uw marine ops sms index smm 1.0-6.0 version 2018july29 ... · uw marine ops sms health and safety...

UW Marine Ops SMS Index SMM 1.0-6.0 Version 2018July29 Updated MBC Approved RAK Page 1 of 1 Procedure Title

1.0.1 Safety Management Manual Introduction and Application 1.1 Safety Management System Overview

2.0 Environmental and Safety Policy 2.1 Harassment & Personal Relationships Policy 2.2 Drug & Alcohol Policy

3.0 Company Responsibilities and Authority

4.0 Designated Person (DP)

5.0 Master’s Responsibility, Authority & Guidance 5.1 Master’s Change of Command Report and Inventory Form 5.2 Master’s Pre-Arrival/Pre-Departure Checklist

6.0 Personnel Qualifications and Requirements 6.1 Crew Familiarization & Qualifications Form

UW Marine Ops SMS Safety Management Manual

Introduction and Application SMM 1.0.1

Version 2019August8 Updated MBC Approved RAK Page 1 of 1 The University of Washington (UW), School of Oceanography, operates the R/V Thomas G. Thompson , which is owned by the Office of Naval Research (ONR). The University of Washington School of Oceanography follows the International Maritime Organization's (IMO) International Safety Management (ISM) Guidelines. This manual provides information and guidance on various policies, regulations, procedures, safety, and lifesaving precautions. The intent is to assist everyone involved in meeting the scientific objectives, and throughout all operations, accomplish “Clean and Safe Science”. This manual applies to the shore staff, crew, members of the scientific party, and the marine technicians. The shore staff that directly oversees the vessel operations is referred to as UW Marine Operations, or UW MarOps. This staff is responsible for implementing and updating this manual. The Marine technicians are referred to SSSG (shipboard science support group) or RV techs (research vessel technicians). The IMO ISM Code and this manual can be found at: https://www.ocean.washington.edu/story/UW_Safety_Managment_System The section numbers in this manual correlate to the 13 ISM Code sections. The most recent version can be found at the same link above. The adobe pdf’s are divided into 4 documents for ease of download: sections 1-6, section 7, section 8 sections 9-13 Each of the 4 pdf documents also contains an index for those sections. The manual is also available on the ship’s intranet server. Other policy and useful information can be found in other locations within the vessels web site: http://www.ocean.washington.edu/vessels . Parts of this web site will be referenced throughout the manual.

https://www.ocean.washington.edu/story/UW_Safety_Managment_Systemhttp://www.ocean.washington.edu/vessels

UW Marine Ops SMS Safety Management System Overview SMM 1.1 Version 2018July29 Updated MBC Approved RAK Page 1 of 1

The Safety Management System is required by the SOLAS Convention and is mandatory for all cargo ships of 500 gross tons and over. The Research Vessel Thomas G. Thompson is regulated under SOLAS as cargo vessels. The ISM Code requires the certification of the company and compliance with the stated Safety Management System. The ISM Code provides an international standard for the safe management and operation of ships and for pollution prevention. Central to the ISM Code is the establishment of a Safety Management System (SMS) that is documented and followed. The SMS is documented in a Safety Management Manual (SMM). The SMM is a living document that reflects what and how things are done safely on vessels operated by the University of Washington School of Oceanography, or UW MarOps. Under the ISM Code UW MarOps is required to receive a Document of Compliance . This is issued by several third party organizations authorized by the International Maritime Organization. UW has chosen ABS Americas to perform this function. A Document of Compliance is valid for a period of five (5) years. Compliance is verified on a periodic basis annually within three months before or after each anniversary date of its issuance. The safety management objectives of UW MarOps are to provide for safe practices in ship operations and a safe working environment. It provides for the assessment of all identified risks to its ships, personnel and the environment and establishes appropriate safeguards. It continuously improves safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection. The Safety Management System ensures compliance with mandatory rules and regulations and that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are met. The function of the Safety Management System is to develop, implement and maintain a safety and environmental protection policy. It contains instructions and procedures to ensure safe operation of ships and protection of the environment. The SMS defines levels of authority and lines of communication between, and amongst, shore and shipboard personnel. It establishes procedures for reporting accidents and nonconformities with the provisions of the ISM Code, provides procedures to prepare for and respond to emergency situations and procedures for internal audits and management reviews. This is documented in the Safety Management Manual. The development and maintenance of the SMM is coordinated by the MarOps staff, under the direction of the Manager of Marine Operations. Input, recommendations and changes to the SMM are encouraged from both shore and vessel personnel.

UW Marine Ops SMS Safety and Environmental Policy SMM 2.0 Version 2020August5 Updated MBC Approved RAK Page 1 of 1

UW MarOps is committed to providing a safe and environmentally sensitive workplace for employees and scientists. We shall:

• Instill the Mission of "Clean and Safe Science" in our operations. • Implement and enforce an approved Safety Management System; and • Provide instruction and procedures to promote safe operation, meeting or exceeding all

safety and environmental regulations; and • Promote a workplace which identifies risks, actively corrects problems and trains

employees for emergencies; and • Enforce all Federal, State and University rules to ensure employees work in an

atmosphere free from discrimination, harassment or intimidation; and • Continuously monitor our progress in creating a safe drug-free workplace which protects

life, the environment and property. “ Clean and Safe Science ” shall remain posted throughout the ship to remind both crew and science members that safety and environmental awareness are a part of every operation. More guidance can be found in the posting “What you need to know before sailing on a UW vessel” at: https://www.ocean.washington.edu/story/What+you+need+to+know+before+sailing+on+a+UW

+vessel

https://www.ocean.washington.edu/story/What+you+need+to+know+before+sailing+on+a+UW+vesselhttps://www.ocean.washington.edu/story/What+you+need+to+know+before+sailing+on+a+UW+vessel

UW Marine Ops SMS Health and Safety Plan, COVID-19 SMM 2.0 .1

Version 12July2020 Updated MBC Approved RAK Page 1 of 8 This Health and Safety Plan has been developed and is being issued to provide guidance for all workers onboard the Research Vessel Thomas G. Thompson. This version is specific to the COVID-19 global pandemic and was develop with the College of the Environment guidelines for Health and Safety Plans for Research Teams and the UNOLS Coronavirus (COVID-19) Considerations for Making Decisions Regarding Conducting Science Onboard U.S. Academic Research Fleet Vessels (v 1.8 dated 1 June 2020) and other references above. In accordance with to Washington Governor Jay Inslee’s Phased Approach to Recovery (Reference 1 above), the University is currently in Phase 2 of reopening. Under this phase, telework is strongly encouraged for all non-critical personnel, and all in-person work must adhere to all appropriate safety measures and unit COVID-19 Prevention Plans. This Health & Safety Plan was updated to meet the requirements of the COVID-19 Prevention Plan as adapted to the shipboard environment. All shipboard positions have been designated as performing a critical service that requires their presence on campus or at a work location away from their home and are allowed to physically come to work. Due to the strict isolation procedures in place for the crew (described below), R/V Thompson is at much lower risk for transmission among co-workers and therefore will be permitted to continue living and working aboard the vessel. If at any time, the isolation procedures are compromised, or if a suspected positive case is found aboard, these procedures will be immediately revisited. During the period of May 8th, 2020 to June 26th, 2020, R/V Thompson was alongside the UW Marine Science Building (MSB) Dock due to a COVID-19 standdown period recommended by UNOLS and the National Science Foundation. The standdown ended on 1 July, and R/V Thompson was permitted to get back underway on June 27th, 2020 to resume low-risk science projects per UNOLS guidelines (Reference 9). GENERAL REQUIREMENTS FOR WORKING DURING COVID-19

• All shipboard personnel are required to complete the UW COVID-19: Back to Workplace (Reference 4) training prior to going aboard the vessel.

• Know the signs and symptoms of COVID-19 and monitor yourself for them:

- Fever, chills, aches, dry cough, difficulty breathing, loss of smell or taste. - Report any symptoms to the ship’s medical officer (Chief Mate) immediately

• Practice good hygiene habits: o Keep your hands clean. Wash hands frequently. Use soap and hot water for at

least 20 seconds. o If soap and water are not available, use at least 60% alcohol hand sanitizer gel. o Use gloves when working on the dock, cleaning common spaces, and emptying

the garbage to the dumpster. o Sneeze or cough into your elbow. o Use tissues if you sneeze and then place the tissue directly in the garbage.


Version 12July2020 Updated MBC Approved RAK Page 2 of 8

o Don’t touch your eyes, mouth or nose. o

• Monitor temperatures on a daily basis and watch for symptoms of infection. The ship will monitor and record temperatures of all personnel at least on a daily basis. For pre-boarding self-isolation periods, and during some cruises, it will be recorded twice daily.

• Wear a mask or other face covering as required when aboard. Per ONR policy, face coverings are required aboard ONR-owned vessels whenever social distancing cannot be maintained. The master may make exceptions for low-risk activities or due to safety concerns (ie communications on the back deck).

• The ship has a limited supply of face coverings and has N-95 masks for instances of suspected

infection. Similar to other PPE in order to be effective, the face covering must be comfortable and worn correctly. Therefore, it is recommended that each person boarding find a cloth face covering that is most comfortable for them and bring at least three cloth masks in order to switch them out daily to be washed. The ship will provide disinfectants for surfaces as well as hand sanitizer located at dispensers throughout the vessel. The ship’s crew will sanitize high touch areas like the public heads, messdeck, ladderwells, and door knobs twice daily.

PROCEDURES PRIOR TO GOING ABOARD THE VESSEL Self-Isolation Protocols Our primary goal is to prevent the novel coronavirus from getting aboard. This is expected to keep everyone healthy and prevent interrupting current and future science cruises. Quick note on definitions: Medical professionals consider the period described below as a self-quarantine and an isolation period is what occurs after someone becomes infected in order to prevent the spread from a known infection. Lawyers like to point out that only governments can impose a quarantine, therefore the UNOLS guidance and our protocols use the term self-isolation in place of self-quarantine which is the period before going aboard. The self-isolation protocols we have in place were adapted from the Discovery Health Covid-19 Onboard Procedures. These directives are applied to both the crew and science party members as they have been found to have the highest effectiveness for virus prevention. It is the best practice and most-conservative among the Academic Research Fleet (ARF) operators. A 14-day self-isolation period is required for all personnel who will go aboard the ship – crew, marine technicians, and scientists. If the participant can meet the ship without using public transportation (flights, buses, trains, etc) then they have the option to self-isolate at home as long as they can follow the protocols below. If the member must use public transportation then they are required to travel first and then self-isolate in or near the port in which they will meet the ship (per UNOLS guidelines and medical advice). The following are instructions on how to self-isolate during the 14-day period. These must be strictly followed in order to be effective:



1. Select a location, whether your residence or a hotel room/rented lodging, and you do not leave that location for 14 days. If you are in a house you may go anywhere on the property provided it does not risk contact with other people who are not isolating with you.

2. If you are self-quarantining with other people in the house, everyone in the house must complete the isolation/quarantine with you and follow these protocols.

3. If you have a home that has a separated living space like an in-law suite with separate bathroom or guest house, then isolating in those areas away from others is acceptable. These areas should have a physical separation (door, curtain, etc) with signage as a reminder to not have visitors. Note: This is more strict than the Discovery Health guidance which allows co-habitation as long as 6 feet of distance is maintained. UW considers this too great of risk and is not allowing it.

4. If you cannot comply with 2 or 3 above, then you must find separate lodging where you can effectively isolate.

5. No visitors are allowed. No, sorry, you can’t go walk the dog off the property. 6. You cannot go to the grocery store or leave your home. Food can be ordered in from restaurants

through apps like UberEats, DoorDash, and Caviar. You may also order groceries to be delivered through apps such as Instacart and Amazon Fresh. Several grocery stores have started their own delivery services and many local/personal services have been created to help during this pandemic. Ask for no-contact delivery and disinfect the food orders to the best of your ability before bringing them inside.

7. During your self-isolation you will be expected to take your temperature twice daily and enter into a web-based log through Discovery Health. A doctor will be monitoring your entries for potential risks. Please ensure you have a thermometer in hand prior to isolation. This log will be established during your first virus test (see below).

8. If you need to break quarantine to seek medical care or for any other reason, you have not successfully completed quarantine and should not travel.


Version 12July2020 Updated MBC Approved RAK Page 4 of 8 Covid-19 Testing and Screening

One month prior to your cruise, you must submit the High-Risk Self-Identification form to UW School of Oceanography Port Captain (Meegan Corcoran); if you do identify as higher risk for severe illness then you must consult with your doctor and obtain a doctor’s note before being permitted to participate in the cruise.

Crew and science party members alike will be tested for COVID-19 prior to beginning their self-isolation period. The PCR swab test (active virus test) is required and may be completed the day prior to isolation or the morning of. Medical advice (from Discovery Health) recommends the PCR test to be accompanied by an anti-body/venous blood test in order to provide additional screening to further remove individuals from the cruise who may convert from negative antibodies to positive antibodies during the isolation period. This additional testing is intended to catch cases that may get through as a false negative of the PCR testing. Those with positive antibodies for SARS-COV2 (the virus that causes COVID-19) will be reviewed by a physician on a case-by-case basis for participation in the cruise.

The anti-body tests are not always available, so this will be determined for each science group prior to isolation. The UW Port Captain, Meegan Corcoran, will work with the Chief Scientist to ensure all testing is set-up. You will get clear direction prior to your isolation period.

During the isolation period, you will be required to monitor yourself for any symptoms and take twice daily temperature readings as listed in item 7 above. This symptom tracking will be logged in the Discovery Health on-line system and be referred to a physician if abnormal. The physician will review any abnormal symptoms and advise if an individual is fit to sail on a case-by-case basis.

At the end of your isolation period you will be tested again. This will occur 1-2 days before your scheduled mobilization day in order to provide time for results to be obtained before going aboard. It may be necessary to break your self-isolation in order to get this test; however, the benefit of the second test outweighs the risk of exposure while going directly to/from drive through testing. If the test results are negative you will be able to join the ship.

If you would like to receive another test after the cruise is completed to ensure you are still virus free this can be arranged by request. This is a UNOLS recommendation for cruises under 14 days, but is not a requirement.

Meeting the Ship

Once your test results are received and all are negative you will be permitted to join the ship. You must make your way directly to the ship with as little contact with others as possible. This ‘last mile’ must be well planned out and executed because carelessness or unexpected contact during the trip from place of self-isolation and the ship may negate the two-weeks of effort. Consider asking others not going on the cruise to help with tasks such as fueling up or returning rental cars (as permitted) after you are safely on the ship.

Ensure your vehicle has enough gas before your self-isolation period. If you must stop for a bathroom break during your drive, for example, you are expected to wear a mask and gloves to prevent exposure. The gloves should be discarded after use. Observe good personal hygiene and sanitize your hands after any necessary stop.


Version 12July2020 Updated MBC Approved RAK Page 5 of 8 Do not stop at any grocery or convenience stores enroute to shop before going aboard. Ensure you have everything you need and all of your belongings with you as you will not be leaving the vessel once you board until your scheduled debarkation at the end of the cruise.

When mobilizing and demobilizing you may work on the pier as long as you have a mask and stay at least 6 feet from anyone who is not a cruise participant. Anyone who has not completed a 14-day self-isolation will not be allowed aboard the ship.

If operating a forklift or crane on the pier ensure the cabin is sanitized prior to taking control.

Procedures for working aboard R/V Thompson while alongside UW-Marine Science Building Dock In order to minimize the risk of infection from COVID-19, UW Marine Operations implemented the following restrictions for the R/V Thompson crew while alongside at UW MSB Dock:

• Crew will be restricted to the MSB dock. • Crew must stay aboard the vessel and are not permitted to go home until the end of their

scheduled rotation. • All crewmembers and marine technicians will have single occupancy staterooms while

alongside. • No visitors will be permitted on the dock or on the MSB pier. Only people with official

ship’s business will be permitted on the pier and will not be permitted up the gangway. • All communication with non-crewmembers will be done either over the phone, radio, or

emails. If this is not possible, then a distance of six feet or greater must be maintained with both parties wearing masks prior to communication. Shouting increases the risk of transmission and should be avoided.

• All ship and crew items shall be delivered to the dock and disinfected before coming aboard; no individual shopping.

• No vendors or contractors will be allowed aboard to conduct work, except in case of required regulatory inspections or urgent/emergency repairs. Any exception must be approved in advance in writing by the Manager of Marine Operations. In the case of an exception, the contractor shall fill out a questionnaire to determine potential of infection. Prior to boarding the vessel the contractor will don a mask and gloves and have their temperature taken. If the vendor’s temperature is 100.4F or greater and/or their questionnaire determines they are a risk to the crew then the vendor will not be allowed aboard.

• A log of all essential personnel permitted to board the vessel shall be kept. • All personnel onboard must continue to meet ONR’s mandatory requirement to wear

masks when social distancing (at least 6 feet apart) is not feasible. The Master may relax this requirement if crew isolation has been strictly maintained.

• The crew will disinfect the ship daily with focus on high touch areas (such as hand rails, heads) and other horizontal surfaces.

• The galley will implement cafeteria-style serving on messdeck to avoid multiple people using the same utensils.


Version 12July2020 Updated MBC Approved RAK Page 6 of 8 Other activities on the MSB Pier:

• Other activities on the MSB pier will be severely limited in order to keep the area as a buffer zone for the R/V THOMPSON crew

• Crew must maintain social distancing and must wear masks when on the pier (no exceptions).

• The crew is not to go within 10 feet of the R/V RACHEL CARSON and limit interactions with the CARSON crew.

Procedures for working on R/V Thompson while underway

In accordance with the UNOLS Considerations (Reference 9), a risk determination will be conducted by the Manager of Marine Operations in consultation with the Marine Operations staff including representatives from the ship. In addition, the Principal Investigator and/or the Chief Scientist will also complete a risk determination. UW School of Oceanography leadership (Director and Associate Director) will be briefed on all risk determinations. Cruises with agreed upon ‘Low-Risk’ per the UNOLS guidelines will be permitted to proceed. Cruises with a ‘Medium-Risk’ are required to be briefed to UNOLS and the funding agencies for their concurrence to proceed.

Per ONR policy, and other best practice, masks (face coverings that cover the nose, mouth, and chin) are required for science and crew when outside personal staterooms. The Master may relax this requirement when the risk of transmission is determined to be low (for example after 14 days at sea with no signs of infection).

The following are COVID-19 safety protocols while working aboard post-isolation:

1. Once aboard the vessel, the crew and science party are not to leave the ship until their scheduled departure date. Work can be conducted on the pier, but masks must be worn and social distancing must be strictly adhered to. If a crew or science party member are to take control of a piece of shoreside equipment they must first sanitize the equipment before taking control.

2. If a crew or science party member must depart the ship early for any reason including medical issues, they must conduct a 14-day isolation period again before being allowed back aboard.

3. The crew and science party members are to wear masks inside the skin of the ship when not able to socially distance. The master (ship’s captain) may make exceptions to the face covering procedure.

4. During science operations on the aft deck, masks can hinder communication which is a major safety issue. Therefore, masks are not required during these times.

5. During meal times, only two people will be allowed per table. In order to spread people out, the library and lounge will be open for seating during meal time and social distancing will have to be observed.



6. Masks are required while in the galley serving line. Hand sanitizer will be placed in the galley line and all crew and science party members will be required to sanitize prior to serving themselves. Hand sanitizer will also be placed on each table and at the coffee station.

If someone becomes ill on board, refer to the Outbreak Management Plan. The first steps are outlined below:

• If anyone aboard presents with flu-like symptoms, it will be assumed to be COVID-19 until testing confirms otherwise. The ill person will wear an N-95 mask and depart the ship as soon as practical.

• Accommodation arrangements will be made to isolate in a hotel (or at home if requested and within a reasonable drive where suitable transportation can be arranged). The ill participant (crewmember or scientist) shall seek medical attention including testing by contacting UW Medical Center or their Primary Care Manager.

• The ship shall follow the procedures in the Outbreak Management Plan to reduce the chances of others becoming infected and to determine next steps for the remainder of the personnel aboard. The goal will be to get the ill person off the ship as soon as possible and then isolate (ashore) all personnel who had close contact with the individual.

• Commercial disinfection of the ship and the stateroom of the ill crewmember will be conducted.

References: 1) Safe Start Washington – Phased Approach to Recovery (4 May 2020)

https://www.governor.wa.gov/sites/default/files/SafeStartWA_4May20.pdf 2) University Requirements for COVID-19 Prevention in the Workplace

https://www.ehs.washington.edu/system/files/resources/university-requirements-COVID-19-prevention-workplace.pdf

3) COVID-19 employee symptom attestation https://hr.uw.edu/coronavirus/return-to-on-site-work/covid-19-employee-symptom-attestation/

4) COVID-19 Safety Training: Back to the Workplace https://www.ehs.washington.edu/training/covid-19-safety-training-back-workplace

5) COVID-19 employment accommodation for high-risk employees 6) COVID-19 Health and Safety Resources

https://www.ehs.washington.edu/covid-19-health-and-safety-resources 7) College of the Environment guidelines for Health and Safety Plans for Research Teams

https://environment.uw.edu/intranet/covid-19-resources/covid-19-resources-for-researchers/health-and-safety-plans-for-research-teams/

8) Discovery Health – DRAFT COVID-19 ONBOARD PROCEDURES https://discoveryhealthmd.com/wp-content/uploads/2020/05/COVID19-Onboard-Procedures-v1.13.pdf

9) UNOLS – Coronavirus (COVID-19) Considerations for Making Decisions Regarding Conducting Science Onboard U.S. Academic Research Fleet Vessels https://www.unols.org/sites/default/files/COVID19_ConsiderationsForConductingSeagoingScience_Vers.1.8_1Jun20.pdf



This Health and Safety Plan will be updated as conditions change.

UW Marine Ops SMS Harassment & Personal Relationships Policy

SMM 2.1

Version 2018July29 Updated MBC Approved RAK Page 1 of 3 Policy UW School of Oceanography is committed to maintaining a positive working, research and learning environment free of illegal discrimination, harassment, intimidation and the perception thereof. All personnel, including crew, scientists, students, marine technicians, and anyone else involved, both shoreside and on board, are expected to support this goal. It is important that a professional atmosphere is maintained at all times through mutual respect for all your shipmates. To this end, it is important to address the issues of appropriate personal relationships and harassment. Personal Relationships Nothing in this policy is meant to preclude professional personal working relationships on board. Teamwork is key to the safe, successful completion of any cruise and the accomplishment of that enables our vessels to sail successfully. It is natural for people working in a shipboard environment to develop close working relationships. While on board, ensure all of your personal relationships remain professional, and that any personal relationship you have does not, or cannot be perceived to, unduly influence yours, or the other individual’s work or decision-making. In other words, any personal relationship, whether it is golfing together or romantic in nature, that “trickles” into decisions in the workplace and show favoritism or bias, is unacceptable. These types of close personal relationships can lead to an uncomfortable, awkward and hostile working environment. In addition, they can jeopardize the success of cruises by creating unnecessary tension onboard and/or inappropriate decision-making. Romantic relationships between ship’s crew and science parties, including students, are not permitted during science cruises. Furthermore, because consensual relationships between students and instructors may interfere with the learning relationship, the Faculty Senate has adopted a policy that states: No faculty member, teaching assistant, research assistant, department chair, dean, or other administrative officer should vote, make recommendations, or in any other way participate in the decision of any matter which may directly affect the employment, promotion, academic status, or evaluation of a student with whom he or she has or has had a familial, sexual, or romantic relationship (University Handbook, Volume Two, Part II, Chapter 24, Section 24-33, Footnote: Faculty/Student Relationships and Conflicts of Interest). This point is highlighted here because of the importance of maintaining an atmosphere that is conducive to student learning and research when they go to sea onboard our research vessels. Similarly, no ship’s crewmember or marine technician shall engage in romantic relationships with students while at sea. Sexual Harassment and Any Harassment Any harassment or relationship that interferes with, or is perceived to interfere with a safe, healthy working environment is unacceptable.


SMM 2.1

Version 2018July29 Updated MBC Approved RAK Page 2 of 3 Harassment can be blatant or subtle, printed, verbal, electronic or physical. Examples of conduct that can constitute illegal harassment are: --Outright propositions/improper suggestions --Racial or ethnic, sexist, lewd or obscene jokes, slurs, or cartoons --Abuse, insults, insinuations, or jokes concerning sexual orientation --Touching, including pats, hugs, squeezes, brushing against, putting arms around shoulders --Threats or promises regarding compliance with sexual behavior --Acting, mocking, or sounds - whistling, suggestive sounds, obscene gestures --Imbalance of attention, whether it be positive or negative, towards one individual based upon gender or race --Assault, sexual or otherwise Unfortunately, sexual harassment is an issue that may occur on ships given the close working environs of a ship during deployments to sea when people may feel lonely, overtired or homesick despite organizational and personal efforts to prevent and eliminate it. The close quarters on a ship demand utmost consideration of others at all times.

The University's policy defines "sexual harassment" to include: 1. Unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature by a person who has authority over the recipient when: a. Submission to such conduct is made either an implicit or explicit condition of the individual's employment, academic status, or ability to use University facilities and services, or b. Submission to or rejection of the conduct is used as the basis for a decision that affects tangible aspects of the individual's employment, academic status, or use of University facilities; or 2. Unwelcome and unsolicited language or conduct that is of a sexual nature or that is sufficiently severe, persistent, or pervasive that it could reasonably be expected to create an intimidating, hostile, or offensive working or learning environment, or has the purpose or effect of unreasonably interfering with an individual's academic or work performance Sexual harassment is illegal. UW employees including ship’s crew, marine technicians, faculty, staff, and students who engage in sexual harassment will be subject to corrective or disciplinary action. Violations can lead to severe penalties, up to and including termination of employment or termination from educational programs, as well as possible personal liability. Reporting All are encouraged to prevent any harassment by early intervention if possible. For example, if someone does not know they are offensive, it should be pointed out to them immediately, at the “lowest reasonable level”, such as by a trusted shipmate. Often, this solves the problem early. Otherwise, on the vessel any violations to the harassment policy shall be reported to the Master, Chief Mate or Chief Scientist. In the event individuals are not comfortable reporting a harassment violation to any of them, they have the option of reporting to the Designated Person (DP), whose contact information is posted on board the ship and is in section 3 of this manual. UW Carelink is also available for advise, counseling or reporting an incident; UW Carelink information can be found at the end of section 2.2 in this manual.


SMM 2.1

Version 2018July29 Updated MBC Approved RAK Page 3 of 3 Awareness Each person on the vessel will be made aware of this policy. It shall be addressed during the vessel’s Safety Briefing as is required the UNOLS Research Vessel Safety Standards.

UW Marine Ops SMS Drug & Alcohol Policy SMM 2.2 Version 2020August5 Updated MBC Approved RAK Page 1 of 3

To help ensure the safety and well being of faculty, staff, students, and the general public, UW Oceanography is committed to maintaining a shipboard environment that is free of illegal drugs and of drugs and alcohol that are used illegally. This includes the abuse and/or inappropriate use of prescription or over the counter drugs, and the possession of drug paraphernalia. Accordingly, the school prohibits consumption of alcoholic beverages on a school vessel. The school also prohibits the unlawful possession, use, distribution, or manufacture of alcohol or controlled substances (as defined in Chapter 69.50 RCW ) on school vessels. Violation of the school’s alcohol and drug prohibitions is cause for disciplinary or other appropriate action, up to and including termination. Reference : These provisions are in accordance with the requirements of the federal Drug-Free Schools and Communities Act Amendments of 1989 , and the Drug-Free Workplace Act of 1988 and the applicable regulations found in Title 33, 46 and 49 of the Code of Federal Regulations. Washington State laws concerning marijuana do not change or impact marijuana being considered an illegal drug as per Federal Law and UW policy. Policy : UW Oceanography prohibits the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance in the workplace. As defined, the workplace includes any location where an employee or student is working and receiving funds. All personnel, crew, staff, faculty, scientists, technicians, students, guests, regardless of where they are from, are affected by this regulation and are expected to comply as a condition of continuing their affiliation with UW Oceanography. Crewmembers, and members of the embarked scientific party are subject to drug and alcohol testing requirements found in Title 46 Code of Federal Regulation for reasonable cause and in the event of a “Serious Marine Incident” at the discretion of the Master or the Designated Person. Crewmembers, research vessel technicians, and the licensed marine operations staff are also subject to random drug testing, including testing for alcohol. If an individual receives a positive drug test result or refuses to submit to requested drug testing, UW Oceanography shall, as soon as is practicable, remove that individual from active duty and place the member on involuntary unpaid leave or terminate his/her employment. However, UW Oceanography may, in its discretion, continue in active duty any person whose performance is necessary for the preservation of life or property or the protection of the environment. UW Oceanography may, in its discretion, treat a positive alcohol test result or a refusal to submit to alcohol testing in the same manner as a positive drug test result or a refusal to submit to a drug test. If that individual is a marine crewmember and holds a merchant mariner’s credential, UW Oceanography must also report any positive drug test result or refusal to take a test to the USCG. A crewmember in this status faces license and/or document revocation under USCG procedures. Disciplinary action from UW Oceanography is also appropriate. If the individual affected does not hold a merchant mariner’s credential, there is no obligation to report the positive test results to the USCG except as part of a response to a request for records

http://www.leg.wa.gov/RCW/index.cfm?fuseaction=chapterdigest&chapter=69.50http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=browse_usc&docid=Cite:+20USC7105http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=browse_usc&docid=Cite:+20USC7105http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=browse_usc&docid=Cite:+41USC701


by the USCG. The exception is in the event of a Serious Marine Incident. Employees who have positive test results are nevertheless subject to appropriate UW Oceanography disciplinary action. UW has an obligation to inform the appropriate funding agency in the event of an employee's conviction of a drug violation in the workplace. Such notification must be within ten days of the employee's conviction or within ten days of actual knowledge of such conviction. Alcohol Specific Policy : No alcoholic beverages of any type may be brought aboard or consumed on UW Oceanography vessels at any time. Unopened and sealed containers of alcohol may be transported on vessels if under the control of the Master. All persons, including scientific staff from other institutions and visitors, are expected to abide by this regulation. No person may drink on duty or come on duty or watch under the influence of alcohol, at sea or in port. By regulatory definition, a person with a blood alcohol content of 0.04 percent by volume is considered to be under the influence of alcohol. As guidance to the Master of the vessel, Title 33 Code of Regulations, part 95.045 sets forth the following for a crew member. The below extends to the scientific personnel performing duty, including on loading and offloading equipment in port.

a) Shall not perform or attempt to perform any scheduled duties within four hours of consuming any alcohol;

b) Shall not be intoxicated at any time on duty; c) Shall not consume any intoxicant while on watch or duty; and d) May consume a legal non-prescription or prescription drug provided the drug does not

cause the individual to be intoxicated.

The Master has the legal responsibility for the safety of the vessel and all personnel on board. As such the Master has the administrative authority to enforce these rules. The Master is authorized to search any part of the vessel at any time for alcoholic beverages and to remove, impound, confiscate or destroy any unauthorized alcoholic beverages found. The only exception to the above is if the Manager of Marine Operations and the Director of the UW School of Oceanography jointly agree to permit alcohol consumption aboard. Per UNOLS RVSS Section 6.3.1, an exception to the alcohol ban can be approved in writing by institutional management for consumption aboard while in port for special occasions . In these rare cases, a signed letter of approval will be sent to the Master with clear instructions regarding expectations and limitations. The Master, Manager of Marine Operations, or Director may rescind the approval letter at any time. Alcohol possession by individuals and permission for alcohol consumption underway are never permitted. Employee Assistance Program, UW Carelink : In recognition that any form of drug abuse is dangerous to the health and well being of all UW personnel, UW CareLink offers a wide range of services that can help you manage through the different stages of life, develop a healthy lifestyle, create a quality work environment, and save time by providing easy access to trusted experts, including counselors, attorneys, financial advisors, and child and adult/elder care consultants.


Services are available nationwide for benefits-eligible UW faculty and staff, their dependents, and household members. In addition, faculty and staff may include in the counseling session anyone who may be involved in their issue, such as a friend or relative. UW CareLink is brought to you by APS Healthcare, a leading provider of programs that help employees make the most out of their personal and professional lives. Call toll-free: 1-866-598-3978 (TTY: 1-877-334-0489 ) . Master's-level counselors are available to take your call 24/7. For financial, legal, and child and adult/elder care services you will be referred to the appropriate professional. More information may be found at: http://www.washington.edu/admin/hr/benefits/worklife/carelink/

http://www.washington.edu/admin/hr/benefits/worklife/carelink/

UW Marine Ops SMS Company Responsibilities and Authority SMM 3.0 Version 2019Aug07 Updated MBC Approved RAK Page 1 of 1

The R/V Thomas G. Thompson is owned by the Office of Naval Research (ONR) and is operated by the University of Washington School of Oceanography, Marine Operations (MAROPS) under a Charter Party agreement. The R/V Rachel Carson is owned by the University of Washington. Both vessels are operated as part of the University National Oceanographic Laboratories System (UNOLS) fleet. Organization:

• The Director of Oceanography is in charge of all matters pertaining to the operation of the UW MAROPS vessels and may create policies. The Associate Director is the Management Representative . The principal duty of the Associate Director is to ensure resources are available and chair the Safety Management Committee .

• The Manager of Marine Operations is the Designated Person in charge of day to day operations of UW MAROPS vessels and management. The Manager of Marine Operations issues procedures and creates policies in the SMS as well as tend to all administrative matters outside of the system. This Designated Person is a member of the Safety Management Committee and an internal auditor . The Designated Person is assisted by three managers.

1. The Port Engineer coordinates the technical and engineering operations of UW

MAROPS vessels. This person is a member of the Safety Management Committee. This manager shall keep track of all repairs and maintenance. The Port Engineer shall act as Designated Person when necessary.

2. The Port Captain coordinates the shipboard management, personnel, training and ISM matters. This person is a member of the Safety Management Committee and may make temporary procedures until approved by the Manager of Marine Operations. The Port Captain may act as Designated Person when necessary. This person coordinates the ISM system, including the auditing process and is an internal auditor.

3. The Manager of Shipboard Science Support Group (SSSG) manages the technical science aspects of the operations aboard UW MAROPS vessels and is a member of the Safety Management Committee. This person assists in creating procedures for the SSSG.

Purpose and Procedure:

• The Safety Management Committee is responsible to review the SMS, issue policies, help create new procedures, implement the audit process and ensure that the process operates and improves.

• The Safety Management Committee will ensure that adequate resources and shore-based support at UW is provided to enable the Designated Person and MAROPS staff to carry out their functions.

• The Safety Management Committee will meet at least annually.

UW Marine Ops SMS Company Responsibilities and Authority SMM 3.0 Version 2020Aug05 Updated MBC Approved RAK Page 1 of 1

UW Marine Ops SMS Designated Person (DP) SMM 4.0 Version 2020 August 5 Updated MBC Approved RAK Page 1 of 1

Roles, Responsibility and Authority:

• The Designated Person (DP) serves as the link between shore side support operations and the UW MAROPS vessels.

• The DP shall be accessible to crew and science, and respond to any safety and pollution concerns that have not already been reasonably addressed on board. This shall be posted on board.

• The DP is responsible for and shall ensure the safe and environmentally clean operation of UW MAROPS vessels.

• The DP shall be the first person notified of a shipboard emergency by shipboard personnel. In his absence, the individual assigned to act in his behalf shall be notified. In most instances, this will be the Port Engineer or the Port Captain.

• The DP shall ensure that adequate resources and shore-based support of the SMS are provided.

• The DP shall monitor the safety and pollution aspects of each ship operation through an internal and external audit program on board and on shore.

• The DP shall evaluate the effectiveness and degree of implementation of the SMS and implement continuous improvements.

SMS Position: Designated Person, Primary Name: Robert Kamphaus Title: Manager of Marine Operations Address: University of Washington

School of Oceanography Box 357940 1503 NE Boat Street Seattle, Washington 98195-7940

Office Phone: 206 685-5672 Mobile: 206 225-0562 E-Mail: [email protected]

SMS Position: Designated Person, Alternate Name: Meegan Corcoran Title: Port Captain Office Phone: 206 221-6920 Mobile: 360 929-9034 E-Mail: [email protected]

SMS Position: Designated Person, Alternate Name: Georg Schroeder Title: Port Engineer Office Phone: 206 543-0676 Mobile: 206 823-5947 E-Mail: [email protected]

UW Marine Ops SMS Master’s Responsibility, Authority & Guidance SMM 5.0 Version 2019Aug07 Updated MBC Approved RAK Page 1 of 1

Master Responsibilities:

● Overall responsibility for all vessel operations, safety, crew welfare, vessel material readiness, and regulatory compliance.

● Oversee shipboard operations and coordinate with Principal Investigators, Scientists and Students, and Marine Technicians to support science missions.

● Conduct onboard drills and inspections as needed to ensure the safety of the ship in accordance with USCG, ISM, ABS, UW and port state requirements.

● Monitoring and reviewing the Safety Management System and reporting any deficiencies to Marine Operations in accordance with other provisions of this manual. This shall be documented in Sinex annually.

● Coordinate with vessel Department Heads to assess vessel's material condition and allocate personnel and material resources to maintain vessel in accordance with UW's and owner's requirements.

● Effectively delegate responsibility to Dept. Heads, with appropriate oversight, while ensuring successful accomplishment of science objectives for each cruise as outlined in each set of “Sailing Orders” signed by the Manager of Marine Operations.

● Training of officers, and crew; manage shipboard personnel including recognition, disciplinary action, and periodic evaluations in accordance with UW guidelines.

● Compile work requests for shore-side repairs and support by vendors or shipyards and recommend and implement improvements to vessel operations.

● Maintain currency with all applicable laws, regulations, treaties, CFRs, USCG-NVICS, etc., pertinent to basic duties listed above.

Master Authority: The Manager of Marine Operations shall issue Sailing Orders to the Master at the commencement of each voyage. Included in the Sailing Orders shall be the following clear statement emphasizing the Master's authority: "The Master is ultimately responsible for the safe operation of the vessel and for preventing pollution. The Master is empowered in all situations with overriding authority to act decisively and according to best judgment to protect the vessel and other vessels or property from damage, and to prevent pollution and protect the environment. The Master may request assistance from any appropriate resource of the University of Washington in order to fulfill these responsibilities."

UW Marine Ops SMS Master’s Change of Command Report and Inventory Form SMM 5.1 Version 2020 August 5 Updated MBC Approved RAK Page 1 of 1

Procedure The departing master and relieving master will use this checklist as a reminder of information

that needs passed; it is not all inclusive, but serves to cover the primary topics that normally need passed along.

Date: _________________ Location: _________________________ ☐ Relief notes and email turn-over file ☐ Vessel documents, expiration dates ☐ Safe combination ☐ Controlled substance inventory ☐ Ship’s account summary, funds on board ☐ Forms: Discharges/CG-735/Customs Dec/Entry forms by country ☐ Review CASREP/OFI catalog ☐ Crew documentation, expiration dates ☐ Crew changes, sign-on dates ☐ Sailing orders, voyage plan ☐ Vessel schedule, sailing board time, ETA’s ☐ Bunker schedule ☐ Stores, repair schedule ☐ Watch Bill ☐ Science pax list, passport confirmation ☐ Port, agent contact information ☐ Port State notifications (96 hr NOA, 24 hr AMS, 24 hr CVTS, Ballast) ☐ Stability files, science loads, drafts, fuel & ballast status ☐ Hazmat, radiological inventory: aboard, to load, discharged ☐ Maintenance: Completed, in-progress, planned ☐ Oil record book signed ☐ Garbage log signed ☐ Classified information ☐ Ship’s keys, rental car keys ☐ Changes in SMM or other Marine Operations Procedures during this tenure ☐ COC deck log entry, MarOps notification ___________________________________ ____________________________________ Departing Master – print and sign Relieving Master – print and sign This form shall be documented in Sinex and a copy forwarded to the Port Captain.

UW Marine Ops SMS Master’s Pre-Arrival/ Pre-Departure Checklist SMM 5.2 Version 2019August 6 Updated MBC Approved RAK Page 1 of 1

Procedure The Master must ensure the items listed have been addressed prior to arriving or departing from

a port. Some items may not be applicable depending on the port of call. If an item is not applicable the Master must make note on the checklist.

Date: _________ Port Location: _________________________ ☐ Arriving ☐ Departing ☐ Sailing Orders / Voyage Plan (Pre-Departure) ☐ Stability calculated (Pre-departure) ☐ Forms: Discharges / CG-735 / Customs Dec / Entry Forms by Country ☐ Bridge Gear Test/GMDSS Gear Test Check Lists signed ☐ Crew Documentation ☐ Security Level 1 2 3 ☐ Vessel Schedule / Sailing Board Time / ETA’s ☐ IMO Watch Bill ☐ Crew changes, sign-on dates ☐ Science Pax List / Passport Confirmation ☐ Port / Agency Contact Information / Port Clearance ☐ Port State Notifications (96Hr NOA, 24 Hr CVTS, Ballast) ☐ Stability Files / Science Loads / Drafts / Fuel & Ballast Status ☐ Hazmat / Radiological Inventory ☐ Ship’s Keys / Rental Car Keys ___________________________________ Master – print and sign This form shall be documented in Sinex and a copy forwarded to the Port Captain.

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UW Marine Ops SMS Personnel Qualifications and Requirements SMM 6.0 Version 2019Aug07 Updated MBC Approved RAK Page 1 of 1

Crew qualifications and requirements: The Port Captain will maintain and track all USCG, STCW, UW and other training documents. These documents will be appropriately safeguarded since they contain personal private information. A “Welcome to the UW crew hiring process” email will be sent to new crew explaining the required qualifications to be hired. It will contain a list of all the requirements of USCG, STCW and UW. The Port Captain will also ensure all returning crew members are current with their required qualifications. All documents and communications will be in English. The USCG requires all crew to be drug free and fit for duty. This, as well as maintaining all of the required documents, is a condition of initial as well as continued employment. The STCW expiration date on the USCG medical certificate is used to determine validation . UW MarOps will request copies of the crew member’s most recent USCG physical, however the crew member is not required to provide it. This is just in case a mariner cannot communicate to first responders; the physical can be consulted for medical history, for example allergies. It is the responsibility of new hires and temporary crew to obtain the necessary training to fill the positions they are seeking. The Port Captain will pay for training and MMC costs for permanent crew. The Port Captain may pay for certain temporary crew employment costs that are specifically required to work at UW, such as a pre-employment drug screening. Crew should clarify what is reimbursable before incurring any costs they expect to be paid for. The Master’s qualifications are found in the position description, and responsibilities and authority are summarized in SMM section 5.0. UW MarOps will also co unsel and provide any new Master with a summary of their expectations. Crew Information and Policies can be found at: http://www.ocean.washington.edu/story/RV+Crew+Information

http://www.ocean.washington.edu/story/RV+Crew+Information

UW Marine Ops SMS Crew Familiarization & Qualifications Form SMM 6.1 Version 2019August6 Updated MBC Approved RAK Page 1 of 3

___________ ______ _______________________ Date reported Position Crew member printed name Supervisor or Third mate Initial and date the following items upon completion: To be completed prior to sailing: 1. _____/_____Locate the following: a. muster & embarkations stations; b. alarms & the appropriate actions to take if the fire or abandon ship alarm is sounded; c. life-saving appliances, including life-jackets, exposure suits and their use; put on an exposure suit; d. emergency escape routes; e. fire-fighting equipment including demonstrating basic knowledge of the use of portable fire extinguishers; f. various safety information symbols & signs as well as understanding the fire and life-saving appliance plan posted; g. fire & watertight doors;

h. means of emergency communications to report “man overboard” and detection of fire, smoke or flooding; 2. _____/_____Locate any personal protection gear required to perform your duties, as well as first aid/medical kits available and the hospital’s location 3. _____ / _____ Meet with Medical Officer to discuss any known medical issues that may affect your duties (ie, diabetes, communicable diseases, heart disease, allergies, etc.)

To be completed immediately after sailing: 3. _____/_____Review this SMM and be familiar with the applicable parts for you. Know where to find it. 3a. Read the security policy, SMM7.0.3, and understand your assigned duties for increased security levels as per security bill. 4. _____/_____Locate operational manuals or other documentation needed to perform your duties. 5. _____/_____Locate the equipment necessary to perform your duties and learn the control and display features of that equipment. 6. _____/_____Coordinated with ship operations, observe the equipment in use by someone whose duties already requires its use.

7. _____/_____When conditions permit, activate the equipment and perform functions using the controls on the equipment. 8. _____/_____Read and understand any relevant standing orders (bridge or main control), clarifying any unclear or confusing material. 9. _____/_____Understand your chain of command, the Master’s authority, the DP role, and your duties regarding safety and pollution prevention. 10. _____/_____Discuss with your supervisor a personal work schedule that complies with work hour limits and rest period requirements, and understand the watch schedule if applicable. Work hour limits, in summary are: a. Need at least 10 hours off/24 hour period. b. One period needs to be 6 hours or longer.


c. Emergencies, drills or other overriding operational conditions may override this. d. You need to balance your sleep with personal pursuits in your off time. USCG Policy Letter is found: https://www.ocean.washington.edu/story/RV +Crew+Information 11. _____/_____Review and understand the ship’s garbage and recycle plan.

12. _____/_____Locate pollution response equipment; 13. _____/_____Read and understand the lock out tag out system.

The below are required only for the Master, Chief and Engineers 1. _____/_____Read the “Ballast Water Management Plan” 2. _____/_____ Ballast water pumping plan: a. Trace the pumping lines b. Review the ballast water pumping plan and arrangements c. Identify associated air and sounding pipes d. Note the positions of all compartments and tank suctions and pipelines connecting them to the ship’s ballast pumps e. Find the openings used for release of water from the top of the tank together with the overboard discharge arrangements. 3. _____/_____Learn the method of ensuring the sounding pipes are clear and

that air pipes and their non-return devices are in good order. 4. _____/_____Understand the different times required to undertake the various ballast water exchange operations. 5. _____/_____Explain the methods in use for ballast water exchange at sea if applicable with particular reference to required safety precautions. 6. _____/_____Show the method of on-board ballast water record keeping, reporting and recording of routine soundings.

The below are required only for the Master and Mates prior to standing watch. Understand, and if operations permit operate, the below. 1. _____/_____Function of each component along with any dependent relationships of one component to another. This includes radars, radios, communications with the engine room, hand and auto steering, and factors associated with z-drives (as compared to regular rudders). 2. _____/_____The visual and audible alarms displays along with their meaning and location. 3. _____/_____The procedures for switching between automated and manual operations along with the response times involved.

https://www.ocean.washington.edu/story/RV+Crew+Informationhttps://www.ocean.washington.edu/story/RV+Crew+Information


4. _____/_____Read the “Ballast Water Management Plan” and be familiar with sounding tubes inside the ship, the source of possible flooding. 5. _____/_____Complete the JRC ECDIS familiarization training. ___________ _______________________ _________________ Date completed Crew member printed name, and signature; ___________ _______________________ _________________ Date Supervisors printed name, and signature ___________ _______________________ _________________ Date Masters printed name, and signature

Upon completion, email to Port Captain to file and put in Sinex.

uw marine ops sms index smm 1.0-6.0 version 2018july29 ... · uw marine ops sms health and safety...

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