The NOAA Small Boat Standards and Procedures Manual

The NOAA Small Boat

Standards and Procedures Manual

4.1 Edition

April 30, 2018

NOAA Small Boat Standards and Procedures Manual

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NOAA Small Boat Standards and Procedures Manual

iii

CHANGE MEMO

NOAA Small Boat Standards and Procedures Manual

ISSUANCE MEMO

NOAA Small Boat Standards and Procedures Manual

RECORD OF CHANGES

4.1 Edition

SECTION

DETAIL

• 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”

• Changed language to allow for SBP/SBSB to review and approve life raft make and

models in addition to those under USCG purview

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

• Changed accident and damage reporting procedures to better align with NOAA

SECO requirements and utilizes NOAA SECO reporting mechanism for all events

Edition

SECTION

DETAIL

All

Renumbered sections and page numbers, revised content and references to appropriate

sections and updated appendices

• Outlined three categories of small boat ownership & operation

• Remove passenger definition

• Added VPC roles and responsibilities

• Elaborated VOC roles and responsibilities

• Added minimum age and requirements

• Added foreign nationals and controlled technologies

• Added Sexual Harassment definition

• Added medical and fitness considerations

• Added waivers

• Added definitions of Active and Inactive small boats

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

• 3 year refresher for PQS

• Crewmember PQS requirements and documentation based on size

• Added advanced and continuing education

NOAA Small Boat Standards and Procedures Manual

vii

• Added watch standing requirements to this section

• New POC notification prior to departure

• Overdue notification workflow changed

New Section - STABILITY, DESIGN AND CONSTRUCTION CONSIDERATIONS

New Section - LIFESAVING EQUIPMENT AND SMALL BOAT EQUIPMENT

REQUIREMENTS

New Section - EMERGENCY READINESS

• Added process for pre-acquisition

• Shifted prescriptive - visual identification general guidance

• Allow different colors

• 45 day window extended to A,I, II

• Added authorized deviations

• Environmental compliance new requirements

New Section - MAINTENANCE PLAN

• New tables for accident and damage reporting

New Section - WEIGHT LIFTING EQUIPMENT CERTIFICATION AND

MAINTENANCE

• Added rigging log

NOAA Small Boat Standards and Procedures Manual

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

NOAA Small Boat Standards and Procedures Manual

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

NOAA Small Boat Standards and Procedures Manual

.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

NOAA Small Boat Standards and Procedures Manual

.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

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.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,

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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.

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.

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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

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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)

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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.

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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,

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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

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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

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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

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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.

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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.

4-1

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

5-1

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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boat, mission and cruise risks have different drivers and change at different time

scales. Overall risk can be managed through these individual assessments by

understanding the limits of small boat capabilities in relation to mission requirements,

with adjustments and mitigations for prevailing environmental conditions.

a) Baseline Assessment

Risk management is a progression and refinement of operational boundaries to

maintain acceptable safety margins. The capabilities and limitations

established by boat manufactures, designers or builders are often general or

optimum values. Guidance under the SBP provides further restrictions to the

range and use of the small boat according to Class and operating area. The

details unique to specific NOAA operations, small boat particulars, and

firsthand operator experience must also be considered. A critique of these

operational limits and concerns are captured in the Baseline Assessment

The Baseline Assessment is a tool to communicate practical limitations of the

boat. This process refines the broad capabilities of a boat to better support

operational decision making and reflect existing onboard conditions. Because

material condition and the status of installed systems change over time,

Baseline Assessments must be updated annually to reflect equipment age,

installation and familiarity of new systems, changing crew skills sets and

refinement of standard operating procedures.

Starting with the boat design characteristics, systems inventory and the

requirements of this Manual, further refinements and constraints are

established based upon prudent and responsible operation. This should be a

team effort including operators that have firsthand knowledge of the boat and

an understanding of underway operations. The format, narrative or table, can

be tailored to best communicate limitations based on the boat and system

complexity. Small boat characteristics, resources and capacity information, as

well as the GAR risk categories can be used as an assessment framework.

Examples of Baseline Assessments can be found on the SBP website.

Baseline considerations are critical to effective project and mission planning.

This comprehensive evaluation communicates the unique aspects of the boat

and systems, instrumentation, skills of the operator and crew, range, lift

capacities, handling characteristics, and the resources available for embarked

personnel.

The output from this exercise helps define and narrow the range of acceptable

risk in each of the GAR categories. For example, the GAR category for

weather, without refinement, would have a range from calm to gale force. The

Baseline Assessment might establish 2-3 foot waves as the maximum

acceptable operating condition, resulting in an acceptable GAR weather range

of calm to 3 foot waves.

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The Baseline Assessment must be included in the SBOM and reviewed

annually by the VOC.

b) Mission Based Risk Assessments

The Mission Risk Assessment considers the risks associated with mission

equipment, operations, and personnel. Effective Mission Based Risk

Assessments should be accomplished through a cooperative effort, including

mission subject matter experts, along with field and small boat personnel. This

review encompasses the measures of mission success, quality, critical

elements, operating parameters, risks and limitations of a particular mission.

It communicates requirements such as; expectations for small boat

infrastructure, speed and position control, deck space, lifting, cruise duration

and operating area.

Mission Based Risk Assessments can help with the selection of a boat for a

particular mission by articulating what resources and capabilities are limiting

or critical. Boats in the same Class, configured and outfitted differently, may

provide different safety and mission success margins. Once the boat is

selected, the mission risks identified will better define aspects of that boat that

will have an elevated risk or narrowed operating margin. Examples of Mission

Based Assessments can be found on the SBP website.

The findings from this exercise further define and narrow the range of

acceptable risk, from a science perspective, in each of the GAR categories. For

example, the GAR category for weather on a particular boat might have a

maximum Baseline limit of 3 foot waves, but mission success could limit

operation to 2 foot waves, resulting in an acceptable GAR weather range of

calm to 2 foot waves.

Findings of the Mission Based Risk Assessment must be communicated to all

personnel involved in the mission to provide focus on key cruise elements.

Changes in the scope, content, or operational area may warrant reevaluation of

the Mission Risk Assessment.

c) GAR Assessment

The GAR must consider all elements of both the Baseline and Mission Risk

Assessments in the context of predicted weather, team selection and the status

of all resources. The GAR Assessment is a tool to help identify probable risks

that may pose a threat during a specific mission or evolution. It is effective in

communicating priorities to focus the entire cruise team on critical parameters.

The GAR Assessment must be completed and communicated prior to getting

underway. In all cases, the GAR should be updated to reflect changes in the

environment, mission, equipment, or personnel. The GAR form can be found

on the SBP website.

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To conduct a GAR Assessment, the OIC must:

• Ensure all mission personnel are involved in the GAR process

• Refer to the limitations identified in the Baseline Assessment;

• Refer to the hazards and limitations identified in the Mission Based Risk

Assessment;

• Evaluate any increase in risk to equipment or personnel based on current

conditions;

Risk Acceptance Authority

• Mitigating factors must be documented for any GAR category identified ≥ 7

• If the risk remains elevated ≥ 7 despite mitigation, or mitigation cannot be

identified, the OIC must notify the VOC (or the next higher level of authority)

• A cumulative GAR score ≥ 45 (or a predetermined score, as determined by the

VOC) despite mitigation requires the OIC to alert the VOC (or the next higher

level of authority)

.03 Risk Elimination and Mitigation

Elimination and mitigation can be identified at all levels of ORM. The elimination of

risk is the ideal.

Mitigation steps (in order of priority):

1. Substitution – using different small boats, equipment, personnel, etc. to reduce

risk

2. Engineering Controls – use mechanical protection and isolation

3. Administrative Controls – training, reducing exposure times, changing

mission timeline, etc.

4. Personal Protective Equipment

.04 Reassessment

An important element to NOAA’s approach to ORM is to continually evaluate

changes to the initial risk assessments. Significant changes to the small boat, mission,

or environment warrant a reassessment of hazards and associated risk.

6-1

SECTION 6 OPERATOR QUALIFICATION, EVALUATION AND

DESINGATION

This section establishes standards and provides guidance for the evaluation, qualification, and

designation of personnel involved in the operation of small boats. Each VOC ensures that

personnel are trained to achieve the stated qualifications and maintain the level of proficiency

and currency necessary to safely and effectively accomplish their assigned duties. The

requirements described in this Manual are regarded as the minimum standard of personnel

qualification.

.01 Operator Credentials and Training Requirements Overview

Class A, I, and II Boat Operators:

• USCG Auxiliary (USCGA) Boating Skills and Seamanship or Equivalent

(Section .02)

• NOAA Component Course

• Personal Qualification Standards

• First Aid, CPR, AED Training

• Program-specific training

Class III and SRV Boat Operators:

• Current appropriate USCG License or active Uniformed Service Officer of

the Deck

• NOAA Component Course

• Personnel Qualification Standard

• First Aid, CPR, AED Training

• Program-specific training

.02 Operator Credentials and Training Requirements Information

a) Operator and Seamanship Courses

The minimum standard is USCGA Boating Skills and Seamanship. Any

equivalent course must cover all of the significant topics of the USCGA Boating

Skills and Seamanship curriculum and must be, at minimum, of equivalent

duration (approximately 24 hours dependent on location). A current list of

approved equivalent courses can be found on the Training section of the SBP

website.

• The SBSB has the authority to approve courses as an equivalent to the

USCGA Boating Skills and Seamanship course. Requests for Boating

Skills and Seamanship equivalency should be sent to LOSBO or the

SBPM for review.

• For cases where a prospective SBO has prior training, the SBSB may

consider this as fulfilling the USCG Auxiliary Boating Skills and

Seamanship or equivalent requirement on a case-by-case basis.

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• Non-Motorized Watercrafts: The VOC conducts a risk assessment to

determine the type of hands-on training required for operators of non-

motorized watercrafts. The VOC assures that the appropriate training is

provided. This training may be in lieu of the Boating Skills and

Seamanship requirement for non-motorized boat operators. All other

training requirements must be completed (i.e. NOAA component, First

Aid/CPR, PQS).

b) NOAA Component Course

The course is managed by the SBP and updated as policies, procedures, and

standards change. The course should include location and mission considerations.

Sections include:

• NOAA small-boat policy, procedures, and standards

• Operational Risk Assessment

• Team Coordination

If Component Course is unavailable due to remote geography or lack of timely

local instruction, the VOC presents the major elements of the Component Course

with a focus on risk management (GAR assessment) and NOAA policy. The date

the VOC conducts the overview must be recorded on the Small Boat Operator

Authorization form. This one-time extension is valid for 6 months.

c) Personal Qualification Standards

All SBO candidates must demonstrate proficiency, as determined by the VOC, to

be designated as a SBO. The class of boat, operating area(s), and the mission is

taken into account when determining an appropriate level of experience.

Personal Qualification Standards evaluation must include, at minimum:

• Demonstrate knowledge of small boat characteristics, limitations, and

equipment

• Demonstrate proficiency of small boat handling skills, based on mission

requirements

• Demonstrate proficiency in communicating risk management

Boat Operators must successfully complete a Personal Qualification Standards

process with their VOC (or designee) for each type of mission and for each type

of small boat.

Template Personal Qualification Standard checklists can be found on the SBP

website, with separate forms for Class A and Class I boats, and for Class II boats.

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d) First Aid, CPR, AED Training

All SBO must have current certification from industry recognized First Aid and

CPR courses. SBO working aboard small boats with an AED onboard must have

AED training.

e) Program-specific Training

If applicable, mission related, local, or program-specific training is provided (e.g.,

surf operations, dive operations, towing nets, and survey launch, ice, marine

mammal operations).

f) Refresher Training

Personal Qualification Standard evaluation must be completed every 3 years. The

VOC can require additional training to provide continuous education and career

development.

.03 Crewmember Training Information

Crewmembers are required to receive small boat-specific on the job training and must

demonstrate to their OIC knowledge of the procedures and equipment carried aboard

the small boat(s) on which they will be employed.

Additional requirements can be found in Section 7. Template Crewmember

Qualification Standard checklists can be found on the SBP website, with separate

forms for Class A and class I boats, for Class II, and for Class III and SRV boats.

.04 Documentation

A current Small Boat Operator and Crewmember Authorization form (NOAA Form

57-19-04, available on the SBP website), Personal Qualification Standard checklists,

and copies of all training certificates must be completed for each Boat Operator and

maintained by the VOC for each Line Office Program.

Operator Authorization forms must be reviewed and validated annually by the VOC

to ensure currency of certifications, training requirements, and a measure of

proficiency. Operators are responsible for tracking their own training and currency

requirements in conjunction with the VOC.

.05 Delinquency

If the required training and certifications are not maintained per this Manual, SBO are

considered delinquent and will be restricted from duties on their designated small

boat(s).

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.06 Advanced and Continuing Education

Boat operators should continue to advance their boating skills and knowledge. VOCs

should look for opportunities to provide their boat operators with advanced training

and education. VOCs may contact the SBP for advice and support for training and

education programs and can look at the training section of the Training section of the

SBP website.

7-1

SECTION 7 SAFE MANNING AND UNDERWAY REQUIREMENTS

All small boats must be manned by qualified personnel to ensure that operations are

conducted in a safe, efficient, and professional manner. Personnel who are on board primarily

to support the mission may assume crew duties only if the OIC has determined that the

individual possesses the necessary skills and qualifications before assuming those duties. In

this case, the highest priority is assigned to the safe operation of the small boat. Small boat

designated crewmembers may assist with the mission at the discretion of the OIC.

All personnel are trained and qualified to perform the duties expected of them. This can

include, but is not limited to:

• Cranes

• A-frames

• Hydraulic units

• Anchor windlass/winches

• Davits

• Compressors

• All small boats carried aboard, and their engines

In cases that threaten loss of life or damage to property, deviations from safe manning

regulations may be allowed, with notification to the appropriate responsible party.

.01 Succession to Command

Address Chain of Command during the pre-departure briefings. Identify an individual

who is in charge should the OIC become incapacitated. Should the OIC become

incapacitated, the designated individual must take the lead in maneuvering the small

boat to safety and contacting emergency services to make necessary arrangements.

.02 Minimum Safe Manning Levels

a) Class A, Class I, and Class II Boats

All Class A, Class I, and Class II must be manned at a minimum by two people,

one of whom must be the qualified OIC. Additional manning requirements are

determined by the VOC, with notification to the Program Director (or designee).

These levels are based on each small boat’s manufactures loading plate, the

SBOM, and the Operational Risk Assessment (GAR).

Under some circumstances, a small boat may be exempt from carrying a second

person. In these cases, operations must comply with Section 7.04 of this Manual.

b) Class III and SRVs Boats

All Class III small boats and SRVs must be manned at a minimum by one OIC

and one crewmember. Additional manning requirements are determined by the

VOC, with notification to the Program Director (or designee). These levels are

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based on the complexity of the small boat, complexity of the mission, and the

length of the voyage.

c) Outreach Events

For outreach events, additional crewmember or person other than crew familiar

with the boat and its emergency procedures is required for every 10 embarked

persons aboard, in addition to the OIC and a crewmember.

When carrying minors (under 18), see Section 3.04 of this Manual

d) Duration of Operations

When planning an operation, consider the total elapsed time and take actions to

avoid fatigue. For planned operations exceeding 12 hours in duration, an

additional SBO and enough qualified crewmembers must be onboard.

.03 Dive Operations Manning Requirements

When conducting dive operations from a small boat, the boat must be continuously

manned by a qualified SBO, who must remain aboard at all times during diving

operations. This applies both underway and at anchor.

Requirements for dive operations must comply with the NOAA Diving Standards and

Safety Manual.

.04 Solo Operations Requirements

Solo operations are allowed on Class A, I, and II small boats as long as the small boat

has close support, either from ashore or from a nearby platform. Close support is

where rescuers are immediately notified by someone other than the SBO in the event

of an emergency.

If solo operation without close support is necessary, a risk assessment is completed

and mitigating factors are incorporated in the appropriate supplemental policy

approved by the Program Director (or designee).

.05 Underway Requirements

a) Daily missions

For planned operations exceeding 12 hours in duration, an additional SBO and

enough qualified crewmembers must be onboard. Fatigued embarked personnel

impacts operational safety. Structure work schedules that allow adequate rest for

personnel and crewmembers.

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b) 24 hours operations

During multi-day missions that require personnel to be underway for greater than

12 hours, the following applies:

A. No SBO or crewmember may exceed 12 hours of watch standing in a 24-

hour period.

B. Accommodations must be provided for all SBO and crewmembers if the

small boat is operated more than 12 hours in a 24-hour period, unless the

crew is put ashore and the small boat is provided with a new crew.

Accommodations must be adequate to provide for effective rest period,

and the personnel capacity of the accommodations must be stated in the

SBOM.

C. All persons who are assigned as operator or crew must be provided a

minimum of 10 hours of rest in any 24-hour period;

D. The hours of rest may be divided into no more than two periods, one of

which is at least 6 hours in length.

E. The requirements for rest periods in B) and C) above need not be

maintained in the case of an emergency or other overriding operational

conditions.

c) Other requirements when applicable:

• The OIC requires that watch schedules be posted where they are easily

accessible.

• When required, a Crewmember may be assigned duties as a watch stander

either when the small boat is underway or at anchor. As watch stander, the

primary task is to stand a proper lookout, free of distractions, so that full

focus can be applied to the environment of the small boat.

8-1

SECTION 8 MISSION PLANNING

Compliance with each of the following procedures is mandatory for all trips, whether planned or

unplanned.

.01 Float Plan

The primary purpose of a float plan is to assure that there is a predefined

responsibility and emergency response protocol for an overdue small boat. Every

SBP must have the ability to track small boats underway and confirm their safe return.

In addition to monitoring personnel on the water, float plans provide a valuable record

of the small boat’s activity. These metrics help the SBP validate the role small boats

play in carrying out NOAA’s mission. Tracking small boat operations and personnel

involved allows the SBP and individual Line Offices to evaluate safety records and

detect trends. Documenting time underway and the number of embarked personnel

provides critical measures of exposure and allows for calculating accident rates.

Float plans at a minimum must have the following information:

• Small boat name and NOAA Hull Registration Number

• Name of OIC

• Names of all persons on board, with their emergency contact information

• Departure time, date, and location

• Expected return time, date, and location (if location different from departure)

• A primary shore side Point of Contact,

• Emergency response contact information (USCG, local emergency response

units….)

• General location of operational area

• Mission/Project

• The final value from the GAR

• Communication Plan

Point Of Contact Requirements:

All float plans identify a shore side POC. The shore side POC must be available by

phone, email or radio throughout the duration of the mission. A back-up method of

contacting the shore side POC must be included in the event the primary means of

communication fails.

Communication Plan Requirements:

Establish a schedule of communications to report the small boat’s status to the shore

side POC. Multi-day trips require at least one daily check-in.

Submission Requirements:

All Float Plans must be submitted in writing or electronically, regardless of voyage

duration. Before departure, the OIC submits the Float Plan to the VOC (or designated

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shore side POC). The float plan is updated when modifications to the mission,

personnel, or boat are made.

In situations that involve immediate danger to life, property, or natural resources, a

Float Plan may be submitted verbally to the VOC or designee. The VOC or designee

must put the information in writing and manage the Float Plan as required by this

Manual.

Example Float Plans are available on the SBP website (under Daily Safety &

Orientation Forms).

.02 Small Boat and Equipment Inspections

The OIC is responsible for checking boat conditions and safety equipment before

departure. At a minimum, the OIC should:

• Inspects records (logs, float plans, trip reports …) for maintenance

discrepancies that have not been addressed;

• Ensures that all equipment identified as not operational have been corrected;

• Ensures that all required safety, survival, communication, and navigation

equipment specified in this Manual are onboard, maintained in operational

condition, and are tested;

• Ensures that the boat is properly fueled for the mission. Consider weather

conditions and tides carefully at a planned destination and when calculating

distances to alternate ports;

• Ensures all fluid levels are normal (e.g. oil, coolant, steering, etc.) and that

adequate reserves are onboard;

• Inspects bilges for standing water or evidence of fluid leaks;

• When applicable, ensures that the back-up motor or secondary means of

propulsion is operational;

• When applicable, ensures the back-up or secondary means of steering is

operational;

• Visual inspection of all lifting apparatus, and mission critical equipment.

.03 Start-Up Checklist

All small boats are required to have a written checklist of start-up procedures, specific

to each small boat, to ensure safe operations. The OIC is responsible for completing

the checklist.

.04 Mission and Safety Orientation Briefing

The OIC conducts a briefing with all embarked personnel. The briefing is conducted

far enough in advance so the crew can prepare adequately for any last-minute

adjustments.

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The mission briefing should review previous mission planning and preparation, and

include any updates. The safety briefing includes general small boat familiarity and

the location of all safety systems and equipment carried aboard (fire extinguishers,

life rafts, life rings, personal flotation devices, immersion suits, Emergency

Positioning-Indicating Radio (EPIRBs), Very High Frequency radio (VHF), flares

etc.). Embarked personnel must be briefed on procedures to follow during fire,

abandon ship, man overboard, and other emergencies. An example template of a

Safety Orientation Briefing checklist is available on the SBP website.

The briefing should also include potential impacts of weather such as current

conditions, sea state and tides when applicable, trends, and forecasts for the departure

location, proposed route, destination, and any alternate working areas.

All personnel onboard must participate in the ORM. The ORM must be done using

the GAR form, and must confirm that the mission, personnel, and small boat meet the

operational parameters of the Baseline and Mission Risk Assessments. The GAR

must also address the weather conditions discussed during the weather briefing.

During the briefing, the OIC communicates and receives a verbal response from all

embarked personnel that:

• The team is well rested and ready to work

• Everyone understands the mission, and is capable of performing it

• All potential risks and obstacles are mitigated

• Identify an individual who is in charge should the OIC become incapacitated

The OIC has the authority and responsibility to cancel the operations if risks cannot

be mitigated to a level that will ensure the safety of all personnel onboard, and the

successful outcome of the mission.

.05 Underway Requirements

a) Equipment Monitoring

OICs must monitor critical systems while underway. Consider the malfunction’s

effect on the ongoing GAR assessment, and adjust accordingly. Log all equipment

malfunctions in the logbook (or trip report) on the day of discovery. The OIC

reports the malfunction to the VOC on the day of discovery. The VOC ensures

corrective actions are taken in an acceptable timeframe.

b) Weather Monitoring

Monitor weather forecasts and warnings at appropriate intervals, as well as any

time the weather conditions appear threatening or conflict with forecasted

conditions.

Do not operate small boats in known or forecasted weather conditions that exceed

small boat or personnel limitations.

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The OIC has the authority and responsibility to cancel the operations or seek

shelter if risk cannot be mitigated to a level that will ensure the safety of all

personnel onboard, and the successful outcome of the mission.

.06 Float Plan Updates

Float Plans must be modified to reflect changes in underway operations. The OIC

communicates amendments to the Float Plan with the POC.

.07 Post Mission Requirements

a) Float Plan Closure

The Float Plan must be closed at the end of the trip. The OIC closes the Float Plan

and notifies the shore side POC of arrival.

b) Shut down Procedures

All small boats are required to have a written shut down checklist. The OIC is

responsible for completing the checklist and logging any deficiencies found.

c) Small Boat Clean-Up Procedures

Conduct a post-mission clean up and inspection after the boat has returned. Leave

the small boat in a professional, mission ready condition.

.08 Procedures for Overdue boats

If a small boat is overdue, the Point of Contact must execute all steps below:

• Attempt to contact the small boat by satellite/cell phone or HF/VHF radio;

• Check the destination point (boat slip, launch ramp etc.) personally or ask any

on-site personnel to check;

• Notify the appropriate VOC and Program Director of the situation. The VOC

notifies the LOSBO (and VPC as applicable) if Search and Rescue Operations

are initiated.

• Notify the emergency response contact of overdue boat and be prepared to

provide Float Plan information.

• Remain available until the boat has been contacted and either returns to the

dock or has reached an alternate safe location;

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8-5

.09 Documentation

Small boat activities, conditions and mission information must be documented to

effectively support vessel usage metrics, track deficiencies and serve as an official

record of actions taken to mitigate risk. The VOC must retain documentation for 3

years.

Class A and class I small boats must retain post mission documents using either a

float plan, or a post mission trip report, or a logbook:

• Float Plan that are also used for mission documentation must provide all the

information in Section 8.01 of this Manual. The information listed below must be

filled in after the mission is completed.

• Trip Reports are completed after the mission is completed, and must include all

the information listed below.

• Logbooks for class A and class I boats may be kept ashore, and completed after

the mission is completed

Class II, III, and SRV small boats must use a logbook to record information real-time.

Minimum documentation includes all of the following:

• Name of OIC, SBO and embarked personnel

• Name/description of the mission

• GAR value

• Fuel level information

• Starting Engine hours (if available)

• Date and Time Departure

• Operational Area and/or Destination

• Drills Conducted

• Problems, conditions or incidents encountered

• Actual time of arrival

• Final fuel information

• Ending engine hours (if available)

• Document mechanical issues or discrepancies found during shutdown inspection

9-1

SECTION 9 STABILITY, DESIGN AND CONSTRUCTION

.01 Construction and Stability Criteria for Designated Operating Areas

Small boat construction and stability evaluations are essential to assure safe operation

under prevailing conditions. NOAA uses standard definitions found in the Code of

Federal Regulations to categorize hazards associated with operating areas and apply

the appropriate stability requirements. Ship design and construction details are critical

elements of mission risk assessments and seaworthiness.

All small boats have a designated operating area noted in the SBOM and operate

within the established limitations associated with the designation.

.02 General Operating Area Definitions

A small boat’s operating area designation dictates the minimum stability and

construction elements required. The following general definitions apply to all small

boat classes. These definitions apply only to this Section of the Manual.

• EXPOSED: Operation in waters more than 20 nautical miles from the mouth of

a harbor of safe refuge*.

• PARTIALLY PROTECTED: Operation in waters not more than 20 nautical

miles of the mouth of a harbor of safe refuge, except waters determined section

.03 below.

• PROTECTED WATERS: Operation in sheltered waters presenting no special

hazards such as most rivers, bays, harbors, lakes, except waters determined

section .03 below.

*Harbor of safe refuge is determined by 46 CFR 175.400 – Definitions.

.03 Exceptions and Special Operating Area Designations

It is recognized that hazards presented by local, regional, and seasonal conditions

require special designation. The USCG Officer In Charge, Marine Inspections

(OCMI) determines areas of increased hazard due to prevailing conditions and refines

the general operating area definitions listed above. These designations can be

provided by contacting SBPM.

Known areas of special designations:

• All waters off the Pacific Northwest (anywhere offshore) from Chetco River

OR to Race Rocks, WA in the Strait of Juan De Fuca is EXPOSED WATERS.

This is due to the dangers of the Pacific Ocean.

• Operating on the Chesapeake Bay with the exception of selected tributaries are

PARTIALLY PROTECTED WATERS. This is due to the large geographical

size of the bay and prevailing conditions.

NOAA Small Boat Standards and Procedures Manual

9-2

• Operating anywhere on Puget Sound is PARTIALLY PROTECTED

WATERS with the exception of Elliot Bay which is PROTECTED WATERS.

• Operating anywhere on Alaskan waters is EXPOSED WATERS. This is due

to the inherent dangers and prevailing conditions of Alaskan waters.

(Exceptions are Kachemak Bay, Auke Bay, and Tongass Narrows. These

waters are considered partially protected.)

• Operating on all areas of the Great Lakes from October 1st to April 15th is

EXPOSED WATERS.

.04 Small Boat Stability and Construction Considerations

Evaluation principals for stability and construction:

• Small boat design, construction, mission gear, and operation when

determining operating area limitations.

• Small boat loading conditions and mission tasks significantly impacts the

stability characteristics of small boats.

• Maintain reserve buoyancy, freeboard, righting arm, and seaworthiness under

all prevailing conditions and missions.

As these attributes can be very complex, the SBP has grouped criteria by General

Stability and Mission Stability requirements. General Stability requirements apply to

all small boats by Class. Mission Stability requirements are derived from mission gear

and operation.

.05 General Stability Requirements

Class A, I and II Posted load limitations including engine horsepower, number

of persons, gear weight, and includes elements of 33 CFR 183

– Boats and Associated Equipment, or 46 CFR 178 – Intact

Stability and Seaworthiness & 179 – Subdivision, Damage

stability and Watertight Integrity as applicable. This is

provided by the small boat manufacturer, naval architect,

professional engineer, or established with guidance from the

SBP. Under no circumstances must small boat operations

exceed those limits.

Class III and SRV Stability characteristics must be documented and include

elements of 46 CFR 178 & 179 that best reflect the small boat

type, intended service and operating area. A manufacturer or

naval architect issued stability letter will provide instructions to

the OIC and a statement of compliance to the specific

requirements of the Designated Operating Area must be

included in the SBOM. Depending upon the complexity of the

small boat, a full satiability booklet with hydrostatic curves and

NOAA Small Boat Standards and Procedures Manual

9-3

voyage analysis may be of value in managing future changes to

the small boat configuration.

All - The SBOM for each small boat must clearly state the small

boat’s Designated Operating Area(s)

- Loading limitations, proper stowage of gear, and sea state

limitations must be noted in the SBOM and included in a small

boat’s Personal Qualification Standards training.

- Maintain material condition of hull, water tight spaces, buoyant

material, and freeing ports.

- Include a small boat weight log in all SBOM to track hull

modifications and significant weight addition or deletion.

Generally, significant weight deletion or addition greater than

2% of the small boat’s original gross weight or displacement.

An example of a weight log for each small boat class is

available on the SBP website.

.06 Mission Stability Requirements

Table 1 reflects the impact of personnel and weight handling operations on initial

stability characteristics. Mission requirements for the number of persons on board,

over-the-side lifting, and towing operations are used to further refine a small boat’s

Operating Area designation. Table 1 is provided to determine operating area

restrictions for typical conditions. Operating conditions in excess of those detailed in

this table must comply with the requirements of Section 8.07.

NOAA Small Boat Standards and Procedures Manual

9-4

Table 1. Mission Conditions and Operating Area Restrictions

Small Boat Operating Conditions Operating Area

CLASS A

Operating without a support vessel and operates within the limitations set

forth on the small boat loading plate

PROTECTED and

PARTIALLY

PROTECTED

WATERS NOT

MORE THAN 3

MILES FROM LAND

Operating with support vessel evaluated for the applicable operational

area, which can accommodate additional persons onboard.

ALL WATERS

CLASS I

And

CLASS II

Small boat carries more than six persons, OR conducts lifts over-the-side

with static loads exceeding 200 lbs., OR conducts bottom trawls or

dredges.

PROTECTED

WATERS ONLY

Small boat carries six or less persons AND does not conduct static lifting

over-the-side of loads exceeding 200 lbs. AND does not conduct any

bottom trawls or dredges.

PARTIALLY

PROTECTED

WATERS

Operating with support vessel evaluated for the applicable operational

area that can accommodate the additional persons onboard.

ALL WATERS

CLASS III

and SRV

Operating within the limits of the specific individual stability evaluation

which defines the boat specific operational areas and limitations.

WATERS DEFINED

BY THE SMALL

BOAT STABILITY

EVALUATION

.07 Special Case Class I and II Mission Stability Requirements

Small boat operating conditions that fall outside of Table 1 require boat specific

evaluation. To assist in a timely and thorough evaluation, the SBP maintains a

standing working group to evaluate the capability to meet desired operating area

limitations. The Stability Working Group is comprised of:

• SBP Engineering Coordinator

• SBP Inspection Coordinator

• SBSB representative

• VOC representative

• Field operations representative

The Board representative, VOC representative, and field operations representative are

nominated and approved by the SBSB. Nomination qualifications include individual

interest and subject matter expertise.

NOAA Small Boat Standards and Procedures Manual

9-5

The Stability Working Group is tasked with applying appropriate regulatory

requirements, and evaluating mission details and practical small boat characteristics

consistently. The combined experiences of the NOAA small boat fleet and industry

standards are used to qualify conclusions of the group. The Stability Working Group

provides technical guidance to establish operating area or mission limitations. The

Stability Working Group may require professional engineering evaluations or tests to

determine small boat stability characteristics. The resources of the Stability Working

Group are available upon request to the SBPM.

Upon completion of a stability review, subsequent limitations on loading, mission

conditions, or operating area are submitted to the SBSB for approval. Once approved,

the stability review is documented in the SBOM.

.08 Small Boat Acquisition Criteria

All proposed new small boat acquisitions that do not meet the provisions and

limitations of Table 1, require review by the Stability Working Group. This group

reviews requirements for determining the suitability of small boat design,

construction, and stability for the intended designated operating area. (Reference

Section 12)

.09 Modifications of Small Boats

Ensure any weight or engine changes in proposed modifications or alterations to Class

A and Class I small boats are within the maximum limits listed on the loading

placard.

Contact the SBPM to enlist the services and guidance of the Stability Working Group

for any proposed modifications or alterations made to Class II, Class III and SRVs

with stability data derived from inclining or calculated methods. The working group

determines what marine engineering or naval architecture services are required.

The VOC maintains records of all small boat modifications or alterations. Changes

that result in weight addition or deletion must be recorded in the small boat’s weight

log.

Examples of criteria that require a Stability Working Group review are:

• Significant weight deletion or addition greater than 2% of the small boat’s

original gross weight or displacement;

• Changes in installed tank capacities;

• Watertight bulkhead alterations;

• Tank boundary changes;

• Fishing method changes not included in the original stability evaluation.

Examples are the removal or addition of fixed equipment necessary for the

method of fishing operations such as outriggers, net reels, and winches.

• Freeing port alterations;

NOAA Small Boat Standards and Procedures Manual

9-6

• Lifting gear changes other than equivalent equipment;

• Windage changes;

• Bilge keel area changes;

• Carrying additional personnel and various equipment;

• Repowering other than maximum rated horsepower, weight, and propulsion

type

10-1

SECTION 10 LIFESAVING EQUIPMENT AND SMALL BOAT EQUIPMENT

Given the type and complexity of operations conducted by NOAA, expanding carriage

requirement considerations to include remoteness, complexity of the small boat, and

operational challenges will improve overall safety. These requirements are one element of

ORM and support engineering, inspection, and personnel requirements.

NOAA minimum lifesaving and small boat equipment requirements have been compiled in

this section from federal regulations, industry standards, and best management practices.

Additional information and references can be found in the following: CFRs 46, 33, and 29,

American Boat and Yacht Council (ABYC) standards and guidance from the SBP.

.01 Determine Carriage requirement

a) Standard Equipment Required

• Non-motorized small boats, use Table 1

• Class A, I, and II small boats require a three phase approach to determining

carriage requirements.

• Determine standard equipment required aboard all classes. These

requirements are found in Table 2.

• Determine additional requirements based on both size and distance from

shore. These requirements are noted with an “R” in Table 4.

• Define individualized requirements for each small boat, based on and

ORM, mission complexity, gear deployment, and capabilities of the boat.

These requirements are noted with an “O” in Table 4

• Class III and SRV small boats, use Table 3.

Rescue boats aboard NOAA ships must comply with equipment requirements

within 46 CFR 199-Lifesaving Appliances and Arrangements, OMAO

Supplemental Small Boat Policy, and additional gear or resources required by the

ship’s commanding officer. For further rescue boat guidance, please contact the

SBP.

b) Operational Considerations

VOCs, OICs, and scientists must consider potential impacts the mission and the

intended scientific operation will have on stability, limited steerage, or lifting

capability. Mission specific operations such as trawling, sampling gear

deployment/recovery, fishing with hook and line, Remotely Operated Vehicles

(ROV)/ Autonomous underwater Vehicles (AUV) handling, and outreach or

media events all require special considerations. Specialized tools, additional safety

equipment or personal protective equipment are required for many of the

operations conducted on small boats.

VOCs, OICs, and scientists must consider environmental extremes and operations

that require extended periods underway. VOCs should consult with their local

NOAA Small Boat Standards and Procedures Manual

10-2

USCG, OCMI to determine if intended operations are in areas of special

designation and require extra risk mitigation steps. Some missions require intense

physical exertion that is often repeated multiple times in the course of a day or

cruise. Consider every potential impact. The diversity of small boat operations

make it difficult to provide an inclusive list of operational challenges and

examples of risk mitigation measures. The list of examples below is by no means

comprehensive and will continue to expand as VOCs and operators share their

experiences. Should your scientific operation not be listed, please share it with the

SBP so it can be included.

• Artic cold weather work – use of dry suits or comparable thermal protection,

sunglasses, sunscreen

• Heat extremes – sun protection (canopies, hats, clothing, frequent breaks,

sunglasses, sunscreen, hydration, extra water)

• Extended periods underway (fatigue) – frequent breaks, rotate operators, rest

periods, suitable area for rest, provisions for food

• Heavy traffic areas – additional lookouts, backup radar and radio, AIS

• Trawling – danger areas marked, cable cutters, hardhats, closed toe shoes,

protective clothing

• Longline – wire cutters, knife, snag considerations for PFDs,

• Marine mammal and turtle live capture – net precautions, people in the water,

traffic

• Overhead lifting and handling of weights on deck – hard hats, steel toe shoes,

gloves

c) Special Circumstances

If carrying equipment is deemed hazardous based on mission, contact your

LOSBO or the SBP for additional information or clarification on the carriage

requirements for multiple small boat operations.

When operating in conjunction with a larger support vessel, i.e. from a NOAA

research vessel, chartered vessel, etc.

• The boat must meet all stability and carriage requirements as stated in

sections.

• The boat must comply with the supplemental policy for the support

ship/program/office.

• Class II boats do not need to carry additional USCG or International

Convention for the Safety of Life At Sea (SOLAS) approved type I PFD as

long as the support vessel can provide immediate response to the Class II boat.

If operating in tandem with another small boat where carriage of safety and

lifesaving equipment may create additional risks to the small boat operations (i.e.

during large whale disentanglement operations, dolphin captures, emergency

response, etc.), a small boat (referred to as the “primary boat” for the remainder of

NOAA Small Boat Standards and Procedures Manual

10-3

this section) may operate without all of the required safety and lifesaving

equipment provided each of the following are met:

• The support boat maintains visual contact and communication with the

primary boat at all times while the primary boat is underway

• The support boats only task is to serve as an operational platform for the

primary

boat;

• The support boat meets all carriage requirements as well as enough safety and

survival equipment to accommodate both boats;

• The support boat has the carrying capacity to embark all personnel from both

boats;

• Each small boat has sufficient PFDs for all embarked personnel

A risk assessment must be completed for the operation that specifically addresses

the coordination between the support and primary boat.

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Table 1. Minimum Carriage Requirements: Non-Motorized Small boats

Resources to Protect Personnel

Personal Flotation Devices (PFD)

Appropriate size and buoyancy for every person aboard with light and

whistle. All components must be USCG approved and PFD type must be

suited for intended operations (i.e. lake, surf, swift water…)

Thermal Protection

Required for every person if SST is =<59 °F based on NOAA’s Coastwatch

(http://coastwatch.noaa.gov) reports or determined by operational risk

assessment (Dry, wet, anti-exposure or USCG approved immersion suit

appropriate for the mission)

Throwable Flotation device

Open deck requires USCG approved type IV PFD, enclosed deck may use a

throw bag

First Aid Kit

Equipped for area of operations and personnel aboard (i.e. response time)

An example inventory list is available on the SBP website.

Positioning

GPS Cell phone GPS lat/long positioning or handheld GPS

Compass Magnetic or electronic handheld

Local Chart/Map

Current printed or electronic map that provides adequate detail to navigate

the area of operation

Communication

Two different forms of communication are required at all times

Visual Designated standby person onshore or in another small boat able to respond

Cell Phone Must be within cell phone range

VHF Radio Handheld waterproof radio

Email or Text messaging

Within cell phone range or utilizing satellite service (phone, SPOT,

EPIRB…)

Satellite Phone Required when beyond cell phone range and VHF range

Damage/Emergency Response

Emergency Beacons EPIRB or Personal Location Beacon (PLB)

Daytime Distress Signal Flag Approved USCG daytime signals can be used in place of distress flag

Visual Distress Signals

(If operating between sunset - sunrise)

One USCG approved electric distress light or 3 USCG approved

combination day/night flares

Sound Signaling Device

Whistle or air horn, must be heard at least 1/2 mile away for at least 4-6

seconds

Anchoring or securing the small boat Depending on the operations, an anchor or sea anchor may be required

Means of Dewatering Bailer or manually operated bilge pump

Paddle/Paddles

Number required will depend on the small boat (i.e. kayak, raft, canoe...)

Label with small boat’s name or NOAA

Visual Identity and Signage

NOAA Identification and Registration Must comply with Section 13 of the Manual

Navigation Lights

One all around white light visible from all directions or a flashlight showing

a white light which shall be exhibited in sufficient time to prevent collision

Capacity Label Permanently affixed

GAR Slate or Placard Required

Documents on File with VOC

Baseline and Mission Risk Assessments, ASBE, PQS, OEM

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10-5

Table 2. Minimum Carriage Requirements: Motorized Class A, I, and II Boats

Resources to Protect Personnel

Personal Flotation Devices (PFD)

Appropriate size and buoyancy for every person aboard with light and

whistle. All components must be USCG approved. Refer to Section 10.02

of this Manual for specific PFD requirements

Thermal Protection

Required if operating where SST is =<59 °F (15 °C) based on NOAA’s

CoastWatch (http://coastwatch.noaa.gov) reports or determined by

operational risk assessment (Dry, wet, anti-exposure or USCG approved

immersion suit appropriate for the mission)

Life Raft

Required beyond 12 nm. Refer to (life raft) Table 4 of this Section, and

Section 10.03 of this Manual for specific raft requirements

Throwable USCG approved type IV PFD-

Flotation Device

Float cushions are permitted on class A and I boats for day operations. For

class II boats a18” ring life buoy is required.

First Aid Kit

Equipped for area of operations and personnel aboard (i.e. response time)

An example inventory list is available on the SBP website.

Carbon Monoxide Alarm

All small boats with enclosed cabins, number of alarms must protect all

spaces occupied by personnel (berthing, galley, bridge….)

MOB Recovery

Recovery gear aboard and procedure in place for conscious and

unconscious victim.

Positioning

GPS or Chart plotter

Suitable for intended operational area

Compass Magnetic or Electronic with independent or backup power supply

Navigation Charts

Current printed or electronic chart that provides adequate detail to navigate

the area of operation

Navigation Rules

Appropriate book, chart, or placard for the class small boat and operating

area, Small boats => than 12 meters (39 feet) must carry a current

electronic or printed copy aboard

Communication

Two different forms of communication are required at all times

Visual

Designated standby person onshore or in another small boat able to

respond

Cell Phone

Must be within reliable cell phone range

VHF Radio

One 25 watt VHF radio is recommended, Class II small boats must have

at least one radio with MMSI registration and integrated with GPS

Email or Text messaging

Within reliable cell phone range or utilizing satellite service (phone, SPOT,

EPIRB…)

Satellite Phone

Phone or other satellite communication is required when operating beyond

cell phone coverage

Damage/Emergency Response

Emergency Beacons

(EPRIB, PLB)

In lieu of EPIRBs, PLBs are permitted for protected and partially protected

operations on Class A and I small boats. For Coastal and Exposed waters

Category I (auto deployment) EPIRBs are required. Category II (manual)

EPIRBs may be authorized depending on small boat design and suitability.

Visual Distress Signals

Class A-one orange distress flag (day only) or 3 combination day/night red

flares.

Class I and II - one orange distress flag or 3 hand-held or floating orange

smoke signals (day only), and one electric distress light or 3 combination

(day/night) red flares, handheld, meteor or parachute (46 CFR 28.145).

Refer to Table 6 of this Section for additional guidance

Sound Signaling Device

Whistle, handheld air horn, or electric horn that can be heard at least 1/2

mile for 4-6 seconds (USCG NAV RULES)

NOAA Small Boat Standards and Procedures Manual

10-6

Anchor and adequate rode

Required for Class I and II. Class A small boat operating within a shallow

river or non-navigable waterway must have a means to secure the boat.

Guidance on acceptable ground tackle and mooring line is available on the

SBP website (under Best Practices).

Dewatering Device

A mechanical or manual means of dewatering is required for all small

boats. On Class I and II small boats with compartments that have through

hull fittings below the waterline or spaces below the main deck without

watertight closures, these spaces must have an appropriate bilge pump with

high water alarm installed at the operator station.

Fire Extinguishers

Marine type USCG approved fire extinguishers minimum requirements:

Class A and I - One B-I, Class II - One B-II or two B-I, Fixed Fire system

required for enclosed machinery space (approved as additional B-I). Refer

to Table 5 of this Section or contact the SBP for additional carriage (46

CFR 181.500)

Visual Identity and Signage

NOAA Identification and Registration Must comply with Section 13 of this Manual

Navigation Lights Must comply with USCG NAV RULES (COMDTINST M16672.2D)

Capacity Label

Permanently affixed (if not installed by the manufacturer, contact the SBP for

guidance)

GAR Slate or Placard Required

Oil and Garbage Placards

Required on all Class I and II small boats. (33 CFR 155.450 and 151.59)

Guidance on purchasing placards is available on the SBP website (see

Placards Required for Daily Operations).

Documents on File with VOC

Baseline and Mission Risk Assessments, ASBE, SBEX, PQS, SBOM,

OEM

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Table 3. Minimum Carriage Requirements: Class III and SRVs

Refer to small boat inspection booklet for specific requirements. These booklets are

developed by the SBP and approved by the SBSB.

Resources to Protect Personnel

Personal Floatation Devices (PFDs)

Appropriate size and buoyancy for every person aboard with light and whistle.

All components must be USCG approved. Refer to Section 10.02 of this Manual

for specific PFD requirements. Type I PFD for all personnel in addition to the

Type III and V permitted for deck operations

Immersion Suits Required. Must have USCG approved light and whistle.

Life Raft

USCG approved or meets SOLAS. SRVs must carry SOLAS rafts

If operating >50 miles of the coastline SOLAS A is required

Life ring

USCG approved Orange Ring Life (RL) Buoys 24" or greater. At least one life

buoy must have a MOB strobe light attached.

Class III-One or more RL Buoys. One must have a minimum of sixty (60) feet

of rescue line attached.

SRV–Three RL Buoys. One must have a minimum of ninety (90) feet of rescue

line attached

First Aid Kit

Equipped for area of operation and number of personnel aboard (exposed,

remote….). An example inventory list is available on the SBP website

AED

Storage location labeled and readily accessible. Requires monthly inspections

and trained personnel

Carbon Monoxide Alarm

All small boats with enclosed cabins, number of alarms must protect all spaces

occupied by personnel (berthing, galley, bridge…)

MOB Recovery

Recovery device or apparatus aboard and procedure in place for conscious and

unconscious victim.

Bridge Requirements

Chart plotter

Required with the most up-to-date charts and a secondary independent GPS or

chart plotter that includes a dedicated antenna

AIS Small boat registration must be up-to-date

Magnetic compass

Adjusted with current deviation card and validated every 3 years

Backup fluxgate/electronic compass recommended with independent backup

power

Fathometer Required, backup unit recommended

Radar Required, AIS interface recommended

Navigation Charts

Up-to-date, printed charts that provide adequate detail to navigate the area of

operation

Navigation Rules

Current electronic or printed version of navigation rules and NOAA U.S. Chart

No.1 aboard

Coast Pilot Current electronic or printed version aboard

Communication

Two VHF radios with Digital Selective

Calling (DSC) capability

Both radios must be mounted, 25 watt with MMSI# entered and connected to

GPS input

Cell Phone Must be within cell range

Email or Text messaging

Within reliable cell phone range or utilizing satellite service (phone, SPOT,

EPIRB…)

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10-8

Satellite Phone

Either satellite phone, SSB radio, or other satellite based communication is

required when operating beyond cell phone coverage

Single Side Band Radio Recommended for small boats operating > 50 miles of the coastline

Damage/ Emergency Response

Emergency Beacons

One category I (auto deployment) EPIRB must be installed in a float free

location.

Additional Category II (manual) EPIRBs are recommended

Visual Distress Signals

Meets SOLAS - Three (3) Parachute Flares, Six (6) night flares, Three (3)

Smoke Flares

Fire Suppression

Refer to appropriate USCG regulations for small boat class, must meet

minimum requirements for fixed and portable fire suppression based on small

boat configuration.

Refer to the vessel inspection booklet or contact the SBP for additional guidance

Sound Signaling Device

SRV requires 300 mm bell

Horn must be heard at least ½ mile for 4-6 seconds

Anchor

Appropriate size for the small boat. Guidance on acceptable ground tackle and

mooring line is available on the SBP website (under Best Practices).

Dewatering Devices Bilge pumps with visual indicator at the operator station or bridge

High Bilge level alarm Visual and audible indicator at operator station

Emergency Steerage Required for single engine or single rudder small boats

Visual Identity, Signage and Carried Documentation

NOAA Identification and Registration Must comply with Section 13 of this Manual

Navigation Lights Must comply with USCG NAV RULES (COMDTINST M16672.2D)

SBOM Maintained aboard

Waste Management Plan/Policy Located in a visible and accessible area

Oil and Garbage Placard

Located in a visible and accessible area (33 CFR 155.450 and 151.59). Guidance

on purchasing placards is available on the SBP website (see Placards Required

for Daily Operations).

Baseline Assessment Aboard and dated with annual review

Marine Sanitation Device Instruction placard on use and proper disposal

GAR Slate or Placard

Required

Day shapes

Must comply with USCG navigation rules for intended operations

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d) Additional carriage requirements based on operating area and operational risk

assessment

Table 4. Operational Matrix for Class A, I and II Small Boats

Use this table to assist with risk

considerations and operationally

based carriage requirements

A-

Protected

A-

Near Coastal

A-Coastal

I-

Protected

I-

Near Coastal

I-Coastal

I-

Open Waters

II-Protected

II-

Near Coastal

II-Coastal

II-

Open Waters

Type I PFDs * O O O O O O R O O R R

Immersion Suits ** O O O O O O R O O O R

USCG or SBP approved Life

Raft or IBA *** (46 CFR

28.120)

N N O O O O R O O O R

Automated External

Defibrillator (AED)

O O O O O O R O O O R

Radar N N O O O O O O O O O

Fathometer/Depth Sounder O O O O O O R R R R R

Oars/Paddles R R R R R R R O O O N

Additional GPS or Chart plotter N O O O O O R R R R R

Additional VHF radio N O O N O O R N O R R

Satellite Phone O O O O O O R O O O R

Emergency Steerage Plan N N N O R R R R R R R

Sea Anchor N N O N N O R N O O R

Emergency Ditch Bag **** N N O N O O O N O O O

MOB - Recovery Procedure R R R R R R R R R R R

R = Required O = Operationally based N = Not Required

The following Operational Route definitions only apply to this Section

* Immersion suits may be used in place of Type I PFDs

** Immersion suits are always required when operating where SST is =<59 °F (15 °C) based on

NOAA’s CoastWatch reports (http://coastwatch.noaa.gov

) or an increased risk of hypothermia exists

*** A USCG or SBP approved life raft or inflatable buoyant apparatus (IBA) is required. Soft packs

are acceptable on class I and II small boats. Raft capacity must be 100% of personnel carried aboard.

**** Suggested items in addition to minimum requirements: Waterproof handheld VHF radio, water,

Personal Locator Beacon (PLB), signal mirror, whistle, strobe/flashlight

Protected Bays, Sounds and Rivers (<2 miles shoreline to shoreline with no special hazards)

Near Coastal (< 3miles from a harbor or safe refuge)

Coastal (3-12 miles from a harbor or safe refuge)

Open Waters (beyond 12 miles from a harbor or safe refuge)

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.02 Guidance for Personal Flotation Devices and Immersion Suits

This section provides additional guidance for PFDs and immersion suits to help

reduce the risk of drowning and increase survivability in warm and cold waters.

Cold-water thermal protection requirements are addressed in more detail and are

structured to exceed minimum risk controls.

a) Carriage and Donning Requirement for PFDs

PFD includes work vests, marine buoyant devices intended to be worn, life

preservers, life jackets, hybrid PFDs, and inflatable life jackets. PFDs must

contain a label stating USCG approval number and type. PFD types are defined in

46 CFR §160 - Lifesaving Equipment. Small boats operating from NOAA Ships

must comply with the OMAO Small Boat Supplemental for PFD carriage

requirements.

Inflatable PFDs are designed to become buoyant either manually, automatically,

or both by inflation of a sealed chamber. Inflatable PFDs are not inherently

buoyant and therefore must be properly maintained, inspected, and components

replaced before expiration dates.

Work vests, float coats/coveralls, anti-exposure suits, dry suit-style, and inflatable

PFDs are personally assigned PFDs intended to be worn regularly on a continuous

basis. All PFDs must be USCG approved or meet SOLAS. Units that issue Type

III or V PFDs provide oversight to assure PFDs are serviced and that time

sensitive components remain current. Only PFDs under the oversight of the VOC

may be considered part of the lifesaving carriage requirements. Type III and V

PFDs do not replace additional required lifesaving requirements (e.g., immersion

suits, Type I PFDs).

• All persons must wear an appropriately sized and fitted approved PFD at

all times and in all waters (except as stated in Section 10.02.f of this

Manual).

• Personal Type III and Type V PFDs, not issued by the government, are

authorized. They do not count towards the posted minimum carriage

requirement

• PFDs must be properly sized for the wearer, and for the operational and

environmental conditions

• PFDs must be fitted with a light and a whistles

• PFDs must be maintained in a serviceable condition, per manufacturer or

USCG instructions;

• Risk management should be used to determine additional PFD

requirements for all operations.

b) Anti-Exposure wear

Make readily available for all personnel working on weather decks, if not already

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used as a PFD, an approved PFD that offers both thermal protection and flotation.

This includes anti-exposure suits, float coats, and dry suits.

An anti-exposure suit (including float-coveralls) is a protective suit (which is an

approved Type III or Type V PFD when worn) designed for use in general cold-

weather.

c) Cold Water Exposure

Cold waters are defined as operational waters where the surface temperature is

59° F (15° C) or colder. Use NOAA’s CoastWatch reports

(http://coastwatch.noaa.gov) to determine real time water temperature. Provide

cold water protection whenever operational risk analysis reveals an increased risk

of hypothermia. Consider distance from shore, time to rescue, and air temperature

in addition to water temperature.

An immersion suit is a protective suit that when worn reduces loss of body heat of

a person in cold water. Immersion suits are also known as “survival suits.” All

immersion suits used on NOAA boats must be USCG approved and/or meets

SOLAS per 46 CFR §160.171 - Immersion Suits.

• If immersion suits are required to be carried onboard and intended to be worn

by untrained personnel onboard in an emergency, adequate training and

familiarization drills are required before departure, including donning of a

suit.

• The OIC or VOC ensures all persons have adequately sized PFD’s and

immersion suits before departure. Size limitations are provided on each piece

of lifesaving equipment for reference.

d) Type I PFD and Immersion Suit Stowage.

• Type I PFDs and immersion suits must be stowed and readily accessible.

When applicable they should be distributed throughout small boat (e.g. berths,

mess, working spaces, or on deck) and accessible for donning in a reasonable

amount of time during an emergency.

• Do not put Type I PFDs and immersion suits in deck containers that can be

locked.

• Type I PFDs and immersion suits stowed overhead must be supported in a

manner that allows quick release for distribution.

• Type I PFDs and immersion suits must be clearly visible. If stowed in a

locker, under seats, or in a small compartment, clearly label the PFD and

immersion suit with the number, type, and size of device within (e.g., 5

Immersion Suits – 3L / 2M). Do not stow PFDs in plastic bags, locked

compartments, or with other gear stowed on top of them.

• Mark and stow child size PFDs (for persons weighing less than 90 lbs.) in a

location separate from adult PFDs so the child size PFDs are not mistaken for

adult size PFDs.

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• Stow Type III and V PFDs separate from the required primary Type I PFDs.

e) PFD and Immersion Suit Requirements

• PFDs and immersion suits must be equipped with USCG approved light and

whistle that are mounted to resist snagging.

• Replace alkaline batteries in lights annually, no more than 1 year from the

date installed. Date of installation must be recorded.

• Replace lithium batteries in lights every 5 years from the date installed.

Date of installation must be recorded.

• Disposable lights must be replaced prior to the expiration date.

• Permanently mark PFDs and immersion suits with at least one of the

following: the small boat’s name, NOAA hull registration number (e.g.,

R6201), the word “NOAA”, the NOAA emblem, or the operating organization

(e.g., FKNMS, NRT 1, etc.).

• Inspect, test, and maintain immersion suits per U.S. Coast Guard Navigation

Inspection Circular (NVIC) 01-08. Air test suits for leaks at least once before

the 10

year from the manufacturing date stamped inside the suit. Test suits

more than 10 years old every 3 years or more frequently as deemed necessary

by the VOC or OIC until suit is unserviceable. Additional guidance is

available as Vessel Inspection Bulletins, available on the SBP website (under

Vessel Inspection Bulletins section).

f) Exceptions for Wearing PFDs

• Diving – PFDs are not required to be worn by divers when they are dressed in

diving gear providing positive buoyancy.

• Enclosed Spaces – PFDs are not required to be worn when a person is inside

an enclosed cabin or spaces.

• Bulwarks and Rails – PFDs are not required to be worn by persons on deck

when all of the following conditions are met:

• The OIC grants permission not to wear a PFD on deck.

• The person will not engage in the small boat’s mission in a scientific or

crew capacity.

• The person will not be in close proximity to areas where operations are

being conducted onboard or over the side of the small boat.

• The small boat deck is configured with exterior rails or bulwarks that are

at least one meter (39.5 inches) high.

• In the case of rails, the courses of rails (or equivalent chains or wire) are

installed such that no open vertical space exists that is more than 12

inches.

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

SOLAS A and B ILRs are self-contained inflatable rafts with insulated floors, full

canopy, hydrostatic release, and are packed in a hard case. These rafts contain

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additional survival equipment that meet the requirement found in 46 CFR 160.151 –

Inflatable Liferafts (SOLAS). SOLAS B ILRs are restricted to 50nm offshore and do

not contain food or water and carry half of the visual distress signals of a SOLAS A

ILR.

USCG-approved coastal life rafts are compact rafts that lack provisions for long

term survival and are not constructed to the same strict standards of SOLAS

approved rafts. On coastal rafts, the freeboard is typically less, floor is often a

single, un-insulated layer, and the boarding ladder may be merely webbing.

An IBA is a self-contained inflatable platform or raft, with or without a canopy, is

packed in a hard case or valise (soft sided bag). IBAs meet the packed item

requirements found in 46 CFR 160.010-3 – Inflatable Buoyant Apparatus.

When small boat class or operations require an ILR, rafts must be either USCG or

SOLAS approved and suited for the intended operational area. All SRVs are required

to carry either a SOLAS A or B raft regardless of the area of operations.

All small boats operating > 50nm offshore must carry a SOLAS A ILR.

USCG approved IBAs are acceptable for additional persons carried during media

events or outreach programs as long as the small boat maximum carrying capacity is

not exceeded.

Approved inflatable life rafts and inflatable buoyant apparatus are required to be

serviced periodically at an approved servicing facility. The first servicing of a new

raft is 24 months after it is first packed. After that, servicing is normally every 12

months.

.04 Emergency Radio Beacon

NOAA SBP recognizes three types of emergency radio beacons:

• EPIRB:

• Category 1 – float free mounting

• Category 2 – not float free

• PLB

Tracking program and maintain registrations current. Test radio beacons monthly

when the small boat is in service. In addition, review EPIRB beacon identification

registration information at least annually to ensure emergency contact information is

still valid.

.05 Ring Life Buoy and Water Light Considerations

A ring life buoy (RLB) is an inherently buoyant, type IV PFD that does not rely on

any chemical mechanism or operator action to provide buoyancy. RLBs must be the

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appropriate size bases on the small boat class, orange in color, and USCG or SOLAS

approved. Clearly mark each buoy with reflective tape and mount in a readily

accessible area that allows for rapid deployment. Inspect all RLBs annually for

deterioration and replace if the material is split, badly faded, or if grab lines appear

weakened.

A USCG or SOLAS, waterlight (46 CFR 161.010 – Floating Electric Waterlight),

when used, must be attached to the RLB with a corrosion resistant clip that can be

easily disconnected or with 3 – 6 feet (91-183 cm) of line. Line should be UV

resistant and constructed for use in the marine environment. Lights must be self-

righting and cannot hinder the deployment of the RLB.

.06 Fixed Fire Extinguishing Systems

Small boats equipped with a fixed gas extinguishing systems must have the system

inspected annually (not more than 1 year from the previous certification) and certified

using the appropriate National Fire Protection Association (NFPA) references. An

inoperative or expired service interval of a fixed gas system, regardless of whether

required to be installed or not, results in a Category 1 deficiency and the boat may not

operate until corrected. Small boats with a fixed gas system installed by the

manufacture must preserve and maintain the system or be subject to a Category 1

deficiency. For small boats that do not have a fixed gas firefighting system installed

and it is determined using 46 CFR 181.400 - Fixed Fire Extinguishing and Detecting

Systems that one is required, every effort is made to have a system installed as soon as

possible. All service, repair, and installations of fixed gas fire extinguishing systems

must be performed a NFPA certified technician.

Table 5. Portable Fire Extinguisher Minimum Requirements

Portable Fire Extinguisher Minimum Requirements (46 CFR 181.500(a))

For guidance concerning applicability contact the SBPM.

Space protected

Required

Type

Class

Size

Operating Station and/or

Open Console

1 B-I, C-I

CO2 or Dry

Chemical

1.8kg (4 lb) or 0.9 kg

(2 lb)

Enclosed Machinery Space

(if applicable)

B-II, C-II

located outside exit

CO2 or Dry

Chemical

6.8 kg (15 lb) or 4.5

kg (10 lb)

Accommodation/Berthing

Space/Cuddy Cabin (if applicable)

1 A-II

Foam or Dry

Chemical

9.5L (2.5 gal) or 4.5

kg (10 lb)

Galley/Pantry/Cooking Areas

(if applicable)

1 A-II, B-II

Foam or Dry

Chemical

9.5L (2.5 gal) or 4.5

kg (10 lb)

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Table 6. Visual Distress Signals

VISUAL DISTRESS SIGNALS (46 CFR 28.145)

Area

Devices required

Greater than 50 miles from coastline.

3 parachute flares, approval series 160.136, or SOLAS; plus 6 hand flares,

approval series 160.121, or SOLAS; plus 3 smoke signals, approval series

160.122, or SOLAS.

3-50 miles from the coastline

3 parachute flares, approval series 160.136, 160.036, or SOLAS; plus 6 hand

flares, approval series 160.121, 160.021, or SOLAS; plus 3 smoke signals,

approval series 160.122, 160.022, 160.037, or SOLAS.

within 3 miles of the coastline.

Night visual distress signals consisting of one electric distress light, USCG or

SOLAS approved, or 3 approved flares; plus Day visual distress signals

consisting of one distress flag, USCG approved, or 3 approved flares, or 3

approved smoke signals.

.07 Personal Protective Equipment and Clothing

Personal Protective Equipment (PPE) must:

• Comply with the applicable standard (see Executive Order 12196 – Occupational

Safety and Health Programs for Federal Employees);

• Fit properly;

• Be stored in a convenient location that is safe from adverse conditions that could

damage the equipment; and

• Be used per the manufacturer’s recommendation for the equipment being used.

All persons aboard small boats must, at all times, wear mission appropriate protective

foot protection, hard hats, eye and face protection and hand protection.

11-1

SECTION 11 EMERGENCY READINESS

The safety of personnel and small boat integrity are the primary focus of the SBP and must be

the highest priority of small boat operators and crew. The hazards presented by the marine

environment, weather, and mission operations are dynamic and often unpredictable. It is

critical that small boat crews are prepared to respond to emergency situations.

The nature of the small boat fleet presents additional challenges associated with the diversity

of platforms, onboard resources, frequency of use, rotation of crews, and the skills and

handling of embarked mission personnel.

Effective emergency response under adverse conditions is best achieved through a planned

progression of frequent training exercises, pre-mission briefing, and underway drills.

These efforts provide opportunities to educate, practice, and critique standard response

procedures and review the use of onboard resources and emergency gear.

.01 Responsibility

The VOC is responsible for establishing specific emergency procedures for their

small boats and recurring training for their operational unit that best address the

nature of operations, small boat complexity and the skills of embarked personnel. The

VOC must maintain records of these efforts and participants.

The OIC is responsible for conducting pre-mission briefings that detail the emergency

roles and duties for all embarked personnel, including the location and use of safety

and response gear.

The OIC is responsible for conducting the required drills and training, and a follow-

up debrief that includes critiques and implementing corrective actions, and recording

all details in the small boat log book, float plan or training log.

The OIC is responsible for inspecting and testing all onboard safety gear and systems

that support emergency response and survival per the manufacture’s requirements.

.02 Emergency Response Plan Requirements

The VOC identifies required resources and training to support effective emergency

response. The plan is tailored to best reflect the unique operations, complexity of the

small boats, required personnel skills, and the most probable hazards encountered.

This plan should include the following elements:

• Refresher safety training such as, but not limited to: classroom instruction,

training videos

• Hands on training exercises such as, but not limited to: launching flares,

donning Immersion Suits, parking lot trash can fire demonstration

• Small boat orientation briefs

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• Drill requirements

• Boat-specific emergency procedures

Emergency response plans may be developed for a group of similar small boats or be

small boat specific to best reflect both complexity and crew familiarity. Plans

developed for smaller, less complex platforms should focus on personnel skills

training. Larger, more complex platforms require detailed emergency procedures

focusing on operation and deployment of emergency equipment and specific duties

assigned to personnel during an actual emergency.

.03 Response Training and Emergency Procedures

Emergency response training is formal instruction of the embarked personnel on how

to recognize hazards, execute the emergency procedures, and utilize emergency

response gear. Initial SBO qualification training requirements (see Section 6.01) is

best reinforced by frequent safety refreshers and hands on training exercises and

drills.

Emergency response is best reinforced by frequent recurrent training and hands on

exercises. Training media and exercises can be provided in a format to suit mission

personnel, project preparation, and field schedules. Effective safety refresher training

includes utilizing local unit instructors and platforms, subject matter videos, group

discussion of emergency scenarios, and hands on exercises. Deployment of expired

flares and rafts, use of fire extinguishers, and wet exercises with immersion suits or

PFD’s are effective training opportunities and should be incorporated when practical.

Included in this instruction should be applicable boat-specific emergency procedures.

Each field office must develop these emergency procedures for applicable emergency

situations such as, but not limited to:

• Abandon Ship

• Fire Fighting Procedures

• Man Overboard and Recovery

• Flooding, Damage Control and Stability

• Cold Water Survival

• Launching a Raft

• Donning Immersion Suits and PFDs

• Making Distress Calls and Using Distress Signals

• Spill Response

• Medical Emergency

.04 Pre-mission Brief – Orientation

Familiarization with the small boat, including safety gear and support resources, is

required to be provided during the pre-mission brief. In addition to reviewing the

GAR and mission plan, the OIC must brief all embarked personnel on:

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• Location of PFD’s, fire extinguishers, liferafts and IBA’s, first aid supplies,

ditch bag

• Emergency alarms and communication.

• Emergency muster locations and gear to be assembled

• Accounting for personnel

• Roles and responsibilities for crew and scientists

• Communication resources – VHF, EPIRB, flares

• Medical Emergencies, First Aid and resources

An example template of a Safety Orientation Briefing checklist is available on the

SBP website.

.05 Emergency Exercises and Drills

Due to the diversity of the fleet and skillsets of embarked personnel below describes

the minimum emergency exercises and drill requirements. Operating units should

choose additional boat and mission specific activities to best prepare personnel and

small boats for potential emergencies.

It must be recognized that training, orientation and hands on exercises increase the

value and effectiveness of underway drills. Emergency response on smaller boats is

heavily dependent on personnel skill sets and should be addressed with more frequent

hands on exercises to allow for practice and acquired proficiency. Emergency

response on larger more complex boats is influenced more by team coordination and

installed systems and may require more in-depth orientation.

a) Training exercises allow participants to practice skills, trial gear deployment, gain

familiarity and improve proficiency in a controlled, low risk environment. The

controlled environment may be dockside, calm shallow water, or simulated

situations.

Required elements of Emergency Training:

• Engagement of all persons

• Low risk conditions that introduce real world hazards

• Allow for hands on experiences, feedback, and instruction

• Assessment of the participant skill and familiarity

• Record of training; persons involved, date and topics covered

• Debrief, critique and follow-up corrective actions

b) Drills are conducted to evaluate the proficiency level of embarked personnel and

the availability, condition and use of onboard resources. Drills also test the on

board resources, personnel response, coordination, and adherence to established

protocols. Drills should be conducted moored and underway, and must reflect

real-world situations and the complexities posed by mission, environment, small

boat operation, and embarked personnel. All drills are evaluated using the small

boat’s emergency procedures. In addition to crew proficiency, the emergency

procedure is evaluated for effectiveness and modified by the OIC accordingly.

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Required Elements of an Emergency Drill:

• Engagement of all Persons on Board

• Underway and under actual emergency conditions as practical

• Demonstrated leadership of OIC

• Demonstrate communication between the OIC and crew

• Accessing and testing (or simulation) of all support gear and equipment

• Notification / communication of emergency situation

• Onboard - Initial notification of the emergency to the OIC

• Ashore - External communications to shore based resources

• Record of drill; persons involved, date, duration, and response time

• Debrief and critique of exercise

• Critique and follow-up corrective actions

c) Frequency of drills

Because drills are an evaluation of both crew proficiency and small boat

readiness, frequencies should be adjusted to optimize crew involvement and

assure frequent exercise of onboard gear. Seasonal programs, occasional small

boat usage, and rotating crews pose a challenge to a prescribed drill frequency or

schedule.

However, VOCs must ensure all operators and crew get the opportunity to

participate in applicable drills at a minimum annually. Frequencies should be

increased with personnel turn over and small boat usage as these conditions can

increase hazard exposure.

Drills are not required if the small boat is not in use, or has been made inactive in

Vessel Inventory Management database (VIM). Upon reactivation, small boats

must complete the required drills immediately before the next operational mission

to ensure proficiency of the operator and crew and the status of safety gear and

systems.

The following table is a list of the minimum required topics and frequencies to be

addressed for all Class III and SRV’s. NOTE: OIC’s aboard more complex small

boats are highly encouraged to increase frequency as appropriate.

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Table 1. Class III and SRV’s emergency topics and frequencies

EMERGENCY

QUARTERLY

ANNUALLY

Fire (motorized small boats)

Abandon Boat

Liferaft / IBA deployment

Immersion Suit and PFD Type I donning

Man Overboard Recovery

Emergency Communications and Visual

Signaling

Flooding / Swamping /Damage Control

Loss of Steering

Diver Accident (if conducting dive ops)

Spill Response

Medical Emergency, First Aid

12-1

SECTION 12 ACQUISITIONS, ALTERATIONS AND DISPOSAL

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

Program Directors (or designee) must assess the suitability of a new or used small

boat in regards to design, construction, total cost, operational routes, mission

requirements, risks, safety, and environmental compliance before initiating a small

boat acquisition.

The review process is required for any new, used, surplus, or transferred acquisitions

to a Line Office or Program. The evaluation is to assure boats added to NOAA’s fleet

are constructed to industry standards and fulfill the safety requirements of the SBP.

The intent is not to approve or disapprove a program’s platform request, but to

provide guidance and assistance in selecting a small boat best suited for the

operational area and intended purpose. The program is sensitive to the procurement

process and every attempt is made to turn around the request in a timely manner.

Chart 1. Flowchart for small boat acquisitions

The flowchart outlines the initial steps required by Operating Units preparing to

acquire a small boat. Review and complete the pre-acquisition worksheet (available

on the SBP website), for any new or used boats the program plans to acquire.

The worksheet is submitted to the LOSBO. The LOSBO may then seek technical

support regarding construction, subdivision, and stability standards. Findings from the

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LOSBO’s review must be submitted back to the operating unit for the Unit’s

consideration.

a) Considerations for Custom Designs

LOSBOs (or designee) ensure that contract specifications are written or reviewed

by a professional marine engineer, or naval architect, or/and the SBP. The

engineering review ensures that the small boat will be properly configured in

accordance with all applicable standards in the Code of Federal Regulations, and

the requirements of this Manual.

b) Considerations for Existing Platforms

A survey conducted by the SBP or a Certified Marine Surveyor may be prudent

for an existing small boat, before acquisition. The marine survey can be beneficial

in determining the condition and estimated life cycle of the boat as well as the

structural integrity and safety for its intended use.

.02 Considerations for Alterations and Modifications

Significant alteration or modification is a change to the original configuration of a

boat with regard to structural, mechanical, or electrical systems.

Examples of significant alterations include but are not limited to (exception: like-and-

kind replacement):

• addition of structures or winches,

• addition of any weight handling gear (e.g., A-frame, crane, and articulated

boom),

• replacement of propulsion engines,

• installation of electric generators,

• lengthening of a small boat, or

• addition of a bow pulpit

The Program Director or VOC review significant proposed modifications to small

boats to assess their potential impact on the safety and mission of the boat. Program

Directors, VOC’s, or Line Office Engineers notify the LOSBO and SBPM to make

sure work will be done per the rules, regulations, and NOAA policies, applicable to

the particular class of small boat. Modifications and repairs are performed per all

applicable standards in the Code of Federal Regulations, and the requirements of this

Manual.

Records, such as drawings or weight and moment reports, resulting from the

alteration of boats is maintained at the appropriate program office and copies are

provided to the SBP when requested.

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.03 Property Disposal

The VOC must change the status of small boat in VIM. Disposal of small boats,

engines, trailers, and equipment must follow Personal Property Management Branch,

NOAA National Disposal Plan

http://www.pps.noaa.gov/excess_disposal_board_of_review.

Before sale or disposal, ensure all identifying stickers, emblems, NOAA hull

numbers, and other forms of identification are removed. Unregister any safety

equipment such as EPIRBs and DSC radios.

13-1

SECTION 13 VISUAL IDENTIFICATION AND REGISTRATION

A uniform identification scheme is necessary to develop and promote public recognition of

small boat activities. A uniform numbering system is required by U.S. Code for the purpose

of identification. All NOAA small boats must comply with the visual identification and

registration requirements specified in this Manual. NOAA Small Boats are government assets

and must maintain a positive public image.

.01 Responsibility

The SBPM is responsible for issuing hull-registration numbers. Programs that own

small boats must:

• Comply with the visual identification guidelines listed in this Manual; and

• Register any new small boat or existing small boat not already registered by

submitting a completed Hull Registration Number Request (NOAA Form 57-

19-03).

• Enter any new small boat or existing small boat not already listed in the

Vessel Inventory Management database.

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

Registration numbers are composed of up to six characters. The first character is a

letter and assigned as follows:

First Character

Description

Any boat assigned to NOAA National Marine Fisheries Service

Any boat assigned to NOAA’s National Ocean Service and primarily

engaged in hydrographic survey.

Any boat assigned NOAA’s Oceanic and Atmospheric Research or

NOAA’s National Ocean Service and primarily engaged in research.

None

Any boat assigned to a NOAA’s Office of Marine and Aviation

Operations

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The first and second number corresponds to the length overall of the small boat

measured in feet and rounded down to the nearest whole foot length.

The third, fourth, and optional fifth numbers are determined by the SBPM and

assigned in sequential order. The optional sixth digit may be utilized when inventory

in a specific length category exceeds 99 total boats.

Any small boat that is internally transferred between Line Offices must be re-

registered through SBPM.

The SBP has no registration process for trailers. Government trailers require a

General Service Administration (GSA) plate, which are requested through the local

property contact who handles Government Owned Vehicles (GOVs). SBP track

trailers through the Annual Trailer Evaluation (ATE) form.

.03 Visual Identification Scheme

a) NOAA Emblem and Registration Number Display

Display of the NOAA emblem promotes public awareness of NOAA programs

and is displayed in the following manner:

• All small boats must display the registration number on the port and

starboard bow.

• Small boats may also display the boat’s name on the port and starboard bow.

If displayed, the name must be above the registration number, in a similar

sized font. The name and number are left justified on the port bow and right

justified on the starboard bow.

• On small boats without a cabin, deck house, or steering console, NOAA

emblems are placed on the forward portion of both the port and starboard

bow. Position with the small boat name and NOAA registration number.

• On boats that have a cabin, deck house, or a steering console, the NOAA

emblems are placed on both the port and starboard side of either the cabin,

deck house, or console at a location that is least obstructed from a clear

broadside view. Emblems should be as large as possible for the available

surface area.

• On small boats that have a cabin, deck house, or steering console, additional

NOAA emblems may be displayed on the port and starboard bows. If

displayed, the emblems must be positioned with the small boat’s name and

NOAA registration number.

• Boats with a full and unobscured transom may display the NOAA emblem

and registration number on the transom. Emblems should be as large as

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possible for the available surface area and account for the area required for

the hull-registration number placement below the emblem.

• Boats with split transoms may display the NOAA emblem offset to one side.

Emblems should be as large as possible for the available surface area and

account for the area required for the hull-registration number placement

below the emblem.

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b) Boat Name and Hull-Registration Number Convention

Boat name and hull-registration numbers are:

• Block-shaped capital letters in sans-serif (Arial) type font;

• Of a color providing contrast with the background hull color, usually black;

and,

• Sized as follows:

c) Color Scheme

Small boats should follow a white color scheme. Other colors are allowed, as long

as the color scheme remains durable, serviceable, and presents a positive public

image. Aluminum hull or structures are not required to be painted.

d) Specific Boat Marking

Line Offices and Programs may develop specific boat-marking schemes and

graphics. Specific boat-marking schemes must not infringe upon, be similar to, or

be able to be construed as being similar to any existing small boat-marking

schemes in use by any small boat, or fleet of small boats, either public or private.

.04 Examples of Small Boat Visual Identifications

Figure 1: Example of visual identification for small boats without a cabin, deck house, or

steering console

Small Boat Category

Letter Size

Class A

3 inches

Class I

3 inches

Class II

3-6 inches

Class III

6 inches

SRV

9 inches

NOAA Small Boat Standards and Procedures Manual

13-5

Figure 2: Example of visual identification for small boats with a steering console

Figure 3: Example of visual identification for small boats with deck house

NOAA Small Boat Standards and Procedures Manual

13-6

Figure 4: Example of NOAA emblem centered on transom

Figure 5: Example of NOAA emblem offset on obstructed transom

NOAA Small Boat Standards and Procedures Manual

13-7

Figure 6: Example of NOAA emblem offset on transom due to obstruction by gear

Figure 7: Example of Line Office or Programmatic markings

.05 Flags

NOAA small boats are allowed to display the United States ensign, national flags, the

NOAA flag, state flags, and the flags of partner agencies. Small boats must follow

proper etiquette for all flags being flown.

.06 Exemptions

Requests to exempt a small boat from the rules of this Section or to deviate from the

standards must be transmitted to the LOSBO for review and action by the SBSB.

NOAA Small Boat Standards and Procedures Manual

13-8

a) Inflatable Boats

Inflatable boats are exempt from the visual identification requirements; however,

every attempt should be made to comply with the identification requirements

where practicable.

b) Imminent Danger

Exemption from the visual identification requirements may be granted by the

Program Director, on a temporary basis, for boats when a significant hazard to the

boat or its complement is probable or perceived due to unpopular public opinion

caused by NOAA regulation or policy. After the perceived or possible threat has

passed, restore the boat to the visual identification requirements of this Manual as

soon as possible.

14-1

SECTION 14 INSPECTIONS

The Small Boat Inspection Program is designed to ensure that safety standards are maintained

to minimize risk. In addition, NOAA SBP has supplemental lifesaving requirements that

combined with Subchapter T, as applicable, to provide high level of safety and risk reduction.

Other applicable Subchapters and USCG Navigation and Vessel Inspection Circulars

(NVIC's), are incorporated by reference throughout Subchapter T.

This Manual states the minimum requirements for all small boats. All equipment must be

maintained in an operational status and inspected per this Manual, best management

practices, and guidance from manufacturers. If the standards and procedures outlined in this

Manual cannot be met, the VOC may request a waiver per Section 3.12 of this Manual.

.01 Responsibility

The VOC ensures all required inspections are properly conducted. VOCs will make

sure that all required inspections are reported to their VPC, LOSBO, and the SBP.

The LOSBOs are responsible for conducting an oversight review of all annual

inspection of small boats within their line office.

The SBP Inspection Coordinator conducts oversight of the Small Boat Inspection

Program.

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

a) Annual Small boat Evaluation (ASBE)

The VOC ensures Class A, Class I, and Class II ASBEs are performed on an

annual basis. The inspection must be performed using the ASBE checklist and

outline. The Annual Small Boat Evaluation/Small Boat Examination for Non-

Motorized Class A & I checklist (NOAA Form 57-19-05), the Annual Small Boat

Evaluation/Small Boat Examination for Class A, I, II checklist (NOAA Form 57-

19-01), and the ASBE outline are available at the SBP website.

Completed ASBE forms are submitted via the Vessel Inventory Management

database.

b) Annual Trailer Evaluations (ATE)

The VOC ensures ATEs are performed on an annual basis. The inspection must be

performed using the ATE checklist and outline. The Annual Trailer Evaluation

checklist (NOAA Form 57-19-02, available on the SBP website) is available on

the SPB website. The ATE may also be performed by a professional trailer

servicing facility.

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14-2

Completed ATE forms are submitted via the Vessel Inventory Management

database.

c) Small Boat Examination (SBEX)

SBEX must be performed by one of the following:

• The SBP Inspection Coordinator or Engineering Coordinator. VOC

contacts the SBP Inspection Coordinator to schedule a mutually acceptable

date and time for an inspection.

• An SBP designated SBEX inspectors. A list of designated inspectors is

available on the SBP website (see Biennial and Triennial Inspections)

• A certified marine surveyor, using the ASBE checklist

SBEX frequency is as follows:

• Class II boats biennially (every 2nd year)

• Class I boats triennially (every 3rd year)

• Non-motorized canoes, kayaks, rafts and rowboats and Class A boats do

not require SBEXs

SBEX performed by a NOAA inspector will replace the annual ASBE for that

inspection year/period. Any SBEX performed by a certified marine surveyor will

not be credited as an ASBE unless the VOC (or a designee) participates in the

inspection and ensures all elements of the ASBE checklist are completed.

d) Completed ASBE, SBEX, and ATE Reporting

The NOAA inspector or hired surveyor signs completed evaluation/examination

checklists, reports, records of findings, and recommendations and forwarded to

his/her VOC. The VOC signs and retains a copy before forwarding to his/her

approving official a defined by the LOSBO. The VOC must submit the signed

copy to Vessel Inventory Management database.

e) Exemptions

All OMAO Small Boats aboard NOAA Ships, including rescue boats operating

perform an ASBE using the ASBE checklist and adhere to the OMAO

Supplemental Small Boat Policy. SBEX for OMAO small boats attached to

NOAA ships are performed by the Fleet Inspection Team during annual fleet

inspection.

.03 Inspection Procedures for Class III and SRVs

The inspection regulations used for NOAA Class III and SRVs are derived from 46

CFR Subchapter T. This Subchapter provides the greatest spectrum of applicability

and appropriate safety level as determined by the SBSB for NOAA’s operations.

Subchapter T provides equipment and construction elements that will increase the

survivability of the small boat and its personnel during catastrophic events.

NOAA Small Boat Standards and Procedures Manual

14-3

a) Scheduling Inspections

The VOC of a Class III or SRV contacts the SBP Inspection Coordinator to

schedule a mutually acceptable date and time for an inspection. A confirmation of

the upcoming inspection is provided to the VOC approximately one month before

the agreed-upon date.

b) Pre-Inspection and Records

When the Inspection Coordinator arrives on site, a pre-inspection meeting is held

to discuss logistics and other inspection-related matters. Small boat documents

and records must be ready and made available to the inspector for examination.

c) Inspection

The scope of the inspection is to determine that the small boat has been operated

in compliance with the Manual since the last inspection, and if the small boat will

continue to do so safely until the next inspection. The inspection booklet for Class

III and SRV is available on the SBP website.

The VOC (or designee) and OIC must attend the entire inspection. The small boat

will be made available for the entire day of the scheduled inspection. The OIC

will be asked to demonstrate that all navigation and communication equipment

functions properly and specific required equipment functions properly on (any

installed) emergency power. The OIC will also be asked to perform dockside

engine, bilge pump, fire pump (if installed) and generator tests. Due to these

requirements, it is expected that the small boat will be in an “operational” status.

If the small boat is in drydock, the inspection will be modified accordingly.

Testing “fixed bilge systems” with a central pump and manifold will require

adding fresh water to a compartment bilge to demonstrate that the system will take

direct suction. If for some reason the small boat is “non-operational” before the

inspection, the Inspection Coordinator must be notified immediately to determine

if the inspection will take place or be rescheduled.

d) Drills

All small boats must get underway for drills, to demonstrate crew proficiency and

evaluate the effectiveness of the training program with the exception of the small

boats in drydock. Drill proficiency is evaluated against the emergency procedures

in the SBOM. In all cases, the OIC has the final decision as to whether the small

boat gets underway taking into consideration the weather, manning, and

operational risk assessment. If it is decided that the small boat is incapable of

conducting drills, the reason is documented in the inspection report. In some

locations, one set of drills will be performed on one small boat if several small

boats are of the same type or nearly identical. The remaining small boats may

conduct dockside machinery trials at the inspector’s discretion.

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14-4

e) Deficiencies

Any deficiencies found will be issued as:

• Category 1 deficiency, which represents a significant risk to personnel,

property, or the marine environment. These deficiencies are reported to the

SBSB by the Inspector (or designee) the day of the finding. On

discovering a Category 1 deficiency, the Inspector may issue a “No Sail”

order, depending on the equipment affected by the failure. A listing of

common Category I deficiencies is available on the SBP website.

• Category 2 deficiency, which represents noncompliance with this Manual

and must be resolved within the time frame established by the inspector.

Deficiencies are issued before the inspector’s departure, and acknowledged by

signature of the VOC (or designee). In some cases further evaluation, included in

the deficiency form, may be required to clarify a deficiency.

f) Category 1 Deficiencies and “No Sail” Order

The Inspection Coordinator and Engineering Coordinator have the authority to

prevent any small boat from operating if the small boat has a Category 1

deficiency.

Reporting Category 1 deficiencies:

The issuing Inspector notifies the SBSB of all Category 1 deficiencies via a group

email message. Upon receiving a Category 1 deficiency, the accountable LOSBO

responds to the email copying all SBSB members and either “concur” or “not

concur” with the Category 1 designation. All other SBSB members must respond

to the initial message to acknowledge receipt of the message.

Clearing a No-Sail Order:

No-Sail Orders must be cleared by the issuing inspector before the small boat

returns to service. This is accomplished by providing all required information

directly to the issuing inspector. The No-Sail Order is cleared in writing before the

small boat returns to service.

Appealing a No-Sail Order:

If the LOSBO does not concur with a No-Sail Order, the LOSBO may appeal the

issue to the SBSB for a final decision. During this appeal the SBSB and SBP will

support and enforce the No-Sail Order until the issue is fully resolved, either by

correction of the deficiency or through the SBSB’s appeal to downgrade the

deficiency.

If the LOSBO does ‘not concur’ with the Inspector’s Category 1 designation, a

follow up email to the attending inspector is sent as soon as practical, providing

NOAA Small Boat Standards and Procedures Manual

14-5

any supporting documentation and reasons for the disagreement. The Inspector

and LOSBO will continue to communicate via email, copying all SBSB members.

If the Inspector and LOSBO cannot come to agreement, or if an interpretation of

policy is required the issue is resolved by the SBSB. The SBSB reviews and

discusses all pertinent information. If additional information is needed, the

LOSBO, VOC, Inspector, or Subject Matter Expert may be consulted. The SBSB

votes to uphold the Category 1 Deficiency or downgrade it. Their decision is final

and will be communicated to all affected parties. The SBSB’s decision will be

recorded by the SBSB Chair and included in the small boat’s Inspection Report.

The Director, OMAO must be notified through OMAO SECD of any instance

when the SBSB votes to downgrade a Category 1 deficiency without a unanimous

vote.

g) Post-Inspection Exit Briefing

The Inspector will discuss the inspection details with the VOC (or designee) and

issue a list of requirements and corrective actions. All deficiencies are issued

before the Inspector’s departure as practical and acknowledged by signature of the

VOC (or designee).

h) Inspection Follow Up and Corrective Actions

• The inspector provides requirements to address deficiencies issued during

the inspection and discusses it with the VOC. This is done on-site after the

inspection is completed.

• The VOC reviews and comments on the list of requirements and forwards it

to their Program Director and VPC.

• The VPC forwards the list of requirements to the LOSBO.

• The VOC, VPC, and LOSBO develop a Corrective Action Plan or response.

• Corrective Action Plans for resolving deficiencies must be communicated

back to the issuing inspector for approval and can be done prior to the

inspector’s departure.

• If a deficiency requires continued discussion, the LOSBO can elevate to the

SBSB.

i) Authorized Deviations

In some instances there will be Class III and SRV boats that cannot economically

or feasibly attain full compliance with subchapter T. These small boats are

evaluated by the SBP in a case by case basis and the equivalency of subchapter T

regulations considered. All operational, design, and route factors are evaluated to

ensure the most applicable subchapter T inspection standards apply. The SBSB

will review all requests for deviation.

NOAA Small Boat Standards and Procedures Manual

14-6

.04 Delinquent Examination and Inspections

Examinations and Inspections of small boats in active status are done no later than 45

days after the 1-year anniversary. Small boats past the 45-day window must not be

used for any operations, and are placed in inactive status.

15-1

SECTION 15 HAZARDOUS MATERIALS

.01 Environmental Compliance

All small boats operate in full environmental compliance with Federal, State, and

NOAA requirements. All NOAA employees must consider themselves stewards of

the environment, and use established polices and best practices to prevent pollution.

NAO 216-17 - NOAA Environmental Compliance Program provides guidance on

responsibilities to ensure regulations are followed to protect the environment and

promote environmental stewardship of our natural resources.

a) Minimum Requirements

The VOC must:

• Maintains an written inventory of hazardous materials inherent to the

maintenance and operation of the small boat

• Ensure that hazardous materials are handled, stored, and disposed of per

industry standards, state regulations, federal regulations, and the Safety Data

Sheet.

Additional guidance on the handling, storage, and disposal of hazardous

substances is available on the SBP website.

b) Materials Brought by Scientific Party

The VOC assists with environmental compliance requirements, and works with

the Chief Scientist(s) to ensure that the chemical hygiene plan is properly

executed and that any problems are promptly brought to the attention of the

Program’s Director.

• The science party provides a chemical hygiene plan to the OIC;

• The science party provides all spill prevention, and spill response equipment

listed by the Safety Data Sheet for each hazardous materials brought aboard;

• The Chief Scientist ensures that hazardous materials are handled, stored, and

disposed of per industry standards, state regulations, federal regulations, and

the Safety Data Sheet;

• Upon completion of the mission, the science party remains responsible for

removing all hazardous materials they brought aboard, as well as any

hazardous waste generated by carrying out the mission.

c) Oil or Hazardous Substance Release

Notify the USCG National Response Center of any discharge into the water by

calling: 1-800-424-8802. Then notify VOC and LOSBO.

A template Shipboard Oil Pollution Emergency Response Plan (SOPEP) is

available on the SBP website. Class III and SRV’s are encouraged to complete a

SOPEP.

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15-2

.02 Pollution Prevention Control

Regulations issued under the Federal Water Pollution Control Act require all small

boats with propulsion machinery to have a capacity to retain oily mixtures on board,

and be equipped with a fixed or portable means to discharge these oily mixtures to a

reception facility. On Class A, Class I, and Class II boats a bucket, oil absorbent pads,

heavy-duty plastic bag, bailer, or portable pump are some of the suitable means that

meet the requirement for retention on board until transferring the oily mixture to a

reception facility.

No person may intentionally drain oil or oily waste from any source into the bilge of

any small boat. You must immediately notify the U.S. Coast Guard if your small boat

discharges oil or hazardous substances in the water. Call the Coast Guard National

Response Center at 1-800-424-8802.

• Management of oily water can be effectively handled using:

• Oil water separator;

• Oil absorbent material;

• Discharged to an onshore facility

• SBOs must develop refueling procedures to prevent accidental spills during

refueling or maintenance of the small boat.

• Motorized small boats, when practical, should keep a supply of oil absorbent

materials onboard to respond to a spill of petroleum products.

• All hazardous waste generated is managed per federal and state regulations. The

transportation of hazardous waste must be in accordance with the Department Of

Transportation regulations.

.03 Marine Sanitation Devices (MSD)

All small boats with installed toilet facilities must have an operable MSD on board.

Small boats 65 feet and under may use a Type I, II or III MSD. Small boats over 65

feet must install a Type II or III MSD. All installed MSDs must be USCG approved.

USCG approved devices are so labeled except for some holding tanks, which are

approved by definition under the regulations.

When operating a small boat on a body of water where the discharge of treated or

untreated sewage is prohibited by state or federal regulations, the operator must

secure the device in a manner that prevents any discharge.

Some acceptable methods are:

• Padlocking overboard discharge valves in the closed position

NOAA Small Boat Standards and Procedures Manual

15-3

• Using non-releasable wire tie to hold overboard discharge valves in the closed

position

• Closing overboard discharge valves and removing the handle

• Locking the door, with padlock or keylock, to the space enclosing the toilets

(for Type I and Type II only)

.04 Vessel General Permits

A Vessel General Permit is required to be maintained on all NOAA small boats 79

feet or greater in length that discharge in waters of the United States to be in

compliance with the provisions of the Clean Water Act, as amended (33 U.S.C. 1251

et seq.) The Vessel General Permit applies to discharges incidental to the normal

operation of all small boats. The Clean Water Act allows states to provide different,

more stringent requirements for discharges into their state’s waters and must be taken

into consideration when a Vessel General Permit is required.

The Vessel General Permit contains effluent limits for different types of discharges

including deck runoff, bilge water, and gray water. Contact the SBP for further

guidance and Vessel General Permit template.

16-1

SECTION 16 MAINTENANCE PLAN

This section establishes responsibility and objectives for the maintenance of NOAA small

boats. It provides guidance on key elements of a maintenance plan to be developed by each

operating unit; customized to their unique requirements, small boat complexity and resources.

Maintenance of small boats is a critical component of the SBP and is integral safety and

reliability. Proper maintenance assures maximum life cycle value and helps minimize

environmental impact. It must be recognized that compromised small boat material condition

or system performance is often a contributing factor to safety incidents and accidents. An

effective maintenance program preserves safety margins and improves overall mission

quality, capability, and reliability.

A standardized, program wide, maintenance program is beyond the scope of this Manual and

is not practical due to the diverse platforms and operational resources; however, the SBP does

require each operational unit to develop plans for maintenance of their small boats in

accordance with the general guidelines of this section.

.01 Maintenance Plan Elements

Structure and manage maintenance plans for NOAA boats to recognize the inherent

performance, safety, and reliability levels of the boat design. This is accomplished by

establishing a detailed plan for scheduled preventative measures, inspection and

testing frequency, timely repair and performance documentation.

Place emphasis on comprehensive planning, resourcing, and scheduling these tasks.

Proper planning and execution maintains warranties, reduces unscheduled

maintenance events, increases asset availability, and allows for an orderly progression

of maintenance actions toward sustaining materiel in a safe and operable condition.

Clearly link maintenance plans to strategic and fiscal planning. Proper maintenance

can minimize the potential for catastrophic failure and minimize the total cost of

ownership throughout the life cycle. Budgets must be developed to assure funding for

scheduled preventative actions and contingencies for emergency repairs. Deferred

maintenance or operation of compromised equipment must be avoided.

Adopt manufacturer recommendations and industry best practices in maintenance

plans. Plans include, or reference, approved materials, procedures and identify

qualified service providers.

Installed systems must be maintained and must not be altered without due

consideration of potential impacts. Alterations and modifications to these systems

must be directed by qualified persons and in accordance with Section 12.02 of this

Manual.

Small boats must present a professional and positive public image. Maintenance

plans should address the physical appearance through cleaning and painting

NOAA Small Boat Standards and Procedures Manual

16-2

schedules. Air and water emissions from engines and machine spaces are minimized

through proper maintenance of mechanical systems.

The plan minimizes and prevents environmental, safety, and occupational health

hazards in conducting maintenance activities. Consider occupational, environmental

and human factors to allow for safe and effective task accomplishment. Include

hazardous material handling, containment and safety protocols in maintenance

oversight and training efforts.

The plan provides a means of recording or logging modifications, servicing,

inspections and maintenance activities. It should facilitate the collection and analysis

performance related data such as engine parameters, oil/ fuel /filter usage, and

measures of noise, heat or vibration.

The programs must establish procedures to record inspection findings, mechanical

failures and incidents with a process to develop and track corrective actions.

.02 Responsibilities

The development and execution of the small boat maintenance plan is the combined

responsibility of the OIC, VOC and Program Director associated with each boat.

The Program Director assures that a plan is developed to the general guidelines

established in this Section. The Program Director is responsible for allocating

resources (budget, personnel and time) that supports the objectives and requirements

of the established maintenance plan.

The VOC, in cooperation with operators and technical resources, develops the

structure, details and procedures of the maintenance plan. The format should be

appropriate for the complexity of their boats and operations. The VOC assures that

corrective measures are implemented for all casualties and that preventative tasks are

performed as prescribed.

OIC’s provides documentation of performance measures, deficiencies and incidents

relating to the operation and condition of each boat. In conjunction with the VOC, the

OIC assures that deficiencies have been appropriately mitigated or corrected prior to

underway operations.

The Program Director, VOC and OIC have the responsibility and authority to remove

a boat from service, or restrict its operation accordingly, when deferred maintenance

or deficiencies adversely affect design performance, reduces safety margins, hull

integrity or compromises the reliability of critical systems.

.03 SBP Support for Small Boat Maintenance

The SBP is available to advise or assists any VOC needing assistance with repairs or

researching vendor quotes.

17-1

SECTION 17 ACCIDENT AND DAMAGE REPORTING

.01 Definitions

a) Incident / Accident

An unplanned event or series of events, which results in one of the following:

• Injury to Personnel, or occupational illness

• Damage or loss of NOAA property, not incidental to normal operations,

including findings that have the potential to cause damage

• Damage to public or private property, and/or injury or illness caused by

NOAA operations (e.g. NOAA had a causal or contribution role in the

accident)

• Damage to the environment, hazardous material spill, impact on ecosystems,

protected species

b) Near miss: An event or circumstance that, if allowed to progress without

interruption and/or without last minute intervention, would have resulted in an

incident. Events or circumstances that approach and compromise safety margins.

c) Casualty, Damage and Conditions Found: material condition of boats or

equipment that has been compromised, breached, or rendered inoperable due to

events or conditions other than normal wear and expected life cycle.

.02 Reporting Responsibilities

a) Property Damage

The OIC must follow the tables below to report all incidents to the VOC. The

VOC assures that the incident is reported to the listed investigative authority and

the LOSBO.

The LOSBO must review the details of the VOC’s report and determine if the loss

or damage is incidental to normal operations. Damage and loss not considered to

be incidental to normal operations must be reported to SECO via NOAA Online

Incident Reporting System.

b) Bodily Harm

The OIC must follow the tables below to report all incidents to the VOC.

For Bodily Harm, the VOC must ensure that the individual’s supervisor is

informed and ensures a report is submitted to SECO via NOAA Online Incident

Reporting System.

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c) Environmental Harm and Hazardous Release

All small boats must maintain an inventory log of hazardous materials and

quantities.

A template SOPEP is available on the SBP website.

d) Protected Species

Regulations and reporting concerning protected species vary according to

operating area. OICs must report strikes to VOC/LOSBO. For regulations, see

http://www.nmfs.noaa.gov/pr/species/.

The SBP must comply with all permitting and regulatory requirements of NOAA

Trust Resource laws including but not limited to the Endangered Species Act, the

Marine Mammal Protection Act, and the National Marine Sanctuaries Act.

.03 Notification Chain and Timelines

Table 1: Property Damage

Near Miss

Property

Damage

<$20k

Property

Damage

$20k-$200k

Property Damage

$200k-$1M

Property Damage >

$1M and Loss of

Asset

Procedure

Unclassed

OIC must

notify VOC

as soon as

practical.

VOC may

elevate to

LOSBO.

Class D incident

OIC must notify

VOC as soon as

practical.

VOC must notify

VPC, LOSBO,

and Program

Director and

ensure the

incident is

reported to

SECO online

system within 7

days.

Class C incident

OIC must notify

VOC

immediately.

VOC must notify

VPC, LOSBO,

and Program

Director and

ensure the

incident is

reported to SECO

online system

within 7 days.

Class B incident

OIC must notify

VOC immediately.

VOC must notify

VPC, LOSBO, and

Program Director

and ensure the

incident is reported

to SECO online

system within 24

hours.

Class A incident

OIC must notify

VOC immediately.

VOC must notify

VPC, LOSBO, and

Program Director

and ensure the

incident is reported

to SECO online

system within 8

hours.

Reporting

Mechanism

SECO NOAA Online Incident Reporting System https://secure.seco.noaa.gov

Investigation

Initiation

VOC

Program Director

/ VOC

Program Director

/ VOC

Director, OMAO

with NOAA SECO

NOAA Small Boat Standards and Procedures Manual

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Table 2: Bodily Harm

Near Miss

First Aid Only

Injury Beyond First

Aid

Serious Injury /

Fatality

Definition

See definition

above

One time, short

term treatment.

Given on site by

personnel without

significant training.

Significant injury or

occupational illness

diagnosed by licensed

health care

professionals. Includes

lost time.

Inpatient

hospitalization > 24

hrs. Amputation or

disfigurement. Death.

Procedure

Unclassed

OIC must notify

VOC as soon as

practical.

VOC may

elevate to

LOSBO.

Unclassed

OIC must notify

VOC as soon as

practical.

VOC must ensure

the incident is

reported to SECO

online system

within 7 days.

Class C or D incident

OIC must notify VOC

immediately.

VOC must ensure

VPC, LOSBO, and

Program Director are

notified and ensure the

incident is reported to

SECO online system

within 24 hours.

Class A or B incident

OIC must notify VOC

immediately.

VOC must ensure

VPC, LOSBO, and

Program Director are

notified and ensure the

incident is reported to

SECO online system

within 8 hours.

Federal

Reporting

Mechanism

Not Applicable

Program Director must

notify OSHA within 8

hours.

(1-800-321-6742)

NOAA Reporting

Mechanism

SECO NOAA Online Incident Reporting System https://secure.seco.noaa.gov

Investigation

Initiation

VOC

Program Director

/VOC

Program Director

/VOC

Director, OMAO with

NOAA SECO

Table 3: Environmental Harm and Hazardous Release

Near Miss (includes

spill inside/within the

small boat)

Spill < Federal/State

Reportable Quantity

Spill > Federal/State

Reportable Quantity

Definition

A spill that had the

potential to occur, but did

not actually occur.

A spill that occurred, but

did not exceed federal or

state Reportable

Quantities

A spill that occurred, and

exceeded the federal or state

Reportable Quantities.

NOAA Procedure

Unclassed

OIC must report to VOC

within 24 hours.

VOC must notify VPC,

LOSBO, and Program

Director within 7 days.

Class C or D incident

OIC must report to VOC

within 24 hours.

VOC notify VPC,

LOSBO, and Program

Director within 7 days.

Class A or B incident

OIC must report to VOC

immediately.

VOC must notify VPC,

LOSBO, and Program

Director within 8 hours.

Federal

Reporting

Mechanism

Not Applicable

VOC must report to National

Response Center (1-800-424-

8802)

State Reporting

Mechanism

As Applicable

Reportable quantities and the

entity to report to vary by

state.

NOAA Reporting

Mechanism

Email summary

VOC ensures reporting to SECO online system

https://secure.seco.noaa.gov

Investigation

Initiation

VOC

VOC / Program Director

Director, OMAO

NOAA Small Boat Standards and Procedures Manual

17-4

NOTE: There are over 800 chemicals that fall under the Comprehensive

Environmental Response, Compensation, and Liability Act. Release of these

chemicals must be reported to NOAA, the federal government, and the individual

state. Reportable quantities of chemicals can be found on individual Safety Data

Sheet, and under 40 CFR 302.4, Table 302.4 – Designation OF Hazardous

Substances.

.04 Investigation Authority

The Program Director or VOC must initiate an investigation for all Class C and D

small boat incidents consistent with NAO 209-1A. Findings and recommendations

resulting from this investigation are made available to the Program Director, LOSBO,

VPC, VOC and SBPM.

The Director, OMAO initiates an investigation for Class A and B small boat incidents

consistent with NAO 209-1A, Section 7.09 – NOAA Occupational Safety and Health.

Findings and recommendations resulting from this investigation are made available to

the Program Director, LOSBO, VPC, VOC, SBPM, AA, Director, OMAO and

NOAA SECO.

All investigations details and reports are considered confidential documents and are

not to be widely distributed unless personal information has been redacted.

.05 SBSB Review

The SBSB charter requires Board review of all incident and accident reports. The

SBSB must assure that appropriate investigative and corrective actions have been

taken. Identifying lessons learned is key to all incident investigations. The

investigation team will develop lessons learned and suggested corrective actions. The

SBP will distribute these findings throughout the community, either directly, or via

the Accident Reporting section of the SBP website. The identity of the small boat,

personnel, and program facility associated with the accident will be redacted.

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SECTION 18 WEIGHT LIFTING EQUIPMENT CERTIFICATION AND

MAINTENANCE

.01 Applicability

a) Capacities and Limits

This section describes the full rated capacities and Working Load Limit (WLL)

limits of booms, cranes, davits, A and J frames, and winches on NOAA small

boats. It also defines the purpose and extent of tests, inspections, and safety

precautions for this equipment. This Manual does not take into consideration the

effects of other loading forces (boat acceleration and moment, drag, and snags)

that may increase the total weight being supported by an apparatus and associated

components. An operational risk assessment must be conducted before using any

weight handling apparatuses per Section 5 of this Manual.

b) NOAA, Office of Federal Agency Programs, and OSHA References

All small boats having booms, cranes, davits, frames, and winches used for weight

lifting must comply with the requirements of this document, except as indicated

within this section and references below.

• NOAA Administrative Order 209-1

• SBSPM Section 6

• 29 CFR 1960 - Basic Program Elements for Federal Agencies

• 29 CFR 1919.1 - Gear Certification – Purpose and Scope

• 29 CFR 1919 Subpart C - Duties of Persons Accredited to Certificate

Vessels Cargo Gear

• 29 CFR 1919 Subpart D - Certification of Vessels Cargo Gear

• 29 CFR 1919 Subpart E - Tests and Proof loads

• ASME B30 - Standards Committee on Cranes and Related Equipment

.02 Definitions

Booms and Frames: A structural member used for lifting, transferring or supporting

heavy weights. The lower part of the boom or frame is supported by a bracket or step

allowing the boom or frame to pivot while transferring loads to structure. Rigging

mounted on ships structure supports booms and frames

Crane and Davit: A machinery arrangement or self-contained structure, with

associated reeving suitable for lifting loads through several dimensions of motion.

Winch: A stationary motor-driven or hand-powered machine used for hoisting or

hauling, having a drum that wounds a manmade rope, wire rope, or chain attached to

the load being moved.

NOAA Small Boat Standards and Procedures Manual

18-2

WLL: This is the maximum weight safely handled by an apparatus and all associated

components used in conjunction with an apparatus, with the maximum authorized

number of parts in the main purchase. An apparatus’s WLL may be limited by the

maximum rating of a component used in conjunction with an apparatus.

Static Load Test: A load test conducted on newly installed, structurally repaired (e.g.

by welding) or structurally overhauled (e.g. replacement of major structural sections)

systems where a test weight equivalent to 125% of WLL is applied as a force by

external means and held for not less than 5 minutes, to demonstrate structural

adequacy of the equipment and foundation. No part of the equipment, fittings, and

structure must take a permanent set, nor degradation of any operating or control

function occur as a result of the test.

.03 Boom, Crane, Davit, Frame, and Winches Inspections

Unless more specific guidance is provided by the manufacturer, inspections and

overhauls are conducted using guidance contained herein from 29 CFR 1919 - Gear

Certification. Pre-mission Inspection is conducted by the boats crew before each day

of operational use.

Annual Inspections may be conducted by experienced unit personnel and does not

require an OSHA accredited person as per 29 CFR 1919 - Gear Certification.

Quadrennial Inspections (4 years) only apply to weight handling equipment rated for

a WLL of greater than 200 pounds, and is completed by an OSHA accredited person

for inspecting marine equipment as per 29 CFR 1919.11 - Recordkeeping and

Accredited Persons. For a list of marine accredited inspectors, see the SBP website.

a) Inspection Schedule

Inspection frequency includes Pre-mission Inspection, Annual, and Quadrennial

(4 years) basis per 29 CFR 1919- Gear Certification. A grace period of 6 months

is allowed for Quadrennials as per 29 CFR 1919.18 - Grace Periods.

• Pre-mission Inspection

• General. The intent of this inspection is to conduct a visual inspection of

the apparatus, rigging, and other critical equipment parts that could result

in loss of life or equipment damage if failure occurs before each mission.

• A visual inspect of a boom, crane, frame, or winch and all sheaves,

swivels, blocks, block hangers, pad eyes, connecting links, shackles,

hooks, wire, ropes and associated pins for corrosion, wear, deformation,

cracks and any other condition that may lead to failure.

• Upon completion of the visual inspection, results must be logged or

recorded to indicate inspection was conducted. Any deficiencies or

limitation to the equipment on board must be reported immediately to the

VOC before departure.

NOAA Small Boat Standards and Procedures Manual

18-3

• Annual Inspection and Test Requirements

• General. The intent of this inspection is to ascertain the safety of the

rigging and other critical equipment parts that could result in loss of life or

equipment damage if failure occurs.

• In general, the inspection must include all wire and manmade rope,

fittings, block fittings, hooks, links, shackles and associated pins,

swivels, boom and frame pad eyes, hoist control linkages, brake

springs and linkages.

• Any visible permanent set or deformation in the form of bent pins,

elongated holes, bent or distorted staples and pad eyes are clear

indications of overload or improper rigging. Any permanent set or

deformation must be reported, and the rig should not be used until the

cause is found and corrected. The operator should also be aware of

recurring cracks in paint, particularly in areas of high stress corrosion.

To inspect for surface cracks, remove paint and wire brush clean

surfaces.

• The following requirements are generic in nature, and are included in

inspections as applicable in 29 CFR 1919 - Gear Certification.

• Cradle or securely position the boom, crane, davit, or frame and

remove all wire or manmade rope. Inspect the wire or manmade rope

per 29 CFR 1919.24 - Limitations on the use of wire rope.

• Visually inspect all sheaves, swivels, blocks, block hangers, pad eyes,

connecting links, shackles, hooks, winches and associated pins for

corrosion, wear, deformation, cracks and any other condition that may

lead to failure. Inspection of sheaves includes sheave gage wear

measurement IAW 29 CFR 1919 Subpart E - Certification of Vessels:

Tests and Proof Loads.

• Do not disassemble blocks, topping lift, vang swivels or equivalent

devices unless there is reason to suspect damage, wear, corrosion, or

marginal condition when last overhauled. Inspect hoist and rotating

gear brake springs and linkage, where appropriate. Carefully check

brake springs for permanent set and compression, and replace if

necessary.

NOTE: (As applicable) Failure of brake springs in service can result

in loss of control or release of load. Inspect hydraulic or pneumatic

hoses for ballooning, cracking and corrosion. Inspect electrical wiring

and connections for corrosion. Inspect brake solenoids and switches

for corrosion and contact wear.

• Inspect and lubricate all moving parts and wire rope per the

manufacturer technical manual or Preventive Maintenance System.

• Replenish the gear lube in the self-contained reservoir gearboxes if

they have less than five gallons of lube oil. If possible, drains will be

opened and the boxes checked for condensation at the bottom of the

tanks. Check any magnetic plugs, if equipped, for particles. Draw oil

samples of gearboxes with capacities in excess of five gallons for

analysis as per good engineering practice.

NOAA Small Boat Standards and Procedures Manual

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• Visually inspect all deck and bulkhead pad eyes, links, chocks, cleats,

bits, and mounting bolts. Where inspection indicates possible fractures,

deformation or corrosion, a more detailed inspection must be

conducted.

• Quadrennial Inspection (only applies to equipment with a WLL of greater than

200 pounds).

• General. The intent is to accomplish the annual lifting inspection above,

and inspect all major components whose performance or mechanical

condition may have deteriorated. Disassembly may also be

recommended and included in the inspection of other components whose

performance is not affected by normal wear but whose failure could

result in damage, injury or loss of life. Examples of these are reduction

gears, goosenecks, topping fittings, and sheave pins. Disassembly of

such items only needs to be carried out to the extent required to conduct

the inspection. For example, it is not necessary to totally disassemble a

reduction gear equipped with inspection plates that permit measurement

of backlash and observable wear patterns. Outside appearance is not

necessarily indicative of the mechanical condition of the equipment.

• The following requirements are generic in nature and may be required by

an OSHA accredited person as per 29 CFR 1919.11(d) – Recordkeeping

and Related Procedures Concerning Records in custody of Accredited

Persons and CFR 1919.12 - Recordkeeping and Related Procedures

Concerning Records in custody of the Vessel. The attending accredited

person determines the extent of disassembly required. Specific guidance

in the manufacturer’s technical manual takes precedence. Remove the

arm, boom, or frame, disassembling the connection, between the boom or

frame and the small boat that allows slewing motion.

• Disassemble and inspect topping lifts, vangs, swivels, all blocks, hoist

brakes, locking pawls, slewing gear, and pinion gear shafts and

bearings. Check all pin, bearings, gears and sheaves for compliance

with dimensional tolerances shown on the original equipment

drawings.

• Replace wire rope, as required. Replace wire rope if the total number

of visible broken wires exceeds 10 percent of the total number of

wires, or if the rope shows excessive wear, corrosion, or defects.

• Inspect brake linings and brake discs, if applicable.

• Inspect backlash and gear pattern in gear boxes that are equipped with

inspection plates per manufacturer’s instruction manuals.

• Perform a static test (125% of WLL Limit) on all equipment or

bulkhead mounted links and pad eyes used in the boom and frame

systems for 5 minutes.

• Visually inspect and non-destructively examine cleats and bitts

associated with boom and frame systems using dye penetrant or other

method deemed suitable.

NOAA Small Boat Standards and Procedures Manual

18-5

.04 Overhauls

Significant overhaul of primary components may require a quadrennial inspection

after reinstallation. At minimum, conduct Rated Load Test (100% of WLL Limit)

while underway to prove the installation of a wire and manmade rope, fitting, or other

repair conducted underway.

.05 New or Altered Structures and equipment

Before installing any new boom, crane, davit, frame, or winch on board a small boat,

the VOC must contact the SBPM for assistance. The replacement of components in

kind does not require the VOC to contact the SBP, but the below steps are required to

be completed before use.

• Test commercially manufactured apparatuses and components at 125% of the

intended use. Include rotation of the test load through a range of motion that

the equipment is required to perform in service. The weight handling system

must be able to stop, start, and hold the test load at any position within the

service area.

• First, test experimental and in-house constructed apparatuses and components

at 150% of the designed working load limit. Include rotation of the test load

through a range of motion that the equipment is required to perform in service.

The weight handling system must be able to stop, start, and hold the test load

at any position within the service area.

• Conduct a Rated Load Test (100% of Working Load Limit) while underway to

prove the installation of a wire and manmade rope, fitting, or other repair

conducted underway.

.06 Safety

a) Stability Documentation

• Small boats with booms, cranes, davits, frames, or winches should have small

boat stability documentation, which addresses the stability of the small boat

with the weight handling equipment in use.

• Where the stability of the small boat limits the operational capability of the

weight handling equipment, prominently display a graphic safety placard at

the equipment operator’s station describing the limitation, and graphically

show the safe working zone and working load limit while operating at sea.

• When considering a boat’s stability characteristics during testing procedures,

maintain specified test loads within limits that can be handled safely. If any of

the test loads result in an excessive list or the immersion of the deck edge,

reduce the load accordingly to stay within those limits.

• Label Plates. Install engraved or stenciled label plates on small boats booms,

cranes, davits, and frames to document the WLL, test weights, and date of

certification of the load test.

• Safety Precautions. The following safety precautions must be observed

when conducting weight handling equipment tests.

NOAA Small Boat Standards and Procedures Manual

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• To prevent excessive damage in the event of equipment failure during tests,

place dunnage under test loads and keep each load as close to the deck as

possible.

• Test or stamp wire ropes, slings, straps, chains, rings, shackles, and other

loose gear with weight tested limits by the manufacturer as per 29 CFR

1919.31 - Proof Tests-Loose Gear.

• To prevent loads from moving off center in the event of a casualty, rig tag

lines or cables athwartships from the test load. At minimum, the breaking

strength of the tag lines must be greater than or equal to the test load.

b) Documentation of Test Results

At the completion of a quadrennial inspection by an OSHA certified inspector, the

inspector issues documentation as to what was inspected, references inspected to,

and final working load limit and any deficiencies noted.

The results of the inspections and tests prescribed must be logged or recorded to

indicate inspection was conducted.

Stencil the date and type of the most recent inspection on the boom, crane, davit,

or frame in the vicinity of the Label Plate, in a position clearly legible by any

individual.

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SECTION 19 RIGGING AND PROOF TESTING

The handling of weights onboard small boats impacts personnel safety, small boat stability,

and equipment operation. Over the side lifting and towing operations from a floating platform

can magnify the dead weight mass of instrumentation or nets, resulting in significant forces.

Managing the selection, use, and condition of associated gear is critical to safe and efficient

operation under these conditions.

Principle Elements for Safe Rigging:

• Identify component ratings

• Maintain material condition

• Review system design and identify limitations

• Communicate potential hazards and take mitigation actions

All elements of small boat rigging used to control, haul, tow, or secure a load must meet the

requirements of this section. These components include winches, blocks, wire and synthetic

rope, chain, slings, hooks, eye bolts, clips and shackles.

.01 Identification and Traceability

Use only marked, traceable, or proof tested components.

• Marked - permanently identified with name or trademark of manufacturer,

rated load, and size

• Traceable – documentation is on file to reference capacity limitations and

manufacturer’s recommendations

• Proof Tested – Mark custom or experimentally designed grabs, hooks, clamps,

or other lifting devices, and similar materials to indicate the WLL and proof-

tested, before use, to 150% of the determined rated load.

Each small boat must maintain a record of rigging components and their rated

limitations. This information must be available to personnel engaged in the design and

use of load handling systems. An example of how to log rigging components, and

their rated limitations is available on the SBP website.

Where practical, load limitations of rigging components should be communicated to

users through permanently affixed tags, color coding or placards.

.02 Inspection

Load handling systems are subject to degradation from exposure, wear, and fatigue

from the dynamic forces encountered on a floating platform. Frequent inspection of

material condition is required to identify compromised or failing components.

• First inspect rigging components for the load capacity marked by the

manufacturer or documentation stating load limitations. Manufacturers must

meet US standards.

NOAA Small Boat Standards and Procedures Manual

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• Inspect rigging components before each use.

• Rigging systems should be subsequently tested per with Section 18 of this

Manual, of this Manual, or be in accordance with recommendations of the

rigging manufacturer and the equipment manufacturer.

• Do not load rigging equipment in excess of its recommended WLL

• Remove defective rigging from service.

• Hooks, shackles, rings, pad eyes, and other fittings that show excessive

wear or have been bent, twisted, or otherwise damaged are defective.

• Visually inspect wire and synthetic ropes for defects such as abrasions,

broken strands, kinks, excessive wear, or crushed cable that

compromise rated capacity and are considered defective

• Make all eye splices per the manufacture’s guidance and instructions.

• Fit rope thimbles of proper size in the eye, except that in sling eyes.

• Use only alloyed and capacity rated chain in rigging.

• Hooks and shackles used in rigging should have provisions to be mechanically

secured such as spring loaded retainers, locking pins, zip ties or wire

moussing.

• Only load eye bolts in the plane of the eye and do not load at angles of less

than 45° to the horizontal.

• Permanently affix identification on purchased slings and lifting straps stating

size, grade, rated capacity, and sling manufacturer

• Verify drums, sheaves, and pulleys are smooth and free of surface defects that

may damage rigging. Verify associated wire or synthetic rope is a size in

accordance with the equipment design.

• Winch drums must have sufficient rope capacity with recommended rope size

and reeving to perform the intended hoisting and lowering functions. Rope

capacities and terminations must be in accordance with the manufacturer’s

recommendations.

.03 System Review and Risk Management

Changes in configuration and mission applications require careful review of the

system design and limitations. Before each use, small boat personnel must assure that

the configuration is in accordance with component WLL and design applications.

This review should include:

• Determine the load dead weight of gear and estimate its center of gravity

• Estimate the potential for high catch weights when using nets

• Identify WLL of all system components

• Identify and monitor the system weakest link

• Establish a means of restraining loads

• Provide for personal protection

• Identify of hazard zones

• Consider potential impact on stability and operation of the small boat

• Reference equipment manufacturer recommendations, intended use and best

management practices

NOAA Small Boat Standards and Procedures Manual

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• Communicate the details of the rigging plan and associated risks to embarked

personnel

• Consider mitigating steps and provisions to secure or release a load in an

emergency

APPENDICES

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

NAO 209-125

Eff: 4/23/08; Iss: 5/12/08

NOAA SMALL BOAT SAFETY PROGRAM

SECTION 1. PURPOSE.

The National Oceanic and Atmospheric Administration (NOAA) has a responsibility

to provide a safe working environment for its workforce and for partners who are

exposed to the risks associated with using small boats owned and/or operated by NOAA.

This is consistent with NOAA Administrative Order (NAO) 209-1, NOAA Safety Policy.

The purpose of this Order is:

to make small boat safety the number one priority for all small boating operations;

to ensure small boats meet NOAA's seaworthiness and operational safety standards;

to establish a comprehensive NOAA Small Boat Standards and Procedures Manual

(hereafter, "the Manual");

to establish a NOAA Small Boat Safety Board (SBSB);

to establish a Small Boat Program (SBP);

to foster and facilitate collaboration within NOAA and with outside partners having a

common interest in safe, efficient, and environmentally sound small boat operations; and

to encourage a corporate culture that values the skilled small boat operator,

encourages the distribution of information, seeks a quality approach, shares commitment,

and seeks to manage operational risk.

This is a complete revision and update to NAO 217-103, Management of NOAA

Small Boats. Significant changes in this Order include: re-titling and renumbering of the

Order to place it in the NAO Series' chapter on safety; revising and updating the policies

for small boat safety; and introducing and authorizing issuance of the NOAA Small Boat

Standards and Procedures Manual and prescribing that its contents will expand upon

safety issues covered in this Order and will cover the non-safety matters previously

addressed in NAO 217-103.

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SECTION 2. SCOPE.

This Order applies:

to all NOAA small boats as defined in Section 6.01 of this Order;

to all NOAA personnel who operate any small boat in the performance of their official duties;

and

to all individuals who operate NOAA small boats.

SECTION 3. POLICY.

The NOAA Small Boat Standards and Procedures Manual (the Manual) will consist of a

broad programmatic core Manual having NOAA-wide application and by Supplemental

Small Boat Policy (SSBP) and Small Boat Operating Manuals (SBOMs) developed by

NOAA Programs (defined herein) to address their peculiar program and/or mission

requirements.

Issuance of the Manual is in compliance with NAO 200-3, The NOAA Administrative Order

Series.

The Manual augments and supplements the policies, procedures, and guidelines in this Order

and is intended to maximize the efficiency and effectiveness of NOAA's SBP by providing for

the timely development and issuance of programmatic materials to the small boat community.

The core elements of the Manual apply to all individuals and Programs involved with

NOAA's small boats and has the same force, effect, and authority as this Order. These core

elements shall be developed and maintained by the SBSB. An electronic edition of these

elements will be available for viewing at the link to the Small Boat Program found on the Office

of Marine and Aviation Operations (OMAO) webpage at http://www.omao.noaa.gov/.

The Supplemental Small Boat Policy (SSBP) and Small Boat Operating Manuals (SBOMs)

also have the same force, effect, and authority as the core Manual; however, they are developed

by NOAA Programs and are applicable only to their specified Program and/or mission.

At a minimum, all small boats and their required inventories shall be inspected annually and,

additionally, in accordance with individual requirements developed under the Manual and/or by

NOAA Programs under the SSBP and/or SBOM.

All operators of NOAA small boats shall be trained and certified based on small boat size,

engineering complexity, nature of operations, and operating area. NOAA-wide training

requirements are defined in the core of the Manual; Program- and mission-related requirements

are defined in the SSBP and/or the SBOM.

NOAA small boats shall be operated in a safe and environmentally conscious manner.

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NOAA small boats shall be maintained in a seaworthy condition and be fit for the mission

intended.

Appropriate safety training and life saving equipment resources shall be provided to

personnel operating or embarked on NOAA small boats.

NOAA small boats shall be used only for official government purposes.

Any incident or near-miss concerning a NOAA small boat must be reported in accordance

with NAO 209-1, NOAA Safety Policy, and any additional requirements in the Manual.

NOAA small boats shall conform to the visual identification and registration requirements

provided in the Manual.

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A waiver is a written authorization that permits temporary deviation from provisions of this

Order for strategic or compelling operational requirements. Any Request for Waiver to

provisions of this Order shall be presented in writing to the SBSB. The SBSB will provide

guidance to the Director, OMAO, who is the approval authority for all waivers to provisions of

this Order. See the Manual for additional coverage of Requests for Waiver.

SECTION 4. BACKGROUND.

Operating small boats in support of NOAA missions involves unique associated risks.

NOAA relies on small boats to achieve mission requirements. There are numerous regulatory

standards that address small boat safety, but little guidance or few regulations tailored

specifically to the special mission of small boats or research vessels less than 300 gross tons.

Current marine standards are derived from international conventions, lessons learned from

casualties, and advances in technology. As such, the body of regulatory information continues to

grow and change. Toward this end, this Order seeks to establish a NOAA Small Boat Program

that is sufficiently fluid to meet varying small boat requirements on a national, regional, and

local level.

As steward of the Nation's oceans and atmosphere, it is NOAA's intent to comply with, or

exceed, all applicable regulatory and industry standards and to foster a management culture

committed to safe and environmentally sound small boat operations based upon the principles of

risk management.

SECTION 5. RESPONSIBILITY.

The Director, Office of Marine and Aviation Operations (OMAO), shall broadly administer

NOAA's Small Boat Program and shall provide support and resources, and shall recommend

additional funding sources for its operations. 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 and shall review the contents of the Manual and any subsequent

updates prior to their issuance. Concurrence will be indicated by signature of the Director on the

sequentially numbered Transmittal Sheets that will accompany each issuance or update to the

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Manual. The Director may request prior review and concurrence by the Deputy Under Secretary

for Oceans and Atmosphere prior to authorizing potentially controversial updates.

The Small Boat Safety Board (SBSB).

The composition of the SBSB is as follows.

Board Members:

(a)

Small Boat Program Manager (SBPM) - SBSB Coordinator;

(b)

National Marine Fisheries Service representative(s);

(c)

National Ocean Service representative(s);

(d)

Oceanic and Atmospheric Research representative(s) (also representing National Weather

Service);

(e)

Office of Marine and Aviation Operations (OMAO) representative(s);

(f)

NOAA Safety and Environmental Compliance Office (SECO) representative(s); and

(g)

NOAA Law Enforcement (from various Line Offices) representative(s).

Each organization identified in Section 5.02a.1.(b) through (g) of this Order may designate

one additional board member to the SBSB; however, for voting purposes, each of these

organizations is entitled to cast a single vote (Oceanic and Atmospheric Research/National

Weather Service also is entitled to one vote).

The SBSB serves in an advisory capacity to the Director, OMAO, and is the technical

authority for matters pertaining to small boats. The SBSB shall:

develop, maintain, review, and approve this Order;

prepare, clear, issue, maintain, and distribute the NOAA Small Boat Standards and

Procedures Manual (the Manual). The SBSB shall review and revise the Manual, as necessary,

in order to keep it current with applicable policies and regulations and to maintain the ability to

adapt to changes involving technology and/or safety within the marine community. The Manual,

and its future updates, will be issued via sequentially numbered Transmittal Sheets;

develop, evaluate, and maintain a set of basic qualifications standards for small boat operators

and crew;

approve basic small boat training requirements and approve all policies, standards, and

operating procedures developed under the Manual (including all SSBP and SBOMs);

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establish criteria and tools for small boat operational risk assessments;

identify and promote “best in class” safety practices for boat operations;

establish minimum criteria for SSBPs and SBOMs;

determine reciprocity or substitution of small boat operator and crew qualifications with

similar qualifications of other agencies, organizations, or training programs;

serve as a policy and implementation advisor to the Small Boat Program;

10.

evaluate data and trends gathered from operational, inspection, and incident reporting

statistics and initiate appropriate actions;

11.

address other boating-related matters as requested by NOAA management and/or as deemed

appropriate by the SBSB;

12.

inform NOAA management of significant small boat management issues;

13.

maintain a compilation of small boat inventory and compliance records;

14.

provide subject matter expertise for issues relating to the small boat community;

15.

provide guidance to the Director, OMAO, regarding Requests for Waivers to the provisions

of this Order and of the Manual;

16.

respond to questions and concerns raised by the small boat community; and

17.

review boating incident/accident reports and initiate appropriate actions.

NOAA Programs. NOAA Programs that own, operate, and/or maintain small boats shall

comply with this Order and the Manual and are responsible for the following:

the safe operation, inspection compliance, life cycle management, and material condition of

their small boats;

developing and maintaining SSBP and SBOMs which are directly related to their unique

program and mission requirements in order to augment the Manual;

conducting and recording Operational Risk Assessments; and

designating SBSB representatives and providing adequate time and resources for their

participation on the SBSB.

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SECTION 6. DEFINITIONS.

NOAA Small Boat. A small boat, as defined in Section 6.06 of this Order, owned, operated,

or maintained by NOAA. The term includes boats leased, loaned, bare boat chartered (also

referred to as demise chartered), or operated under any cooperative agreement with other

government agencies, universities, or scientific organizations by or from NOAA, but does not

include boats time chartered by NOAA.

NOAA Program. As used in this Order, the term refers to and is synonymous with NOAA

Line Offices, Staff Offices, and any of their subordinate entities.

NOAA Small Boat Standards and Procedures Manual. A compilation of instructions,

procedures, regulations, and guidelines derived from operational risk assessments and best

management practices applicable to NOAA Small Boats.

Operational Risk Management. A process approach to understanding and dealing with the

elements of risk associated with operations. Implementing Operational Risk Management

involves performing risk assessments and implementing corresponding risk controls. Risk

management is a decision making process that enhances operational capability. The process

helps the decision maker in identifying hazards, assessing risks, and implementing controls to

reduce the risk associated with any operation.

Operational Risk Assessment. A process involving identification of risks associated with a

NOAA small boat's operations and consideration of actions to reduce those risks. Supervision,

communication, and overall support, operating area, operator experience level, personnel

physical and mental fitness, weather, and complexity of mission may be factors in the

assessment.

Small Boat (or Vessel). As used in this Order, includes every description of watercraft less

than 300 gross tons capable of being used as a means of transportation of persons on water. The

SBSB will classify vessels by size, nature of operations, and engineering complexity.

Small Boat Inspections. Documented, formal evaluations of a small boat’s material

condition, inventory, and compliance for which inspection criteria, frequency, and format are

defined in the Manual.

Small Boat Operating Manual (SBOM). A compilation of instructions, procedures, and

guidelines specific to each small boat, its mission, and its operating area.

Small Boat Operator (Operator or Coxswain). As used in this Order, any person who

operates a NOAA small boat as defined in Section 6.01 of this Order.

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Supplemental Small Boat Policy (SSBP). A compilation of instructions, procedures,

regulations, and guidelines derived from operational risk management and best management

practices conducted by a NOAA Program for specific small boat operations.

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SECTION 7. REFERENCES.

The following reference sources are listed in descending order of hierarchy.

NAO 209-125, NOAA Small Boat Program.

NOAA Small Boat Standards and Procedures Manual.

Supplemental Small Boat Policy (SSBP).

Small Boat Operating Manual (SBOM).

SECTION 8. EFFECT ON OTHER ISSUANCES.

This Order supersedes and revokes NAO 217-103, Management of NOAA Small Boats, dated January

21, 2003, as amended.

/Signed/ Under

Secretary of Commerce for Oceans

and Atmosphere

Office of Primary Interest:

Office of Marine and Aviation Operations

Safety and Environmental Compliance Division

B-1

Appendix B: Small Boat Safety Board Charter

NOAA Small Boat Standards and Procedures Manual

B-2

NOAA Small Boat Standards and Procedures Manual

B-3

NOAA Small Boat Standards and Procedures Manual

B-4

NOAA Small Boat Standards and Procedures Manual

B-5