smm9-13 r1

UW Marine Ops SMS Index SMM 9.0-13.0 Version 2013Jun14 Updated jlm/WJR Approved DGR Page 1 of 1 Procedure Title Pages

9.0 Opportunities for Improvement 2 10.1 Deck Critical Equipment and Maintenance Form 3-5 10.2 Engineering Critical Equipment and Maintenance Form 6-7 10.3 Steward Critical Equipment and Maintenance Form 8-9 10.4 Science Critical Equipment and Maintenance Form 10-11 11.0 Documentation Process for Shore Staff and Vessels 12 12.0 Internal Audits 13 13.0 Verification, External Audits 14

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UW Marine Ops SMS Opportunities for Improvement: Non-Conformities, Accidents, CASREPs, Hazardous Occurrences and Safety Meetings

SMM 9

Version 2013Jun14 Updated WJR/jlm Approved DGR 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 OFIs. The minutes of each meeting will be sent to the Port Captain and [email protected]. To ensure complete annual SMM coverage, the following monthly meetings will include feedback for the specific SMM sections: Jan 1-6, Feb 7, Mar 8, and Apr 9-13. 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] and [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. 2 of 14

UW Marine Ops SMS Deck Critical Equipment and Maintenance Form

SMM 10.1

Version 2013Jun14 Updated WJR/jlm Approved DGR Page 1 of 3

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 Critical Equipment and Systems and Maintenance Form shall be completed and

submitted to the Master.

Critical Equipment and Systems Condition

(satisfactory or not sat)

Notes, Recommendations (attach additional sheets if necessary)

Anchor Chain Date inspected: ______ End for end port: ______ End for end stbd: ______

Anchor Handling Equipment Date inspected: ______ Exercised port: ______ Exercised stbd: ______

Hull Paint Last painted: ______

Load Line Markings Date inspected: ______

Steel Condition

Watertight Closures Date inspected: ______

Vents

Anti-Roll Tank Dump Valves Exercised port: ______ Exercised stbd: ______

50HP CTD Winch Last operated: ______ Motor rebuilt: ______ Wire replaced: ______

75HP CTD Winch Last operated: ______ Motor rebuilt: ______

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SMM 10.1


Wire replaced: ______ Trawl Winch Last operated: ______ Motor rebuilt: ______ Wire replaced: ______

CTD Hydro Boom Last operated: ______ Motor rebuilt: ______ Boom greased: ______

A-Frame Last operated: ______ Motor rebuilt: ______

Capstan Last operated: ______ Motor rebuilt: ______

Safety Equipment Inspection: ______ Fire extinguishers: ______ Fire hoses hydro: ______ Fixed fire sys: ______

Oil Spill Response Eqpt Inspected: ______ Inventoried: ______

Rescue Boat & Davit Last operated: ______ Falls end for end: ______

Lift Rafts Certification: ______ Due: ______ Hydrostatic release: _____ Due: ______

Port Crane Wire installed: ______ Wire slushed: ______

STBD Crane Wire installed: ______ Wire slushed: ______

Navigation Equipment

Bridge Instruments

GMDSS Equipment FCC annual: ______ Due: ______ VDR annual: ______ Due: ______

Work Boat

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SMM 10.1


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. 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 Officers 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.

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UW Marine Ops SMS Engineering Critical Equipment and Maintenance Form

SMM 10.2

Version 2013Jun14 Updated WJR/jlm Approved DGR Page 1 of 2 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:


(satisfactory or

not sat)


Power Generation Systems (6 & 1)

Power Distribution Systems

HVAC Systems

Propulsion Systems (z-drives & bow)

Potable Water Supply (RO System)

Marine Sanitation Device

Fire Protection Systems

Watertight Doors

Pumps

Piping

Valves

Ballast System

Tanks

Rescue Boat Davit

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UW Marine Ops SMS Engineering Critical Equipment and Maintenance Form

SMM 10.2

Version 2013Jun14 Updated WJR/jlm Approved DGR Page 2 of 2 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. _____ __________________________________ ________________________________________ Date Chief Engineer 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.

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UW Marine Ops SMS Steward Critical Equipment and Maintenance Form

SMM 10.3

Version 2013Jun14 Updated WJR/jlm Approved DGR Page 1 of 2 Procedure

The Chief Steward is responsible to report malfunctioning or broken equipment to the Chief Engineer in Steward Department areas.

The Chief Steward is responsible to assist the Chief Engineer in tracking Steward Department maintenance.

Steward Department 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 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 and Engine Department shall give a monthly maintenance and status

report of the following Critical Systems:


(satisfactory or

not sat)


Laundry Services

Linen Locker

Food Refrigeration Lockers

Dry Stores

Cooking Facilities

Exhaust, Gaylord System

Dishwashing Facilities

Mess deck and equipment

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UW Marine Ops SMS Steward Critical Equipment and Maintenance Form

SMM 10.3

Version 2013Jun14 Updated WJR/jlm Approved DGR Page 2 of 2 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. _____ __________________________________ ________________________________________ 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.

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UW Marine Ops SMS Science Equipment & Maintenance SMM 10.4 Version 2013Jun14 Updated WJR/jlm Approved DGR Page 1 of 2 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


(sat or not sat) Notes, Recommendations

(attach additional sheets if necessary) Winch & Wire

A-Frame

Hydro Boom

CTD

Data Acquisition and Met System

Internet, email connectivity

Multibeam System

ADCP

Knudson 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

Hydro Lab

CCTV

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UW Marine Ops SMS Science Equipment & Maintenance SMM 10.4 Version 2013Jun14 Updated WJR/jlm Approved DGR Page 2 of 2 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. _____ __________________________________ ________________________________________ Date Lead RV Tech printed name and signature Master printed name and signature This form shall be forwarded to the Port Captain via RTMAROPS, a copy provide to the Manager of the Shipboard Science Support Group, and a copy retained on board.

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UW Marine Ops SMS Documentation Process for Shore Staff and Vessels SMM 11 Version 2013Jun14 Updated WJR/jlm Approved DGR Page 1 of 1

Publishing Documents and Change Process The Port Captain is the ISM coordinator, and will update the SMM as needed. The Marine Superintendent is the primary DPA will approve any changes. Changes will be tracked in the table of contents by date published. The DPA, 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 to [email protected] and [email protected]. Version Control The valid SMM will be located at: http://www.ocean.washington.edu/story/UW+Safety+Managment+System+%28SMS%29+ References such as the SOPEP and NTVRP can also be found there. Crew information and personnel policies can be found at: http://www.ocean.washington.edu/story/RV+Crew+Information The only printed documents will be held by the Port Captain or the Master. They shall ensure any printed versions are updated with changes. The ships intranet will have a valid copy readily available for crew and scientists. Archives and Files A document schedule listing forms, logs, and files will be maintained by the Port Captain on line with the SMM.

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UW Marine Ops SMS Internal Audits SMM 12 Version 2013Jun14 Updated jlm/WJR Approved DGR 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), and 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 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 as open tickets in the RTMAROPS system until resolution. Archives and Files The Port Captain will maintain the audit plan, results, and SMC meeting minutes and recommendations in the RTMAROPS system.

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UW Marine Ops SMS Verification SMM 13 Version 2013Jun14 Updated jlm/WJR Approved DGR 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 issue of the SMC. Results and Files The Port Captain will maintain the verification results in the RTMAROPS system. The Port Captain and Master will maintain a valid DOC and SMC.

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SMM9OpportunitesForImprovementOFI.pdfSMM10 EquipmentAndMaintenanceSMM10.1DeckCriticalEquipmentMaintenanceFormSMM10.2EngineCriticalEquipmentMaintenanceFormSMM10.3StewardCriticalEquipmentMaitenacneFormSMM10.4ScienceCriticalEquipmentMaintenanceForm

SMM11DocumentionProcessSMM12InternalAuditsSMM13Verification

Date inspected: End for end port: End for end stbd: Condition satisfactory or not sat, Anchor Chain Date inspected: End for end port: End for end stbd: Notes, Recommendations attach additional sheets if necessary, Anchor Chain Date inspected: End for end port: End for end stbd: Date inspected_2: Exercised port: Exercised stbd: Condition satisfactory or not sat, Anchor Handling Equipment Date inspected: Exercised port: Exercised stbd: Notes, Recommendations attach additional sheets if necessary, Anchor Handling Equipment Date inspected: Exercised port: Exercised stbd: Last painted: Condition satisfactory or not sat, Hull Paint Last painted: Notes, Recommendations attach additional sheets if necessary, Hull Paint Last painted: Date inspected_3: Condition satisfactory or not sat, Load Line Markings Date inspected: Notes, Recommendations attach additional sheets if necessary, Load Line Markings Date inspected: Condition satisfactory or not sat, Steel Condition: Notes, Recommendations attach additional sheets if necessary, Steel Condition: Date inspected_4: Condition satisfactory or not sat, Watertight Closures Date inspected: Notes, Recommendations attach additional sheets if necessary, Watertight Closures Date inspected: Condition satisfactory or not sat, Vents: Notes, Recommendations attach additional sheets if necessary, Vents: Exercised port_2: Exercised stbd_2: Condition satisfactory or not sat, Anti-Roll Tank Dump Valves Exercised port: Exercised stbd: Notes, Recommendations attach additional sheets if necessary, Anti-Roll Tank Dump Valves Exercised port: Exercised stbd: Last operated: Motor rebuilt: Wire replaced: Condition satisfactory or not sat, 50HP CTD Winch Last operated: Motor rebuilt: Wire replaced: Notes, Recommendations attach additional sheets if necessary, 50HP CTD Winch Last operated: Motor rebuilt: Wire replaced: Last operated_2: Motor rebuilt_2: Condition satisfactory or not sat, 75HP CTD Winch Last operated: Motor rebuilt: Notes, Recommendations attach additional sheets if necessary, 75HP CTD Winch Last operated: Motor rebuilt: Wire replaced_2: Wire replaced_3: Last operated_3: Motor rebuilt_3: Wire replaced_4: Trawl Winch Last operated: Motor rebuilt: Wire replaced: Last operated_4: Motor rebuilt_4: Boom greased: CTD Hydro Boom Last operated: Motor rebuilt: Boom greased: Last operated_5: Motor rebuilt_5: A-Frame Last operated: Motor rebuilt: Last operated_6: Motor rebuilt_6: Capstan Last operated: Motor rebuilt: Inspection: Fire extinguishers: Fire hoses hydro: Fixed fire sys: Safety Equipment Inspection: Fire extinguishers: Fire hoses hydro: Fixed fire sys: Inspected: Inventoried: Oil Spill Response Eqpt Inspected: Inventoried: Last operated_7: Falls end for end: Rescue Boat & Davit Last operated: Falls end for end: Certification: Due: Hydrostatic release: Due_2: Lift Rafts Certification: Due: Hydrostatic release: Due: Wire installed: Wire slushed: Port Crane Wire installed: Wire slushed: Wire installed_2: Wire slushed_2: STBD Crane Wire installed: Wire slushed: Navigation Equipment: Bridge Instruments: FCC annual: Due_3: VDR annual: Due_4: GMDSS Equipment FCC annual: Due: VDR annual: Due: Work Boat: Text28: Text29: Text30: Text31: Text32: Text33: Text34: Text35: Text36: Text37: Text38: Text39: Text40: Text41: Text42: Text43: Text44: Condition satisfactory or not sat, Power Generation Systems 6 & 1: Notes, Recommendations attach additional sheets if necessary, Power Generation Systems 6 & 1: Condition satisfactory or not sat, Power Distribution Systems: Notes, Recommendations attach additional sheets if necessary, Power Distribution Systems: Condition satisfactory or not sat, HVAC Systems: Notes, Recommendations attach additional sheets if necessary, HVAC Systems: Condition satisfactory or not sat, Propulsion Systems z-drives & bow: Notes, Recommendations attach additional sheets if necessary, Propulsion Systems z-drives & bow: Condition satisfactory or not sat, Potable Water Supply RO System: Notes, Recommendations attach additional sheets if necessary, Potable Water Supply RO System: Condition satisfactory or not sat, Marine Sanitation Device: Notes, Recommendations attach additional sheets if necessary, Marine Sanitation Device: Condition satisfactory or not sat, Fire Protection Systems: Notes, Recommendations attach additional sheets if necessary, Fire Protection Systems: Condition satisfactory or not sat, Watertight Doors: Notes, Recommendations attach additional sheets if necessary, Watertight Doors: Condition satisfactory or not sat, Pumps: Notes, Recommendations attach additional sheets if necessary, Pumps: Condition satisfactory or not sat, Piping: Notes, Recommendations attach additional sheets if necessary, Piping: Condition satisfactory or not sat, Valves: Notes, Recommendations attach additional sheets if necessary, Valves: Condition satisfactory or not sat, Ballast System: Notes, Recommendations attach additional sheets if necessary, Ballast System: Condition satisfactory or not sat, Tanks: Notes, Recommendations attach additional sheets if necessary, Tanks: Condition satisfactory or not sat, Rescue Boat Davit: Notes, Recommendations attach additional sheets if necessary, Rescue Boat Davit: undefined:

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Text45: Text46: Condition satisfactory or not sat, Laundry Services: Notes, Recommendations attach additional sheets if necessary, Laundry Services: Condition satisfactory or not sat, Linen Locker: Notes, Recommendations attach additional sheets if necessary, Linen Locker: Condition satisfactory or not sat, Food Refrigeration Lockers: Notes, Recommendations attach additional sheets if necessary, Food Refrigeration Lockers: Condition satisfactory or not sat, Dry Stores: Notes, Recommendations attach additional sheets if necessary, Dry Stores: Condition satisfactory or not sat, Cooking Facilities: Notes, Recommendations attach additional sheets if necessary, Cooking Facilities: Condition satisfactory or not sat, Exhaust, Gaylord System: Notes, Recommendations attach additional sheets if necessary, Exhaust, Gaylord System: Condition satisfactory or not sat, Dishwashing Facilities: Notes, Recommendations attach additional sheets if necessary, Dishwashing Facilities: Condition satisfactory or not sat, Mess deck and equipment: Notes, Recommendations attach additional sheets if necessary, Mess deck and equipment: A: B: Condition sat or not sat, Winch & Wire: Notes, Recommendations attach additional sheets if necessary, Winch & Wire: Condition sat or not sat, A-Frame: Notes, Recommendations attach additional sheets if necessary, A-Frame: Condition sat or not sat, Hydro Boom: Notes, Recommendations attach additional sheets if necessary, Hydro Boom: Condition sat or not sat, CTD: Notes, Recommendations attach additional sheets if necessary, CTD: Condition sat or not sat, Data Acquisition and Met System: Notes, Recommendations attach additional sheets if necessary, Data Acquisition and Met System: Condition sat or not sat, Internet, email connectivity: Notes, Recommendations attach additional sheets if necessary, Internet, email connectivity: Condition sat or not sat, Multibeam System: Notes, Recommendations attach additional sheets if necessary, Multibeam System: Condition sat or not sat, ADCP: Notes, Recommendations attach additional sheets if necessary, ADCP: Condition sat or not sat, Knudson and sub bottom profiler: Notes, Recommendations attach additional sheets if necessary, Knudson and sub bottom profiler: Condition sat or not sat, Transducer Stem: Notes, Recommendations attach additional sheets if necessary, Transducer Stem: Condition sat or not sat, Science Sea Water: Notes, Recommendations attach additional sheets if necessary, Science Sea Water: Condition sat or not sat, Climate Control Chamber, Freezer: Notes, Recommendations attach additional sheets if necessary, Climate Control Chamber, Freezer: Condition sat or not sat, Staging Bay, Wet Lab: Notes, Recommendations attach additional sheets if necessary, Staging Bay, Wet Lab: Condition sat or not sat, ET Shop: Notes, Recommendations attach additional sheets if necessary, ET Shop: Condition sat or not sat, Main Lab: Notes, Recommendations attach additional sheets if necessary, Main Lab: Condition sat or not sat, Bio Lab: Notes, Recommendations attach additional sheets if necessary, Bio Lab: Condition sat or not sat, Computer Lab: Notes, Recommendations attach additional sheets if necessary, Computer Lab: Condition sat or not sat, Hydro Lab: Notes, Recommendations attach additional sheets if necessary, Hydro Lab: Condition sat or not sat, CCTV: Notes, Recommendations attach additional sheets if necessary, CCTV: 1_3: 2_3: 3_3: 4_3: 5_3: 6_3: 7_3: 8_3: 9_3: 10_3: 11_3: 12_3: 13_3: 14_3: 15_3: 16_3: 17_3: 18_3: 19_3: 20_3: 1_4: 2_4: 3_4: 4_4: 5_4: 6_4: 7_4: 8_4: 9_4: 10_4: 11_4: 12_4: 13_4: 14_4: 15_4: 16_4: 17_4: 18_4: 19_4: 20_4: Date_2: Text7: Text8: Text9:

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