UW Marine Ops SMS Index SMM 9.0-13.0 Version 2018July29 Updated MBC Approved RAK Page 1 of 1
Procedure Title
9.0 Opportunities for Improvement
10 Maintenance 10.1 Deck Critical Equipment and Maintenance Form 10.1.1 Deck 3rd Mate Safety Inspection Form 10.1.2 Deck 2nd Mate Navigation Form 10.2 Engineering Critical Equipment and Maintenance Form 10.3 Steward Critical Equipment and Maintenance Form 10.4 Science Equipment and Maintenance Form
11.0 Documentation Process for Shore Staff and Vessels
12.0 Internal Audits
13.0 Verification
UW Marine Ops SMS Opportunities for Improvement: Non-Conformities, Accidents, SMM 9 CASREPs, Hazardous Occurrences and Safety Meetings Version 2018Jun15 Updated MBC Approved RAK Page 1 of 1
The UW MAROPS SMS requires the Master to report opportunities for improvement (OFI) to the Designated Person. All UW employees are encouraged to submit opportunities for improvement.
Opportunities for Improvement (OFI) may be: • Accidents, injuries or environmentally impacting events, including equipment damage • Hazardous Occurrences, which includes near misses • Malfunction of critical machinery, such as a CASREP (casualty report) • Performance Problems in the SMS, non-conformities • Suggested modifications and improvements to the SMS • A deficiency identified by external organizations, i.e., USCG, the owners, the charterers, other Administrations, classification societies
UW MAROPS will investigate and analyze these reports with the objectives of: • Correcting the hazardous situation; and • Enhancing Safety and Preventing Pollution; and • Continually improving the SMS
UW MAROPS will provide feedback and the outcome of the report to the originator, and as appropriate the Master will cover the issue at the monthly safety meeting on board.
Monthly Safety Meetings The Master will have a monthly safety meeting with the entire crew except those on watch. The meeting will normally alternate between a morning and afternoon time so all watchstanders may attend over time. The RV technicians will attend when available. Each meeting will contain past business, new business, and as time permits, safety training. The Master will solicit SMS feedback, and encourage crew to submit OFI’s. The minutes of each meeting will be sent to the Port Captain and tgt [email protected].
Report Format and Content Non-conformities, accidents and hazardous occurrences shall be submitted in an email and contain the below information. --TO: will be sent to [email protected] . --SUBJ: line will contain the type of report (non-conformity, accident, CASREP or hazardous occurrence), the topic, and the date (YYYYMMDD). --Attachments with additional information and/or pictures. --The email TEXT will contain: 1. A description of the situation. 2. Probable causes, if known. 3. Consequences with respect to harm to people, damage to the environment or property, and/or loss of operational safety; for CASREPs, the impact on the cruise objectives. 4. Suggestions and recommendations for improvement, or repair. This should include both short term repair, long term repair and future prevention as applicable.
UW Marine Ops SMS Maintenance SMM 10 Version 2018July29 Updated MBC Approved RAK Page 1 of 1
Procedure ● Continual maintenance is required to keep the ship in a safe operating condition and is part of normal ship operations. While efforts to mitigate side effects of maintenance shall be taken, this work is an essential part of the ship's routine. ● The maintenance planned should be coordinated between departments. ● Each department head shall oversee and track their respective maintenance. They shall inform MAROPS of any maintenance that they cannot complete, and also provide input for shoreside maintenance and shipyard work lists. ● All ship personnel may be assigned maintenance duties either in the course of regular operations or in an emergency. ● Personnel shall be properly briefed on the objective of the maintenance, the precautions necessary to safely complete the task and the time allotted.
● Sinex will be used to assign, track and record maintenance.
UW Marine Ops SMS Deck Critical Equipment and Maintenance SMM 10.1 Form Version 2020 June 12 Updated MBC Approved RAK Page 1 of 4
Procedure ● The Master shall verbally approve the planned Deck Department maintenance and assign the Chief Mate as the person in charge of the maintenance. Any need for additional resources to safely complete the maintenance should be forwarded to the Master and the shore-based management. ● Continual maintenance is required to keep the ship in a safe operating condition and is part of normal ship operations. While efforts to mitigate side effects of maintenance shall be taken, this work is an essential part of the ship's routine. ● The maintenance planned should be coordinated between departments. ● The Chief Mate shall assign specific tasks to Deck Department personnel to complete as part of the planned maintenance. ● All Deck Department personnel may be assigned maintenance duties either in the course of regular operations or in an emergency. ● Personnel shall be properly briefed on the objective of the maintenance, the precautions necessary to safely complete the task and the time allotted. ● The following D eck Critical Equipment and Systems and Maintenance Form shall be completed and submitted to the Master.
Critical Equipment and Systems Condition Notes, Recommendations (satisfactory (attach additional sheets if necessary) or not sat) Anchor Chain Date inspected: ______End for end port: ______End for end stbd: ______Anchor Handling Equipment Date inspected: ______Monthly exercised port: ______Monthly exercised stbd: ______Hull Paint Last painted: ______Load Line Markings Date inspected: ______Steel Condition
Watertight Closures Date inspected: ______Escape Scuttles
Vents
UW Marine Ops SMS Deck Critical Equipment and Maintenance SMM 10.1 Form Version 2020 June 12 Updated MBC Approved RAK Page 2 of 4
75HP CTD Winch Forward Last operated: ______Motor rebuilt: ______Wire replaced: ______
75HP CTD Winch Aft Last operated: ______Motor rebuilt: ______Wire replaced: ______Trawl Winch Last operated: ______Motor rebuilt: ______Wire replaced: ______CTD Hydro Boom Last operated: ______Motor rebuilt: ______Boom greased: ______Last weight test: ______A-Frame Last operated: ______Motor rebuilt: ______Last weight test: ______Capstan Last operated: ______Motor rebuilt: ______Oil Spill Response Eqpt Inspected: ______Inventoried: ______Rescue Boat & Davit Last operated: ______Falls end for end: ______Last weight test: ______Wire slushed ______Port Crane Wire installed: ______Wire slushed: ______Last weight test: ______STBD Crane Wire installed: ______Wire slushed: ______Last weight test: ______Ships Hospital Tempus inspected ______Inventory date ______
UW Marine Ops SMS Deck Critical Equipment and Maintenance SMM 10.1 Form Version 2020 June 12 Updated MBC Approved RAK Page 3 of 4
Additional items and comments:
UW Marine Ops SMS Deck Critical Equipment and Maintenance SMM 10.1 Form Version 2020 June 12 Updated MBC Approved RAK Page 4 of 4
Date: __/__/____ Monthly Maintenance Deck Department
Work completed during the month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18.
Work planned for completion during next month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18.
______Date Chief Officer’s printed name and signature Master printed name and signature
This form shall be emailed to MarOps and put into Sinex.
UW Marine Ops SMS Deck 3rd Mate Safety Inspection Form SMM 10.1.1 Version 2020August5 Updated MBC Approved RAK Page 1 of 3
Procedure ● Continual maintenance is required to keep the ship in a safe operating condition and is part of normal ship operations. While efforts to mitigate side effects of maintenance shall be made, this work is an essential part of the ship's routine. ● The following D eck 3rd Mate Safety Inspection Form shall be completed by the 3rd Mate and submitted to the Master. ● Any major discrepancies shall be immediately pointed out to the Master, and the DP notified. ● Any need for additional resources to safely complete the maintenance should be forwarded to the Master and the shore-based management. ● The 3rd Mate will fix minor discrepancies and appropriately order supplies such as batteries, flares, etc., ahead of time to ensure equipment is kept operational within all expirations.
Safety Equipment and Systems Condition Notes, Recommendations (satisfactory (attach additional sheets if necessary) or not sat) DC Lockers Monthly Inspection: Completed: ______EEBDs All expire: ______Monthly inspection: Completed: ______Eye Wash Stations Monthly Inspection: Completed: ______Gravity Station drained and refilled (quarterly): Completed: ______Due: ______Fire Extinguishers Monthly Inspection: Completed: ______Annual inspection: Completed: ______Due: ______Fire Stations Monthly Inspection: Completed: ______Fire Hose Hydro: Completed: ______Due: ______Fixed Fire Extinguishing Systems Monthly Inspection: Completed: ______Annual Inspection:
UW Marine Ops SMS Deck 3rd Mate Safety Inspection Form SMM 10.1.1 Version 2020August5 Updated MBC Approved RAK Page 2 of 3
Completed: ______Due: ______First Aid Kits Monthly Inspection: Completed: ______Immersion Suits (total 79) Monthly Inspection: Completed: ______Lights Exp: ______5-yr Inspection Due ______Lifejackets (total 76) Monthly Inspection: Completed: ______Lights Exp: ______Life Rafts Monthly/Weekly Inspection: Completed: ______Hydrostatic Release Expiration: ______Ann. Inspection Due: ______5-yr Inspection Due: ______Life Rings Monthly Inspection: Completed: ______Batteries changed: ______Exp: ______Smoke (bridge wings) Exp: ______Pyrotechnics Locker Monthly Inspection: Completed: ______Expiration: ______Rescue Boat #1 Monthly Inspection: Completed: ______Fresh Water Flush: ______Grav Rel Last Tested: ______New Fall In Svc Date (4 yrs) Installed: ______Exp: ______Davit Weight Tested: ______Release Hook Rebuilt/ Certified: ______4 X Red Handheld Sig. Flare Mfg: ______Exp: ______Last Launched: ______
UW Marine Ops SMS Deck 3rd Mate Safety Inspection Form SMM 10.1.1 Version 2020August5 Updated MBC Approved RAK Page 3 of 3
Last Run: ______Motor batteries new: ______Rescue Boat #2 Monthly Inspection: Completed: ______Fresh Water Flush: ______Last Launched: ______Last Run: ______
Self-Contained Breathing Apparatus Monthly Inspection: Completed: ______Expiration: ______Wire Way Access Ports Monthly Inspection: Completed: ______Alert2 MOB System Quarterly Inspection: Completed: ______Due: ______Batteries replaced yearly: Completed: ______Due: ______
Additional items and comments:
______Date Third Mate printed name and signature Master printed name and signature
This form shall be emailed to MAROPS and put into Sinex.
UW Marine Ops SMS Deck 2nd Mate Navigation Form SMM 10.1.2 Version 2018July29 Updated MBC Approved RAK Page 1 of 2
Procedure ● Continual maintenance is required to keep the ship in a safe operating condition and is part of normal ship operations. While efforts to mitigate side effects of maintenance shall be made, this work is an essential part of the ship's routine. ● The following D eck Navigation Form shall be completed by the 2nd Mate and submitted to the Master on a monthly basis. ● Any major discrepancies shall be immediately pointed out to the Master, and the Port Captain notified. ● Any need for additional resources to safely complete the maintenance or update charts or publications should be forwarded to the Master and the shore-based management. ● The 2nd Mate will fix minor discrepancies and appropriately order supplies such as batteries, publications, paper, etc., ahead of time to ensure equipment is kept operational with all supplies and expirations. Condition Notes, Recommendations (satisfactory (attach additional sheets if necessary) or not sat) EPIRB Battery Exp: ______Hydro Release Exp: ______Registration Exp. ______SART Exp: ______Survival Craft Radios Exp: ______Navigation Equipment
Bridge Instruments
GMDSS Equipment, Paper Supply FCC annual: ______Due: ______VDR annual: ______Due: ______Publication Inventory, Updates done: ______Chart Inventory, Updates done: ______2M Computer back-up completed: Date ______
Additional items and comments:
/
UW Marine Ops SMS Deck 2nd Mate Navigation Form SMM 10.1.2 Version 2018July29 Updated MBC Approved RAK Page 2 of 2
______Date Second Mate printed name and signature Master printed name and signature
This form shall be emailed to MAROPS and put into Sinex
/
UW Marine Ops SMS Engineering Critical Equipment and SMM 10.2 Maintenance Form Version 2 020 June 12 Updated MBC Approved RAK Page 1 of 4
Procedure ● Engine Department Critical Equipment and Maintenance is to be tracked by the Chief Engineer and reported to the Master on a monthly basis. ● The maintenance planned should be coordinated between departments. ● Maintenance Reports shall list the work completed during the month and the work proposed for the next period. ● The Engine Department shall give a monthly maintenance and status report of the following Critical Systems:
Critical Equipment and Systems
Condition Notes, Recommendations (satisfactory (attach additional sheets if necessary) or not sat) Power Generation Systems (4 & 1) Power Distribution Systems HVAC Systems Reefer compressor & R22 Leak test done on (date) Propulsion Systems (z-drives & bow) Potable Water Supply (RO System) Marine Sanitation Device Fire Protection Systems Watertight Doors
Pumps
Piping
Valves
Ballast System
Tanks
UW Marine Ops SMS Engineering Critical Equipment and SMM 10.2 Maintenance Form Version 2 020 June 12 Updated MBC Approved RAK Page 2 of 4
Anti-Roll Tank Dump Valves:
Exercised port: ______Exercised stbd: ______
Rescue Boat Davit
UW Marine Ops SMS Engineering Critical Equipment and SMM 10.2 Maintenance Form Version 2 020 June 12 Updated MBC Approved RAK Page 3 of 4
Date: ______Monthly Maintenance Engine Department
Work completed during the month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Work planned for completion during next month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
______Date Chief Engineer printed name and signature Master printed name and signature
UW Marine Ops SMS Engineering Critical Equipment and SMM 10.2 Maintenance Form Version 2 020 June 12 Updated MBC Approved RAK Page 4 of 4
This form shall be forwarded to the Port Captain via RTMAROPS and a copy will be retained on board.
UW Marine Ops SMS Steward Critical Equipment and SMM 10.3 Maintenance Form Version 2019August 6 Updated MBC Approved RAK Page 1 of 3
Procedure ● The Chief Steward is responsible to report malfunctioning or broken equipment to the Chief Engineer or 1st Assistant Engineer. ● The Chief Steward is responsible to assist the Chief Engineer in tracking Steward Department maintenance. ● The maintenance planned should be coordinated between departments. ● Maintenance Reports shall list the work completed by the department during the month and the work proposed for the next period. ● The Maintenance Reports shall be submitted to the UWMAROPS office and a copy retained by the Master. ● The Chief Steward shall give a monthly maintenance and status report of the following Critical Systems:
Critical Equipment and Systems
Condition Notes, Recommendations (satisfactory (attach additional sheets if necessary) or not sat) Laundry Services
Linen Locker
Food Refrigeration Lockers
Dry Stores
Cooking Facilities
Exhaust, Gaylord System, annual service Date serviced______Date due______Dishwashing Facilities Annual service Date serviced______Date due______Mess deck and equipment
UW Marine Ops SMS Steward Critical Equipment and SMM 10.3 Maintenance Form Version 2019August 6 Updated MBC Approved RAK Page 2 of 3
Date: ______Monthly Maintenance Steward Department, including engineering work on galley systems
Work completed during the month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Work planned for completion during next month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
UW Marine Ops SMS Steward Critical Equipment and SMM 10.3 Maintenance Form Version 2019August 6 Updated MBC Approved RAK Page 3 of 3
______Date Chief Steward printed name and signature Master printed name and signature
This form shall be forwarded to the Port Captain via RTMAROPS and a copy will be retained on board.
UW Marine Ops SMS Science Equipment & Maintenance SMM 10.4 Version 2020August5 Updated MBC Approved RAK Page 1 of 3
Procedure ● The Lead RV tech will send an email summary during science cruises outlining all of their system statuses and recommendations. Since each science cruise is so different, the frequency will depend on the Manager of the Shipboard science support group. ● Science Department Maintenance is to be tracked by the Lead RV Tech and reported to the Shipboard science Support Manager and the Master on a monthly basis. ● The major maintenance planned should be coordinated between departments. ● Maintenance Reports shall list the work completed during the month and the work proposed for the next period, with special attention to projects that need outside department assistance or coordination. ● The Lead RV tech shall give a monthly maintenance and status report of the following
Critical Equipment and Systems
Condition Notes, Recommendations (sat or not sat) (attach additional sheets if necessary) Winch & Wire
A-Frame
Hydro Boom
CTD
Data Acquisition and Met System Internet, email connectivity Multibeam System
ADCP
Knudsen and sub bottom profiler Transducer Stem
Science Sea Water
Climate Control Chamber, Freezer Staging Bay, Wet Lab ET Shop
Main Lab
Bio Lab
Computer Lab
UW Marine Ops SMS Science Equipment & Maintenance SMM 10.4 Version 2020August5 Updated MBC Approved RAK Page 2 of 3
Hydro Lab
CCTV
Date: __/__/____ Monthly Maintenance Science Department
Work completed during the month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Work planned for completion during next month: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
UW Marine Ops SMS Science Equipment & Maintenance SMM 10.4 Version 2020August5 Updated MBC Approved RAK Page 3 of 3
______Date Lead RV Tech printed name and signature Master printed name and signature
This form shall be forwarded to the Port Captain via MAROPS, a copy provide to the Manager of the Shipboard Science Support Group, and a copy retained on board.
UW Marine Ops SMS Documentation Process for Shore Staff and Vessels SMM 11 Version 2019Aug07 Updated MBC Approved RAK Page 1 of 1
Publishing Documents and Change Process
The Port Captain is the ISM coordinator , and will update the SMM as needed. The Manager of Marine Operations as the primary DP will approve any changes. Changes will be tracked in the table of contents by date published.
The DP , Port Engineer and Port Captain may direct the Master to make temporary changes to the SMM when necessary for the safety of the vessel. If this is done verbally, it will be followed up with an email.
Version Control
The most recent SMM will be located on the UW School of Oceanography website and on the ship's intranet on board. This will allow the crew and science party ready access to the SMM.
The only printed documents will be held by the Port Captain and the Master. They shall ensure any printed versions are updated with changes.
Files
The Port Captain and Master will retain SMS related files for a minimum of 3 years unless there is a reason to keep them longer.
UW Marine Ops SMS Internal Audits SMM 12 Version 2018July28 Updated MBC Approved RAK Page 1 of 1
Process
The Designated Person shall direct the Port Captain to carry out an internal safety audit of shoreside operations and vessel operations at intervals not exceeding twelve months to verify whether safety and pollution prevention activities comply with the Safety Management System. In exceptional circumstances, this interval may be exceeded by not more than three months.
The Port Captain will coordinate the timing and scope, and give reasonable advance notice. As part of the audit the Port Captain shall review and evaluate the efficiency of the SMS, identifying any deficiencies and possible corrective actions. The audit plan may include both shoreside and vessel items due to the small size of UW MAROPS staff and operation.
The Port Captain may assign qualified internal auditors to conduct parts of or all of the audit. When possible the Port Engineer and Port Captain will audit the areas outside their expertise. All 13 elements shall be reviewed. The audits may be performed in sections or all at once. Previous audits will be provided to compare, and ensure past recommendations were addressed.
Results
Results of the Internal Audits will be provided to the Safety Management Committee (SMC), the Master, and Department Heads for continual improvement. They will also be available to external auditors.
Prior to their annual meeting, the SMC will also be provided any ISM or ABS guidance changes, all Opportunities For Improvement, the Vessel Safety Meeting minutes, non-conformities, accidents, hazardous conditions, near misses, and any other SMM Section 9 activities since their last meeting. The Port Captain will keep minutes and develop action OFIs. Action OFIs will be tracked until resolution.
Archives and Files
The Port Captain will maintain the audit plan, results, and SMC meeting minutes and recommendations in Sinex.
UW Marine Ops SMS Remote Surveys SMM 12.1 Version 2020August5 Updated MBC Approved RAK Page 1 of 1
Due to COVID-19 pandemic and restrictions of personnel going aboard the vessel, the USCG and ABS are allowing remote surveys in certain circumstances. The following procedures are required for remote surveys:
1. The Port Engineer or Port Captain will identify surveys that can be conducted remotely and request permission from the regulatory agency (USCG, ABS, etc) to conduct such a survey.
2. For engineering surveys, the Chief Engineer will gather the support information, confirm it accurately represents the condition on board, and pass the information to the Ship Captain and the Port Engineer.
3. For deck surveys, the Chief Mate will gather the support information, confirm it accurately represents the condition on board, and pass the information to the Ship Captain and Port Captain.
4. For agriculture or other food related inspections, the Chief Steward will gather the support information, confirm it accurately represents the condition on board, and pass the information to the Ship Captain and the Port Captain.
5. The Port Engineer or Port Captain will review the information, confirm it meets any class and/or statutory requirements. If there are questions whether a given survey meets any class and/or statutory requirements, it will be discussed with the Ship Captain and brought to the Manager of Marine Operations for confirmation.
6. The Port Engineer or Port Captain will submit to the appropriate agency or review authority.
7. Restrictions of non-crewmembers on the ship does not relieve the ship or Marine Operations of our responsibility to report all conditions related to damage or failure of equipment that must normally be reported to USCG under regulatory requirements, ABS under class rules, or other oversight agency. All reporting requirements of non- compliance or equipment that does not meet statutory requirements remain in effect and shall not be delayed.
UW Marine Ops SMS Verification SMM 13 Version 2018July28 Updated MBC Approved RAK Page 1 of 1
Process
The Designated Person shall direct the Port Captain to coordinate the external audits (also referred to as verifications) of the ships and of the shoreside office with the American Bureau of Shipping.
● Shoreside audits to maintain the validity of the DOC may be carried out within three months before or after the anniversary date.
● Ship audits to maintain the validity of SMC shall be carried out between the second and third anniversary date of the issuance of the SMC.
Results and Files
The Port Captain will maintain the verification results in the Sinex system. The Port Captain and Master will maintain a valid DOC and SMC.