestones, targets and other relevant date related information about safety or environmental management in the form of a Safety or Environmental Schedule. Management systems may be combined or the Safety and Environmental Management System can remain separate ensuring that appropriate interfaces are maintained.



5.4 Safety and Environmental Management Systems

5.4.1 Each Duty Holder shall implement a Safety and Environmental Management System.

5.4.2 The Safety and Environmental Management System shall ensure that hazards and environmental aspects are identified, their risks or impacts assessed, and effective control measures are put in place through the life of a ship or equipment to ensure that the Goal is met.

5.4.3 The Safety and Environmental Management System shall control, direct and continually improve the organisational structure, processes and methodologies needed to deliver safety and environmental protection activities.

5.4.4 An organisation’s or ship’s Safety and Environmental Management System shall take due account of appropriate regulations applied in interfacing domains, organisations and areas of responsibility. The management systems shall incorporate relevant aspects of the Risk Control Systems specified at 5.2 ensuring that those Risk Control Systems work effectively across all interfaces.

5.4.5 Following the principles of Good Practice, the arrangements at each management level of the regime shall specify a management standard appropriate to the activity and type of MOD Shipping. Management systems are to be live and integrate relevant elements of linked regimes for the system or MOD Shipping activity under control.

5.4.6 The Safety and Environmental Management System shall define how appropriate regulations from other domains, organisations and areas of responsibility that the system interacts with are to be addressed. Compliant management systems shall incorporate relevant aspects of the Risk Control Systems specified at 5.2 ensuring that those Risk Control Systems work effectively across all interfaces, as a system of systems.

5.4.7 The Safety and Environmental Management System shall, as a minimum, include the following:

a. A description of the type of MOD Shipping managed by the system and define the activities undertaken;

b. Defined levels of authority and lines of communication between personnel involved

in the safety management of MOD Shipping; and c. A description of the interfaces with other management systems so that the

processes, procedures and methodologies used are:

• Described and documented; • Consistent with good practice; • Proportionate to the inherent risks in the system; • Shown to stimulate continuous improvement and learning through regular,

systematic review.



5.4.8 The Safety and Environmental Management System shall be periodically reviewed

and authorised in accordance with the Safety and Environmental Management Plan so that arrangements are put into place to meet these regulations.

5.4.9 For shipboard operations the Operating Duty Holder and Commanding Officer Duty Holder shall establish procedures, plans and instructions, including checklists as appropriate, for activities concerning the safety of the personnel, the ship and protection of the environment. The various tasks shall be defined and assigned to competent personnel in accordance with the Safety and Environmental Management System.

5.4.10 The Safety and Environmental Management System shall require arrangements to be put in place for personnel involved in MOD Shipping to receive relevant information about the Safety and Environmental Management System.

5.5 Requirements Management

5.5.1 The Platform Duty Holder and Equipment Authority, in accordance with 4.5.1a, shall establish, in consultation with the Sponsor, Operating Duty Holder and Senior Duty Holder, appropriate safety and environmental requirements.

5.5.2 Safety and environmental requirements set out what is to be achieved to ensure safety and environmental protection and shall:

a. Be produced using risk and environmental assessment methodologies;

b. Be developed at the earliest possible stages of any project or undertaking and consider the system they apply to throughout the acquisition cycle; and

c. Take account of current and foreseeable legislation, standards and MOD regulation and policy.

5.5.3 The Sponsor shall set out requirements to deliver a platform with appropriate combat

safety requirements to meet the goal. These requirements shall comprise;

a. Mandated design features covering personnel protection and combat safety of military capability;

b. Baseline functional requirements;

c. Operational Analysis based requirements enhancing combat safety requirements and features above the baseline to match specific requirements arising from the ship’s concept of operations; and

d. A requirement to reduce the risk to personnel from hostile activity so far as is reasonably practicable.

5.6 Integration of Safe Design and Construction

5.6.1 The Platform Duty Holder, supported by the Equipment Authority, shall be responsible for the safe design and construction of the ship and the integration of equipment and sub-systems in accordance with 4.5.3.b



5.6.2 The design of a ship, sub-system or equipment shall, following satisfactory review and assessment, be authorised by the appropriate Duty Holder as being compliant with the agreed standards and acceptance criteria.

5.6.3 The ship, sub-system or equipment shall be constructed in accordance with the authorised design.

5.7 Maintenance of the Ship and Equipment

5.7.1 Relevant Duty Holders shall establish and implement procedures to ensure that the maintenance of the ship or equipment, including the control of ageing materiel, conforms to the provisions of the relevant standards.

5.7.2 In meeting the identified standards, the Operating Duty Holder shall ensure that:

a. Procedures are assigned to competent personnel;

b. Inspections are held at appropriate intervals;

c. Any non-conformity is reported, with its possible cause, if known;

d. Corrective action is taken;

e. Records of these activities are maintained; and

f. These procedures and their outcomes are reviewed by an Independent Safety Auditor and Independent Environmental Auditor.

5.7.3 The Safety and Environmental Management System shall identify equipment and systems, the sudden failure of which may result in hazardous situations or non compliance with appropriate standards. The management system shall establish specific measures aimed at promoting the resilience of such equipment or systems. Maintenance of the materiel state shall reflect the operational need.

5.7.4 The management of ageing systems and time limited equipment, including any concessions against the associated standards, shall be controlled through procedures that included assessment, test and certification. The management arrangement shall include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.

5.8 Management of Change

5.8.1 Where future changes to a system, organisation or resources are known, these changes shall be planned for and appropriate arrangements put in place by the relevant Duty Holder before the change occurs, to control the safety risks and environmental aspects of the change, so that there is no adverse impact on safety or environmental protection.

5.8.2 Where changes to a system, organisation or resources occur that cannot be planned for, appropriate arrangements shall be made by the relevant Duty Holder as soon as reasonably practicable to control the safety and environmental aspects of the change.



5.9 Documentation

5.9.1 Each Duty Holder shall establish and maintain procedures to control all relevant documents and data, ensuring that:

a. Safety, environmental protection and combat safety related decisions shall be appropriately recorded to allow audit and learning from experience;

b. Appropriate documents are retained and made available when and where they are needed;

c. Documents are regularly reviewed and updated, with any gaps in information understood;

d. Obsolete documents are appropriately archived and stored so as to be available as needed;

e. The frequency of document review and endorsement is set appropriately for the safety risk or environmental aspects being managed and the rate of changes in the system that the document applies to;

f. Changes are reviewed and approved by authorised people and communicated to all those who need to know; and

g. Configuration control is effective and obsolete documents are promptly removed from use.

5.10 Manning and Training

5.10.1 Where there are specific safety or environmental responsibilities associated with a person, post or role, all Duty Holders, Equipment Authorities and line managers shall identify the required manning and competence. Identified training shall be undertaken within appropriate timescales. Where a level of manning or competence is considered essential to an activity, or is a necessary undertaking, for the safe and environmentally sound operation of MOD Shipping, all necessary instruction is to be documented and delivered before the activity is conducted.

5.10.2 Where a deficiency is identified in manning levels or competence, it shall be reported to the relevant Training Authority and Duty Holder.

5.10.3 All line managers shall establish and maintain procedures to ensure that:

a. People with safety or environmental protection responsibility or authority are competent to carry out their duties. This requirement includes identifying effective behaviour and making available any necessary training; and

b. Where a Safety or Environmental Case relies on control by a procedure or other human action, suitable competence and manning, supported by appropriate education, training and documentation is provided.

5.11 Incident Reporting and Analysis

5.11.1 The Operating Duty Holder shall ensure that an accident, incident and near miss reporting system exists. The reporting system shall:

a. Ensure that all accidents, incidents and near misses are reported;



b. Ensure trends are identified and corrective action taken to prevent reoccurrence;

c. Ensure that the organisation learns from experience in a timely manner;

d. Put in place control measures to prevent the recurrence of any serious accident, incident or near miss; and

e. Include a closed loop feedback mechanism.

5.11.2 The Commanding Officer Duty Holder shall ensure that the reporting system

mandated by the Operating Duty Holder is fully implemented.

5.11.3 Accidents involving death or serious injury, significant damage to property or the environment shall be reported to the Defence Maritime Regulator.

5.11.4 Accidents shall be investigated by competent people with the aim of finding out the root cause and to inform learning.

5.11.5 Accident investigations shall examine, in a timely manner, all Defence Lines of Development and identify, as a minimum, any relevant:

a. Design issues;

b. Material failures;

c. Shortfalls in risk assessments;

d. Shortfalls in operating procedures; and

e. Shortfalls in organisational arrangements, competence and training.

5.11.6 Recommendations identified during investigations shall be passed to the relevant Duty

Holders, Training Authorities or other stakeholders who have the authority to enact improvement and prevent recurrence.

5.11.7 All lessons identified during investigations shall be appropriately disseminated by the Duty Holders as part of a continuous improvement process.

5.12 Emergency Preparedness

5.12.1 The Operating Duty Holder shall put in place arrangements and procedures to manage the effects of foreseeable abnormal and emergency situations. Arrangements shall have sufficient resilience and agility to respond to foreseeable emergencies at any time. These arrangements and procedures shall be documented, trained for and tested. Such arrangements shall be updated when the material state, operational environment or role of any system changes.

5.13 Safe Operating Envelope

5.13.1 The Platform Duty Holder shall establish the safe operating envelope for the MOD Shipping for which they are responsible. The Operating Duty Holder and Commanding Officer Duty Holder may only conduct activity outside of the safe operating envelope for that ship as stated in 2.1.2.



5.14 Safety Cases and Environmental Cases

5.14.1 The Operating Duty Holder, in accordance with 4.4.1 and supported by the Platform Duty Holder and Equipment Authority in accordance with 4.5.1, 4.5.2 and 4.5.4, shall be responsible for ensuring that safety cases and environmental cases exist for the operation of MOD Shipping.

5.14.2 No ship, or subsystem fitted to it, shall enter or remain in service without the safety, environmental and combat safety risks being understood and managed; and the justifying argument demonstrating compliance with the Goal documented.

5.14.3 The Safety Case and Environmental Case shall address potentially harmful activity, prior to it commencing, so that harm is avoided. Safety and Environmental Cases shall demonstrate that the activity meets the Goal of these regulations.

5.14.4 Both the Safety and Environmental Cases shall:

a. Consider the operating conditions expressed in the Application to these regulations;

b. Demonstrate that suitable and sufficient arrangements have been made for audit of evidence and for responding to audit findings;

c. Be reviewed periodically and summarised in a report at significant events, see 5.15.4, during the life of the ship or equipment and summarised in a report; and

d. Contain a compelling, comprehensible and valid argument, supported by evidence, that the ship or subsystem used within those activities are safe and environmentally sound. The structure of the argument shall;

i. Be planned at the start of the management process so that the evidence required is appropriately scheduled;

ii. Consist of a hierarchy of claims and sub claims, supported by the body of evidence, following good practice and an auditable trail to identify the links between the body of evidence and the stated safety or environmental requirements; and

iii. Show how documents within the body of evidence have retained configuration control.

5.14.5 Safety Cases and Environmental Cases shall include, but not be limited to:

a. A current description of the system to which the case applies and its operating environment, for which the requirements were derived;

b. The system safety, environmental and combat safety requirements applicable to the identified operating environment;

c. Consideration of the operation of MOD Shipping as set out in the Risk Control Systems and drawing on a body of evidence from all eight Defence Lines of Development;

d. Consideration of how safety, environmental protection and combat safety policy and the Goal expressed within the regulations are met;



e. Consideration of how Safety Management Systems and Environmental Management Systems operate coherently and dynamically to control different aspects of risk;

f. Demonstration that the evidence collated reflects the strategy outlined in the safety or environmental management plan. In this way, each Safety and Environmental Case will demonstrate how risk has been controlled, through the proactive influence of the design of systems and the conduct of operations;

g. A series of Safety and Environmental Case Reports produced at particular points in time summarising the full body of evidence as it existed at that time, thereby justifying progression to the next phase of the acquisition cycle;

h. Demonstration of how the advice of those with recent practical knowledge of the system or similar systems has been taken into account (e.g. designers, manufacturers, maintainers or front-line operators);

i. Demonstration of how continual improvement and learning are incorporated into safety and environmental protection activities; and

j. Demonstrating management arrangements for different ship or subsystem interact to maintain safe and environmentally sound performance in each use.

5.14.6 Safety and Environmental Cases for subsystems developed under another regulatory

regime, and subsequently deployed in the maritime operating environment, shall demonstrate that such use is consistent with MOD Shipping activities and roles. It shall be demonstrated that any previous assumptions remain valid.

5.15 Safety Case Reports and Environmental Case Reports

5.15.1 Each Safety Case Report and Environmental Case Report shall be authorised by the Operating Duty Holder indicating acceptance by them of responsibility for the risks associated with the operation of the ship or system(s) identified in those reports. Authorisation confirms that it is comprehensive, credible and coherent, and shall only be given after taking relevant advice of the Platform Duty Holder, Independent Safety Auditor and the Independent Environmental Auditor.

5.15.2 All authorised reports shall be available to the Defence Maritime Regulator.

5.15.3 A Safety Case Report or Environmental Case Report shall provide a concise, plain English summary of the risks, argument and principle evidence forming the Safety Case or Environmental Case at a given point in time, and:

a. Contain rigour of analysis that is proportionate to the inherent risk in the system and its complexity;

b. Confirm whether the system currently meets the Goal, explaining how it will continue to do so in the future;

c. Present the current level of risk, demonstrating how the factors influencing the risk have been controlled and what actions and resources are required to control residual risks, including any limitations necessarily imposed;

d. Reference any detailed evidence, arguments or assumptions supporting the safety case or environmental case;

e. Demonstrate that safety and environmental protection are being managed effectively;



f. Provide an auditable trail of evidence; and

g. Support the Defence Maritime Regulator Certification process. 5.15.4 Safety and Environmental Case Reports shall be produced, reviewed and updated:

a. At investment gates and conclusions of stages in the acquisition cycle, to support decisions to proceed to the next stages;

b. At other major programme milestones, including significant changes to the design or material state Risk Control Systems, e.g. upkeep periods, dockings, changes of operational doctrine or role;

c. At the point of transfer of Duty Holder responsibilities;

d. Following a significant accident or incident that brings into question assumptions in the Safety Case, Environmental Case or current understanding of key functions of systems, activities or services; and

e. When new facts, legislation, or technical knowledge arises that may challenge or invalidate existing safety arguments or evidence;

5.15.5 The Defence Maritime Regulator shall be notified when a review is commenced and

may seek assurance of the process in support of any amendment to the Document of Compliance.

5.15.6 Where two or more ships or subsystems are sufficiently similar, the same Safety and Environmental Case Report may serve to demonstrate compliance with the Goal providing similarities are recognised and differences are made clear.

5.15.7 Each lower-level report that contributes to a Safety Case Report or Environmental Case Report shall have a nominated owner, who shall be responsible for its authorisation. The document hierarchy shall be recorded.

5.16 Command Safety and Environmental Summary

5.16.1 A Command Safety and Environmental Summary shall be produced from the Safety Case Report and the Environmental Case Report and shall be a prerequisite to the issue of a Ship Management Certificate. It shall be made available to the Commanding Officer Duty Holder to assist them in making balanced, risk-based decisions. The Command Safety and Environmental Summary, as a minimum, shall detail the following information:

a. The safe and environmentally sound operating envelope of the ship;

b. Operational limitations imposed by extant levels of trained and available personnel, design parameters, Naval Authority certification, risk assessment and environmental assessment studies;

c. Highlight the safety or environmental implications of any unusual aspect of the ship’s design; and

d. Any action that is required to be addressed by the Commanding Officer Duty Holder arising from outputs derived from implementation of these regulations (see 4.4.3, and 4.6.2).



5.16.2 A Combat Safety Summary, included as an annexe to the Command Safety and Environmental Summary, shall include but not be limited to:

a. A summary of the key survivability characteristics, performance levels and design features;

b. A description of the platform performance against the range of design and extreme threats, including asymmetric and terrorist threats;

c. A summary of the survivability implications of any unusual or particular aspects of the ship’s design; and

d. Guidance on management of combat safety arising from the design of the platform.

5.16.3 The Command Safety and Environment Summary shall be updated when the Safety Case Report or the Environmental Case Report is re-issued in accordance with 5.15.4.

5.17 Certification

5.17.1 All MOD Shipping shall be certificated in accordance with Chapter 6.

5.17.2 The management arrangements shall include certification of appropriate test regimes for equipment with life expiry certificates, concessions or compliance with other Risk Control Systems as appropriate.

5.18 Internal Audit

5.18.1 All Duty Holders shall ensure that their Safety Management Systems and Environmental Management Systems are audited to give assurance that:

a. They are operating effectively, in a way consistent with good management practice;

b. Meets the requirements of the management system of the Duty Holder from whom they received their letter of delegation or authority; and

c. These regulations are being complied with.

5.18.2 Audit of Safety Management Systems and Environmental Management Systems may be carried out by internal or external resource.

5.18.3 The procedures for, and frequency of, audits and management reviews shall be set according to the level of risk perceived or assessed, the value that could be added by the audit process, or as required by management. This shall be decided by the owner of the management system and recorded in the relevant Safety and Environmental Management Plan.

5.18.4 Owners of Safety Management Systems and Environmental Management Systems shall have processes in place for timely completion of corrective actions arising from audits.

5.18.5 Other policies or regulations may also require audit of Safety Management Systems or Environmental Management Systems. Wherever practicable, auditing authorities shall co-ordinate audits to avoid duplication of effort.



5.18.6 The results of the audits and reviews shall be brought to the attention of all relevant Duty Holders and other stakeholders having responsibility in the area involved.

5.19 Independent Safety and Environmental Audit

5.19.1 Independent Safety Auditors and Independent Environmental Auditors shall be commissioned by a Duty Holder or Equipment Authority to confirm that the safety and environmental regime has been implemented in accordance with the regulations and that the Safety Case and Environmental Case are suitable and sufficient. Their appointment is to be notified to the Defence Maritime Regulator.

5.19.2 The requirement for an Independent Safety Auditor and Independent Environmental Auditor may be waived when the Operating Duty Holder considers that:

a. the ship or equipment is sufficiently low in complexity; or

b. risk and relevant or sufficient expertise exists in-house to ensure that the Safety Case or Environmental Case is suitable and sufficient.

Any such waiver shall be justified in the Safety Case or Environmental Case, the associated processes recorded and shall be a prerequisite to the issue of a Document of Compliance (see Chapter 6.3).

5.19.3 Independent review (including audits and other assessment activities) shall be conducted to give assurance that safety and environmental activities across the whole safety and environmental Management Regime comply with planned arrangements, are implemented effectively and are suitable and sufficient to achieve objectives.

5.19.4 The Independent Safety and Environmental Auditor shall be requested to endorse the content of a platform-level Safety Case Report or Environmental Case Report.

5.19.5 A copy of all formal independent reports shall be made available to the Defence Maritime Regulator. Where reports and related outputs are shown to be correct, valid and fit for purpose they will support the revalidation processes of the Safety and Environmental Management System leading to a Document of Compliance.



6 CERTIFICATION

6.1 Validity Of Certification

6.1.1 A ship shall not be operated without valid Certificates required by these regulations unless:

a. Exceptional circumstances exist in accordance with 2.1.2. In this case, operations may continue subject to a risk assessment being conducted by the Commanding Officer Duty Holder and reported to the Operating Duty Holder, then to the Defence Maritime Regulator, Platform Duty Holder and Naval Authority when time permits. The Operating Duty Holder, Platform Duty Holder and Naval Authority shall provide advice as necessary to manage any risks so far as is reasonably practicable;

b. For ships already in service where no Certificate has previously been issued for that management or hazard area. In this case, the Platform Duty Holder and Operating Duty Holder, shall agree with the sponsor of the certificate a date by which the certificate shall be required; or

c. For Naval Authority Certification, the Platform Duty Holder agrees with the Naval Authority that a hazard area does not exist on that ship (e.g. Propulsion and Manoeuvring Systems on unpowered barges);

6.2 Naval Authority Certification

6.2.1 The Naval Authority shall publish rules for Naval Authority Certification in JSP 430 Part 3 and certify certain hazard areas for all MOD Shipping in accordance with these rules.

6.2.2 The hazard areas that require Naval Authority Certificates for surface ships are:

• Stability; • Structure; • Escape, evacuation and rescue; • Explosives; • Propulsion and manoeuvring systems; • Fire safety; and • Aviation.

6.2.3 The hazard areas that require Naval Authority Certificates for submarines and other

submersibles are:

• Stability; • Structure; • Explosives; • Propulsion and manoeuvring systems; • Fire safety; • Manoeuvring and control; • Atmosphere Control; and • Watertight integrity.



6.2.4 The requirements for Naval Authority Certification for each hazard area shall be agreed, between the Naval Authority, Platform Duty Holder and Operating Duty Holder, to be appropriate to the role and status of the ship.

6.3 Defence Maritime Regulator Certification

6.3.1 Defence Maritime Regulator Certificates are required for the Safety and Environmental Management Systems for shore side and shipboard activities. These certificates are respectively:

• Document of Compliance; and • Ship Management Certificate (or equivalent).

6.3.2 The Defence Maritime Regulator shall, following satisfactory audit, issue Certification for the Safety and Environmental Management Systems established by the Operating Duty Holder. The issue of Defence Maritime Regulator certificates will follow demonstration by an Operating Duty Holder and Commanding Officer Duty Holder that appropriate safety and environmental protection arrangements are in place for the shore based and shipboard operations respectively. Defence Maritime Regulator Certification shall be issued in accordance with the application of the regulations.

Document of Compliance

6.3.3 The Document of Compliance shall be issued by the Defence Maritime Regulator to any Operating Duty Holder complying with the requirements of these regulations for a period specified by Defence Maritime Regulator which shall not exceed six years.

6.3.4 MOD Shipping shall only be operated by an Operating Duty Holder who has been issued with a Document of Compliance or with an Interim Document of Compliance in accordance with paragraph 6.3.12.

6.3.5 Compliance of the shore based arrangements with the requirements of the regulations shall be reflected through the issue of a Document of Compliance issued in accordance with the following:

a. The Document of Compliance shall only be valid for the ship types explicitly indicated in the document. Such indication shall be based on the types of ships on which the initial verification was based. Other ship types shall only be added after verification of the Operating Duty Holder’s capability to comply with the requirements of the regulations;

b. The validity shall be subject to periodic verification by the Defence Maritime Regulator or by a Recognised Organisation. The periodicity is to be set by the Defence Maritime Regulator;

c. The Document of Compliance shall be withdrawn by the Defence Maritime Regulator when the periodic verification required in paragraph 6.3.5b is not requested or if there is systemic evidence of major non-conformities with the requirements of the regulations; and

d. All associated Ship Management Certificates (or equivalents) and/or Interim Ship Management Certificates (or equivalents) shall also be withdrawn by the Defence Maritime Regulator if the Document of Compliance is withdrawn.



Ship Management Certificate

6.3.6 The compliance of the shipboard management arrangements with the requirements of these regulations shall be reflected through the issue of a Ship Management Certificate. The Ship Management Certificate (or equivalent) shall be issued in accordance with the following:

a. It is verified that the Commanding Officer Duty Holder has demonstrated the shipboard management arrangements operate in accordance with the approved Safety and Environmental Management System;

b. The Operating Duty Holder or, exceptionally, the Defence Maritime Regulator, is satisfied those arrangements align with operational planning requirements

c. The validity shall not exceed a period of six years;

d. Validity shall be subject to at least one intermediate verification by the Operating Duty Holder or, exceptionally, by the Defence Maritime Regulator. If only one intermediate verification is to be carried out it shall take place between the second and fourth anniversary dates of the Ship Management Certificate; and

e. The Certificate shall be withdrawn by the Defence Maritime Regulator when the intermediate verification required in paragraph 6.3.6d is not undertaken or if there is evidence of major non-conformity with the requirement of the regulations.

Renewal of Defence Maritime Regulator Certification

6.3.7 Notwithstanding the requirements of paragraphs 6.3.5 and 6.3.6, when the renewal audit or supporting verification evidence is completed within three months before the expiry date of the existing certification, the new certification shall be valid from the date of completion of the renewal verification for a period not exceeding six years from the date of expiry of the existing certification.

6.3.8 When the renewal verification is completed more than three months before the expiry date of the existing certification, the new certification shall be valid from the date of completion of the renewal verification for a period not exceeding six years from the date of completion of the renewal verification.

6.3.9 When the renewal verification is completed after the expiry date of the existing certification, the new certification shall be valid from the date of completion of the renewal verification to a date not exceeding six years from the date of expiry of the existing certification

6.3.10 If a renewal verification has been completed and a new Ship Management Certificate cannot be issued before the expiry date of the existing certificate, the Defence Maritime Regulator, or organisation recognised by the Defence Maritime Regulator, may endorse the existing certificate and such a certificate shall be accepted as valid for a further period which should not exceed five months from the expiry date.

6.3.11 If a ship at the time when a Ship Management Certificate expires is not in a port in which it is to be verified, the Defence Maritime Regulator may extend the period of validity of the Ship Management Certificate, but this extension shall be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so. A



Ship Management Certificate shall not be extended for a period of longer than three months, and the ship to which an extension is granted shall not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new Ship Management Certificate..

Interim Defence Maritime Regulator Certification

6.3.12 An Interim Document of Compliance may be issued to facilitate initial implementation of these requirements when:

a. The Operating Duty Holder is newly established;

b. New ship types are to be added to an existing Document of Compliance; and

c. Following verification that the Operating Duty Holder has a Safety and Environmental Management System that meets the Goal of these regulations, provided the Operating Duty Holder demonstrates plans to implement a Safety and Environmental Management System meeting the full requirements of these regulations within the period of validity of the Interim Document of Compliance. Such an Interim Document of Compliance shall be issued for a period not exceeding 12 months by the Defence Maritime Regulator or by an organization recognised by the Defence Maritime Regulator.

6.3.13 An Interim Ship Management Certificate (or equivalent) may be issued:

a. To new ships on delivery;

b. When an Operating Duty Holder takes on responsibility for the operation of a ship which is not covered by the management system; and

c. Such an Interim Ship Management Certificate shall be issued for a period not exceeding 6 months by the Defence Maritime Regulator or an organization recognised by the Defence Maritime Regulator.

6.3.14 An Interim Ship Management Certificate may be issued following verification that:

a. The Document of Compliance, or the Interim Document of Compliance, is relevant to the ship type and activity concerned;

b. The Safety Management System and Environmental Management System provided by the Operating Duty Holder for the ship concerned complies with the regulations and has been assessed during the audit for issuance of the Document of Compliance or demonstrated for issuance of the Interim Document of Compliance;

c. The Operating Duty Holder has planned the internal audit of the ship within three months;

d. The Commanding Officer Duty Holder and ship's officers are familiar with the Safety Management System and Environmental Management System and the planned arrangements for its implementation; and

e. Instructions, which have been identified as being essential, are provided prior to sailing.

6.3.15 All verifications required by the regulations shall be carried out in accordance with procedures acceptable to the Defence Maritime Regulator taking into account the guidelines published in JSP430 Part 5



Forms of certificate

6.3.16 The Document of Compliance, the Ship Management Certificate (or equivalent), the Interim Document of Compliance and the Interim Ship Management Certificate (or equivalent) should be primarily drawn up in a form, or style, corresponding to the models given in JSP430 Part 5 Assurance Handbook but may incorporate other permissioning formats.

6.3.17 In addition to the requirements of paragraph 6.3.10 the ship types indicated on the Document of Compliance and the Interim Document of Compliance may be endorsed to reflect any limitations in the operations of the ships described in the Safety and Environmental Management System.



7 REPORTING OF OBSERVATIONS AND NON-CONFORMITIES

7.1 Audit, Inspection and Reporting

7.1.1 The Defence Maritime Regulator will audit the Duty Holders and Equipment Authorities for compliance with the regulations and report any observation or non-conformities. The shortfalls detected during an audit shall be agreed with the Duty Holder or Equipment Authority by the end of the visit. The agreed audit report will be issued to the audited Duty Holder or Equipment Authority.

7.1.2 Non-conformance will be reported in response to objective evidence gathered by the assurance activities of the Defence Maritime Regulator’s Inspectorate or information gathered by second party independent assurance groups. Where information is provided by a second party assurance group it will be validated by the Defence Maritime Regulator before it is used as evidence.

7.1.3 No observation or non-conformity shall be reported without supporting objective evidence.

7.1.4 No observation or non-conformity shall be reported without a formal audit or investigation of the organisation or ship unless there is sufficient and unequivocal objective evidence to support such action.

7.1.5 Where there is sufficient and unequivocal objective evidence which has been validated by the Defence Maritime Regulator to support the reporting of a non-conformity without a formal audit or inspection being conducted, a notification will be given to the Duty Holder prior to the non-conformity being reported.

7.1.6 The necessary corrective action or a plan to address the shortfalls identified by the observation or non-conformity shall be agreed by both parties4 within three months of the observation or non conformity being reported.

7.1.7 Action taken by the Defence Maritime Regulator will be proportionate to the safety and environmental protection risk incurred by the non-conformity, the level of non conformity, and the frequency of its occurrence and the probability of its re-occurrence.

7.1.8 The Defence Maritime Regulator will report three levels of observations and non-conformity as detailed in 7.2.

7.1.9 The Defence Maritime Regulator shall report all Major Non-Conformities and a summary of progress against Non-Conformities to the Operating Duty Holder, Senior Duty Holder, Permanent Under Secretary and Director Defence Safety and Environment Authority.

4 The auditor or inspector and the Duty Holder



7.2 Observations and Non-Conformities

Observation:

7.2.1 An observation means a statement of fact made during the audit of a Safety and Environmental Management System and substantiated by objective evidence. The Duty Holder is not required to provide evidence of the corrective action taken for an Observation

Minor Non-Conformity

7.2.2 A minor non-conformity means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement of the regulations. A minor non-conformity shall be closed out5 within three months from the date of the audit.

Major Non-Conformity

7.2.3 A major non-conformity means

a. An identifiable and serious shortfall of materiel, personnel or management arrangements against the Goal which poses a serious risk to life, injury or ill health to the crew members or the ship or a serious risk to the environment and includes the lack of effective and systematic implementation of mitigation actions; or

b. The lack of one or more effective Risk Control Systems.

7.2.4 A Major Non-Conformity requires immediate corrective action to be taken or it will lead to a recommendation by the Defence Maritime Regulator to stop the associated activity. This recommendation will be made to the Operating Duty Holder and copied to the Senior Duty Holder

5 Closed out can include an agreed improvement plan to address the shortfalls identified in the audit or inspection.


JSP430 Part 1 Issue 5 A1 2013

ANNEX A: INTERACTING STAKEHOLDER RESPONSIBILITIES

Joint Service Publication 430 -...

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