UW Marine Ops SMS

Version 2013Jun14

Procedure

Index
Updated jlm/WJR Approved DGR

Title

SMM 9.0-13.0
Page 1 of 1

Pages

9.0

Opportunities for Improvement

10.1
10.2
10.3
10.4

Deck Critical Equipment and Maintenance Form

Engineering Critical Equipment and Maintenance Form
Steward Critical Equipment and Maintenance Form
Science Critical Equipment and Maintenance Form

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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2
3-5
6-7
8-9
10-11

UW Marine Ops SMS

Version 2013Jun14

Opportunities for Improvement: Non-Conformities, Accidents,

CASREPs, Hazardous Occurrences and Safety Meetings
Updated WJR/jlm Approved DGR

SMM 9
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 rtmarops@ocean.washington.edu. 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 marops@ocean.washington.edu and rtmarops@ocean.washington.edu.
--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.
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UW Marine Ops SMS

Version 2013Jun14

Deck Critical Equipment and Maintenance

Form
Updated WJR/jlm Approved DGR

SMM 10.1
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
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: ______
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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UW Marine Ops SMS

Version 2013Jun14

Deck Critical Equipment and Maintenance

Form
Updated WJR/jlm Approved DGR

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
Page 2 of 3

UW Marine Ops SMS

Deck Critical Equipment and Maintenance

Form
Updated WJR/jlm Approved DGR

Version 2013Jun14
Date: __/__/____

SMM 10.1
Page 3 of 3

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
Updated WJR/jlm Approved DGR

Version 2013Jun14

SMM 10.2
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:
Critical Equipment and Systems
Condition
(satisfactory
or
not sat)

Notes, Recommendations
(attach additional sheets if necessary)

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
Updated WJR/jlm Approved DGR

Version 2013Jun14

Date: __/__/____

SMM 10.2
Page 2 of 2

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

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
Updated WJR/jlm Approved DGR

Version 2013Jun14

SMM 10.3
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:
Critical Equipment and Systems
Condition
(satisfactory
or
not sat)

Notes, Recommendations
(attach additional sheets if necessary)

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
Updated WJR/jlm Approved DGR

Version 2013Jun14

Date: __/__/____

SMM 10.3
Page 2 of 2

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.

_____
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

Version 2013Jun14

Science Equipment & Maintenance

Updated WJR/jlm Approved DGR

SMM 10.4
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
Critical Equipment and Systems
Condition
(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

Version 2013Jun14

Date: __/__/____

Science Equipment & Maintenance

Updated WJR/jlm Approved DGR

SMM 10.4
Page 2 of 2

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.

_____
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

Version 2013Jun14

Documentation Process for Shore Staff and Vessels

Updated WJR/jlm Approved DGR

SMM 11
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 marops@ocean.washington.edu and rtmarops@ocean.washington.edu.
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

Version 2013Jun14

Internal Audits
Updated jlm/WJR Approved DGR

SMM 12
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

Version 2013Jun14

Verification
Updated jlm/WJR Approved DGR

SMM 13
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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