SOW_ATTACHEMENT_NOAA_SMALL_BOAT_STANDARDS_143031240021_.pdf

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The NOAA Small Boat Standards and Procedures Manual

4.1 Edition

April 30, 2018

NOAA Small Boat Standards and Procedures Manual ii

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iii

CHANGE MEMO

iv v

ISSUANCE MEMO

vi

RECORD OF CHANGES

4.1 Edition

SECTION DETAIL

7 • New subsection “Duration of Operations”

• Removed conflicting terms and ambiguity

• Changed “Watch Standing Requirements” section title to “Underway Requirements”

• Added Subsection “a. Daily Missions” and Subsection “b. 24 Hour Operations”

10 • Changed language to allow for SBP/SBSB to review and approve life raft make and models in addition to those under USCG purview

11 • Changed Table 1 frequency requirements to apply only to Class III and SRVs

17 • Changed accident and damage reporting procedures to better align with NOAA SECO requirements and utilizes NOAA SECO reporting mechanism for all events

4th Edition

SECTION DETAIL

All Renumbered sections and page numbers, revised content and references to appropriate sections and updated appendices

1 • Outlined three categories of small boat ownership & operation

2 • Remove passenger definition

• Added VPC roles and responsibilities

• Elaborated VOC roles and responsibilities

3 • Added minimum age and requirements

• Added foreign nationals and controlled technologies

• Added Sexual Harassment definition

• Added medical and fitness considerations

• Added waivers

4 • Added definitions of Active and Inactive small boats

5 • Changed how risk assessment is accomplished (Baseline, Mission and GAR)

6 • 3 year refresher for PQS

• Crewmember PQS requirements and documentation based on size

• Added advanced and continuing education vii

7 • Added watch standing requirements to this section

8 • New POC notification prior to departure

• Overdue notification workflow changed

9 New Section - STABILITY, DESIGN AND CONSTRUCTION CONSIDERATIONS

10 New Section - LIFESAVING EQUIPMENT AND SMALL BOAT EQUIPMENT

REQUIREMENTS

11 New Section - EMERGENCY READINESS

12 • Added process for pre-acquisition

13 • Shifted prescriptive - visual identification general guidance

• Allow different colors

14 • 45 day window extended to A,I, II

• Added authorized deviations

15 • Environmental compliance new requirements

16 New Section - MAINTENANCE PLAN

17 • New tables for accident and damage reporting

18 New Section - WEIGHT LIFTING EQUIPMENT CERTIFICATION AND

MAINTENANCE

19 • Added rigging log viii

ACRONYMS

AA: Assistant Administrator AED: Automatic External Defibrillators ASBE: Annual Small Boat Evaluation COTR: Contracting Officer’s Technical Representative CPR: Cardiopulmonary Resuscitation GAR: Green-Amber-Red LO: Line Office LOSBO: Line Office Small Boat Officer MOCC: Motorboat Operators Certification course NAO: NOAA Administrative Order NOAA: National Oceanic and Atmospheric Administration OEM: Original Equipment Manuals OIC: Operator-in-Charge / Officer-In-Charge OMAO: Office of Marine and Aviation Operations OOD: Officer of the Deck ORM: Operational Risk Management OSHA: Occupational Safety and Health Administration PQS: Personnel Qualification Standards SBEX: Small Boat Examination SBO: Small Boat Operator SBOM: Small Boat Operations Manual SBP: Small Boat Program SBPM: Small Boat Program Manager SBSB: Small Boat Safety Board SBSP: Small Boat Supplemental Policies SBSPM: Small Boat Standard and Procedures Manual SECD: Safety & Environmental Compliance Division SRV: Small Research Vessel USCG: United States Coast Guard VIM: Vessel Inventory Management VOC: Vessel Operations Coordinator VPC: Vessel Program Coordinator WLL: Working Load Limit XO: Executive Officer ix

NOAA SMALL BOAT STANDARDS AND PROCEDURES MANUAL

TABLE OF CONTENTS

CHANGE MEMO ........................................................................................................................................ iii

ISSUANCE MEMO ...................................................................................................................................... v

RECORD OF CHANGES .............................................................................................................................vi

ACRONYMS ............................................................................................................................................... viii

SECTION 1 INTRODUCTION .............................................................................................................. 1-1

.01 Purpose............................................................................................................................................ 1-1

.02 Scope ............................................................................................................................................... 1-1

.03 Manual Review and Distribution .................................................................................................... 1-1

SECTION 2 ROLES AND RESPONSIBILITIES .................................................................................. 2-1

.01 Programmatic Roles and Responsibilities ...................................................................................... 2-1

.02 Operational Roles and Responsibilities .......................................................................................... 2-2

SECTION 3 GENERAL POLICIES ....................................................................................................... 3-1

.01 Applicable Policies ......................................................................................................................... 3-1

.02 Command Designation ................................................................................................................... 3-1

.03 Personnel Authorized to Operate NOAA Small Boats ................................................................... 3-2

.04 Minimum Age Requirements .......................................................................................................... 3-2

.05 Foreign Nationals and Controlled Technologies ............................................................................ 3-2

.06 Seamanship and Personal Conduct ................................................................................................. 3-2

.07 Harassment, Sexual Harassment, and Related Offenses ................................................................. 3-2

.08 Smoking Restrictions ...................................................................................................................... 3-3

.09 Alcohol, Drugs, Narcotics............................................................................................................... 3-4

.10 Medical and Fitness Considerations ............................................................................................... 3-4

.11 Deviations from the Manual ........................................................................................................... 3-5

.12 Waivers ........................................................................................................................................... 3-5

SECTION 4 CLASSIFICATIONS AND STATUS ................................................................................ 4-1

.01 Small Boat Categories .................................................................................................................... 4-1

.02 Small Boat Status ............................................................................................................................ 4-1

SECTION 5 PROCEDURES FOR RISK ANALYSIS AND MANAGEMENT.................................... 5-1

.01 Key Principals of Risk Management .............................................................................................. 5-1

.02 Process for Managing Risk ............................................................................................................. 5-1 x

.03 Risk Elimination and Mitigation ..................................................................................................... 5-4

.04 Reassessment .................................................................................................................................. 5-4

SECTION 6 OPERATOR QUALIFICATION, EVALUATION AND DESINGATION ...................... 6-1

.01 Operator Credentials and Training Requirements Overview .......................................................... 6-1

.02 Operator Credentials and Training Requirements Information ...................................................... 6-1

.03 Crewmember Training Information ................................................................................................ 6-3

.04 Documentation ................................................................................................................................ 6-3

.05 Delinquency .................................................................................................................................... 6-3

.06 Advanced and Continuing Education ............................................................................................. 6-4

SECTION 7 SAFE MANNING AND UNDERWAY REQUIREMENTS ............................................. 7-1

.01 Succession to Command ................................................................................................................. 7-1

.02 Minimum Safe Manning Levels ..................................................................................................... 7-1

.03 Dive Operations Manning Requirements ........................................................................................ 7-2

.04 Solo Operations Requirements ....................................................................................................... 7-2

.05 Underway Requirements ................................................................................................................. 7-2

SECTION 8 MISSION PLANNING ....................................................................................................... 8-1

.01 Float Plan ........................................................................................................................................ 8-1

.02 Small Boat and Equipment Inspections .......................................................................................... 8-2

.03 Start-Up Checklist ........................................................................................................................... 8-2

.04 Mission and Safety Orientation Briefing ........................................................................................ 8-2

.05 Underway Requirements ................................................................................................................. 8-3

.06 Float Plan Updates .......................................................................................................................... 8-4

.07 Post Mission Requirements............................................................................................................. 8-4

.08 Procedures for Overdue boats ......................................................................................................... 8-4

.09 Documentation ................................................................................................................................ 8-5

SECTION 9 STABILITY, DESIGN AND CONSTRUCTION .............................................................. 9-1

.01 Construction and Stability Criteria for Designated Operating Areas.............................................. 9-1

.02 General Operating Area Definitions ............................................................................................... 9-1

.03 Exceptions and Special Operating Area Designations .................................................................... 9-1

.04 Small Boat Stability and Construction Considerations ................................................................... 9-2

.05 General Stability Requirements ...................................................................................................... 9-2

.06 Mission Stability Requirements ...................................................................................................... 9-3 xi

.07 Special Case Class I and II Mission Stability Requirements .......................................................... 9-4

.08 Small Boat Acquisition Criteria ...................................................................................................... 9-5

.09 Modifications of Small Boats ......................................................................................................... 9-5

SECTION 10 LIFESAVING EQUIPMENT AND SMALL BOAT EQUIPMENT ............................... 10-1

.01 Determine Carriage requirement ................................................................................................... 10-1

.02 Guidance for Personal Flotation Devices and Immersion Suits................................................. 10-10

.03 Inflatable Life Rafts (ILR) and Inflatable Buoyant Apparatus (IBA)......................................... 10-12

.04 Emergency Radio Beacon ........................................................................................................... 10-13

.05 Ring Life Buoy and Water Light Considerations ....................................................................... 10-13

.06 Fixed Fire Extinguishing Systems .............................................................................................. 10-14

.07 Personal Protective Equipment and Clothing ............................................................................. 10-15

SECTION 11 EMERGENCY READINESS ........................................................................................... 11-1

.01 Responsibility ............................................................................................................................... 11-1

.02 Emergency Response Plan Requirements ..................................................................................... 11-1

.03 Response Training and Emergency Procedures ............................................................................ 11-2

.04 Pre-mission Brief – Orientation .................................................................................................... 11-2

.05 Emergency Exercises and Drills ................................................................................................... 11-3

SECTION 12 ACQUISITIONS, ALTERATIONS AND DISPOSAL ................................................... 12-1

.01 Acquisition of New, Used, Surplus or Transferred Small Boat .................................................... 12-1

.02 Considerations for Alterations and Modifications ........................................................................ 12-2

.03 Property Disposal .......................................................................................................................... 12-3

SECTION 13 VISUAL IDENTIFICATION AND REGISTRATION ................................................... 13-1

.01 Responsibility ............................................................................................................................... 13-1

.02 NOAA Hull-Registration Numbers and Trailer License Plates Registration ............................... 13-1

.03 Visual Identification Scheme ........................................................................................................ 13-2

.04 Examples of Small Boat Visual Identifications ............................................................................ 13-4

.05 Flags .............................................................................................................................................. 13-7

.06 Exemptions ................................................................................................................................... 13-7

SECTION 14 INSPECTIONS ................................................................................................................. 14-1

.01 Responsibility ............................................................................................................................... 14-1

.02 Examination Procedures for Class A, Class I and Class II boats and boat trailers ....................... 14-1

.03 Inspection Procedures for Class III and SRVs .............................................................................. 14-2 xii

.04 Delinquent Examination and Inspections ..................................................................................... 14-6

SECTION 15 HAZARDOUS MATERIALS .......................................................................................... 15-1

.01 Environmental Compliance .......................................................................................................... 15-1

.02 Pollution Prevention Control ........................................................................................................ 15-2

.03 Marine Sanitation Devices (MSD) ................................................................................................ 15-2

.04 Vessel General Permits ................................................................................................................. 15-3

SECTION 16 MAINTENANCE PLAN .................................................................................................. 16-1

.01 Maintenance Plan Elements .......................................................................................................... 16-1

.02 Responsibilities ............................................................................................................................. 16-2

.03 SBP Support for Small Boat Maintenance .................................................................................... 16-2

SECTION 17 ACCIDENT AND DAMAGE REPORTING ................................................................... 17-1

.01 Definitions .................................................................................................................................... 17-1

.02 Reporting Responsibilities ............................................................................................................ 17-1

.03 Notification Chain and Timelines ................................................................................................. 17-2

.04 Investigation Authority ................................................................................................................. 17-4

.05 SBSB Review ............................................................................................................................... 17-4

SECTION 18 WEIGHT LIFTING EQUIPMENT CERTIFICATION AND MAINTENANCE ........... 18-1

.01 Applicability ................................................................................................................................. 18-1

.02 Definitions .................................................................................................................................... 18-1

.03 Boom, Crane, Davit, Frame, and Winches Inspections ................................................................ 18-2

.04 Overhauls ...................................................................................................................................... 18-5

.05 New or Altered Structures and equipment .................................................................................... 18-5

.06 Safety ............................................................................................................................................ 18-5

SECTION 19 RIGGING AND PROOF TESTING ................................................................................ 19-1

.01 Identification and Traceability ...................................................................................................... 19-1

.02 Inspection ...................................................................................................................................... 19-1

.03 System Review and Risk Management ......................................................................................... 19-2

Appendix A : NAO 209-125: NOAA SMALL BOAT SAFETY PROGRAM ............................................. A-1

Appendix B : Small Boat Safety Board Charter ............................................................................................. B-1

1-1

SECTION 1 INTRODUCTION

.01 Purpose

This Manual incorporates the required provisions defined by NOAA Administrative Order (NAO) 209-125. All NOAA small boat operators, employees, and contractors involved in small boat operations are required to read the Small Boat Standards and Procedures Manual (the Manual) and operate small boats per the provisions of this Manual. The standards and procedures in this Manual are the minimum requirements that must be met; they may be exceeded but not diminished.

For the purposes of the Manual, “small boats” are defined as boats less than 300 Gross Tons (GT). The Manual provides policy and guidance to enhance safety and promote operational readiness by implementing general operating standards and procedures for all NOAA small boats. It is intended to supplement best management practices and risk management principles.

.02 Scope

The contents of this Manual apply to the following:

• Small boats owned and operated by NOAA.

• Small boats owned by NOAA, and operated by other entities.

• NOAA Employees chartering private small boats with no crew provided and not owned by NOAA: Small boats must meet all Federal, State, and local regulations as applicable to the small boat and operation. NOAA personnel must comply with the lifesaving requirements outlined in Section 10 in this Manual to include Personal Flotation Device’s (PFD’s), communication, distress signals, and first aid equipment. This may require NOAA personnel to bring this equipment if not provided by the small boat. NOAA Personnel operating these small boats must follow the requirements in Section 05, 06, 07, and 08 of this Manual.

• NOAA Employees operating other government agency small boats: Small boats must meet the host agency’s regulations and operations under a prearranged and defined agreement. The agreement must state equipment carriage, operational parameters, and maintenance responsibilities. Operations and equipment carriage must meet or exceed NOAA’s requirements outlined in this Manual. NOAA Personnel operating these small boats must requirements in Section 05, 06, 07, and 08 of this Manual.

.03 Manual Review and Distribution

The Small Boat Safety Board (SBSB) is responsible for reviewing the Manual annually. The small boat community is encouraged to review the Manual annually, http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_209/209-125.pdf http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_209/209-125.pdf

1-2 and propose written changes to their Line Office Small Boat Officer (LOSBO). The LOSBO will elevate any proposed changes to the SBSB.

Changes to the Manual are approved by the SBSB, then sent to the Director, Office of Marine and Aviation Operations (OMAO) for concurrence. Once approved, the Small Boat Program Manager (SBPM) will work in conjunction with the LOSBO’s to promulgate the most current edition.

Revisions to the current edition of the Manual will be implemented via the issuance of either technical directives or a new edition of the Manual, as required. A current version of the Manual is available on the Small Boat Program (SBP) website. All Operators are responsible for ensuring that a current version of the Manual is accessible.

https://www.omao.noaa.gov/sites/default/files/documents/SBS%26PM%204th%20Ed%20FINAL_signed%20Corrected%202017%200830.pdf

2-1

SECTION 2 ROLES AND RESPONSIBILITIES

Chart 1. NOAA SBP Function Organization Chart

.01 Programmatic Roles and Responsibilities

The Office of Marine and Aviation Operations (OMAO) has administrative authority over NOAA’s Small Boat Safety Program. This authority is established in the Departmental Organization Order 25.2.

a) Director, OMAO

The Director, OMAO is the individual within OMAO charged with administering the Small Boat Safety Program, per the NAO 209-125. The Director, OMAO, is the final administrative authority for all matters pertaining to the NOAA Small Boat Safety Program and its policies, procedures, and standards.

b) SBP

The SBP consists of the SBSB, the SBP Office, and the small boat community.

The responsibilities of the SBSB are outlined in the NOAA Small Boat Safety Board Charter (appendix B). The Safety Board advises the Director, OMAO on all policies pertaining to NOAA small boat safety and management.

2-2

The Program Office works in conjunction with the Safety Board to create safety and management policies for NOAA small boats. The Program Office supports all small boat inspections. The Program Office is comprised of:

• SBP Manager is appointed by the Director, OMAO under the Safety

Environmental Compliance Division (SECD) of OMAO. The Manager is the focal point for the Program Office, and is a voting member on the Safety Board.

• SBP Executive Officer is the administrative focal point for the Program Office.

• SBP Inspection Coordinator is responsible for coordinating, scheduling, and conducting boat inspections of Class III boats and Small Research Vessel (SRVs) and can perform Annual Small Boat Evaluations and Small Boat Examinations for Class I and II boats as requested by operating units;

maintaining SBP files for inspections and status.

• SBP Engineering Coordinator is responsible for reviewing and providing engineering and technical guidance for boat alterations and repairs;

maintaining SBP files for small boat alterations and repairs; reviewing and assisting Vessel Operations Coordinators with contracted repairs and maintenance specifications.

c) Program Directors

The Program Directors (i.e. Science Center Directors, Lab Directors, Sanctuary Superintendents, Director of Law Enforcement), or the responsible management position for each Vessel Operations Coordinator ensure implementation of, and compliance with, all policies for the safe use and management of small boats within a Program. Each program director must delegate, in writing, operational authority to a Vessel Operations Coordinator.

.02 Operational Roles and Responsibilities

a) Line Office Assistant Administrator

Each Line Office Assistant Administrator (AA) or Deputy AA is charged with ensuring all small boat operations within their Line Office comply with established safety and management policies. Each Line Office AA will appoint a LOSBO to oversee small boat operations within the respective Line Office. The LOSBO will also serve as a voting member on the SBSB.

b) Line Office Small Boat Officer

The LOSBO represents individual programs, as well as the Line Office as a whole. The LOSBO provides oversight and assistance to Line Office Programs to carry out safe and effective small boat operations, and coordinates Line Office compliance with NAO 209-125, as well as the requirements as set by this Manual and Supplemental Small Boat Policy. The LOSBO has authority from their

2-3 corresponding Director or AA to issue “No Sail” orders to all boats within his/her purview, operating out of compliance with NAO 209-125, this Manual or any Supplemental Small Boat Policies.

c) Vessel Program Coordinator (VPC)

The VPC is identified by the LOSBO, and approved by the Program Director. The VPC assists LOSBO with communication and implementation of policies and requirements; reports issues up to the LOSBO; and provides assistance as needed by the LOSBO.

d) Vessel Operations Coordinator (VOC)

The VOC are appointed by their respective Program Directors. The authority of the VOC is derived from the Program Director. The role of VOC may be filled by a Federal employee or a contractor. All VOC’s have operational authority over the small boats assigned to their rosters, and ensure all operations adhere to the safety and management policies laid out in this Manual. A VOC has the authority to issue “No Sail” orders to a boat found to be non-compliant to the Manual.

A VOC’s Programmatic Responsibilities include:

• Ensuring accurate data is entered into Vessel Inventory Management database for each small boat under their authority

• Tracking and report operational metrics

• Attending VOC Summits and associated training

• Reporting accidents, incidents and near misses to proper authority

A VOC’s Administrative Responsibilities include:

• Maintaining copies of training certificates for the SBO’s and Crewmembers using the VOC’s small boats

• Maintaining copies of certification letters for the SBO and Crewmembers using the VOC’s small boats

• Ensuring Small Boat Operator (SBO) and crewmember meet certification currency

• Scheduling continuing education opportunities for SBO and Crewmembers

• Developing, conducting, and documenting appropriate drills specific for individual boat operations

• Annually reviewing, updating, and approving each small boat’s Baseline

Assessment

• Conduct Risk Assessment to review and approve new operations, platforms, and proposed personnel

• Verifying proper Float Plan usage

• Tracking active Float Plans

• Maintaining a record of completed Float Plans (3 years retention requirement) https://floatplan.noaa.gov/vim

2-4

A VOC’s Administrative Authorities include:

• Developing Personal Qualifications Standards for each small boat

• Certifying that Officer In Charge (OIC) and SBO’s pass Personal

Qualification Standards evaluation

• Removing delinquent operators from the active list

• Revoking an OIC’s qualification, even if the OIC was certified by a previous VOC

• Requiring additional training for an OIC, even if the OIC was certified by a previous VOC

• Elevating unresolved boat/operational issues to the VPC, then LOSBO and finally SBSB

A VOC’s Responsibilities for Operation, Maintenance, and Inspection include:

• Scheduling required inspections

• Reporting inspection results to SBP Office, LOSBO, and others as directed by local policy

• Documenting completion of required preventative and corrective maintenance to small boats

• Coordinating with designated Contracting Officer Technical

Representative or SBP Engineering Coordinator for boat contracted construction, repairs, or maintenance as required

• Documenting equipment malfunctions, and corrective actions taken

A VOC’s Authority over Operation, Maintenance, and Inspection include:

• Stopping any small boat operation due to safety or weather concerns

• Taking boats out of service (inactive(Section 4.02)) due to required repairs or condition concerns

• Issuing Category I safety deficiencies

• Approving approve corrective measures taken to fix Category I deficiencies

• Ensure all small boat modifications comply with guidelines in Section 9 of this Manual

• Conduct risk assessment for development of a requirements document for procurement/acquisition of newly acquired boats (i.e. be actively involved in new purchases or acquiring excessed small boats)

e) Operator-in-Charge

An OIC is a singular designation of authority and responsibility, as directed by the VOC. The OIC is responsible for the safe operation of a small boat and all embarked personnel while underway. The OIC is responsible for conducting operational risk assessments (Green-Amber-Red (GAR) model) and safety briefings, instituting mitigation, and monitoring changing conditions. The OIC has authority and responsibility to modify or cancel operations based on changing risk assessments. When two or more small boat operators are on board, the OIC retains the ultimate responsibility. The OIC will be clearly identified to all embarked personnel.

2-5

f) Small Boat Operator

A SBO is a qualification based on demonstrated skills and documented training.

An SBO must meet all requirements for certification and be designated per this Manual. The SBO assists with the oversight of all personnel aboard, and helps to ensure that operations are conducted safely and efficiently, per the Manual, Program, and VOC instructions.

For planning dive operations, the SBO and Divemaster must assess environmental conditions including current speed and direction, sea state and weather predictions to decide whether or not diving can be safely initiated. The SBO must confer with the Divemaster and asks if all the dive checklists have been completed.

During dive operations, the SBO must concur with the Divemaster on the commencement of diving operations and can terminate diving due to weather, small boat related operational problems, or any other factors that may jeopardize the safety of the operation.

g) Shoreside Point of Contact

The Shoreside Point of Contact (POC) is responsible for maintaining and monitoring active Float Plans within their Line Office Program. The POC must be available by phone or radio throughout the duration of the mission. The POC must take action if a small boat is overdue.

h) Crewmember

Crewmember are persons required to be engaged in the safe operation of the small boat, including (but not limited to) navigation and maintenance of the small boat, its machinery, systems, and arrangements essential for propulsion and safe navigation or to provide services for other persons on board. Crewmembers must participate in the required drills referenced in Section 11 of this Manual.

Additional crewmembers are required onboard during longer, more complex voyages, and/or those voyages requiring the carriage of a large number of people, as defined in Section 07 of this Manual. Crewmembers report directly to the OIC or SBO currently on watch. Crewmembers may also participate in mission activities, as long as crew duties are prioritized.

i) Persons in Addition to Crewmembers

Persons in addition to crewmembers are any person on board the small boat who are not required to be engaged in the safe operation of the small boat. Persons in addition to crew include scientific researchers, persons in support of the mission, interns, or other personnel on board to participate directly in the planned scientific operations. This may include individuals whose presence heightens the public’s awareness of the mission of NOAA such as outreach groups, NOAA stakeholders, 2-6 members of the media, educators, students, or personnel engaged in the repair or servicing of the small boat. All persons in addition to crew must comply with this Manual and follow the instructions and guidance of the OIC, SBOs, and Crewmembers.

3-1

SECTION 3 GENERAL POLICIES

All NOAA small boats must be used only for official government purposes.

.01 Applicable Policies

The operational requirements of NOAA small boats are governed by:

• NAO 209-125

• The Small Boat Standards and Procedures Manual

• Supplemental Small Boat Policies (as applicable)

• Small Boat Operations Manual (SBOM)

• Baseline and Mission Risk Assessment

• Applicable United States Coast Guard (USCG) and federal regulations

• Applicable federal and state environmental regulations

Supplemental Small Boat Policies:

Line Offices and their subordinate programs may issue policies and procedures relating to small boat safety and small boat operations in addition to the standards and procedures set in this Manual. A Supplemental Small Boat Policy cannot diminish the requirements of this Manual.

Small Boat Operations Manual:

A boat- specific operation manual is required for each small boat. The SBOM is a compilation of instructions, operational and stability limitations, procedures, regulations, and guidelines derived from the particulars of each small boat, the Baseline assessment, and the Mission Based risk assessment. A template outlining the minimum topics to be included in a SBOM can be found on the SBP website. A SBOM does not diminish the requirements of the Manual or any Supplemental Small Boat Policies.

Risk Assessment:

VOC conducts, documents, and reviews Baseline and Mission Risk Assessments for each small boat under their responsibility. Boats of the same design, propulsion, operational and stability capabilities, and mission may be grouped together for this purpose. The assessment is based on an evaluation of operational risks to personnel, small boat, environment, and mission. Guidelines for performing a risk assessment can be found in Section 5 of this Manual. The Baseline and Mission Risk Assessments are included in each SBOM. A Baseline Assessment template can be found on the SBP website.

.02 Command Designation

A Program Director is responsible for delegating authority of small boat operations to the VOC. The VOC is responsible for ensuring all underway operations have a designated OIC. The OIC has command authority over the small boat’s operation and all embarked personnel while underway. The OIC is also responsible for ensuring the http://www.omao.noaa.gov/sites/default/files/documents/Small%20Boat%20Operations%20Manual%20-%20Template.docx https://www.omao.noaa.gov/sites/default/files/documents/Baseline%20Assessment.pdf

3-2 safe conduct of the mission and compliance with all SBP, Line Office, and regulatory policies and procedures.

.03 Personnel Authorized to Operate NOAA Small Boats

Only those personnel whose credentials meet training and certification requirements as per this Manual will be authorized to operate NOAA small boats. A Small Boat Operator Authorization form (NOAA Form 57-19-04, available on the SBP website) must be completed for each qualified SBO, identifying the specific operations and small boats, or class of boats, for which that SBO is qualified. The authorization form must be signed and maintained on file by the VOC. Personnel-in-training for SBO or Crewmember designation may control the small boat under the direct supervision of an OIC.

.04 Minimum Age Requirements

The minimum age requirement is 13 years old. Some small boats may not be suitable for the carriage of personnel due to the configuration and or small boat size. The small boat’s SBOM contains specific prohibitions or procedures if carrying personnel and specific risks identified in the baseline assessment. One additional adult must be aboard for each 6 minors. Only daytime operations are authorized. Night time or overnight operations are not authorized. Personnel must be included in the safety brief required in Section 8 of this Manual. Provide properly sized lifesaving gear for each person onboard. If needed, carry additional gear to meet this requirement. Do not, at any time, exceed the carrying capacity or minimum lifesaving gear as outlined in the SBOM. Adhere to liferaft capacity, PFD’s and stability limitations without exception.

.05 Foreign Nationals and Controlled Technologies

Foreign Nationals and Controlled Technology onboard small boats must comply with NAO 207-12 – Technology Controls and Foreign National Access.

.06 Seamanship and Personal Conduct

OIC must conduct small boat operations in such a manner as to avoid unnecessary risk, based on best management practices and risk management principals. At all times, operations are conducted to promote a professional and positive public image.

All SBO and Crewmembers must exercise prudent judgment at all times and take proper action when dictated by emergencies that endanger life or property.

.07 Harassment, Sexual Harassment, and Related Offenses

The Department of Commerce (DOC) and NOAA do not tolerate discrimination based on race, color, religion, sex (including sexual harassment and pregnancy discrimination), sexual orientation, gender identity, national origin, age (40 years of age and over), genetic information, or disability (physical or mental), including the provision of reasonable accommodations for qualified applicants and employees with http://www.omao.noaa.gov/sites/default/files/documents/NOAA%20Form%2057-19-04%20%281-13%29%20Small%20Boat%20Operator%20Authorization.pdf http://www.omao.noaa.gov/sites/default/files/documents/NOAA%20Form%2057-19-04%20%281-13%29%20Small%20Boat%20Operator%20Authorization.pdf

3-3 disabilities or genetic information. Retaliation against those who initiate discrimination complaints, serve as witnesses, or otherwise oppose discrimination and harassment is strictly prohibited.

Harassment of any type is a serious issue and will not be tolerated aboard NOAA small boats. Unwelcome comments, gestures, physical contact, or any other behavior that is directed at an individual because of the individual’s membership in a protected class (as described above) is prohibited.

Sexual harassment is a serious issue and will not be tolerated aboard any small boats.

Unwelcome sexual advances, requests for sexual favors and other verbal, nonverbal, or physical conduct of a sexual nature may constitute sexual harassment when the behavior is:

• Directed at a person because of his or her sex;

• Unwanted; and

• So severe or pervasive that it interferes with the terms or conditions of employment.

It is prohibited for any employee to use implicit or explicit coercive sexual behavior to control, influence, or affect the career, salary, or job of an employee.

Any unwanted touching that is sexual in nature is strictly prohibited. Non-physical conduct that is based on sex and unwanted is also prohibited. Sexual harassment may include such actions as:

• Offensive jokes, slurs, epithets, or name calling;

• Intimidation, ridicule, or mockery;

• Insults or put-downs;

• Offensive objects or pictures;

• Interference with work performance;

• Physical contact such as patting, pinching, or brushing against another’s body;

• Physical assaults or threats; and

• Pressure (subtle or overt) for sexual activity or demands for sexual favors, including demands that are accompanied by implied or overt promises of preferential treatment or threats concerning an individual’s employment status

Space constraints in the small boat environment may result in inadvertent physical contact from time to time. However, purposeful physical contact directed at another person because of his or her sex is prohibited in the workplace. Likewise, any intimate physical contact is prohibited in the workplace, even where such contact is consensual in nature.

.08 Smoking Restrictions

Smoking may be permitted aboard small boats outfitted with weather decks that are physically separated from the small boat’s house, including all berthing, eating, and

3-4 living spaces, the pilothouse, and all machinery spaces. Smoking is allowable on weather decks only.

Smoking is not permitted in the vicinity of fuel, flammable/combustible material, or battery storage areas and, such areas must be labeled accordingly. Smoking is not permitted in the vicinity of any ventilation intake ducts. Identifying designated smoking area(s) that are physically removed from all mission-related working areas is strongly recommended. Smoking is prohibited within 50 feet of all NOAA small boats during fueling operations.

.09 Alcohol, Drugs, Narcotics

The OIC and all Crewmembers must not operate a boat or assist with operations within eight hours of having consumed alcoholic beverages, narcotics, or drugs that may detrimentally impact cognitive or motor abilities. The consumption of these substances is prohibited on board small boats. With the exception of prescribed narcotics (see Section 3.10), any person under the influence of alcohol, drugs, or narcotics will not be permitted aboard the small boat.

.10 Medical and Fitness Considerations

All persons onboard a small boat must be physically and medically qualified for performing the duties to which they are assigned. Some factors to be considered in making work assignments are strength, endurance, agility, coordination, and visual and hearing acuity. The nature of work onboard small boats can pose significant safety hazards to personnel.

• At a minimum, persons must meet the physical requirements for specific job tasks and hazards as required by the position, the job description, applicable DOC regulations, applicable Manual standards, Occupational Safety and Health Administration (OSHA) guidelines, or applicable USCG requirements for those licensed mariners.

• Embarked persons with a personal health condition, allergies, or medication that may impact medical response and treatment must provide a health questionnaire form in a sealed envelope to the OIC. This information must remain sealed and confidential unless that individual authorizes its release, or is incapacitated and it is deemed relevant to treatment or first responders in accordance with 5 CFR 293 – Personnel Records and Privacy Act requirements. An example of a health questionnaire is available on the SBP website.

• Any person under a physician's treatment and taking prescribed narcotics or any medication that may prevent one being ready, willing and able to safely perform position duties must provide a medical clearance statement from a physician to their supervisor.

• The supervisor must notify the OIC, if a person is not cleared for assigned duties onboard.

http://www.omao.noaa.gov/sites/default/files/documents/Health%20Questionnaire%20%28Voluntary%29.pdf http://www.omao.noaa.gov/sites/default/files/documents/Health%20Questionnaire%20%28Voluntary%29.pdf

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• While onboard, all persons must not use or be under the influence of alcohol, narcotics, intoxicants, or similar performance or mind-altering substances.

The OIC must assure that potential personal safety, expected environmental conditions, and physical requirements are evaluated and communicated through mission planning and be included in the GAR assessment.

.11 Deviations from the Manual

Emergency situations may warrant actions not addressed in this Manual. Emergency situations consist of conditions that could result in death, physical harm, property loss, or where environmental damage is likely, but only to the extent that the action is immediately necessary in order to prevent or minimize harm. Any deviations from the guidelines in this Manual must be reported to the respective Program Director, LOSBO and VOC within 24 hours.

.12 Waivers

Waivers may be requested if the standards and procedures outlined in this Manual cannot be met. All waivers must be routed through the SBSB. To initiate the process, the VOC must submit a written request for a waiver to the Program Director and VPC. The VPC will make any applicable comments, and submit the waiver request to their LOSBO. The LOSBO will elevate the waiver request to the SBSB. The SBSB will give their recommendations to the Director, OMAO for final approval.

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SECTION 4 CLASSIFICATIONS AND STATUS

.01 Small Boat Categories

Small Boat Category Definition Class A Less than 16 feet overall length

Class I 16 to less than 26 feet overall length

Class II 26 to less than 40 feet overall length

Class III 40 to 65 feet overall length

SRV

Greater than 65 feet overall length but less than 300 gross tons

* Overall length is determined by 33 CFR 183.3 – Definitions.

.02 Small Boat Status

Small boat status is maintained as part of the Vessel Inventory Management database.

The VOC is responsible for updating the status of a small boat.

• Active: Small boat has current Annual Small Boat Evaluation and/or Small Boat

Examination, or is within the grace period.

• Inactive:

• The small boat has been taken out of service OR

• The small boat has an expired Annual Small Boat Evaluation and/or Small

Boat Examination https://floatplan.noaa.gov/vim

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SECTION 5 PROCEDURES FOR RISK ANALYSIS AND MANAGEMENT

The goal of operational risk management (ORM) is to eliminate incidents and minimize risk so that missions can be fulfilled with the minimum amount of exposure to potential harm or loss. The first priority of conducting a risk assessment is to identify factors or conditions that could pose a threat to the safety of personnel and equipment involved in executing a mission.

It is also applied to mission success and quality. In order to minimize incidents and mission failures, personnel must be cognizant of the inherent risk of any evolution, ensure all personnel and equipment are properly prepared, and mitigate or eliminate any risks that are found to be unacceptable.

.01 Key Principals of Risk Management

• Do not accept unnecessary risk. Taking unnecessary risks not related to successful mission completion is unacceptable.

• Make risk decisions at the appropriate level. Risk-based decisions are made directly by the person in charge of an operation. Prudence, experience, judgment, intuition, and situational awareness of the person in charge of an operation are critical elements in making effective risk management decisions.

• All persons involved have the responsibility to report, to the person in charge, any identified risk associated with the operation and mission.

• Anticipate and manage risk by planning. Risks can be mitigated or eliminated when they are identified early. Integrate risk management into all operations and at every level of planning. Involve personnel who will be performing these duties or tasks.

.02 Process for Managing Risk

The SBP requires that ORM be conducted using a specific process and tools. This process includes detecting hazards, assessing risks, mitigating or eliminating any risks that are found to be unacceptable, and maintaining situational awareness as risks change throughout an evolution.

Due to the diversity and complexity of most small boat operations, the risk management process is best implemented by a stepped approach to evaluate components of small boat, mission and environmental conditions.

● The small boat and components of operational personnel, systems, material condition and capabilities are reviewed annually in a Baseline assessment.

● The measures of success and potential hazards of a project or task, and the associated mission requirements, tools, gear and personnel are considered in a Mission assessment.

● The GAR assessment is then used to evaluate and prioritize the total risks of a cruise plan by combining inputs from the Baseline and Mission assessments in the context of the on the water conditions.

This three step approach effectively combines the perspectives of boat operations and mission objectives to best support underway decision making. It recognizes that small

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