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HYPOTHETICAL RISK MANAGEMENT PLAN DEVELOPMENT

The following text is an example of an operational synopsis, operational risk assessment, and subsequent Vessel Operations Manual based on a brief description of a fictitious motorboat. This example is not a complete assessment of all risks or all attributes. It is intended to provide general guidance to assist the Senior Field Manager in developing individualized Vessel Operations Manuals.

OPERATIONAL SYNOPSIS:

The Research Vessel ZENITH SAFETY, a 41 foot ex-USCG aluminum hulled utility boat, has been acquired by a NOAA program for use in the protected bays and sounds of Southeast Alaska. The vessel hull was surveyed prior to acquisition and thickness tests showed the hull to be sound. The vessel will operate in waters no greater than 5 miles from nearest land. The vessel can, and will, carry up to 5 persons, including the vessel operator for voyages up to 3 days away from port. The vessel was modified from the original USCG mission and is currently configured for fishing operations using bottom trawls. Modifications to the boat include the addition of a trawling winch and an aluminum frame structure on the aft section of the vessel which will be used as a towing point and a means to lift catch on to the vessel. Safe working loads for the modifications are not known and have not been calculated or tested. The vessel's trim and stability characteristics are known because of an inclining experiment performed following the fishing mission modifications. The vessel will cease operations and seek refuge each night in protected coves, or dock at small villages, because of restrictions on overtime compensation.

IDENTIFICATION AND RANKING OF RISKS

The following hazards exist for:

Personnel - exposure to cold water, attack by wildlife in remote areas, blunt trauma or skin piercing injuries consistent with fishing operations in general, incapacitating injury caused by failure of fishing modifications.

Vessel - capsizing or swamping due to net hangs or marginal stability encountered during lifting of heavy loads or icing. Machinery and equipment failure, fire, collision, allision.

Environment - accidental discharge of fuel or any product capable of producing a sheen upon the water. Current diesel main propulsion engines do not meet IMO requirements for reduced NOx emissions. Unintentional discharge of trash caused by wind or seas.

Mission - destroyed gear or lost instruments due to hangs or obstructions, lost time due to machinery failure.

Public Relations - The old main engines produce a greater amount of air pollution than newer diesel engines.

The hazard severity and probability criteria and risk hierarchy matrix were used to determine the relative hazard ranking below. The hazard severity and probability are listed as a parenthetical remark after each hazard. For example, (II-B) would indicate a hazard which is likely to cause serious injury or temporary loss of boat use and will probably occur over time. The ranking is based on a scale of 1 to 10. A value of 10 presents the greatest risk. The list is presented in order of decreasing risk with the greatest risk presented first:

Structural Failure (I-B) - Risk hierarchy ranking 10, modifications to the vessel to accommodate the fishing mission had not been reviewed by a qualified marine engineer. Load tests have not been conducted on the aluminum fishing structure. Trawl winch mounts have not been tested to a known safe working load.

Allision (II-B) - Risk hierarchy ranking 9, wooden debris in the form of large trees and ice bergs are commonly found adrift in the planned operating area. These obstructions generally float slightly above or near the surface of the water making detection and avoidance difficult.

Man Overboard (I-D) - Risk hierarchy ranking 8, the risk of a man falling overboard is slight due to the placement of adequate hand rails and toe rails around the vessel included as part of the prior use of the vessel by the USCG. However, due to the cold water environment of Southeast Alaska, the consequence of this hazard raises its hazard ranking.

Grounding (III-B) - Risk hierarchy ranking 7, Shallow rocky reefs exist throughout the area, however most are well marked. The more likely cause of unintentional grounding would occur due to the inability to anchor prior to becoming grounded. This situation is common in southeast Alaska due to the steepness of the bathymetry close to land.

Stability (II-D) - Risk hierarchy ranking 6, The vessel stability characteristics have been changed from the original design due to the addition of the weight of the trawl frame and winch on the after deck. The inclining experiment and resultant trim and stability booklet will allow the operator to make informed decisions regarding the operation of the vessel in varying conditions of loading. However, fishing operations present unique hazards in that unknown weights or unanticipated forces may act to upset the vessel. The dangerous nature of fishing operations combined with the possibility of the vessel taking additional weight above the water line due to icing adds to the potential capsizing hazard.

Collision (II-D) - Risk hierarchy ranking 6, Common vessel traffic include ferries, cruise ships, tugs towing barges, fishing vessels, fast excursion and sight seeing vessels, and occasional recreational traffic. In general, few vessels will be encountered in the intended operating area. Restricting operations to daylight hours further reduces the risk of collision.

Fire (II-D) - Risk hierarchy ranking 6, the vessel is aluminum hulled with adequate fire extinguishing capability remaining from prior USCG outfitting. Use of combustible materials are limited. The vessels machinery spaces and bilges are maintained free of grease and oil.

Hazardous Material Reactions (II-D) - Incompatible, or reactive, chemicals are identified and kept in separate compartments. Oily rags are disposed of in an air tight metal container. Chemicals used to preserve biological samples are removed after each cruise. An accurate and up-to-date inventory of Material Safety Data Sheets are maintained aboard the vessel.

Human Systems Failure (III-D) - Risk hierarchy ranking 3, The Senior Field Manager in charge of the laboratory has implemented an extensive training program. Certified boat operators have many years of experience in the operations area and have maintained an impeccable safety record. Any issues pertaining to vessel safety are addressed or corrected immediately. However, even though all persons aboard the vessel are highly skilled, cramped quarters, long work hours, and noise contribute to crew fatigue and increase the potential for accidents. Although the probability of a hazard caused by human systems failure is very low due to excellent training, experience, and management, the severity of the consequences of human systems failure (human error) are generally high.

Mechanical/Systems Failure (IV-C) - Risk hierarchy ranking 2, the vessel had been maintained and operated by the USCG. A maintenance service contract with a local marine repair company is utilized to maintain engineering systems. Therefore, all systems were maintained and continue to be maintained in excellent condition by strict adherence to a preventive maintenance schedule. Boat operators are familiar with common signs and symptoms of system weakness or disrepair and report their concerns directly to the marine engineering contractor.

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END OF EXAMPLE HYPOTHETICAL RISK ASSESSMENT
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.05 Vessel Operations Manual.

a. A sample Vessel Operations Manual, intended to formally implement specific hazard controls for items identified in the previous hypothetical risk assessment, is given below. Senior Field Managers or Responsible Persons should use common sense in developing the majority of the information in this manual. Guidance and input from the OMAO Small Boat Coordinator may be provided to assist Senior Field Managers in developing specific risk abatement requirements or procedures.

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SAMPLE VESSEL OPERATIONS MANUAL
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Research Vessel ZENITH SAFETY
VESSEL OPERATIONS MANUAL

Operations Area

The vessel is to be operated in the protected bays, sounds, straits, and channels of Southeast Alaska. Operations in waters beyond this general area are not advised, however if operated in open waters beyond the protected areas, special attention shall be given to anticipated weather and distance to a safe harbor of refuge.

Weather

At a minimum weather forecasts shall be monitored by all available means as follows; at least every 8 hours, or in the case of impending foul weather as often as forecast updates are issued. In all cases involving underway mission decisions, the Responsible Person or operator(s) of the R/V ZENITH SAFETY shall determine whether or not an operation will be delayed or cancelled due to weather events.

Material Condition

In order to maintain the material condition of the aluminum hull the operator of the R/V ZENITH SAFETY is urged to keep all bilges clean and dry at all times. Furthermore, special attention must be paid to the introduction of dissimilar metals aboard the vessel. For example, a penny or copper wire clippings dropped in the bilge can corrode a hole through the hull in a relatively short period of time. The fiberglass cockpit enclosure of the vessel requires periodic attention through wash down and occasional cleaning and polishing. The attachment of the fiberglass house to the hull should be periodically examined for signs of corrosion. All fishing apparatus and through hull fittings must be visually examined at least monthly for signs of wear, corrosion, strain, cracking, or potential failure. Use of plain steel bolts, nuts, pipe fittings, hose clamps, or other appurtenances are strongly discouraged. Instead, type 316 stainless steel should be used where possible. Any issue which may be beyond the scope of in house knowledge or experience shall be brought to the immediate attention of Robbie's Marine Service for correction as soon as practicable. Robbie can be reached at 609-555-4801.

Repair Standards

Due to the susceptible nature of aluminum hulled vessels to galvanic corrosion, special attention must be given to repair or modifications to the R/V ZENITH SAFETY. In particular the use of dissimilar metals on board the vessel must be minimized and, if used, kept electrically isolated from the hull of the vessel. Electrical modifications to the vessel must account for the special nature of wiring installations aboard aluminum hulled vessels. Any work to be performed on the vessel must be in accordance with American Boat and Yacht Council Standards and Recommended Practices for Small Craft. If in doubt as to the adequacy or compliance of a proposed repair or alteration, the Responsible Person is urged to contact either Robbie, of Robbie's Marine Service (609-555-4801) or the OMAO Small Boat Engineer.

Any modification to the vessel which requires additional lifting or hoisting capacity or involves the cumulative redistribution of greater than 2% of the vessel's displacement tonnage is required to be reviewed by the OMAO Small Boat Engineer. A weight record or log shall be maintained in order to ensure an accurate record of weight movements, additions, or deletions from the vessel. A running total (sum) of all weights shall be kept current. The 2% weight threshold shall be calculated from the boat's original displacement weight from the most current trim and stability data. The 2% threshold shall be conspicuously written on the top of each page of the weight record or log when a new page is started.

Stability

Operation of the vessel shall be within the guidelines set forth by the Trim and Stability Booklet for the R/V ZENITH SAFETY. Extreme caution must be exercised by the operator when icing conditions are possible.

Emergency Drills

Emergency drills shall be conducted at least quarterly and shall include responses to fire, flooding, abandon ship and man overboard emergencies. At least annually, all field party members shall be trained in cold water and wilderness survival techniques, and in the use of fire arms.

Safety Systems

Prior to departure on any project, all personnel shall be briefed by the vessel operator on the location and operation of all emergency equipment. At a minimum, all personnel shall know the location and operation of the vessels GPIRB (emergency position indicating radio beacon with GPS position included in distress message), SART (search and rescue transponder), life raft, survival radio, flares and other signaling devices, and immersion suits. Float plans shall be submitted in accordance with NAO 217-103. During multiple day projects when the vessel is away from the home port, daily position and operational update reports must be communicated to a contact on shore.

Operator Qualifications

The following personnel are qualified to operate the vessel on any project in accordance with this manual:

Susan Scientist is designated as the Responsible Person for R/V ZENITH SAFETY in accordance with NAO 217-103 "Management of NOAA Small Boats." Certification of and qualification criteria for potential operators of the R/V ZENITH SAFETY is delegated to, and managed by, Susan Scientist. Certification involves successful completion of a web-based training course, proficiency in hands-on boat handling skills, and demonstration of basic engineering systems trouble shooting. Contact Susan Scientist for specific certification details.

Night Operations

Night operations, although not practiced, are authorized. The boat operator is specifically cautioned to the special hazards of operating the vessel at night. Specifically, the hazard of collision with floating debris such as logs or icebergs requires special consideration. A dedicated lookout is strongly recommended during night operations and is required during transits when the vessel is operating above 5 knots. The vessel searchlight must be in working order to conduct night operations.

Proximity or Probability of Emergency Assistance

Although Southeast Alaska is remote and hazardous, all operations conducted by the R/V ZENITH SAFETY will be within reasonable range of USCG emergency assistance. The vessel should not be operated beyond range of USCG air rescue without prior planning.

Embarked Personnel

At no time shall the vessel carry more than a total of six persons on any scientific operational mission. At no time may the vessel carry more then 8 persons on board. Personnel embarked aboard the vessel not in the direct employment of NOAA are required to sign a waiver for the release of liability. NOAA Administrative Order 217-106 contains policy regarding transportation of non-NOAA personnel aboard government vessels. Although the intent of the Order addresses personnel aboard NOAA ships, aircraft, and/or motor vehicles, the policy is applicable to small boats and the intent of the Order shall be followed.

Staffing Levels

When operating the vessel for 12 hours or less, one certified operator is required. For projects requiring multiple and concurrent operational days, two certified operators are required. When VIPs or other observing personnel are embarked aboard, an additional operator is required beyond that stated above.

Nature of Operations

The R/V ZENITH SAFETY is currently configured for near coastal, less than 20 miles from shore, fisheries research. Any significant change in the proposed nature of operations for this vessel, such as diving, will require additional planning and special considerations.

Operating Environment

The R/V ZENITH SAFETY operates in Southeast Alaska. Hazards unique to this environment include bears, extremely cold water, rapidly and frequently changing weather conditions, poor radio and cellular phone communications due to mountainous terrain, and swift tidal currents sometimes in excess of 8 knots.

Required Safety Equipment

1 Category 1 GPIRB
1 Mini-B EPIRB
1 Search and Rescue Transponder (SART)
1 10-person capacity SOLAS approved, A Service, life raft
3 SOLAS approved orange smoke distress signals
3 SOLAS approved red rocket parachute flares
1 First Aid kit
1 Wilderness survival kit including matches, fire starting paste, and
bear deterrent.
1 GMDSS approved handheld VHF survival radio
2 24" life rings
1 Rescue heaving line
1 Anchor and 250' anchor line with at least 20' of 3/8" chain and
swivel between anchor and line.
2 Baseball bats (seasonal requirement, ice removal)

Required Navigation Equipment

Magnetic Compass with current deviation card
GPS interfaced with Electronic Charting
RADAR, 12 mile or greater
Search light
Nautical charts maintained to current Notice to Mariners
Binoculars

Required Communications Equipment

2 VHF radios
1 HF radio
1 Cell phone
1 Satellite phone

R/V ZENITH SAFETY Underway Check-off List

PRIOR TO DEPARTURE

_____ Float plan given to shore side contact.

_____ Top off potable water tank

_____ Empty marine toilet holding tank

_____ Adequate number of PFDs, Mustang suits, or float coats aboard.

_____ Inspect/test GPIRB for proper operation

_____ Inspect/test SART for proper operation

_____ Check fuel levels, record amount in log.

_____ Open all sea chests sea cocks and necessary sea valves

_____ Check oil, coolant, belts, and hoses for:

_____ Port main engine

_____ Starboard main engine

_____ Generator

_____ Marine gear(s)/transmission(s)

_____ Start main engines and generator

_____ Check for cooling water discharge

_____ Check oil pressures

_____ Check generator is warmed, shift to generator power

_____ Take in or unplug land line and shore tie

_____ Turn on and check all wheelhouse electronics for proper operation

_____ Check main engines are warmed, test ahead and astern propulsion

_____ Test steering

_____ Cast off lines

AFTER ARRIVAL

_____ Make mooring lines fast

_____ Secure main engines

_____ Secure all electronics and electrical loads

_____ Hook up shore tie and land line

_____ Shift to shore power

_____ Secure generator

_____ Notify personnel listed on float plan of arrival

_____ Disembark and go home

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END OF SAMPLE VESSEL OPERATIONS MANUAL
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b. This example is by no means comprehensive or inclusive of all particulars or aspects of specific NOAA owned small boats. Additional information and appendices can or may be included with vessel specific information regarding scheduling, approved repair facilities, operator training criteria and skills demonstration, research permits, maintenance logs, VHF radio station license, vessel documentation, copy of EPIRB registration, or other information deemed necessary by the Responsible Person or Senior Field Manager.