[Federal Register Volume 76, Number 155 (Thursday, August 11, 2011)]
[Proposed Rules]
[Pages 49976-50050]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-18989]
[[Page 49975]]
Vol. 76
Thursday,
No. 155
August 11, 2011
Part III
Department of Homeland Security
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Coast Guard
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46 CFR Parts 2, 15, 136, et al.
Inspection of Towing Vessels; Proposed Rule
Federal Register / Vol. 76 , No. 155 / Thursday, August 11, 2011 /
Proposed Rules
[[Page 49976]]
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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
46 CFR Parts 2, 15, 136, 137, 138, 139, 140, 141, 142, 143, and 144
[Docket No. USCG-2006-24412]
RIN 1625-AB06
Inspection of Towing Vessels
AGENCY: Coast Guard, DHS.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Coast Guard proposes to establish safety regulations
governing the inspection, standards, and safety management systems of
towing vessels. The proposal includes provisions covering: Specific
electrical and machinery requirements for new and existing towing
vessels, the use and approval of third-party auditors and surveyors,
and procedures for obtaining Certificates of Inspection.
Without making a specific proposal at this time, the Coast Guard
also seeks additional data, information and public comment on potential
requirements for hours of service or crew endurance management for
mariners aboard towing vessels. The Coast Guard would later request
public comment on specific hours of service or crew endurance
management regulatory text if it seeks to implement such requirements.
The intent of the proposed rulemaking is to promote safer work
practices and reduce casualties on towing vessels by requiring that
towing vessels adhere to prescribed safety standards and safety
management systems or to an alternative, annual Coast Guard inspection
regime. The Coast Guard promulgates this proposal in cooperation with
the Towing Vessel Safety Advisory Committee and pursuant to the
authority granted in section 415 of the Coast Guard and Maritime
Transportation Act of 2004.
DATES: Comments and related material must either be submitted to our
online docket via http://www.regulations.gov on or before December 9,
2011 or reach the Docket Management Facility by that date. Comments
sent to the Office of Management and Budget (OMB) on collection of
information must reach OMB on or before November 9, 2011.
ADDRESSES: You may submit comments identified by docket number USCG-
2006-24412 using any one of the following methods:
(1) Federal eRulemaking Portal: http://www.regulations.gov.
(2) Fax: 202-493-2251.
(3) Mail: Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590-0001.
(4) Hand delivery: Same as mail address above, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-366-9329.
To avoid duplication, please use only one of these methods. For
instructions on submitting comments, see the ``Public Participation and
Request for Comments'' portion of the SUPPLEMENTARY INFORMATION section
below.
Collection of Information Comments: If you have comments on the
collection of information discussed in section VI.D. ``Collection of
Information'' of this NPRM, you must also send comments to the Office
of Information and Regulatory Affairs (OIRA), OMB. To ensure that your
comments to OIRA are received on time, the preferred methods are by e-
mail to [email protected] (include the docket number and
``Attention: Desk Officer for Coast Guard, DHS'' in the subject line of
the e-mail) or fax at 202-395-6566. An alternate, though slower, method
is by U.S. mail to the Office of Information and Regulatory Affairs,
Office of Management and Budget, 725 17th Street, NW., Washington, DC
20503, ATTN: Desk Officer, U.S. Coast Guard.
Viewing incorporation by reference material: You may inspect the
material proposed for incorporation by reference at Room 1210, U.S.
Coast Guard Headquarters, 2100 Second Street, SW., Washington, DC
20593-0001 between 9 a.m. and 5 p.m., Monday through Friday, except
Federal holidays. The telephone number is 202-372-1427. Copies of the
material are available as indicated in the ``Incorporation by
Reference'' section of this preamble.
FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed
rule, call Michael Harmon, Project Manager, CGHQ-1210, Coast Guard,
telephone 202-372-1427. If you have questions on viewing or submitting
material to the docket, call Renee V. Wright, Program Manager, Docket
Operations, telephone 202-366-9826.
SUPPLEMENTARY INFORMATION:
Table of Contents for Preamble
I. Public Participation and Request for Comments
A. Submitting Comments
B. Viewing Comments and Documents
C. Privacy Act
D. Public Meeting
II. Abbreviations
III. Background
A. Statutory History
B. Regulatory History
C. American Bureau of Shipping Group (ABSG) Consulting
Uninspected Towing Vessel Industry Analysis Report (ABSG Report)
D. Towing Safety Advisory Committee (TSAC)
IV. Discussion of Proposed Rule
A. Summary
B. Applicability
C. Towing Safety Management System (TSMS)
D. Third Parties
E. Machinery & Electrical (Proposed Part 143)
1. Propulsion, Steering, and Controls Reliability
2. Electrical Installations
3. Pilothouse Alerter System
F. Functional Requirements
G. Compliance
H. Part-by-Part Summary
I. User Fees
J. Manning
K. Discussion of Comments
L. Hours of Service and Crew Endurance Management Programs
V. Incorporation by Reference
VI. Regulatory Analyses
A. Regulatory Planning and Review
B. Small Entities
C. Assistance for Small Entities
D. Collection of Information
E. Federalism
F. Unfunded Mandates Reform Act
G. Taking of Private Property
H. Civil Justice Reform
I. Protection of Children
J. Indian Tribal Governments
K. Energy Effects
L. Technical Standards
M. Environment
I. Public Participation and Request for Comments
We encourage you to participate in this rulemaking by submitting
comments and related materials. All comments received will be posted,
without change, to http://www.regulations.gov and will include any
personal information you have provided.
A. Submitting Comments
If you submit a comment, please include the docket number for this
rulemaking (USCG-2006-24412), indicate the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. You may submit your comments and material
online, or by fax, mail or hand delivery, but please use only one of
these means. We recommend that you include your name and a mailing
address, an e-mail address, or a phone number in the body of your
document so that we can contact you if we have questions regarding your
submission.
To submit your comment online, go to http://www.regulations.gov,
select the
[[Page 49977]]
Advanced Docket Search option on the right side of the screen, insert
``USCG-2006-24412'' in the Docket ID box, press Enter, and then click
on the balloon shape in the Actions column. If you submit your comments
by mail or hand delivery, submit them in an unbound format, no larger
than 8\1/2\ by 11 inches, suitable for copying and electronic filing.
If you submit them by mail and would like to know that they reached the
Facility, please enclose a stamped, self-addressed postcard or
envelope.
We will consider all comments and material received during the
comment period and may change this proposed rule based on your
comments.
B. Viewing Comments and Documents
To view comments, as well as documents mentioned in this preamble
as being available in the docket, go to http://www.regulations.gov,
select the Advanced Docket Search option on the right side of the
screen, insert USCG-2006-24412 in the Docket ID box, press Enter, and
then click on the item in the Docket ID column. If you do not have
access to the Internet, you may view the docket online by visiting the
Docket Management Facility in Room W12-140 on the ground floor of the
Department of Transportation West Building, 1200 New Jersey Avenue,
SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. We have an agreement with the
Department of Transportation to use the Docket Management Facility.
Some articles we have referenced in the preamble are copyrighted and
therefore we did not place a copy of these articles in our online
docket. You may, however, either use the citation information we
provided to obtain a copy of those articles or you may view a copy in
room 1210, U.S. Coast Guard Headquarters, 2100 Second Street SW.,
Washington, DC 20593-0001 between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. The telephone number is 202-372-1427.
C. Privacy Act
Anyone can search the electronic form of comments received into any
of our dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). You may review a Privacy Act notice
regarding our public dockets in the January 17, 2008 issue of the
Federal Register (73 FR 3316).
D. Public Meeting
We plan to hold public meetings on this NPRM. A notice with the
specific dates and locations of the meetings will be published in the
Federal Register as soon as this information is known. In addition,
known interested parties will be contacted via mail, e-mail, or
telephone. If you wish to be contacted regarding the public meetings,
contact Mr. Michael Harmon, listed under FOR FURTHER INFORMATION
CONTACT.
II. Abbreviations
ABS American Bureau of Shipping
ABSG American Bureau of Shipping Group
ABYC American Boat and Yacht Council
ACAPT Accredited for Commercial Assistance and Professional Towing
ACOE Army Corps of Engineers
ACP Alternate Compliance Program
AED Automatic External Defibrillator
ANSI American National Standards Institute
AWO American Waterways Operators
CEMS Crew Endurance Management System
CGMTA 2004 The Coast Guard and Maritime Transportation Act of 2004
COI Certificate of Inspection
COLREGS International Regulations for Prevention of Collisions at
Sea
COTP Captain of the Port
DHS Department of Homeland Security
DOD Department of Defense
DOT Department of Transportation
EPIRB Emergency Position Indicating Radio Beacon
FAST Fatigue Avoidance Scheduling Tool
FMCSA Federal Motor Carrier Safety Administration
FR Federal Register
FRA Federal Railroad Administration
GAO Government Accountability Office
gpm Gallons Per Minute
IMO International Maritime Organization
ISM International Safety Management
ISO International Organization for Standardization
kPa Kilopascals
LBP Length Between Perpendiculars
LCG Longitudinal Center of Gravity
LORAN Long Range Aid to Navigation
LPM Liters Per Minute
MMC Merchant Mariner Credential
MOU Memorandum of Understanding
MSHA Mine Safety and Health Administration
MTSA Maritime Transportation Security Act of 2002
NARA National Archives and Records Administration
NEC National Electric Code
NFPA National Fire Protection Association
NIOSH National Institute for Occupational Safety and Health
NPRM Notice of Proposed Rulemaking
NTSB National Transportation Safety Board
OCMI Officer in Charge, Marine Inspection
OIRA Office of Information and Regulatory Affairs
OMB Office of Management and Budget
PA Public-Address
PE Professional Engineer
PPE Personal Protective Equipment
psi pounds per square inch
Sec. Section
SAE Society of Automotive Engineers
SIR and SIRE Ship Inspection Report
SOLAS International Convention for the Safety of Life at Sea, 1974
TSAC Towing Safety Advisory Committee
TSMS Towing Safety Management System
TVR Towing Vessel Record
UL Underwriters Laboratories Standard
U.S.C. United States Code
UWILD Underwater Inspection in Lieu of Dry Docking
VCG Vertical Center of Gravity
VHF-FM Very High Frequency-Frequency Modulated
VTS Vessel Traffic Service
WSE Water Surface Elevations
III. Background
A. Statutory History
The Coast Guard and Maritime Transportation Act of 2004 (CGMTA
2004), Public Law 108-293, 118 Stat. 1028, (Aug. 9, 2004), established
new authorities for towing vessels as follows:
Section 415 added towing vessels, as defined in section 2101 of
title 46, United States Code (U.S.C.), as a class of vessels that are
subject to safety inspections under chapter 33 of that title (Id. at
1047).
Section 415 also added new section 3306(j) of title 46, authorizing
the Secretary of Homeland Security to establish, by regulation, a
safety management system appropriate for the characteristics, methods
of operation, and nature of service of towing vessels (Id.).
Section 409 added new section 8904(c) of title 46, U.S.C.,
authorizing the Secretary to establish, by regulation, ``maximum hours
of service (including recording and recordkeeping of that service) of
individuals engaged on a towing vessel that is at least 26 feet in
length measured from end to end over the deck (excluding the sheer).''
(Id. at 1044-45).
The House of Representatives published a Conference Report
discussing these provisions, and in particular noted the Coast Guard's
broad authority to regulate not just maximum hours of service but also
provide predictable work and rest schedules, while considering
circadian rhythms and human sleep and rest requirements. H.R. Conf.
Rep. 108-617, 2004 U.S.C.C.A.N. 936, 951.
B. Regulatory History
On December 30, 2004, the Coast Guard published a Notice; request
for comments, and notice of public meetings titled ``Inspection of
Towing Vessels'' in the Federal Register (69 FR 78471). The notice
asked seven questions regarding how the Coast Guard should move forward
with the rulemaking to implement the statutory provisions from the
CGMTA 2004, listed
[[Page 49978]]
above in section III.A. ``Statutory History.'' The Coast Guard then
held four public meetings, one each in Washington, DC, Oakland, CA, New
Orleans, LA, and St. Louis, MO. In addition to the comments the Coast
Guard received at the public meetings, there were 117 comments
submitted to the docket, which can be found in docket [USCG-2004-19977]
at http://www.regulations.gov/search/index.jsp. A majority of the
comments answered the seven questions; however, some brought up issues
outside the scope of the questions. These seven questions, as well as
the summary of the comments that the Coast Guard received in response,
can be found below in section IV.K. ``Discussion of Comments.''
C. American Bureau of Shipping Group (ABSG) Consulting Uninspected
Towing Vessel Industry Analysis Report (ABSG Report)
The Coast Guard contracted with American Bureau of Shipping Group
(ABSG) Consulting in the summer of 2006 for assistance with gathering
data and categorizing the vessels that make up the towing industry. The
1-year effort included an analysis of casualty data, evaluating towing
vessel accident history data from 1994 to 2003. ABSG evaluated the
effects of the current policy (having no formal Coast Guard inspection
program) on the various categories of towing vessels, and forecasted
the effects Coast Guard inspections might have for the same vessels.
This included preliminary costs of known regulatory alternatives.
To complete the ABSG Report, ABSG and Coast Guard personnel
conducted visits to various towing companies, met with company
officials and mariners, boarded towing vessels, and reviewed existing
safety management systems. The companies visited varied in size and
industry segment and included those operating on the West, Gulf, and
Atlantic coasts, and along the Western Rivers. The final report was
used to draft portions of the proposal published in this document. The
final ABSG Report is available in the docket for this NPRM, and can be
found by following the instructions listed above in section I.B.
``Viewing comments and documents.''
D. Towing Safety Advisory Committee (TSAC)
In the fall of 2004, the Coast Guard requested that the Towing
Safety Advisory Committee (TSAC) assist in developing an inspection
regimen for towing vessels. The TSAC is a Federal advisory committee to
the Coast Guard that represents the towing and barge industry, with
members from the mineral and oil supply vessel industry, port
districts, authorities and terminal operators, maritime labor,
shippers, and the general public. TSAC members come from large towing
companies as well as the small business towing community, and represent
a wide cross section of viewpoints from the industry.
TSAC established a working group that consisted of individuals from
across the industry. Since 2004, nearly 200 individuals contributed to
the deliberations of this working group, which were compiled into four
reports, all of which were approved by the TSAC. The Coast Guard
carefully reviewed each report, drafted concept documents, and
submitted notional regulatory language for review with TSAC. Each
submission of the Coast Guard's concepts and TSAC's subsequent reports
prompted revisions that allowed the concepts to evolve to form the
basis of the proposals published in this document. Each TSAC report is
available in the docket for this NPRM, and can be found by following
the instructions listed above in section I.B. ``Viewing comments and
documents.''
While this process lengthened the overall time it took to complete
this NPRM, it enabled the Coast Guard to achieve specific goals. First,
the process allowed the Coast Guard to review ideas from industry
representatives and discuss their issues and concerns. Furthermore, it
allowed the towing industry to participate in the rulemaking process
from the initial planning stages, as opposed to waiting until after the
publication of an NPRM. This process also helped the Coast Guard create
a comprehensive set of rules that the Coast Guard believes will ensure
greater safety within the industry and that better represent the
industry's uniqueness.
IV. Discussion of Proposed Rule
A. Summary
The Coast Guard proposes to establish a comprehensive safety system
that includes company compliance, vessel compliance, vessel standards,
and oversight in a new Code of Federal Regulations subchapter dedicated
to towing vessels.
At the management level, organizations that operate towing vessels
subject to inspection would be required to select a compliance option
for the managed fleet. Those compliance options are a Safety Management
System, including the development and implementation of that system, or
an alternative annual Coast Guard inspection regime, leaving those
vessels or fleets subject to an annual Coast Guard inspection. The
safety management system would describe procedures for ensuring how its
vessels and employees would comply with all applicable requirements
prescribed in this subchapter. Management would tailor its safety
management system to take into consideration its size, organizational
structure, and vessel types and services. Towing Safety Management
System (TSMS) compliance would be verified through audits and surveys
conducted by third-party organizations approved by the Coast Guard and
would be documented by the issuance of a TSMS Certificate.
At the vessel level, towing vessels operating under the TSMS option
would receive audits and surveys by the approved third-party
organizations, at a frequency delineated in part 138. In addition, the
Coast Guard would conduct compliance examinations at least once every 5
years, along with additional random compliance checks based on risk.
That risk would be determined through analysis of management and vessel
safety histories. Certificates of Inspection (COIs) would be issued by
the Coast Guard to vessels based on evidence of a vessel's successful
compliance with the subchapter.
The Coast Guard would provide direct oversight of the third-party
organizations that conduct TSMS audits and surveys, through approval
and observation. This would include review and approval of the
organization's application to become an approved third party, as well
as review of the individual auditors and surveyors they employ. Random
visits to their offices and direct observation of their activities
would also be used. The Coast Guard would be able to consider an
organization's history when evaluating requests for renewal of their
status as an approved third party every 5 years and would also have the
authority to revoke approval for failure to comply with conditions of
approval and applicable standards.
Overall, this proposal would allow each towing vessel organization
to customize its approach to meeting the requirements of the
regulations, while providing continuous oversight using audits,
surveys, inspections, and reviews of safety data. This would improve
the safety of towing vessels and provide a more efficient means to use
the resources of towing vessel operators, safety professionals in the
approved third-party organizations, and the Coast Guard.
[[Page 49979]]
The Coast Guard understands that the majority of towing vessel
accidents are related to human factors. We are proposing to address
human factors in several ways. First, we propose to require that towing
vessels be operated pursuant to a safety management system or be
subject to an alternative, annual Coast Guard inspection regime.
Second, we propose the establishment of new requirements directed at
crew and vessel operational safety standards. As indicated below, in
section IV.L. of the preamble, we are considering including hours of
service standards and crew endurance management requirements but are
not proposing such requirements at this time.
Equipment failures also contribute to towing accidents. We would
address these non-human factors casualties by establishing vessel
equipment and system standards appropriate for towing vessels, and by
establishing procedures and schedules for routine tests and inspections
of the vessels and their onboard equipment and systems.
In the remainder of this section (IV.), we summarize some of the
significant portions of the NPRM, including the proposed applicability
of the NPRM, the safety management system, the use of third parties,
and the machinery and electrical provisions. After those summaries, we
have broken down the proposed regulation in a part-by-part summary. We
have included brief discussions on the topics of user fees and manning,
as the NPRM contains changes to those already existing provisions in
our regulations. Lastly, we have included a discussion of the comments
we received in response to our December 30, 2004 request for comments
(69 FR 78471).
B. Applicability
Congress did not expressly provide the Coast Guard with the
authority to exempt from inspection any subset of vessels that perform
towing (46 U.S.C. 3301(15)). However, Congress intended that the Coast
Guard prescribe different standards for the various types of towing
vessels based on size, horsepower, type of operation, or area of
operation (H.R. Conf. Rep. 108-617, 2004 U.S.C.C.A.N. 936, 953),
including requiring safety management systems appropriate for the
characteristics, methods of operation, and nature of service of towing
vessels. See 46 U.S.C. 3306(j).
After consulting with towing vessel industry representatives and
analyzing data, the Coast Guard believes that focusing our initial
efforts on inspecting those towing vessels moving commercial barges,
especially those towing oil or other dangerous and combustible cargoes,
and/or providing harbor assist services to large commercial ships, is
reasonable because the preponderance of casualties reviewed by the
Coast Guard involved these vessels, and the potential for casualties
that cause permanent injury or death to humans, economic impact to the
maritime transportation sector, and/or environmental damage is greatest
due to the nature of their service. Therefore, the Coast Guard proposes
that this rule not apply to: Towing vessels less than 26 feet in
length, unless towing a barge carrying oil or other dangerous or
combustible cargo in bulk; workboats that do not engage in commercial
towing for hire, but may intermittently move a piece of equipment
within a work site such as a dredging or construction site; and towing
vessels performing assistance towing as currently defined in 46 CFR
10.107. Regulations covering these towing vessels would be proposed in
a future regulatory project. The Coast Guard believes that staggering
implementation of inspection requirements for towing vessels in this
way allows us to focus our initial regulatory efforts on the
characteristics that the groups have in common and the risks, noted
above, that can lead to marine casualties.
Also, the proposed regulations for 46 CFR subchapter M, consisting
of parts 136 through 144, would not apply to seagoing towing vessels of
over 300 gross tons, as they are already subject to inspection as
seagoing motor vessels under 46 CFR subchapter I. In 46 CFR 90.05-1 for
subchapter I, and in other 46 CFR subchapters with a table that
identifies what subchapter a vessel is inspected under, the Coast Guard
will conform the table to reflect the change in towing vessels moving
from an uninspected vessel class to a class of vessel inspected under
46 CFR subchapter M.
C. Towing Safety Management System (TSMS)
In this NPRM, the Coast Guard proposes to require towing vessels
subject to this rulemaking to be part of a safety management system or
be subject to an alternative, annual Coast Guard inspection regime. For
the purposes of this proposed rule, a safety management system for
towing vessels will be a Towing Safety Management System (TSMS). The
objectives of a TSMS are to ensure the safety of the vessel and crew,
prevent human injury or loss of life, avoid environmental and property
damage, and ensure continuous compliance with applicable regulations.
To accomplish these objectives, a TSMS would require management, in
this case an owner or managing operator of a towing vessel, to
implement safety management practices for both their shoreside
management and vessel operations.
Congress provided authority to the Coast Guard to establish a
safety management system appropriate for the characteristics, methods
of operation, and nature of service of towing vessels (46 U.S.C.
3306(j)) and in section 701(c) of the Coast Guard Authorization Act of
2010 (Pub. L. 111-281), it directed the issuance of an NPRM based on
that authority. The National Transportation Safety Board recommended
establishing a safety management system appropriate for towing vessels
(NTSB Safety Recommendation M-07-6). Furthermore, in its September 7,
2006 report on Towing Vessel Inspection, the Towing Safety Advisory
Committee Working Group stated that a requirement for a safety
management system should be ``* * * the cornerstone of the new
inspection regime for towing vessels * * *'' (A copy of this document
may be found in the docket for this rulemaking. Instructions for
accessing the docket are found in section I.B. ``Viewing comments and
documents.'')
The ABSG report, discussed in section III.C, recommended
alternative inspection approaches for some companies stating, in part,
that ``* * * a safety management system may not [be] a very cost-
effective way to achieve safer operations, * * *'' and suggested a more
traditional inspected vessel option be considered. In addition, pages
2-8 of the ABSG report stated ``* * * the industry personnel were clear
that effective implementation of a safety management system was a very
difficult task for a company that had not previously been highly
structured and had not formally documented its policies and
procedures.'' Also, page 21 of the TSAC Economic Working Group report
stated ``[A SMS] will likely have a larger and more devastating impact
on smaller companies who do not have the economic means, manpower, or
even time to implement a system.''
However, considering the strong recommendations of both the NTSB
and TSAC, and considering that towing vessels operate within the same
areas as other vessels, many of which also use a safety management
system, sharing busy waterways and overworked infrastructure,
interacting within the supply chain and marine transportation system,
and at times, sharing crewmembers, it is appropriate to propose that
all towing vessels subject to this rulemaking have the option of
[[Page 49980]]
operating within a company-implemented TSMS.
All towing companies, whether they are aware of it or not, already
operate under some form of management-implemented policies and
procedures, often developed over time and passed on through on-the-job
training. A TSMS collates these policies and procedures into an
organized, reviewable document, where procedures become uniform and
consistent. This provides a company with the ability to review and
discuss their procedures internally, uniformly adjust them as
necessary, and enables auditors to verify that all vessels and
employees within the company follow written protocol. These reviews
establish a means to identify weaknesses in those policies and
procedures, as well as provide a benchmark for continual improvement.
A company can describe safe work practices and thus lay out
specific procedures for its crewmembers and shoreside personnel that
will most likely ensure safe operations and proper maintenance
procedures and actions.
By establishing policies and procedures, the criteria for all to
follow are clear, so personnel know what would be expected, and
training can be consistent, measurable, and repeatable. Actions
necessary to document the performance of specific tasks can be
implemented and verified through audits. This leads to confidence on
the part of regulators, charterers, employees, managers, and others
that the company and its vessels operate within a safety system and
comply with regulatory requirements. This also provides an important
tool for managing the operations of a company.
The Coast Guard believes that through the process of pulling
together and formalizing a towing company's operating procedures and
implementing a process of ensuring that all of its employees follow the
established procedures, the risk of harm to people, property, and the
environment will be reduced. As proposed in this NPRM, a TSMS would
provide instructions and procedures for the safe operation of the
vessel, document authorities, detail reporting requirements, establish
quality procedures, and establish and document internal and external
auditing. The elements that would be required in an acceptable TSMS are
included in the proposed regulatory text.
The complexity of the TSMS would be based upon the number of
vessels, type of operation, area of operation, and the nature of the
risk associated with the towing operations covered by the TSMS. The
Coast Guard understands that full compliance with an elaborate TSMS
designed for large operations may be impractical for owners or managing
operators with small operations. In these cases, the Coast Guard,
through a third party, may approve a significantly scaled down TSMS
that is tailored to the operation.
Some owners or managing operators already comply with the
International Safety Management (ISM) Code due to the nature of their
service. The ISM Code is an internationally mandated safety management
system for vessels subject to the International Convention for the
Safety of Life at Sea, 1974, as amended (SOLAS). The U.S. regulations
that implement the ISM Code may be found in 33 CFR part 96. The Coast
Guard is proposing to accept compliance with the ISM Code as an
equivalent to the TSMS requirements. In many cases, towing vessels that
engage in foreign (international) voyages are required to use the ISM
Code. As a result, these vessels should not have to use two separate
safety management systems, one exclusively for domestic operation and
one for foreign voyages at additional cost. The ISM Code can and does
work for these vessels, regardless of where they are operating. The
Coast Guard believes that the processes and procedures in place for
compliance with the ISM Code will ensure that towing vessels comply
with proposed Subchapter M, including the elements of the TSMS.
The Coast Guard considered proposing that all towing vessels comply
with 33 CFR part 96, Rules for the Safe Operation of Vessels and Safety
Management Systems, in lieu of developing the TSMS. However, through
consultation with TSAC, it was determined that development of a safety
management system specifically for U.S. towing vessels is appropriate.
Most U.S. towing vessels operate on inland waters of the U.S. or on
coastwise domestic voyages. The proposed TSMS was developed as an
integral part of the subchapter and tailored to these U.S. domestic
towing vessel operations. The Coast Guard believes that the opportunity
to use this tailored system and related procedures is appropriate for
this group of vessels. However, the ISM Code requires compliance with
mandatory rules and regulations, including relevant national and
international regulations, standards, codes, and maritime industry
guidelines that are appropriate for towing vessels operating on
international voyages. Therefore the Coast Guard believes that
companies following the ISM Code will achieve compliance with the
proposed Subchapter M without having to implement another safety
management system.
Auditing would play an integral part in the proposed TSMS. Audits
would ensure that a TSMS functions as designed. A properly designed
TSMS, as proposed, would incorporate both internal and external audits
to ensure a constantly functioning system that both identifies and
corrects problems before they lead to casualties. Companies that comply
with the ISM Code should already incorporate both internal and external
audits, with the latter performed by recognized classification
societies.
The Coast Guard intends to broaden the available pool of auditors
to include organizations that meet prescribed standards, which would
include professional qualifications, formal training, past experience,
and membership in organizations that oversee quality systems, or any
combination thereof. Further discussion about third parties is
contained below in section IV.D. ``Third Parties.''
The Coast Guard is proposing that third parties be external of the
towing organization to be audited to provide independent review.
Prospective auditors that are not ``recognized classification
societies'' under 46 CFR part 8 would be required to apply to the Coast
Guard for approval and be placed on a list of similarly qualified
organizations. The list would be made available to towing vessel owners
and managing operators.
The Coast Guard has proposed a traditional inspection scheme as one
option for towing vessels. This option includes scheduled annual/
periodic inspections by Coast Guard marine inspectors. The other option
the Coast Guard has proposed is to establish a TSMS regime that would
create new and different requirements and procedures. A TSMS would
require detailed processes, procedures, recordkeeping, and auditing. It
would also provide methods to document compliance with the TSMS, which
may include logbooks, non-conformity reports, and/or reports of audits.
It is through this documentation that the vessel owner or operator is
able to demonstrate compliance.
The Coast Guard is seeking comments on the costs and benefits of
the SMS requirement. We are particularly interested in these topics:
(1) Additional compliance options, in addition to the proposed TSMS
and Coast Guard inspection regime, that could provide similar benefits
at a lower cost;
(2) Flexibilities to the proposed SMS requirements that could
provide relief to
[[Page 49981]]
small entities while providing similar benefits;
(3) The economic impact on small entities if implementing an SMS
became a requirement rather than an option; and
(4) Modifications that could reduce the paperwork and recordkeeping
requirements contained in the SMS requirements.
D. Third Parties
The Coast Guard proposes to establish approval procedures for
third-party TSMS auditors and surveyors, to carry out routine
compliance activities under Coast Guard oversight. The Coast Guard
believes that using third parties to carry out compliance activities
provides the maximum flexibility in that it reduces vessel downtime,
provides greater flexibility in scheduling inspections, and provides
greater flexibility in meeting required standards. Using third parties
to oversee routine compliance activities would also provide the Coast
Guard with more flexibility to apply its resources when and where they
are needed most. Third-party auditors would review and approve the TSMS
and ensure that it complies with the proposed requirements. Third-party
auditors would also conduct required external audits of a TSMS to
verify that the system functions as intended. In instances when the
regulations require the use of a surveyor, an approved third-party
surveyor would be required, providing independent technical expertise
to examine the vessel, its systems, and equipment.
Prospective organizations that seek approval as a third party would
be required to submit an application to the Coast Guard. Approved third
parties would be placed on a publicly-available list maintained by the
Coast Guard that would state their qualifications as a surveyor,
auditor, or both. Third parties would be subject to rigorous Coast
Guard oversight to ensure their reports and other documentation are
reliable and the approval would be subject to renewal every 5 years.
The Coast Guard would also have the authority to suspend or revoke
approval of third-party organizations that do not comply with the
proposed standards.
Some companies already employ classification societies.
Classification societies have significant expertise with both auditing
safety management systems and surveying vessels. The Coast Guard
proposes to permit classification societies recognized under 46 CFR
part 8 to conduct the audits and surveys required by proposed
subchapter M, without further approval.
The Coast Guard also proposes to rely on registered Professional
Engineers (P.E.s) to verify compliance with construction and
arrangement standards as described in proposed part 144.
The Coast Guard has the authority to rely on third parties in the
manner proposed in this NPRM under 46 U.S.C. 3103, which provides
authority to the Coast Guard to rely on reports, documents, and records
of other persons determined to be reliable, as evidence of compliance
with Subtitle II of title 46 of the U.S. Code. In the legislative
reports associated with this statute, Congress provided clear guidance
on entities they felt could comprise the ``other persons'' mentioned in
the statute. These ``other persons'' include surveyors, professional
engineering societies, marine chemists, shipyards, the National Cargo
Bureau and ``other persons that the Secretary believes may be relied
upon to professionally inspect or review a vessel to ensure
compliance'' with vessel inspection laws (S. Report 104-160, 1996
U.S.C.C.A.N. 4239, 4269). Title 46 U.S.C. 3308 also provides authority
to rely on third-party inspectors by stating that the Secretary shall
examine ``or have examined'' vessels subject to inspection. This allows
the Coast Guard to use reports and other records as evidence of
compliance with vessel inspection requirements.
The Coast Guard has a long history of relying on third parties to
perform inspection and survey functions on its behalf. In some cases,
these third parties are classification societies that are
``recognized'' by the Coast Guard to carry out certain functions.
Authority to permit these recognized classification societies to
conduct activities is provided by statute (46 U.S.C. 3316) and
regulations (46 CFR part 8). These recognized classification societies
are instrumental in conducting vessel inspection activities as part of
the Alternate Compliance Program (ACP) (46 CFR part 8, subpart B).
Examples where the Coast Guard relies on third parties are when the
American Bureau of Shipping (ABS) conducts load line surveys (46 CFR
part 42), tonnage measurements (46 CFR part 69), and issues
international convention certificates (46 CFR part 8, subpart C).
The Coast Guard's use of third parties has not been confined to
recognized classification societies. The Coast Guard uses surveyors and
P.E.s by adopting a third-party standard through incorporation by
reference, such as the Underwriters Laboratories (UL) standard for fire
extinguishers (46 CFR 162.028-5). The Coast Guard also uses surveyors
or similar entities as ``accepted organizations'' (46 CFR 28.73) and
``similarly qualified organizations'' (46 CFR 28.76) to conduct
examinations of commercial fishing vessels (46 CFR 28.76). Finally,
third parties play an important role as ``designated examiners'' who
qualify personnel who can operate towing vessels (46 CFR subchapter B).
``Designated examiners'' are not employed by the Coast Guard but are
trained or instructed to assess and evaluate candidates for a license
or license endorsement on behalf of the Coast Guard.
In each of these cases, incorporating third parties into the
inspection process has expedited the process and allowed Coast Guard
inspection resources to be reinvested. The Coast Guard expects that the
use of third parties proposed in this NPRM would provide the Coast
Guard with more flexibility in applying its resources when and where
they are needed most.
E. Machinery & Electrical (Proposed Part 143)
While developing 46 CFR part 143, the Coast Guard considered the
reports provided by ABSG Consulting and TSAC, discussed in sections
III.C. and III.D., respectively, earlier in this preamble. These
reports were generated by selecting sample marine casualty cases,
identifying their main causes, and summarily grouping them into broad
categories based on those causes. The reports also proposed a
subchapter outline that highlighted general areas on which to focus.
For each area pertaining to machinery and electrical systems, the Coast
Guard conducted a more in-depth analysis. This included a detailed
review of every casualty used in the ABSG Consulting and TSAC reports.
For each casualty, the Coast Guard identified both the specific cause
included within the broad report category as well as subsequent and
contributory causes. When review of the cases was complete, regulations
were developed to prevent or mitigate these causes and patterns, with
emphasis placed on high risk causes that take into account both
consequence and frequency of occurrence. The casualty reports used to
conduct this review are all located in the docket for this rulemaking,
where listed above in section I.B. ``Viewing comments and documents.''
In most areas, the Coast Guard followed the recommendations in the
TSAC report; accepting American Bureau of Shipping (ABS) Rules as the
default standard for new towing vessels, and following the TSAC
proposed subchapter outline for existing towing vessels. ABS rules
provide the towing industry with a comprehensive set of standards
appropriate to towing vessels
[[Page 49982]]
that are widely accepted and already in use by many towing companies.
However, the Coast Guard's in-depth analysis uncovered three areas
where the Coast Guard believes additional standards are required for
existing towing vessels beyond what is outlined in these reports. These
areas are: (1) Propulsion, steering and related controls reliability,
(2) electrical installations, and (3) a pilothouse alerter system. This
section addresses these three areas only; the remaining requirements
from proposed part 143 are straightforward and may be found in the
proposed regulatory text.
1. Propulsion, steering and related controls reliability. The
intent of proposed subpart D of part 143 is to eliminate the
possibility of a single equipment failure leaving the operator with no
control of the tow. This would be accomplished by requiring these
inspected towing vessels to have alternative methods of maintaining
propulsion, steering, and related controls. These methods are to be
independent, so that failure of one does not affect another.
When developing proposed subpart D of part 143, the Coast Guard
also created proposed regulations that address concerns expressed in
comments received in response to its December 2004 Notice and Request
for Comments, discussed below in section IV.K. ``Discussion of
Comments.'' (69 FR 78471). Many commenters supported exemptions for
certain vessel types, expressed concern about requiring existing towing
vessels to be modified, and supported tying regulations to high risk
areas. As noted earlier in section IV.B. ``Applicability'', the Coast
Guard is proposing to limit the applicability of these proposed rules
and address additional types of towing vessels in a later rulemaking
effort. We are also proposing to provide an additional 5-year
compliance period for affected tow vessels, and proposing to further
limit the bulk of the propulsion and steering reliability requirements
to long distance oil and hazardous materials tows that we believe
present the highest risk of damage to the environment. Additionally,
because the requirements would apply to some existing towing vessels,
the Coast Guard proposes to provide an additional compliance period of
5 years after the date a vessel obtains its COI to comply, which will
result in a gradual phase-in to full compliance between 7 and 11 years
after the date of publication of the final rule. This compliance period
is discussed in more detail below in Section IV.G. ``Compliance.''
Requiring alternative, independent methods of maintaining
propulsion, steering, and related control is not a new concept for
vessels transporting significant amounts of cargo. The Coast Guard
requires alternative, independent steering on cargo ships (including
oil tankers), with more robust requirements for oil tankers. Cargo
ships are also required to have either alternate, independent methods
of propulsion or alternate, independent vital auxiliaries critical to
propulsion. Additionally, when cargo ships' engine rooms are minimally
or periodically unattended--almost universally the case on towing
vessels--alternate, independent propulsion and steering control methods
are required. Classification societies also require alternative,
independent methods of maintaining propulsion, steering, and related
control; the ABS rules referred to in proposed Sec. 143.435 are an
example of this.
The Coast Guard notes Congressional interest in harmonizing
requirements for oil tankers and vessels towing oil and hazardous
materials in bulk. The Senate version of the Coast Guard Authorization
Act for Fiscal Year 2008 (S. 1892), Section 702(a)(2), states: ``In
promulgating regulations for towing vessels under chapter 33 of title
46, United States Code, the Secretary of the Department in which the
Coast Guard is operating shall consider the possible application of
standards that, as of the date of enactment of this Act, apply to self-
propelled tank vessels, and any modifications that may be necessary for
application to towing vessels due to ship design, safety, and other
relevant factors.'' The proposed rule meets this requirement, by, in
part, requiring alternative, independent methods of maintaining
propulsion, steering, and related control similar to those required of
self-propelled tank vessels.
As mentioned earlier, the Coast Guard considered the casualty data
contained in the TSAC and ABSG reports when developing proposed subpart
D. In its report, TSAC stated that equipment failures accounted for 31
percent of the medium and high severity incidents and about 45 percent
of the low severity incidents. Failures in the propulsion or steering
accounted for 30 percent of the medium and high severity incidents
involving equipment. This tells us that a significant number of medium
and high severity towing vessel incidents--roughly 1 in 10--are due to
failures in propulsion, steering, and/or related controls. However,
this only gives a partial picture.
When considering the risk posed by a particular type of casualty
one has to consider low severity incidents as well, because risk
includes not only the consequence of a single type of casualty but also
the frequency, i.e. how often that type of casualty occurs. For
example, TSAC reported that human factors accounted for 54 percent of
the medium and high severity incidents and about 40 percent of the low
severity incidents. If one only considers medium and high severity
incidents, human factors account for 23 percent more towing vessel
incidents than equipment failures. If one only considers low severity
incidents, equipment failures account for 5 percent more towing vessel
incidents than human factors. If one considers all incidents regardless
of severity, equipment failures account for 2 percent more incidents
than human factors because low consequence incidents occur eight times
more often than medium and high severity incidents.
Unfortunately, because the TSAC report did not give statistics on
the causes of the low consequence incidents, one is not able to
determine from the report the relative percentage of all incidents
caused by failures of propulsion, steering, and related controls.
However, the ABSG report gives statistics on both high and low
consequence incidents. That report categorized roughly 1 percent of
towing vessel incidents as high consequence and 99 percent as low
consequence and stated that 23 percent of high consequence incidents
and 40 percent of low consequence incidents were due to equipment
failures. Failures in propulsion, steering, or related controls
accounted for 20 percent of the high consequence and 87 percent of the
low consequence incidents involving equipment failures. This indicates
that roughly 35 percent of all towing vessel incidents are caused by
failures of propulsion, steering, or related controls.
When developing proposed subpart D, the Coast Guard considered the
impact on industry. A potentially significant impact involves making
redundant systems already installed on existing towing vessels
``independent,'' as defined in proposed Sec. 136.110. The Coast Guard
notes that a large majority of vessels subject to these regulations are
already equipped with redundant systems; the cost to make these
redundant systems independent is both reasonable and justified. For
example, the Inland River Record, published annually by the Waterways
Journal, indicates about 90 percent of inland vessels have two or more
propulsion engines and shafts. (A copy of this document has been placed
in the docket for this rulemaking, where listed above
[[Page 49983]]
in section I.B. ``Viewing comments and documents.'') The majority of
the remaining 10 percent, listed in the Inland River Record as having a
single shaft, are vessels not included in the applicability of this
NPRM. Currently, vessels with two or more propulsion engines and shafts
may have some or all of their fuel, oil, and cooling water piping/pumps
or controls (air, mechanical, electrical) common to multiple engines.
In order to comply with proposed Sec. 143.410, some vessels may
require modification to provide duplicate, independent components to
achieve system independence. Other common examples of modifications to
make redundant systems independent include separate electronic control
circuitry on generators and separate sumps for steering gear hydraulic
fluid. As many of the towing vessels currently comply with aspects of
the proposed sections, modifications are not expected to require a
major overhaul of the vessel. Costs to make modifications are discussed
in the separate regulatory assessment for this NPRM, but the Coast
Guard proposes to minimize costs by allowing owners and operators up to
additional 5 years to bring their vessels into compliance with this
requirement, to provide sufficient time to plan for and incorporate
these modifications into the vessel's scheduled maintenance period.
2. Electrical installations. The Electrical installation
requirements are in proposed Sec. Sec. 143.305 and 143.340-143.360 of
subparts B and C of part 143. These sections would require towing
vessels to meet specific standards for electrical installations and
provide a deferment period for existing towing vessels. The Coast Guard
believes that poorly wired and insufficiently maintained electrical
systems pose sufficient risk to justify establishing the proposed
electrical requirements.
When developing these sections, the Coast Guard consulted the ABSG
Consulting and TSAC reports. These reports recommended that electrical
installations on existing towing vessels be suitable for the purpose
intended and maintained in good operating condition. The Coast Guard
agreed with the recommendations and incorporated specific standards
dealing with wiring methods, overcurrent protection, electrical
connections, grounding, and ground detection into the proposed rule.
The TSAC report stated that 4 percent of high consequence incidents
involved electrical failures, but was silent on low consequence
incidents. The ABSG report did not have an electrical category. The
lack of discussion on electrical incidents in these reports is not
unexpected because the reports focused on the primary cause of an
incident, not contributory ones.
However, the Coast Guard conducted its own in-depth analysis of the
cases reviewed for the ABSG report, along with deficiency reports from
examinations of towing vessels during compliance exams, conducted
pursuant to 33 CFR part 104 as part of the implementation of the
Maritime Transportation Security Act of 2002 (MTSA) (46 U.S.C. chapter
701). These reports provided anecdotal evidence that poor electrical
installation and maintenance is a concern on towing vessels. From
January 2006 through August 2008, the Coast Guard conducted 768 of
these MTSA compliance examinations and issued 2949 deficiencies.
Electrical deficiencies involving poor installation and maintenance
accounted for 8 percent (226) of the deficiencies. This 8 percent
deficiency rate highlights the need to establish more specific
standards for electrical installations on towing vessels.
During its in-depth analysis of the ABSG report, the Coast Guard
noted several instances where an electrical failure was either the
primary cause or a contributory factor even though the report listed
some other cause. For example, a significant number of incidents
categorized as propulsion, steering, or generator failures were caused
by an electrical problem that eliminated the operator's ability to
maneuver the tow. Additionally, many cases were attributed to corrosion
induced hull failure; however, the improper grounding of electrical
systems, which is known to contribute to corrosion induced hull
failure, was not investigated.
When developing proposed Sec. Sec. 143.305 and 143.340-143.360,
the Coast Guard sought to create regulations that address concerns
noted in comments received on its December 2004 Notice and request for
comments, discussed below in Section IV.K. ``Discussion of Comments.''
In response to these comments, the Coast Guard proposes to limit the
applicability of Sec. Sec. 143.340-143.360, opting to cover towing
vessels of limited route or service in a later regulation. We also
propose providing a longer compliance period for these requirements,
providing for a deadline of 5 years from the date of the issuance of
the initial Certificate of Inspection. The Coast Guard minimized
prescriptive material requirements, such as UL listed cable or circuit
breakers, which would require expensive replacements and thus increase
the cost to tow vessel owners and operators. The most significant
material requirement proposed in Sec. Sec. 143.340-143.360 is found in
proposed Sec. 143.340(a)(3) and (b)(9). It would require two sources
of power for certain critical systems typically reliant on electrical
power such as navigation equipment, radios, and emergency lighting.
3. Pilothouse alerter system. Pilothouse alerter systems detect
potential operator incapacitation and alert other crewmembers. A
variety of methods are used to detect this, such as a lack of personnel
movement or rudder commands for a specified interval. After detection,
an alarm sounds in the pilothouse. If it is not acknowledged for a
specific interval, another alarm alerts crewmembers in other areas of
the vessel.
The pilothouse alerter system requirements are found in proposed
Sec. 143.325. The Coast Guard considered the NTSB report of the Robert
Y. Love allision with the I-40 Bridge, which killed 14 people and
caused more than $60 million in bridge damage. (A copy of this report
has been placed in the docket for this rulemaking, where listed above
in section I.B. ``Viewing comments and documents.'') The report stated
that the master became incapacitated by a medical condition 4 minutes
before the bridge allision, and listed a pilothouse alerter as an
appropriate preventative measure (See Report at 63).
The Coast Guard reviewed its data from 1993 to 2003 for related
incidents, and uncovered eight incidents where the operator died while
navigating the vessel. Other cases also indicated probable
incapacitation of the operator. Towing vessels often operate with large
tows in congested or confined waterways and near critical
infrastructure such as bridges, often with only the operator in the
pilothouse. A towing vessel and its tow, out of control because the
only operator becomes incapacitated, is capable of doing significant
damage to bridges, other vessels, or shoreside facilities; it may also
run aground and lose cargo or obstruct the waterway. Even in open water
an out-of-control tug risks a grounding or collision. Therefore, the
Coast Guard is proposing a requirement for a pilothouse alerter system
with the exception that it is not necessary if a second person is
provided in the pilothouse.
F. Functional Requirements
The Coast Guard is providing an alternate format in two of the
parts included in proposed subchapter M: Lifesaving (proposed part 141)
and
[[Page 49984]]
Machinery and Electrical (proposed part 143). This format includes the
use of functional requirements in appropriate sections. Functional
requirements indicate what the section is trying to achieve in the most
non-prescriptive manner possible; they provide performance standards
stating what to do, and not how to do it. Where appropriate, each
regulation section also contains a prescriptive option that does not
need to be followed, but following it guarantees compliance with the
section. This prescriptive option represents one way to comply with the
functional requirements (performance standard) in the section; industry
is free to propose alternative methods of compliance to a cognizant
Officer in Charge, Marine Inspection (OCMI) or an approved third party.
We are specifically seeking comments on whether this format is
preferred to the more traditional formats, found in the other parts of
proposed subchapter M.
G. Compliance
We are proposing a compliance scheme that we believe would provide
adequate time for industry to develop their TSMS, implement it on their
vessels, and obtain COIs and spread out the cost of doing so over
several years. Owners and managing operators who selected the TSMS
option would have 2 years from the effective date of a final rule to
create their TSMS, have a third party approve their TSMS, and have a
third party issue their TSMS Certificate. They would have 4 years from
the date of that TSMS Certificate to bring all vessels under their
ownership or management into the TSMS and obtain Certificates of
Inspection. We are proposing a requirement that owners and managing
operators bring 25 percent of their fleet into compliance in each one
of those 4 years, so as to avoid a strain on Coast Guard and third-
party resources at year four.
Owners and managing operators of towing vessels subject to
Subchapter M requirements would need to select the annual Coast Guard
inspection option 2 years from the effective date of a final rule, if
they have not created a TSMS by that point. Towing vessels without a
TSMS would be subject to the annual Coast Guard inspection regime 2
years from the effective date of the final rule. They would have 4
years from that date to obtain Certificates of Inspection for all
vessels under their ownership or management. We are proposing that
owners and managing operators bring 25 percent of their fleet into
compliance in each one of those 4 years, to avoid straining Coast Guard
resources and those of owners and managing operators.
The machinery and electrical requirements discussed above in
Section IV.E., ``Machinery and Electrical,'' would have even longer
compliance periods. We are proposing to allow for an additional 5-year
period after the issuance of the first Certificate of Inspection (COI)
to a vessel. This would allow the vessel owners or managing operators
who choose the TSMS option to plan for compliance within their TSMS,
and to work it into the regular scheduled maintenance periods for the
vessel.
H. Part-by-Part Summary
In this section, we briefly outline the several parts that we
propose to add as subchapter M. We have not detailed the proposals for
each part; instead, we strove to draft regulatory text that is easily
understandable. This section highlights the requirements that can be
found in each part.
Part 136, ``Certification,'' outlines procedures and requirements
for obtaining, amending, and renewing a COI, permits to proceed, and
permits to carry an excursion party. Part 136 defines the terms used in
the subchapter, and provides a description of vessels that are subject
to these regulations. The applicability provisions discussed above in
section IV.B. ``Applicability'' may be found in this part.
Part 137, ``Vessel Compliance,'' describes how to come into
compliance with the requirements of Subchapter M, including how to
conduct, and the frequency of, TSMS surveys and audits, including a
summary of the items to be examined. It also outlines alternative
methods for carrying out vessel compliance activities. It proposes the
contents of required reports and the qualifications required for the
various personnel who carry out compliance activities.
Part 138, ``Towing Safety Management System (TSMS),'' proposes
requirements for towing vessels subject to inspection that select the
TSMS option. Such vessels must be operated in compliance with a safety
management system, to be known as the TSMS. This part describes the
contents to be required of a TSMS, including management policies and
procedures that serve as operational protocol. Also described are
procedures related to the approval of a TSMS, internal and external
audits of a TSMS, and documentation and oversight. The TSMS provisions
discussed above in section IV.C. ``Towing Safety Management Systems
(TSMS)'' may be found in this part.
Part 139, ``Third-Party Organizations,'' describes the
qualifications and procedures for organizations that audit TSMSs and/or
survey vessels. An organization seeking to perform audits and/or
surveys would be required to submit an application to the Coast Guard
for approval. Approvals would be valid for 5 years with procedures for
renewal provided in this part. The Coast Guard would also review
relevant information concerning individuals within the organization
that would conduct the audits or surveys. Also described in this part
are procedures relative to Coast Guard continuing oversight of third-
party organizations. This includes procedures for suspension and
revocation of approval. The third-party provisions discussed above in
section IV.D. ``Third-Party Organizations'' may be found in this part.
Part 140, ``Operations,'' describes health, safety, and operational
requirements for vessels and crewmembers serving onboard the vessels.
This includes crewmember training and drills. This part would also
establish recordkeeping requirements for towing vessels required to
comply with subchapter M, requiring the recording of certain drills,
training, and operational activities. Navigation and towing safety
requirements are also described in this part. To develop this part, the
Coast Guard considered the recommendations of the Towing Safety
Advisory Committee, reviewed requirements that currently apply to
uninspected towing vessels, and reviewed requirements for other types
of inspected vessels.
Workplace safety and health requirements onboard uninspected towing
vessels are enforced by the Occupational Safety and Health
Administration (OSHA) (29 CFR parts 1910 and 1915). However, under a
1983 Memorandum of Understanding (MOU) between the Coast Guard and
OSHA, once the Coast Guard prescribes regulations for a class of vessel
that is subject to inspection under 46 U.S.C. 3301, OSHA will not
enforce its standards against owners and operators of those vessels
with respect to the working conditions of seamen. The Coast Guard
believes that crewmember safety and health requirements aboard towing
vessels should not be lost due to the change in status from uninspected
to inspected vessels, and thus proposes safety and health standards
that would apply on inspected towing vessels. To develop these
standards, the Coast Guard reviewed the OSHA standards and considered
adopting them whole cloth. We also considered the
[[Page 49985]]
recommendations contained in the reports provided by TSAC. The
regulations proposed in this NPRM use elements of both. We believe they
are appropriate for the nature and service of towing vessels. Workplace
safety and health requirements may be found in subpart E of part 140.
Under provisions in Sec. Sec. 136.170 and 136.203 of this proposed
rule, there would be a number of years between the effective date of a
final rule in this rulemaking and when a vessel subject to subchapter M
would need to obtain a certificate of inspection. Note, however, that
once a final rule becomes effective, the requirements in it would be
enforced by the Coast Guard. As with these COI provisions, certain part
140 provisions as proposed would provide a period of time before
compliance is required. While Sec. 140.500 would provide 3 years after
the effective date to implement a health and safety plan, compliance
with the regulations on which that plan would be based--e.g., using
vessel equipment in accordance with the manufacturer's recommended
practice and in a manner that minimizes risk of injury or death, and
making appropriate personal protective equipment (PPE) available and on
hand for all personnel engaged in an activity that requires the use of
PPE--would be required as soon as the rule became effective. Once an
inspection of towing vessels final rule became effective, vessels
subject to it would become ``inspected vessels'' under the USCG-OSHA
MOU, and Coast Guard regulations would apply. Note, however, that OSHA
will continue to enforce its requirements on shipyard employers that
perform shipyard employment subject to 29 CFR 1915 on inspected and
uninspected vessels.
In proposed Sec. 140.655, Prevention of oil and garbage pollution,
we state that towing vessels must comply with 33 CFR parts 151, 155,
and 156, as applicable. We request comments on whether we should
require all towing vessels subject to Subchapter M to track oily waste
disposal in the towing vessel's record book or limit recording
requirements to existing requirements in 33 CFR parts 151 or 155 and to
vessels subject to those parts.
Part 141, ``Lifesaving,'' describes requirements for lifesaving
equipment, arrangements, systems, and procedures. Included in this
section are readiness and testing requirements for lifesaving equipment
on inspected towing vessels as well as minimum lifesaving requirements
based on the route of the vessel. To arrive at these proposed
standards, we considered the recommendations of the Towing Safety
Advisory Committee and reviewed standards that apply to other types of
inspected vessels in comparable operating areas and consulted with
Coast Guard subject matter experts; and are proposing additional
requirements that would provide lifesaving protections similar to other
classes of inspected vessels.
Part 142, ``Fire Protection,'' describes the requirements for fire
suppression and detection equipment and arrangements. This part would
establish requirements for portable and fixed fire extinguishing
equipment, and related inspection and testing requirements. It also
proposes crewmember training and drills with the required fire
protection equipment. The fire protection standards proposed in this
part substantially retain fire protection regulations that currently
apply to most towing vessels and are contained in Title 46 CFR Parts 25
and 27. To arrive at these proposed standards we considered the
recommendations of the Towing Safety Advisory Committee, reviewed
subchapters for other classes of inspected vessel, and consulted Coast
Guard subject matter experts. In a separate rulemaking, entitled
``Carbon Dioxide Fire Suppression Systems on Commercial Vessels'' (RIN
1625-AB44), the Coast Guard has proposed new fire suppression standards
for commercial vessels in general. See 75 FR 8432, February 24, 2010.
In Sec. 142.235 of this Towing Vessels NPRM, which deals with fixed
fire-extinguishing systems, we make reference to requirements in 46 CFR
subpart 76.15. Please note that the Carbon Dioxide Fire Suppression
NPRM proposes to revise subpart 76.15. See 75 FR 8443. Also, please
note that the Carbon Dioxide Fire Suppression NPRM would revise the
definition of ``fixed fire-extinguishing system'' in 46 CFR 27.101. See
75 FR at 8438.
Part 143, ``Machinery and Electrical Systems and Equipment,''
describes requirements for the design, installation, and operation of
primary and auxiliary machinery and electrical systems and equipment on
certain towing vessels. The machinery and electrical provisions
discussed previously in section IV.E. ``Machinery & Electrical'' may be
found in this part.
Part 144, ``Construction and Arrangement,'' describes the
requirements for design, construction, and arrangement of towing
vessels which would be inspected under subchapter M, including plan
review and approval. The procedures for plan review are proposed, as
are qualifications for persons conducting plan review. The part
describes different requirements for existing towing vessels and new
towing vessels and provides descriptions of requirements for
subdivision and stability, visibility, and vessel arrangements related
to crew safety such as rails, guards, and escapes. To arrive at these
proposed standards, we considered the recommendations of the Towing
Safety Advisory Committee, reviewed other subchapters, consulted with
Coast Guard subject matter experts and reviewed current Coast Guard
processes and procedures relative to vessel construction and
arrangement; and are proposing requirements that are similar to other
classes of inspected vessels.
I. User Fees
Under 46 U.S.C. 2110, the Coast Guard is required to charge vessel
inspection user fees. The regulations contained in 46 CFR 2.10
prescribe procedures and fees for vessels required to have a
Certificate of Inspection (COI). We intend to establish a user fee, as
required by law, for those vessels required to comply with subchapter
M; however we have not included a proposed fee in this NPRM. Once we
have received comments on our proposal, and are closer to issuing a
final rule, we will propose a user fee through an appropriate analysis
of Coast Guard activities related to certification of towing vessels.
The Coast Guard will not inspect towing vessels or issue COIs to towing
vessels until user fees are established.
Currently, ``sea-going towing vessel'' is defined in 46 CFR part 2
as a ``* * * sea-going commercial vessel engaged in or intending to
engage in the service of pulling, pushing or hauling alongside * * *''.
However, only towing vessels over 300 gross tons operating beyond the
boundary line are currently subject to inspection, and consequently
these are the only towing vessels subject to user fees. Without a
change to the definition in part 2, smaller towing vessels operating
beyond the boundary line would also be subject to inspection and the
corresponding user fee, whereas smaller towing vessels not operating
beyond the boundary line would not be subject to the user fee.
In order to ensure that only those towing vessels that currently
pay a user fee will need to continue to do so, the Coast Guard is
proposing to revise the definition for ``sea-going towing vessel'' in
part 2, to clarify user fee applicability for certain seagoing towing
vessels. The Coast Guard proposes to revise the existing definition by
adding the words ``issued a certificate of inspection under the
provisions of subchapter I of this chapter'' to the end of the existing
definition.
[[Page 49986]]
J. Manning
The Coast Guard is proposing to amend the regulations contained in
46 CFR subchapter B to clarify the regulatory requirements for manning
of inspected towing vessels. Part 15 of subchapter B contains separate
subparts for inspected and uninspected vessels.
With this amendment, we are copying current requirements for
uninspected towing vessels, contained in subpart E (Manning
Requirements; Uninspected Vessels), into subpart D (Manning
Requirements; Inspected Vessels). This ensures that the current
qualification requirements for mariners serving aboard towing vessels
continue to apply.
Manning requirements for uninspected towing vessels must remain in
subpart E because certain towing vessels will remain uninspected
vessels for the near future.
K. Discussion of Comments
As stated above in section III.B. ``Regulatory History,'' on
December 30, 2004, the Coast Guard published a ``Notice; request for
comments, and notice of public meetings.'' (69 FR 78471). The notice
asked seven specific questions, which are replicated below, along with
a summary of the comments we received on each.
Most of the commenters were generally agreeable to creating new
regulations and a safety management system for towing vessels. While
some promoted either regulations or a safety management system, others
called for a balance between the two items. Several commenters
criticized the creation of new regulations and a safety management
system, stating that vessels are already subject to regulations and
citing the superior safety record of the towing industry as a whole.
The Coast Guard received a large number of comments from industry
representatives who are members of the American Waterways Operators
(AWO). Many AWO members' comments were similar to one another.
Additionally, comments were received from organizations that represent
environmental groups, mariners, passenger vessel organizations, former
Coast Guard members, government entities and officials, and other
sectors of the industry. Some of these comments supported AWO's
positions, while others completely disagreed. Overall, many commenters
said the towing industry was unique, and some discussed unique ways to
regulate the industry.
Question One: Towing vessels of a certain size (300 or more gross
tons) are already inspected vessels and are subject to a variety of
existing requirements. Should the Coast Guard use any of these existing
standards (or standards for other types of inspected vessels) for
incorporation into the new regulations regarding the inspection of
towing vessels? If so, which regulations or standards should be
incorporated into these new regulations?
A majority of the responses indicated the Coast Guard should not
use existing standards when developing the regulations for towing
vessel inspections. The commenters stated the towing industry is
``unique'' and fills a variety of functions from assistance towing to
towing certain dangerous cargos. Additionally, towing vessels work in a
variety of locations, such as inland waterways and coastal areas, and
come in a large assortment of shapes and sizes. Instead of the
traditional regulations, many of these commenters suggested using a
safety management system.
Commenters noted that safety management systems are flexible in
nature and allow the industry members to tailor programs to their
specific needs based on real-time operations, risk analysis, and
casualty statistics. They indicated that focusing on a safety
management system may allow deviation from ``prescriptive'' standards
and create a system that is ``reasonable, effective, and necessary * *
*''.
However, other commenters expressed openness to using existing
standards when creating the new regulations. Commenters who argued in
favor of using existing standards said there were some existing
standards that could easily be applied to the towing industry. A few of
these commenters stated that the House of Representatives Conference
Report to the CGMTA 2004 (``House Report'') mandated the use of
existing standards. We were unable to substantiate the claim that the
House Report on the CGMTA 2004 mandated the use of existing standards.
Furthermore, commenters declared that while a safety management system
is the best way to ensure that all segments of the industry are
covered, it is not intended to take the place of traditional
inspections and regulations.
Some of the existing regulations cited were those outlined in the
Gulf Coast Mariners' Association's Report R-276, Revision 8. This
report can be found in the docket for the request for comments [USCG-
2004-19977] as item 14; to access this report, use the procedures
listed in section I.B. ``Viewing comments and documents.'' Commenters
also listed several subchapters of Title 46 as potential sources for
the tow vessel regulations, including subchapters C, D, F, H, I, J, K,
L, and T.
The Coast Guard carefully considered input received in response to
Question One and has decided to both use existing standards/regulations
and to develop new towing vessel-specific standards and regulations.
For example, we adopted all of the existing fire-suppression
requirements from 46 CFR part 27 into part 142 of these proposed
regulations. Inclusion of these existing regulations is also supported
by TSAC. An example of a towing-specific standard is the creation of
the TSMS option and its use throughout these proposed regulations. This
requirement and the regulations pertaining to it, which can be found in
proposed part 138, were created exclusively for this rulemaking, based
on the comments the Coast Guard received from our Notice (and is also
supported by TSAC).
Question Two: Title 46, United States Code, specifies the items
covered with regard to inspected vessels including lifesaving,
firefighting, hull, propulsion equipment, machinery, and vessel
equipment. However, the legislation that added towing vessels to the
list of inspected vessels, authorized that the Coast Guard may
prescribe different standards for towing vessels than for other types
of inspected vessels. What, if any, different standards should be
considered with regard to inspected towing vessel requirements from
other inspected vessels?
Most responses treated Question Two as part of, or an extension of,
Question One. Some commenters answered the questions together; others
gave very similar answers to both questions. Where possible, we
separated the commenters' answers to best reflect their statements and
avoid repetition of the issues.
Beyond the subchapters mentioned in the previous question, some
commenters suggested the standards covering manning and the particular
subchapters applicable to the barges being towed were important. Some
commenters disagreed and stated since towing vessels do not actually
carry cargo (or passengers), they should not follow the standards
applicable to the barge. One commenter suggested a new ``classification
system'' should be created to cover the wide variety of towing vessels
in operation.
Title 33 CFR part 96 was cited as containing standards that could
be applicable to towing vessels. This part contains the standards for
safety management systems for other types of vessels and could be used
as a model for safety management systems for towing
[[Page 49987]]
vessels. Some specific sections cited were Sec. Sec. 96.100 through
96.250, and creating ``new Sec. Sec. 96.225, 96.235, 96.245, and
96.255.''
Many commenters called for new and unique regulations and a safety
management system. Several commenters said that a safety management
system should be based on risk and casualty data, rather than on
existing regulations. A couple of commenters cautioned not to rely
strictly on accident data because some accidents and ``near-misses''
may not be reported. The main concern expressed by many commenters was
that a safety management system should be easy to implement for both
large and small companies alike.
Other systems, such as the TSAC-Industry Working Group's ``straw
man,'' AWO's Responsible Carriers Program (RCP), American Bureau of
Shipping (ABS) standards, the oil companies' Ship Inspection Report
(SIR and SIRE) Programs, the Streamline Inspection Program, and the 8th
Coast Guard District boarding form were discussed as models for a
safety management system. The TSAC ``straw man'' document, available in
the docket for the request for comments [USCG-2004-19977] as item 32
(to access this document, use the procedures listed in section I.B.
``Viewing comments and documents.'') was cited most frequently, with
the AWO's RCP and International Safety Management (ISM) close behind. A
few commenters said several different systems could be combined to fill
in any gaps that may exist.
After carefully considering the comments received for Question Two,
the Coast Guard decided not to just rely on standards or regulations
found in other, existing vessel inspection subchapters. The Coast Guard
decided that the unique nature of the towing industry and towing
operations warranted the development of some new standards and
regulations that would pertain exclusively to towing vessels. In
addition to the TSMS cited in our discussion in Question One, the Coast
Guard also proposes other towing vessel-specific provisions including
expansion of the use of third-party organizations as part of the Coast
Guard's proposed TSMS-based towing vessel inspection for certification
regime. Third-party organization requirements are found in proposed
part 139. Expanding the use of third-party organizations would provide
greater flexibility to owners and managing operators of inspected
towing vessels that choose the TSMS option to schedule various vessel-
related activities and meet the Coast Guard's proposed requirements.
Question Three: Towing vessels vary widely in terms of size,
horsepower, areas of operation, and type of operation. Under what
circumstances, if any, should a towing vessel be exempt from the
requirements as an inspected vessel?
Some commenters believed exemptions should be given to vessels
under 26 feet (8 meters), assistance towing vessels, and towing vessels
used in fleeting and construction sites.
Several commenters suggested that some older vessels should be
exempt because they are difficult and expensive to retrofit in order to
comply with new regulations. Some of the specific categories of older
vessels mentioned for exemption were towing vessels less than 65 feet,
vessels with less than 759 horsepower, vessels less than 100 gross
tons, and those operating within sight of land. One commenter suggested
exemptions for towing vessels over 300 tons because they are already
subjected to regulation. Some commenters suggested exemptions for
towing vessels that tow or push passenger barges. Some of these
commenters said these towing vessels often received ``courtesy''
inspections when the barges they tow or push were inspected. Therefore,
it was unnecessary to subject passenger barge towing vessels to another
complete inspection.
A few commenters said there should be no exemptions. These
commenters said mariners and the environment would be better protected
if every towing vessel complied with the new regulations. Some
commenters said the regulations could be a minimum foundation for all
towing vessels, and a safety management system could cover the
specifics for unique segments of the industry.
Some commenters did not agree that fleeting towing vessels should
be exempt because they have a questionable safety history and must
maneuver in small spaces. Several commenters recommended exemptions for
``day shift'' vessels which only carry crewmembers during the day and
have no sleeping quarters.
A few commenters said there was no reason for any towing vessel to
be completely exempted from inspection regulations. However, they said
there was a possibility of making different regulations to cover
different types of towing vessels and making portions of the
regulations apply to some vessels but not to others. Another commenter
said that the 8-meter cut-off should not apply because ``this only
encourages one to use a boat too small for the job and penalizes
competition of one with a larger vessel that is using prudent
seamanship.''
Some commenters suggested that exemptions should be handled on a
case-by-case basis. These exemptions could be handled by the Captain of
the Port (COTP) directly, or the requests could go to Coast Guard
Headquarters, with decisions made by the Commandant.
Other commenters said exemptions could be made based on a towing
vessel's area of operation. Vessels operating in ``low risk'' areas
could have different regulations than those operating in ``high risk''
areas.
During the course of our interactions with TSAC, it was clear that
we could not categorically exempt a subset of the towing vessel
population for reasons of vessel size or service. However, the Coast
Guard determined that it should not propose regulations that would
establish uniform requirements for all towing vessels regardless of
size or service. We evaluated regulatory requirements and applied them
to particular types or service, based on risk. For example, we adopted
the existing requirement to provide an exception from certain fire-
suppression requirements for towing vessels engaged in certain services
such as harbor-assist towing or vessels operating in a limited
geographic area. These exceptions from certain fire-suppression
requirements are found in proposed part 142. Furthermore, while the
towing vessels identified in proposed Sec. 136.105 have been exempted
from this NPRM, the Coast Guard intends to propose regulations for
these vessels in a future rulemaking.
Question Four: Should existing towing vessels be given time to
implement requirements, be ``grandfathered'' altogether from them, or
should this practice vary from requirement to requirement?
The commenters indicated the regulations should not be implemented
immediately; however, the suggestions for the length of time for
compliance varied widely. A majority of commenters supported some level
of ``grandfathering,'' but for the most part, applied
``grandfathering'' only to equipment requirements.
Most commenters stated that implementation should begin between 180
days (6 months) and 1 year after publication of the final rule. A few
commenters suggested that the implementation should start ``without
delay,'' while others proposed a sliding scale or a flexible schedule,
depending on the requirements. One commenter said that the Coast Guard
should have
[[Page 49988]]
the responsibility of deciding the implementation period. Some
commenters said that there should be adequate time for mariners to
participate in both the rulemaking and the implementation. One
commenter focused on the safety management system, saying that safety
management systems should have a 1-year phase-in period. According to
AWO members, 6 months to 1 year would be sufficient time to implement
the RCP and train new people on using an already established safety
management system.
``Grandfathering'' was a highly important issue in many of the
comments. Some commenters said ``grandfathering'' should only be for
vessels that would be too difficult and too expensive to modify. One
commenter said ``grandfathering'' can ``be employed to ensure that
operators of existing towing vessels can phase-in new requirements in a
cost-effective manner. Some requirements should be permanently
grandfathered where the requirement necessitates major reconstruction.
* * *''
Other commenters said it was not clear that the House Conference
Report to the CGMTA 2004 allowed ``grandfathering'' of any kind. Some
commenters suggested offering waivers for those vessels unable to
comply with new structural requirements. It was suggested that such
waivers and limitations could be reflected on the COI.
Most commenters stated there should be no ``grandfathering'' from
the implementation date of a flexible safety management system. Other
commenters said that with a flexible safety management system, there
may be a need for some minor ``grandfathering,'' but it should
predominately be avoided. One commenter said that allowing extensive
``grandfathering'' would have ``the unintended consequence of
potentially stifling new construction.''
Some commenters suggested that all existing towing vessels be
``grandfathered'' into the new regulations. Other commenters limited
this to towing vessels already operating under a safety management
system. Other commenters said that vessels already operating under ISM
are class inspected; therefore, adding another Coast Guard inspection
would be redundant. One commenter suggested a complete phase-out of
existing towing vessels so that only new towing vessels would be
following the new regulations.
We have determined that the complete ``grandfathering'' of existing
towing vessels, as that term is commonly understood, is not appropriate
under the mandate provided in the CGMTA 2004 because grandfathering all
existing towing vessels from all aspects of these proposed regulations
would not improve safety within the towing industry and could have the
undesired effect of influencing towing vessel owners to retain
existing, unsafe vessels instead of building or purchasing new vessels.
With regard to the question of giving vessels additional time to comply
with certain provisions of these proposed regulations, we carefully
considered the comments received and are proposing to give towing
vessels that would need to comply with subchapter M additional time to
comply with certain proposed requirements. For example, specific
requirements that were deferred for existing towing vessels are
included in Part 143, Subparts C and D. We feel that the additional
time to comply with these requirements will not only provide more time
for vessel owners and operators to complete the necessary work, but it
will also allow for a longer period to budget expenses necessary to
complete the required work.
Question Five: Should existing towing vessels be treated
differently from towing vessels yet to be built?
Several commenters addressed Question Five much like Question Four.
Some respondents chose not to answer Question Five, stating that
Question Four covered what they wished to express. Others gave a
``yes'' or ``no'' answer and referred to their comments in Question
Four. One commenter stated ``[a]ll new construction should meet an
established set of inspection standards. * * *'' Another commenter said
that other inspection regimes have ``grandfathering'' so the same
should apply to towing vessels. Furthermore, this same commenter stated
that the Coast Guard can add new requirements for existing towing
vessels.
We received several comments concerning mariner safety on both new
and existing towing vessels. One commenter said that treatment should
differ according to the vessel's age because old vessels are generally
not as safe as new ones. The commenter said existing towing vessels
would be too difficult and expensive to retrofit to meet the new
standards. Other commenters said it made sense to treat new and
existing towing vessels differently because the existing towing vessels
were built to meet certain needs and regulations in force at the time
of build. However, these vessels may not comply with new regulations.
Many commenters said that both new and existing towing vessels
should be able to follow a safety management system. These commenters
favored incremental and flexible change that would allow them to
continue operating their towing vessels as they exist, while making
them safer. Other commenters referenced the House Conference Report to
the CGMTA 2004, saying that there was no indication that there should
be different treatment between new and existing towing vessels. These
commenters said making such a distinction would imply a ``traditional
inspection regime'' rather than a safety management system. Another
commenter stated different treatment would only be acceptable if
existing towing vessels showed and demonstrated an intent to meet the
new regulations.
One commenter said that a safety management system should be
implemented for newly constructed vessels as soon as possible, while
existing towing vessels should have phase-ins for required physical
changes, corrections, and upgrades. Another commenter stated that
existing towing vessels should either become compliant within a certain
amount of time or be completely phased-out. Furthermore, this commenter
said new and existing towing vessels that are not phased-out should
implement a TSMS within 6 months of the final regulations. Similarly
with Question Four, some commenters suggested exceptions with respect
to design, construction, technology, and equipment standards.
A commenter from a governmental agency said the new regulations
should be risk-based rather than whether the towing vessel is new or
existing. Additionally, the commenter said the type of vessel and area
of operation, as well as the condition of the vessel, should determine
safety standards. Finally, the commenter stated that the operational
risk assessment will determine how quickly to implement the new
regulations.
After carefully considering the comments concerning the treatment
of existing towing vessels and towing vessels yet to be built, the
Coast Guard is proposing additional requirements for inspected towing
vessels yet to be built that will not apply to existing towing vessels.
This concept is particularly exemplified in both proposed Parts 143 and
144 where requirements for existing towing vessels are dealt with in
one subpart and requirements for new vessels are dealt with in a
separate subpart. The Coast Guard recognizes that existing towing
vessels have been in service for extended periods of time, in some
cases decades, which indicates that some systems or components
adequately withstood the test of time.
[[Page 49989]]
The proposed inspection regimes, which include the use of a TSMS and
third-party compliance surveys or a Coast Guard inspection regime, will
ensure that these systems remain safe. At the same time, the Coast
Guard recognizes that inspected towing vessels yet to be built need to
incorporate advances in good marine practice in their design and
construction to improve safety of the towing industry.
Question Six: The same act that requires inspection of towing
vessels authorizes the Coast Guard to develop a safety management
system appropriate for the towing vessels. If such a system is
developed, should its use be required for all inspected towing vessels?
Several commenters answered this question, ``Yes'' with no further
qualifications. Most commenters supported developing a safety
management system, though some suggested exemptions for the types of
vessels mentioned in comments to Question Three. Commenters recommended
a safety management system because it is flexible and fits both large
and small companies, as well as differing geographic areas and types of
operation. Additionally, commenters noted that a safety management
system provides an alternative from traditional inspection regimes
because ``previous inspection modality * * * would not be appropriate
for our industry or be supported by data in a preferred risk-based
system.''
A few commenters did not fully endorse a safety management system
program. One said a safety management system could ``kill many small
towing vessel companies.'' Furthermore, the commenter stated that a
safety management system should be voluntary, but being voluntary could
be harmful to mariners. To prevent such harms, a ``small business
outreach'' program, in conjunction with a safety management system
program, should be developed.
Another commenter opposed safety management systems since companies
wishing to participate in a safety management system could follow 33
CFR part 96 ``Rules for the Safe Operation of Vessels and Safety
Management Systems.'' Other commenters suggested using already
established programs when creating a safety management system rather
than developing a new program. Some commenters expressed concern that
safety management systems were too flexible; giving companies a way
around making their vessels safer. One commenter said regulations,
rather than a safety management system, are the best way to move
forward. Several commenters favored no new action because towing
vessels ``have been running efficiently for more than a century and
there are no problems that need to be addressed.''
Another commenter argued against requiring safety management
systems because of the possible increase in paperwork. Several
commenters expressed a concern about additional paperwork because there
are not enough man-hours for responsible crewmembers to complete it.
One commenter suggested records should be kept by a designated company
officer, and those records should remain in the company's land-based
office.
Several commenters said a safety management system will be helpful,
but it would still leave gaps requiring regulatory solutions. One of
these commenters said ``suitable regulations'' should be developed
first to govern the industry. A few commenters referred to the CGMTA
2004 and the House Conference Report to the CGMTA 2004, stating that a
safety management system should not be a substitute for an inspection
regime, but rather a supplemental way to ensure towing vessels are
compliant with their Certificate of Inspection.
For the reasons discussed earlier in Section IV.C., including
Congressional authorization for a safety management system, a statutory
directive to issue an NPRM based on that authority, and recommendations
by TSAC and the NTSB, the Coast Guard proposes an inspection option
that utilizes a TSMS but also provides for a traditional, annual
inspection regime. Requirements for the TSMS are found in proposed part
138.
Question Seven: Examples of existing safety management systems
include the International Safety Management (ISM) code and the American
Waterways Operators Responsible Carrier Program. If a safety management
system is used, what elements should be included in such a system?
Most of the elements discussed in the comments came from the TSAC-
Industry Working Group's ``straw man'' document. Many commenters stated
the ``straw man'' provided a model safety management system. However,
several commenters suggested the following new elements:
1. Incident, Accident, and Non-Conformity Reporting;
2. Investigation and Corrective Action Policies and Procedures,
including Documentation;
3. Vessel and Equipment Maintenance, and Use Policies and
Procedures;
4. Manning, Watchstanding, and Training;
5. Person Overboard Recovery Equipment;
6. Designated Person, Master's Responsibility, and Authority; and
7. External Audit and Certification.
Several commenters strongly stated it is not enough to implement
equipment requirements, but new regulations must be developed to ensure
equipment is in ``operating condition.'' Other commenters gave
extensive lists of equipment and manning procedures to be included in
the regulations and a safety management system. Another commenter
suggested ``True vessel horsepower must be determined and a horsepower
to tonnage barge ratio developed.'' One commenter suggested that the
lifesaving equipment aboard towing vessels should be similar to the
equipment on Coast Guard vessels.
In addition to, and in some cases in place of, using the
``strawman,'' several commenters suggested using current safety
management systems as models for creating a new safety management
system. These models include the RCP, the ISM Code, Title 33 CFR part
96, Title 46 CFR, the SIRE, the SIP, and the ``Accredited for
Commercial Assistance and Professional Towing'' (ACAPT) program for
assistance towing vessels if they are included in this rulemaking. Some
commenters said regardless of the model proposed, the Coast Guard
should develop guidelines to ensure consistent enforcement by all
Captains of the Port (COTPs). Other commenters said towing vessel
companies should choose one model. A few commenters suggested allowing
entities to apply to the Coast Guard for approval of their specific
safety management systems.
One commenter said accident data should be used to determine the
areas where regulations are needed the most. Such data and risk
assessment would show which elements are needed in a safety management
system.
The Coast Guard carefully considered the comments received
pertaining to the nature and content of a safety management system that
might be included in these proposed regulations. The Coast Guard is
proposing to require that all inspected towing vessels use a TSMS and
the requirements are found in proposed part 138, or equivalent, or be
subject to an annual, Coast Guard inspection regime. As discussed
above, Congress provided the Coast Guard with authority to establish a
safety management system appropriate for towing vessels and has
directed that we issue an NPRM based on that authority. Compliance with
a company implemented Safety Management
[[Page 49990]]
System is the cornerstone of the Towing Safety Advisory Committee's
recommendation, and the National Transportation Safety Board has
recommended the establishment of a safety management system for towing
vessels. Additional discussion on safety management systems may be
found in Section IV.C. Requirements for the TSMS are found in proposed
part 138.
Additional Comments
We received many comments that covered topics not addressed in the
seven questions noted above. One of the subjects covered most was the
issue of manning. Several comments from mariners and mariner
associations noted manning issues. Some commenters stressed the need to
protect the safety of mariners aboard towing vessels. These commenters
opined that manning issues had been neglected and this new regulation
afforded a chance to fix long-standing problems.
The commenters identified the duty of the deck officer and keeping
an appropriate watch as major issues. Some commenters stated there were
not enough crewmembers aboard towing vessels to fulfill all the duties
in the time available. One commenter said manning, watchstanding, and
crew meetings should be required, but there should not be additional
``meetings, drills, maintenance or duties placed on the overburdened
system without safe and comprehensive manning requirements.'' One
commenter suggested that the proper amount of manning should be
determined by the usage of the vessel.
Other commenters were concerned with work hours. Several commenters
said captains often complete a 12-hour shift on one vessel, then
immediately work another 12-hour shift on different vessel. This
practice provides them with very little sleep. The commenters suggested
a mandatory rest period for all captains. Another commenter said
administrative duties performed by captains and mates should count as
work hours because this time may be under-reported.
Some commenters said a labor shortage for inland towing vessels
caused work hour problems. These commenters suggested the labor
shortage was a result of harsh working conditions with few benefits.
One commenter said ``blue water'' operations (i.e., tow vessels
operating in an ocean environment) do not have the same labor shortage
because the vessels are considered safer to work on. The commenter
added that inland towing vessels should have equal standards to these
``blue water'' vessels.
A few commenters said that manning should be equivalent to other
types of inspected vessels of similar size and horsepower. Some
commenters expressed concern that company managers order captains to
take a vessel out, regardless of safety concerns. These commenters said
the captain and pilot should have final say on whether a vessel is safe
to get underway without repercussions from management.
Some commenters discussed enforcement of manning regulations and
licensing of merchant mariners. One commenter said it is unclear how
the Coast Guard intends to enforce manning regulations and safety
management systems. The commenter said the manning proposal
``criteria'' is vague with no indication of how the criteria will be
enforced. Another commenter said there are currently regulations that
allow vessels to get underway without the appropriate number of
licensed mariners, if it is deemed safe by the master. The commenter
believed the Coast Guard should not allow this exception for towing
vessels. Another commenter said there was no indication that merchant
mariner documents will be included in this rulemaking, and that the
Coast Guard should take action on this issue.
As noted above in Section IV.J. ``Manning,'' we are not proposing
to change any of the current manning levels required for towing
vessels. However, portions of the TSMS covering operations should
address many of the concerns raised by these commenters.
In addition to manning, auditing and inspections were topics
mentioned frequently by commenters. Some commenters said inspections
and safety management system approvals should be done by third-party
auditors. Other commenters suggested a combination of third-party
auditors and Coast Guard auditors. Yet other commenters said only the
Coast Guard should handle inspections and safety management system
approvals. One commenter said ``Any safety auditor * * * should be
required to meet the highest industry certification to ensure that they
are competent to conduct these safety audits.'' Another commenter
agreed saying audit companies should be held accountable; as such a
system would reduce the inspection burden on the Coast Guard. A
commenter stated third-party auditors must not be associated with the
companies they are auditing, and should be monitored closely by the
Coast Guard. One commenter stated it was important for companies to
submit their individual safety management system plans for approval and
allow audits by third parties to insure compliance with the plans. The
Coast Guard took these comments into consideration while developing the
proposed regulations covering the use and approval of third parties.
The Coast Guard is proposing that all inspected towing vessels be
operated in accordance with a company-implemented safety management
system or be subject to an annual, Coast Guard inspection regime. This
rulemaking also proposes contents and procedures relative to safety
management systems, and proposes standards and procedures for approval
of third parties and the roles and responsibilities of third parties.
Additional discussion of safety management systems is provided in
section IV.C above; discussion of third-party organizations is provided
in section IV.D above. Many commenters discussed the frequency of
audits and inspections. These varied from every year to every 3 years
to every 5 years. One commenter said the initial inspection date should
be based on the anniversary of existing towing vessels, divisible by 5
years. Furthermore, the commenter said every new vessel should be
inspected prior to placement in service. Another commenter suggested
companies with better safety histories could be inspected less often
than those with poor histories.
Some commenters addressed drydocking specifically, saying towing
vessels rarely go more than 1 year between drydockings, and the Coast
Guard should not need to be present at every instance, although there
was some allowance for the Coast Guard to be present at initial
drydockings. The Coast Guard took these comments into consideration
while developing the proposed regulations covering inspection, audits,
and surveys.
Several commenters expressed concern about the level of
sophistication of mariners in trying to comply with the new
regulations. The commenters suggested creating new regulations that are
easy to follow. Other commenters said the regulations should be easy to
read for operators and marine surveyors. One of the commenters said the
written regulations should be placed onboard towing vessels so that
mariners have access to them. Furthermore, the mariners should also
have access to ``boarding check sheets for equipment.'' A few
commenters suggested offering testing on the new regulations for
licensing to ensure mariners understand the changes. Another commenter
said the OCMI should assist mariners with questions and comments.
Many commenters requested one location for the new regulation so
they
[[Page 49991]]
are easy to find and follow. One commenter said we should reduce
overlapping regulations and clarify ``confusing and incomprehensible
tables.'' Another commenter suggested individual updates to 46 CFR
subchapters A, E, F, and J, and use of subchapters C, I, S, and W
instead of one central location. The commenter also suggested making a
new subchapter ``X'' for applicable cross-references to applicable
requirements in other subchapters. The Coast Guard considered these
comments and developed straightforward, easily understandable
regulations, mostly contained in the newly proposed subchapter M.
Other commenters strongly requested the Coast Guard work in a close
partnership with TSAC. At several of the public meetings, many of the
participants invited the Coast Guard to contact them for further
information. Other commenters suggested the Coast Guard should keep
mariners involved with the rulemaking. A few commenters discussed
placing restrictions on the Certificate of Inspection for vessels
towing dangerous cargo barges, or those unable to meet the new
regulations. As already noted, the Coast Guard worked extensively with
TSAC while developing this NPRM, which included input from nearly 200
individuals.
One commenter discussed penalties for non-compliance, saying
companies should be held accountable for not following their safety
management systems. Another commenter said the Coast Guard should have
the authority to enforce any recommendations that come out of accident
reports. A third commenter said, ``the safety regulations for our
industry have to target corrective actions that will improve and
address human factors * * * like voyage planning, situational
awareness, [and] crew endurance.'' One commenter said mariners should
have access to the Marine Safety Office (now Sectors) to report
hazards, and have an inspector address every complaint. Again, these
comments were considered in the development of this NPRM. We invite the
public to suggest additional topics or changes to the proposed
regulation in their comments on the NPRM, as noted in section I.
``Public Participation and Request for Comments.''
L. Hours of Service and Crew Endurance Management Programs
As we stated in our discussion of statutory authority, in Section
III.A of this preamble, 46 U.S.C. 8904(c) authorizes the Secretary to
establish maximum hours of service regulations for individuals engaged
on a towing vessel that is at least 26 feet in length. The legislative
history for 46 U.S.C. 8904(c) makes clear that this provision gives the
Coast Guard authority to establish ``scientifically based hours-of-
service regulations that set limits on hours of service, provide
predictable work and rest schedules, and consider circadian rhythms and
human sleep and rest requirements'' as recommended by the National
Transportation Safety Board in 1999, Recommendation M-99-1. See H.R.
Conf. Rep. 108-617, 2004 U.S.C.C.A.N. 936, 951.
The Coast Guard is considering establishing hours of service
standards and requirements for managing crew endurance, the ability for
a crewmember to maintain performance within safety limits while
enduring job-related physiological and psychological challenges. The
Coast Guard is seeking additional public comment on possible hours of
service and crew endurance management program standards and
requirements at this time. After considering this additional
information, the Coast Guard would later request public comment on
specific hours of service or crew endurance management regulatory text
if it seeks to implement such requirements.
Specifically, the Coast Guard, in this section IV.L., discusses its
views on potential hours of service and crew endurance management
program standards and requirements, and seeks addition data and other
information related to these provisions. In particular, the Coast Guard
seeks additional data and information specifically related to hours of
service and performance of work on towing vessels. Although the Coast
Guard welcomes all public comments related to these potential
requirements, the Coast Guard specifically invites comments on the
research discussed below, and responses to the following questions:
What would be the best way to manage work and rest
schedules to ensure sufficient time off for mariners' on towing
vessels?
How many hours of uninterrupted sleep per day do mariners
on towing vessels require?
What would be the best method to ensure that sufficient
qualified personnel are available for 12 hours of work per day on a
towing vessel?
What do you view as the potential economic consequences
resulting from a mandate that mariners on towing vessels obtain a
required number of hours of uninterrupted sleep, such as 7-8 hours, for
your vessel or organization?
What would be the benefits to implementing a mandate that
mariners on towing vessels obtain a required number of hours of
uninterrupted sleep, such as 7-8 hours, for your vessel or
organization? Would such a mandate be effective in reducing vessel
casualties and other accidents?
Despite medical and scientific evidence, discussed below,
that most people need at least 7 hours of uninterrupted sleep to
restore their cognitive abilities necessary to maintain situational
awareness, it is common for watch and rest schedules on towing vessels
to fail to permit this minimum amount of uninterrupted sleep. Why have
market forces not caused the towing vessel industry to adopt work
schedules that permit the minimum amount of uninterrupted sleep
necessary for most persons to maintain situational awareness?
Would a mandate that mariners on towing vessels obtain a
required number of hours of uninterrupted sleep, such as 7-8 hours,
require a change in watch schedules? If so, what watch schedules would
a towing vessel use?
Would a mandate that mariners on towing vessels obtain a
required number of hours of uninterrupted sleep, such as 7-8 hours,
require more than changes in watch schedules?
If your vessel has already changed from a schedule that
allows a certain number of hours of uninterrupted sleep, for example 7-
8 hours, to a square watch schedule (alternating 6 hours on watch, 6
hours off, 6 hours on watch, 6 hours off, every 24 hours), what factors
led to the switch? What factors prevent a towing vessel from having a
watch schedule that allows for a certain number of hours of
uninterrupted sleep?
What are the differences in operating costs and workplace
injuries based on watch schedules that require a certain number of
hours of uninterrupted sleep?
Would implementing a requirement to provide sufficient
time off for mariners on towing vessels to obtain a certain number of
hours of uninterrupted sleep, such as 7-8 hours, reduce the rate of
injuries and accidents? If you know of relevant injury/accident data to
support your comments, we request that you identify or provide that
information.
If your company or vessel operates with a crew endurance
management program, have you seen a reduction in workplace injuries?
Can you provide data to support implementation of the crew endurance
management program?
If your company or vessel operates with a crew endurance
management program, what measures have you undertaken to develop and
implement a crew endurance management program? Did you make
modifications to lighting,
[[Page 49992]]
noise and vibration? If so, what type of modification? How many crew
endurance management program coaches does a vessel have? How many
coaches are trained each year? Do you require training for other crew
on your crew endurance management program system? How often?
Would a crew endurance management program requirement
alone, without a specific requirement that mariners on towing vessels
obtain a required number of hours of uninterrupted sleep, such as 7-8
hours, be effective in combating fatigue?
Would a crew endurance management program requirement
alone, without a specific requirement that mariners on towing vessels
obtain a required number of hours of uninterrupted sleep, such as 7-8
hours, reduce casualties and injuries?
What existing crew endurance management programs could the
Coast Guard consider equivalent to the Coast Guard's Crew Endurance
Management System?
Would a mandate to change the watch schedule or to
implement and maintain a crew endurance management program impose
economic burdens upon small businesses? If so, would these burdens be
significant?
What is the appropriate phase-in period or method for
implementing hours of service and crew endurance management program
standards or requirements?
The Coast Guard offers the following research and additional
information regarding hours of service standards and requirements for
managing crew endurance, the ability for a crewmember to maintain
performance within safety limits while enduring job-related
physiological and psychological challenges in order to inform public
comment related to these issues:
The Coast Guard recognizes that the issue of operator fatigue is
not new, nor is it an issue confined solely to the maritime industry.
In 1989, the National Transportation Safety Board (NTSB) first
addressed the issue of operator fatigue in three recommendations
presented to the Secretary of Transportation and called for research,
education, and revisions to existing regulations. In 1990, NTSB added
these recommendations to its Most Wanted List. In 1999, NTSB sponsored
a safety study that determined that operator fatigue remained
widespread throughout the transportation industry. In 2006, NTSB
reaffirmed their recommendation to the regulatory bodies for the
Aviation, Marine, and Pipeline Industries to establish scientifically
based hours of service regulations that set limits on hours of service,
provide predictable work and rest schedules, and consider human sleep
and rest requirements. As part of this recommendation, NTSB stated that
``operating a vehicle without the operator's having adequate rest, in
any mode of transportation, presents an unnecessary risk to the
traveling public.'' These NTSB studies, recommendations, and other
documents may be found at URL: http://www.ntsb.gov.
Sleep Loss and Its Consequences
In most work environments, many pressures and stressors impact
workers' quality of life and performance. One important yet
underestimated stressor is daily restriction of sleep (See National
Sleep Foundation, ``Sleep in America'' poll. URL: http://www.sleepfoundation.org (2007)).
In many jobs, daily sleep restriction is unavoidable. Some
professions such as health care, security, and transportation require
working at night and, often, long work hours of 12 hours or more per
day. In these fields, the effect of daily sleep loss on performance is
crucial to safety. Often, in response to the daily workplace stressors,
workers tend to stretch their capacity and compromise their nightly
sleep, thus becoming chronically sleep deprived.
While the need for sleep varies considerably between individuals,
studies show that for adults an average length of sleep between 7 and 8
\1/2\ hours per night provides physiological and cognitive resources to
support normal health and performance. Physiologically, at least two
processes regulate sleep, one homeostatic and the other cyclic (also
known as circadian) with a period of about 24 hours per day. The
homeostatic process regulates energy availability and depends on the
daily duration of sleep and of wakefulness; the need to sleep increases
as wakefulness continues uninterrupted. The circadian process, also
referred to as the body clock, regulates the time of the day when sleep
is scheduled and also impacts the restoration and availability of
cellular energy. In brief, the body clock abhors uncertainty; it
prefers stable, daily sleep beginning at the same time(s). (See Paula
Alhola & Paivi Polo-Kantola, ``Sleep Deprivation: Impact on Cognitive
Performance.'' Neuropsychiatric Diseases and Treatment, 553-567, Vol. 5
(2007).) These studies show that both of these processes work well with
daily sleep periods lasting at least 7 uninterrupted hours, where that
sleep occurs at consistent times from day to day. Additionally,
significant disruptions of the timing of daily sleep onset, or
restriction of the duration of sleep below 7 uninterrupted hours per
day, result in significant impacts on human physiology, health, and
performance.
While there are many unanswered questions regarding the functions
of sleep and the effects of sleep loss, there is no question that sleep
is critical for body restitution, like energy conservation,
thermoregulation, and tissue recovery. In addition, a now well
documented body of research demonstrates that sleep is essential for
cognitive performance, especially memory consolidation. Daily sleep
loss, instead, activates the sympathetic nervous system, causing
release of adrenalin and cortisol, resulting in stress and impairments
of the immune system and metabolism. Daily sleep loss is now linked
with cellular insulin resistance, thus predisposing people who
experience sleep restriction to abnormal glucose metabolism and
diminished energy production. People who experience daily sleep loss
usually suffer a decline in cognitive performance and changes in mood.
Performance Standards and Protection of Situational Awareness
Based on the Coast Guard's current research, the Coast Guard is
considering requirements that would permit crewmembers on towing
vessels: (a) Sufficient time off to obtain at least 8 uninterrupted
hours of sleep or at least 7 hours of uninterrupted sleep and an
additional sleep period in every 24 hour period; and (b) the means to
prevent the disruption of circadian rhythms. Such standards would
promote the daily restoration of crewmember cognitive and physiological
resources and the protection of crewmember situational awareness and
decision-making abilities.
Situational awareness refers to the capability to maintain a
constant vigil over important information, understand the relationship
among the various pieces of information monitored, and project this
understanding into the near future to make critical decisions. The term
``situational awareness'' is a form of mental bookkeeping (David D.
Woods, Leila J. Johannesen, Richard I. Cook & Nadine B. Sarter, Behind
Human Error: Cognitive Systems, Computers, and Hindsight (1994)).
Crewmembers aboard towing vessels, whether working on the
navigation watch, on deck, in engineering, or in the galley, must
constantly maintain situational awareness to ensure safe operations.
Situational awareness is essential to make informed decisions, act in a
timely manner, and ultimately
[[Page 49993]]
ensure operational safety, whether at sea or transiting through inland
waterways, harbors, or coastal environments. Maintaining 24-hour vessel
operations while successfully meeting navigational challenges such as
inclement weather, vessel traffic, bridges, locks, and recreational
vessels, requires all of the cognitive processes supporting situational
awareness to be functioning in good working order.
Maintaining and updating situational awareness and making timely
and accurate decisions in operational environments, such as the
wheelhouse of a towing vessel, engineering, and on deck, necessitates a
wide range of cognitive skills. In particular, a mariner must be able
to:
Appreciate a difficult and rapidly changing situation;
Assess risk;
Anticipate the range of consequences;
Keep track of events;
Update the big picture;
Be innovative;
Develop, maintain and revise plans;
Remember when events occurred;
Control mood and behavior;
Show insights into one's own performance;
Communicate effectively; and
Avoid irrelevant distractions.
In addition to these skills, situational awareness and decision
making also require cognitive abilities for rule-based skills of
logical, critical, and deductive reasoning. A substantial body of
research demonstrates that loss of sleep significantly degrades the
cognitive skills (those 12 bulleted items listed above) necessary to
establish and maintain situational awareness. (See Yvonne Harrison &
James A. Horne, ``The Impact of Sleep Deprivation on Decision Making: A
Review,'' Journal of Experimental Psychology: Applied, 236-249, Vol. 6
No. 3 (2000).
The prefrontal region of the brain facilitates the use of cognitive
skills necessary for situational awareness. This region of the brain
may shut down as it experiences daily sleep loss. (See Id.; Paula
Alhola & Paivi Polo-Kantola, ``Sleep Deprivation: Impact on Cognitive
Performance.'' Neuropsychiatric Diseases and Treatment, 553-567, Vol. 5
(2007).)
Effects of Sleep Loss on Situational Awareness: Distractions,
Assimilation, and Judgment
Appreciation of a complex situation while avoiding distraction
requires assimilation of large amounts of information in a short period
of time. Loss of sleep increases visual and auditory distractions that
decrease focused attention and, therefore, interferes with the
assimilation of rapidly changing information. Daily loss of sleep
results in less discrimination handling ambiguous material, less
confidence, more openness to leading information, and more willingness
to modify recollections of events. These effects also interfere with
the correct assimilation of changing information. Even a single night
of sleep loss can result in less appreciation of a complex situation.
When subjected to sleep loss, study participants consistently applied
more effort to pointless areas of their decision-making, which had
little or no effective outcome in the task at hand. (See Yvonne
Harrison & James A. Horne, ``The Impact of Sleep Deprivation on
Decision Making: A Review.'' Journal of Experimental Psychology:
Applied, 236-249, Vol. 6 No. 3 (2000).
Effects of Sleep Loss on the Ability To Track Events and To Develop and
Update Strategies
One night of sleep loss leads to deterioration of planning skills,
marked perseveration, and failure to revise original strategies in
light of new information. Additionally, people who experience partial
sleep loss are more likely to ``stay the course'' as opposed to
changing strategies, even when it is apparent that the strategies are
no longer appropriate. (See Id.).
Studies of accidents in maritime operations support the notion that
loss of situational awareness plays a significant role in incidents
attributed to human error. In a report published in 2005, discussed
above in section III.D. of this preamble, TSAC reported that human
factors accounted for 54 percent of the medium and high severity
incidents and about 40 percent of the low severity incidents. Failures
in situational awareness or task performance accounted for 69 percent
of the medium and high severity incidents involving human factors. In a
separate report in 2003, the Coast Guard--American Waterways Operators
(AWO) Bridge Allision Working Group examined 459 bridge allisions (an
allision is contact between a moving towing vessel and a stationary
object such as bridge, dock, or moored vessel) and reported 78 percent
were associated with pilot error and 12 percent with other operational
errors. These reports may be found in the docket for this rulemaking,
where listed above in section I.B. ``Viewing comments and documents.''
Of even greater importance to the association of human error with loss
of situational awareness was the finding that 68 percent of 435 cases
showed critical decision-making errors on the part of the towing vessel
operator.
These findings support the NTSB findings and recommendations that,
in dynamically evolving operational scenarios, a loss of situational
awareness leads to inadequate decision making and performance errors.
On towing vessels, a typical work schedule alternates between 6 hours
of work and 6 hours of rest, otherwise known as ``6 on/6 off.'' This
schedule consistently restricts daily uninterrupted sleep below 6 hours
(total uninterrupted sleep obtained in a 6 on/6 off watch schedule
cannot exceed 6 hours) and does not deliberately ensure nighttime
physiological adjustment (body clock adjusted for nighttime work and
daytime sleep) when crewmembers work at night. As a result, when
reviewing accidents involving human error, it is not possible to
determine whether the degradation in situation awareness was from
increasing sleep debt or from working against the physiological need to
sleep. (See Yvonne Harrison and James A. Horne, ``The Impact of Sleep
Deprivation on Decision Making: A Review.'' Journal of Experimental
Psychology: Applied, 236-249, Vol. 6 No. 3 (2000); Paula Alhola and
Paivi Polo-Kantola, ``Sleep Deprivation: Impact on Cognitive
Performance.'' Neuropsychiatric Diseases and Treatment, 553-567, Vol. 5
(2007).)
Work Hours in the Towing Industry
Licensed crewmembers in the towing industry work approximately 84
working hours in a 7-day work week. See Department of Labor Bureau of
Labor Statistics' Occupational Outlook Handbook, 2010-11, Water
Transportation Occupations (http://www.bls.gov/oco/pdf/ocos247.pdf), p.
2. In most segments of the towing industry, towing companies must
sustain 24-hour operations to provide customers with adequate
transportation services and to compete with other carriers. Currently,
a number of requirements governing hours of service for the shipping
industry can be found in Title 46 of the U.S. Code. The law states that
a towing vessel on a trip or voyage of less than 600 miles may divide
its licensed officers and certain crewmembers, while at sea, into at
least 2 watches (46 U.S.C. 8104(g)). The law further requires that
licensed individuals on towing vessels that are at least 26 feet in
length may not work more than 12 hours in a consecutive 24-hour period,
except in an emergency (46 U.S.C. 8104(h)). Additionally, licensed
individuals or crewmembers in the deck or engine departments, operating
on the
[[Page 49994]]
Great Lakes, may not work more than 8 hours in one day or more than 15
hours in any 24-hour period, or 36 hours in any 72-hour period (46
U.S.C. 8104(c)).
As previously stated, the typical work schedule for towing vessels
alternates between 6 hours of work and 6 hours of rest. This work/rest
schedule is repeated every day, when possible, without changing
reporting times. While the 6 on/6 off schedule provides consistent
periods of work and rest from day to day, under the conditions of a 6
on/6 off schedule, sleep is restricted and sleep debt accumulates day
after day, which gradually increases fatigue levels. (See Mikko
Ha[uml]rma[uml], Markku Partinen, Risto Repo, Matti Sorsa, and Pertti
Siivonen, ``EFFECTS OF 6/6 AND 4/8 WATCH SYSTEMS ON SLEEPINESS AMONG
BRIDGE OFFICERS.'' Chronobiology International, 25(2&3): 413-423,
(2008)). Ultimately, under the 6 on/6 off schedule, fatigue is
inevitable.
Physiological adaptation to nighttime work schedules is required to
prevent crewmember fatigue. During nighttime watch periods, crewmembers
experience the disparity between the need to sleep during the night and
the requirement to work when they would normally be sleeping. (See
Margareta L[uuml]tzh[ouml]ft, Anna Dahlgren, Albert Kircher, Birgitta
Thorslund, and Mats Gillberg, ``Fatigue at Sea in Swedish Shipping--A
Field Study.'' AMERICAN JOURNAL OF INDUSTRIAL MEDICINE 53:733-740
(2010). Adapting to nighttime work and daytime sleep requires specific
natural and artificial light exposure regimens prior, during, and after
the night watch to re-adjust physiological timing.
A recent study conducted at the Karolinska Institute in Sweden
demonstrated that maritime officers working the 6 on/6 off schedule,
without the opportunity to adjust their internal physiology to
nighttime work and daytime sleep, consistently obtained less than 4.5
hours of sleep during a 6-hour period off, even when sleeping during
the night (see Figure 1, below) (Claire A. Eriksen, Mats Gillberg &
Peter Vestergren, ``Sleepiness and Sleep in a Simulated `Six Hours on/
Six Hours off' Sea Watch System.'' 23 Chronobiology International: The
Journal of Biological and Medical Rhythm Research 1193-1202, (2006)).
Officers sleeping during the night were not able to sleep longer than 5
hours per night, while officers sleeping during daytime hours slept
less than 4 hours per sleep period. These data demonstrate that even
when officers slept in comfortable bedrooms on shore, as was the case
in this study, lack of physiological adaptation to the night work
schedule resulted in further restrictions of sleep duration during
daytime hours. Participants in this study share with crewmembers aboard
domestic towing vessels both the 6 on/6 off watch schedule and the lack
of opportunity to physiologically adapt to working nights and sleeping
during the day.
[GRAPHIC] [TIFF OMITTED] TP11AU11.000
The Coast Guard provides training and information on fatigue
management through the Crew Endurance Management Systems (CEMS)
program. While this training and information has been available to the
industry-at-large,
[[Page 49995]]
companies report difficulty in providing appropriate artificial
lighting for crewmember nighttime adaptation. Under the 6 on/6 off
watch schedule, crewmembers work at night, against the natural
physiological need to sleep, and under the influence of increasing
sleep debt. Under these operational conditions, reduced situational
awareness is inevitable. (See Yvonne Harrison and James A. Horne, ``The
Impact of Sleep Deprivation on Decision Making: A Review.'' Journal of
Experimental Psychology: Applied, 236-249, Vol.6 No.3 (2000); Paula
Alhola and Paivi Polo-Kantola, ``Sleep Deprivation: Impact on Cognitive
Performance.'' Neuropsychiatric Diseases and Treatment, 553-567, Vol. 5
(2007)).
The nexus between daily sleep restriction, relevant to the 6 on/6
off watch schedule, and cognitive impairment vital to the maintenance
of situational awareness is demonstrated in a study conducted in 2002
at the Walter Reed Army Institute of Research. Researchers examined
performance degradation and restoration in 66 research volunteers who
were allowed 3, 5, 7, and 9 hours of continuous time in bed, each night
for 7 consecutive days. Results of the study can be found in an article
titled ``Patterns of Performance Degradation and Restoration During
Sleep Restriction and Subsequent Recovery: A Sleep Dose-Response
Study.'' This article may be found in the docket for this rulemaking,
where listed above in section I.B. ``Viewing comments and documents.''
As noted in the article, baseline performance was measured after
participants were allowed 8 continuous hours of time in bed.
Participants who had 9 consecutive hours of time in bed each night
showed no impairment in performance. By contrast, participants who had
5 or 7 hours of time in bed showed slower reaction speeds. Participants
in the 5-hour time in bed condition exhibited greater alertness deficit
than in the 7-, 8-, and 9-hour time in bed conditions.
This study also highlighted the importance of recovery sleep on
performance. After the 7 days of sleep restriction, participants were
allowed 8 consecutive hours of time in bed for 3 days. During this 3-
day recovery period, participants underwent neurobehavioral tests while
awake. The 9-hour time in bed group showed no significant differences
from the baseline. By contrast, the 3-hour time in bed group rapidly
recovered when allowed 8 hours of time in bed on the first night,
though their performance did not recover to baseline levels (8-hour
time in bed). In fact, during the 3 days of sleep recovery, this
group's performance levels never rose higher than those of participants
whose sleep was restricted to 5 or 7 hours.
Disturbingly, while participants who had less than 8 continuous
hours of time in bed did not report feeling sleepy, this group's
performance and alertness levels decreased significantly, especially in
the 5-hour and 3-hour time in bed groups. These data illustrate that
people experiencing partial sleep deprivation do not easily recognize
their own performance impairment.
A more recent study observed 48 healthy adults whose sleep was
restricted to 4, 6, and 8 hours of time in bed per night for 14 days.
The results are published in an article titled ``The Cumulative Cost of
Additional Wakefulness: Dose-Response Effects on Neurobehavioral
Functions and Sleep Physiology From Chronic Sleep Restriction and Total
Sleep Deprivation.'' In this study, participants underwent
neurobehavioral tests, while awake, every 2 hours to determine the
effects of sleep restriction on their daytime performance. These tests
included measures of attention/reaction time, working memory, mental
agility, and subjective sleepiness. Taken together, the tests measured
participants' cognitive abilities while they performed tasks requiring
vigilance and mental tracking of critical information. Results showed
that performance deteriorated significantly, as sleep loss accumulated
over the 14 days.
Remarkably, the performance levels of participants who received
less than 6 hours of time in bed per day, for 14 days, degraded as much
as those of participants who had no time in bed for 2 days.
Paradoxically, none of the sleep-restricted participants reported
feeling sleepy.
The results of both studies highlighted here are important to
towing operations, and as such were taken into consideration when we
considered hours-of-service performance standards. While they cannot be
said to prove without a doubt that when given less than 8 hours time in
bed per night, a crewmember's alertness and cognitive abilities, and
thus overall situational awareness, will decline, they do suggest that
this is the case. Compounding the problem is the fact that sleepiness
is unlikely to be reported, even when cognitive abilities are impaired.
In addition to reviewing the studies cited above, we used the
Fatigue Avoidance Scheduling Tool (FAST) to determine the effects of
sleeping less than 7-8 hours per day, even when considering two
separate sleep periods. The FAST is the result of coordinated
Department of Transportation (DOT) and Department of Defense (DOD)
research efforts to develop and validate a comprehensive model to
assess the effects of work and rest schedules on human health and
performance. The Coast Guard also uses the FAST to assess, identify,
and mitigate operational risks inherent in its own afloat, aviation,
and ashore missions. Other agencies such as the Federal Railroad
Administration (FRA) use the FAST for similar purposes. A full
assessment, when applying the FAST, may be found in the docket for this
rulemaking, where listed above in section I.B. ``Viewing comments and
documents.''
Figures 2 through 10 in the assessment, which can be found in the
docket for this rulemaking, show results from modeling changes in human
alertness and cognitive performance effectiveness as a result of
working a variety of schedules. Figure 2 shows the impact of restricted
sleep on performance and alertness of a crewmember working nights from
12 midnight-6 a.m. and during the day from 12 noon-6 p.m., simulating a
two-watch system. In this case, the crewmember sleeps a total of 6
hours per day in two separate sleep periods, one occurring from 8 a.m.-
10 a.m. and the other from 7 p.m.-11 p.m. All sleep considered in this
example is of the highest quality, without any interruptions of any
kind. This example simulates the crewmember sleeping 4 consecutive
hours just prior to reporting for the night watch and 2 consecutive
hours after the end of the watch. The FAST calculations reveal a
pattern of degraded performance throughout the 30-day simulation. Under
these circumstances, the daily alertness and performance function shows
a degrading trend with alertness and performance levels comparable to
someone with Blood Alcohol Concentration (BAC) levels of 0.05 percent,
0.08 percent, and 0.1 percent throughout the watch period.
Figure 3 shows the effect of interrupted sleep under the same
schedule as the one used for the calculations depicted on figure 2. In
this case, the FAST simulation includes two short interruptions of
sleep per hour. This scenario simulates occasional sleep disruptions
due to environmental noise, and results in brief wakefulness periods
during every hour of sleep. In this instance, minor disruptions of the
sleep period causes a rapid decrease in the performance efficiency
curve. This
[[Page 49996]]
decrease reaches levels comparable to performance below the 0.1 percent
BAC level after only 3 consecutive days. Performance does not recover
above the 0.1 percent BAC level throughout the 30-day assessment.
Figure 4 models the performance and alertness functions of a
crewmember working 6 hours during the night (midnight-6 a.m.) and 6
hours during the day (noon-6 p.m.), but sleeping a total of 8 hours per
day, 4 hours between 7 a.m.-11 a.m. and 4 hours between 7 p.m.-11 p.m.
All sleep in this example is of the highest quality, without any
interruptions. Examining the performance effectiveness function on
Figure 4 reveals a daily degradation in alertness and performance that
is comparable to 0.05 percent and 0.08 percent BAC levels throughout
the night watch period. However, unlike the example shown on Figure 2,
performance effectiveness begins a recovery trend on the seventh day.
Recovery is not complete, as performance effectiveness does not climb
above the 0.05 percent BAC performance level. This provides evidence
that increasing daily sleep from 6 to 8 hours did improve performance
efficiency, but it was not sufficient to prevent degradation of
performance throughout the 30-day assessment.
Figure 5 shows the impact of minor interruptions of sleep per hour
(two awakenings less than 1 minute long). The FAST algorithm reveals
that, although this model iteration affords 8 total hours of sleep
(adding both sleep periods), minor sleep disruptions result in
significant degradation of performance. Performance effectiveness
degrades below the 0.1 percent BAC level after the third day and
remains below the 0.05 percent BAC level for the rest of the 30-day
period of assessment. Both models explored in Figures 4 and 5 provide
evidence that performance efficiency depends on the interaction between
daily sleep duration and quality of sleep.
Figures 6, 7, 8, 9, and 10 provide results from modeling longer
work and sleep periods in a two-watch system. The results shown in
these models indicate that it is possible to prevent performance
degradation in the two-watch system, but it requires the extension of
the rest periods. The placement of the longest sleep period relative to
the night watch is also important. Sleeping 6 hours soon after the
night watch and 4 hours during the afternoon maintains performance
efficiency within safe levels. Day watch models also showed high
performance efficiency when consecutive sleep durations reached 6.5
hours.
Considering together the results from the FAST modeling, the
scientific evidence showing that restricted sleep degrades performance
via a degradation of cognitive abilities supporting situational
awareness, and evidence of sleep restriction under the 6 on/6 off
schedule, the Coast Guard believes that insufficient time off to allow
for at least 7 hours of uninterrupted, daily sleep degrades cognitive
abilities. Thus, the Coast Guard seeks additional data, information and
public comment on potential requirements to increase uninterrupted
sleep duration to a threshold of at least 7 consecutive hours in one of
the two available off periods in the two-watch system to increase the
probability that crewmembers will have the opportunity to restore the
cognitive abilities necessary to maintain situational awareness, even
if the sleep environment is not optimal.
The Coast Guard expects that any hours of service limitations,
either adopted by industry or imposed through regulation, would address
the need for inspected towing vessel operators to gradually alter the
traditional 6 on/6 off watch schedules. The Coast Guard acknowledges,
however, that requiring organizations and/or individuals to change
behavior or adopt new behavioral patterns quickly, in response to
abrupt regulatory requirements, can cause unintended disruptions in
operation and service while the organizations and individuals adapt.
The Coast Guard is thus requesting public comments on the appropriate
phase-in period for a potential hours-of-service standard or
requirement.
The Coast Guard is also considering the use of the light management
process outlined in the Coast Guard's Crew Endurance Management System
(CEMS) to gradually adapt crewmembers' physiology to early morning
reporting times and to night work. Crewmembers' physiology would then
allow them to sleep longer during the off watch periods. This gradual
change would take place as crewmembers take advantage of the
physiological adaptation to early morning reporting times and to night
work afforded through the CEMS light management process.
The Coast Guard welcomes public comment on the issues addressed in
this section related to potential hours of service standards and
requirements.
Crew Endurance Management Programs
As discussed above, the CGMTA 2004 granted the Coast Guard
authority to update the maximum hours of service standards currently
regulating the towing industry. The CGMTA 2004 states that ``the
Secretary may prescribe by regulation, requirements for maximum hours
of service (including recording and recordkeeping of that service) of
individuals engaged on a towing vessel that is at least 26 feet in
length measured from end to end over the deck (excluding the sheer).''
46 U.S.C. 8904(c). This Act authorized the Coast Guard to draft
regulations to ensure that shipboard work practices do not compromise
the safety of navigation and/or crewmembers due to unmitigated fatigue
incidence. H.R. Conf. Rep. 108-617, 2004 U.S.C.C.A.N. 936, 951, 953.
However, Congress directed the Coast Guard to carry out a demonstration
project with the purpose of assessing the effectiveness and feasibility
of the previously established Crew Endurance Management System (CEMS)
on towing vessels, and report the results to Congress (Pub. L. 108-293,
Sec. 409(b), 118 Stat. 1044).
The Coast Guard developed CEMS in 1999 as a voluntary program to
assist the commercial maritime industry in managing shipboard fatigue
by coordinating improvements to shipboard diet, sleep, work
environments, and watch schedules. CEMS established practices to
protect crewmember health and performance. In developing CEMS, the
Coast Guard recognized that a crewmember's physical endurance depends
on efficient physiological energy production and management of risk
factors such as poor diet, lack of exercise, and personal stress.
Onboard access to exercise equipment, communications with family, and
low-fat meals that consist of lean protein, complex carbohydrates, and
fresh water are necessary to support a crewmember's physical endurance.
However, while these activities are extremely important, the central
objective of CEMS was and is to ensure that crewmembers have sufficient
time off to obtain a daily minimum of 7-8 hours of uninterrupted, high-
quality sleep. The Coast Guard has information suggesting that this
daily sufficient sleep is crucial to maintain alertness and the
cognitive abilities necessary to establish and maintain situational
awareness and adequate physical capacity in the work environment.
Responding to the Congressional mandate, the Coast Guard conducted
the CEMS demonstration project aboard towing vessels in 2005. The
results of this project showed CEMS implementation was feasible,
effective, and sustainable, but not all companies that participated
adopted a watch scheduled that permitted a minimum of 7-8 hours of
uninterrupted sleep. The
[[Page 49997]]
report submitted to Congress, titled ``Report on Demonstration Project:
Implementing the Crew Endurance Management System (CEMS) on Towing
Vessels'' is available in the docket for this rulemaking, where listed
above in section I.B. ``Viewing comments and documents.'' The Coast
Guard welcomes public comments on this report, and all of the
information and questions presented above in relation to potential
hours of service and crew endurance management standards and
requirements. As noted, after considering this additional information,
the Coast Guard would later request public comment on specific hours of
service or crew endurance management regulatory text if it seeks to
implement such requirements.
V. Incorporation by Reference
Material proposed for incorporation by reference appears in
Sec. Sec. 136.112, 137.110, 138.110, 139.112, 141.105, 142.120,
143.120, and 144.110. You may inspect this material at U.S. Coast Guard
Headquarters where indicated under ADDRESSES. Copies of the material
are available from the sources listed in Sec. Sec. 136.112, 137.110,
138.110, 139.112, 141.120, 142.115, 143.120, and 144.110. Before
publishing a binding rule, we will submit this material to the Director
of the Federal Register for approval of the incorporation by reference.
VI. Regulatory Analyses
We developed this proposed rule after considering numerous statutes
and executive orders related to rulemaking. Below, we summarize our
analyses based on 13 of these statutes or executive orders.
A. Regulatory Planning and Review
Executive Orders 13563 and 12866 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This rule has been designated a ``significant regulatory
action'' although not economically significant, under section 3(f) of
Executive Order 12866. Accordingly, the rule has been reviewed by the
Office of Management and Budget. A preliminary Regulatory Analysis (RA)
is available in the docket where indicated under the ``Public
Participation and Request for Comments'' section of this preamble. A
summary of the RA follows:
This rulemaking would implement section 415 of the Coast Guard and
Maritime Transportation Act of 2004. The intent of the proposed rule is
to promote safer work practices and reduce casualties on towing vessels
by ensuring that inspected towing vessels adhere to prescribed safety
standards and adopted safety management systems. This proposed rule was
developed in cooperation with the Towing Vessel Safety Advisory
Committee (TSAC). The Coast Guard recognizes that establishing minimum
standards for the towing vessel industry is necessary. Vessel
operation, maintenance, and design must insure the safe conduct of
towing vessels. The proposed rule would improve the safety and
efficiency of the towing vessel industry.
In this NPRM, the Coast Guard proposes to require towing vessels
subject to this rulemaking to be part of a safety management system or
be subject to an alternative annual Coast Guard inspection regime. The
proposed rule would require companies that operate inspected towing
vessels to create a Towing Safety Management System (TSMS), continue
with existing systems that comply with the provisions of the
International Safety Management (ISM) Code, another system the Coast
Guard determines to be equivalent to the TSMS, or be subject to an
annual, Coast Guard inspection regime. The Coast Guard believes this
rulemaking would create an environment that encourages safe practices.
This proposed rule would allow each towing vessel organization to
customize its approach to meeting the requirements of the regulations,
while it provides continuous oversight using audits, surveys,
inspections, and reviews of safety data. This would improve the safety
of towing vessels and provide greater flexibility and efficiency for
towing vessel operators. As a result of this rulemaking, operators
would be able to call upon third parties or the Coast Guard to conduct
compliance activities when and where they are needed. See the
``Discussion of Proposed Rule'' section for a detailed discussion of
this proposed rule and see the RA for a detailed discussion of costs,
benefits and alternatives considered. Table 1 summarizes the impacts of
this rulemaking.
Table 1--Summary of Affected Population, Costs and Benefits
------------------------------------------------------------------------
Category NPRM
------------------------------------------------------------------------
Applicability.......................... All U.S. flag towing vessels
engaged in pushing, pulling,
or hauling alongside, with
exceptions for work boats and
limited service towing
vessels.
Affected Population.................... 5,208 vessels, 1,059 companies.
Costs* ($ millions, 7% discount rate).. $18.4 (annualized), $129.5 (10-
year).
Benefits ($ millions, 7% discount rate) $28.5 (annualized), $200.1 (10-
year).
Unquantified Benefits.................. Reduced congestion and delays
from lock, bridge and waterway
closures.
------------------------------------------------------------------------
* These costs include the high estimate of industry costs plus
government costs.
Affected Population
We estimate that 1,059 owners and operators (companies) would incur
additional costs from this rulemaking. The rulemaking would affect a
total of 5,208 vessels owned and operated by these companies. Our cost
assessment includes existing and new vessels.
Costs
We estimated low and high costs to reflect the potential range of
cost inputs for certain requirements, based on various sources of data,
as discussed in the RA. During the initial phase-in period (years 1 and
2), we estimate the annual cost to industry of the rulemaking to range
from $4.2 million to $5.7 million (non-discounted). After the initial
phase-in, the annual costs to industry range from $10.9 million to
$29.1 million (non-discounted). We estimate the total present value
cost to industry over the 10-year period of analysis to range from
$100.7 million to $119.9 million, discounted at 7 percent, and from
$129.1 million to $153.9 million, discounted at 3 percent. Over the
period of analysis, we estimate the annualized costs to industry range
from
[[Page 49998]]
$14.3 million to $17.1 million at 7 percent and range from $15.1
million to $18.0 million at 3 percent. Table 2 summarizes the costs of
this proposed rule to industry.
Table 2--Industry Cost Summary of Proposed Rule
[$ millions]
----------------------------------------------------------------------------------------------------------------
Undiscounted Discounted
-----------------------------------------------------
Year 7% 3%
Low High -----------------------------------
Low High Low High
----------------------------------------------------------------------------------------------------------------
1......................................................... $4.2 $5.5 $3.9 $5.2 $4.1 $5.4
2......................................................... 4.3 5.7 3.8 5.0 4.1 5.4
3......................................................... 10.9 12.2 8.9 10.0 9.9 11.2
4......................................................... 12.1 13.4 9.2 10.3 10.7 11.9
5......................................................... 14.6 16.4 10.4 11.7 12.6 14.2
6......................................................... 16.7 18.2 10.9 12.1 13.8 15.2
7......................................................... 23.7 29.1 14.8 18.1 19.3 23.7
8......................................................... 23.7 29.1 13.8 16.9 18.7 23.0
9......................................................... 23.7 29.1 12.9 15.8 18.2 22.3
10........................................................ 23.7 29.1 12.1 14.8 17.7 21.7
-----------------------------------------------------
Total *............................................... 157.4 187.9 100.7 119.9 129.1 153.9
Annualized................................................ ....... ....... 14.3 17.1 15.1 18.0
----------------------------------------------------------------------------------------------------------------
* Values may not total due to rounding.
We anticipate that the government will incur costs. For towing
vessels that choose to comply with annual Coast Guard inspections, the
government will incur costs to conduct those inspections. For other
vessels choosing the TSMS option to comply, the government will incur
costs to review applications for a TSMS, conduct random boardings and
compliance examinations, and oversee third parties. We estimate the
total present value cost to government over the 10-year period of
analysis to be $9.6 million discounted at 7 percent and $12.0 million
discounted at 3 percent. Annualized government costs are about $1.4
million under both 7 percent and 3 percent discount rates. We estimate
the combined total 10-year present value cost of the rulemaking to
industry and government to range from $110.3 million to $129.5 million,
discounted at 7 percent, and from $141.1 million to $165.9 million,
discounted at 3 percent. The combined annualized costs to industry and
government range from $15.7 million to $18.4 million at 7 percent and
from $16.5 million to $19.4 million at 3 percent.
Economic Impacts of Towing Vessel Casualties
Towing vessel casualties are incidents (i.e., accidents) that
involve the towing vessel and possibly other vessels such as barges,
other commercial vessels, and recreational vessels. Towing vessel
accidents can cause a variety of negative economic impacts, including
loss of life, injuries, property damage, delays on transportation
infrastructure, and damage to the environment.
Based on Coast Guard Marine Information for Safety and Law
Enforcement (MISLE) data for the recent period of 2002-2007, towing
vessel accidents are associated with 23 fatalities per year. Towing
vessel accidents also result in an average of 146 reportable injuries
per year (for the period of 2002-2007). Table 3 summarizes some of the
negative impacts resulting from towing vessel accidents.
Table 3--Negative Impacts From Towing Vessel Accidents (2002-2007)
------------------------------------------------------------------------
Impact Average per year
------------------------------------------------------------------------
Fatalities................................ 23.
Injuries.................................. 146.
Accidents Causing Property Damage of 156.
$250,001 or more.
Property Damage from Accidents of $250,001 $63.5 million.
or more.
Oil Spills................................ 26.
Amount of Oil Spilled..................... 184,717 gallons.
Congestion and Delays from lock, bridge Not quantified *.
and waterway closures.
------------------------------------------------------------------------
* We present detailed information on delay and congestion impacts
resulting from towing vessel accidents in the Regulatory Analysis
available in the docket.
Benefits of the Towing Vessel Proposed Rule
The Coast Guard developed the requirements in the proposed rule by
researching both the human factors and equipment failures that caused
towing vessel accidents. We believe that the proposed rule would
comprehensively address a wide range of causes of towing vessel
accidents and supports the main goal of improving safety in the towing
industry. The primary benefit of the proposed rule is an increase in
vessel safety and a resulting decrease in the risk of towing vessel
accidents and their consequences.
Based on Coast Guard investigation findings for towing vessel
accident cases from 2002-2007, we estimate that the proposed rule would
lead to significant reductions in fatalities, injuries, property
damaged, and oil spilled. These improvements in safety are expected to
occur over a 10-year period as the various provisions of the proposed
rule are phased-in. We estimate total 10-year discounted benefits at
$200.1 million discounted at 7 percent and $256.2 million discounted at
3 percent. Over the same period of analysis, we estimate annualized
benefits of the proposed rule to be $28.5 million at a 7 percent
discount rate and about $30.0 million at a 3 percent discount rate,
respectively. Table 4 displays the monetized benefits of this proposed
rule associated with reducing fatalities, injuries, property damage,
and oil spilled, resulting from towing vessel accidents. During the
phase-in period, we assume that companies take this
[[Page 49999]]
time to implement the proposed rule and obtain their initial
certificates of inspection. Therefore, we assign no benefits to those
years.
Table 4--Total Benefits
[$ millions] *
------------------------------------------------------------------------
Discounted
Year Undiscounted -----------------
7% 3%
------------------------------------------------------------------------
1..................................... $0.0 $0.0 $0.0
2..................................... 0.0 0.0 0.0
3..................................... 25.9 21.1 23.7
4..................................... 38.2 29.1 33.9
5..................................... 39.2 28.0 33.8
6..................................... 40.3 26.8 33.7
7..................................... 41.3 25.7 33.6
8..................................... 42.4 24.7 33.5
9..................................... 42.4 23.1 32.5
10.................................... 42.4 21.6 31.5
---------------------------------
Total............................. 312.0 200.1 256.2
Annualized............................ .............. 28.5 30.0
------------------------------------------------------------------------
* Values may not total due to rounding.
Unquantified Benefits
These estimates do not include the value of benefits that we have
not quantified, including preventing delays and congestion due to
towing vessel accidents. We are unable to monetize the value of
preventing other consequences of towing vessel accidents, including
delays and congestion, due to a lack of data and information. However,
as discussed in the Regulatory Analysis available in the docket, the
potential value of other benefits could be substantial if towing vessel
accidents cause long waterway, bridge, or road closures.
Avoided Delays and Waterway Disruptions
Every day, tons of goods worth millions of dollars transit the
nation's waterways and the highways and railroads that pass alongside
and over them. Towing vessel accidents that disrupt any one or more of
these modes can be costly. The incident reports show that delays can
range from a couple of hours for a damage assessment to a month or
longer if a bridge has suffered major damage. For large accidents that
result in long delays, the economic consequences may include the
following:
Productivity losses and operating costs for stalled barge
and other traffic;
Delays in the acquisition of production inputs that can
impact timely operation of manufacturing or other processes;
Blockages of U.S. exports that can result in decreased
revenue from importing foreign companies;
Loss of quality for industries dealing with time sensitive
products or products with a limited shelf life, such as commercial
fishing seafood processors, seafood dealers, or other food processors
and manufacturers; and
Reduced recreational opportunities, resulting in social
welfare losses.
One example of a towing vessel accident having severe economic
consequences on both traffic and the local economy is the collision of
a barge with the Interstate 40 Bridge in Webbers Falls, Oklahoma, on
May 26, 2002. The bridge was severely damaged and was closed for
repairs for two months. The Interstate 40 Bridge is a major east-west
route for both commercial and passenger traffic and carried
approximately 22,000 vehicles per day. See the Regulatory Analysis, and
the ``Report of the U.S. Coast Guard--American Waterways Operators
Bridge Allision Work Group'' published in May 2003, both are available
in the docket for additional details of this accident.
Towing vessel incidents are also known to result in blockages of
rivers, port entrances, and other channels. This causes disruptions and
delays to not only the towing industry, but other users of the
waterways such as tankers, container ships, and recreational craft. The
delay in use of the waterways can range from minutes (in the case of a
grounding) to several days (in the case of an oil spill or an event
that caused major damage to a lock or dam).
An example of an accident at a lock and dam involved the towboat
Elizabeth M in January 2005. The Elizabeth M lost control of its barges
shortly after exiting the Montgomery Locks and Dam on the Ohio River,
south of Pittsburgh. The towboat and barges were swept over the dam and
sunk in the waters below the dam, resulting in 4 fatalities. (See the
``Report of Investigation Sinking of the M/V ELIZAB[E]TH M (Official
Number 262962) and Six Barges with Four Fatalities on January
09, 2005 at the Montgomery Locks and Dam on the Ohio River at Mile
Marker 31.7'' in the docket for additional details of this accident).
According to Army Corps of Engineer records, the Montgomery Locks and
Dam were closed for 28 hours after this incident. Additionally,
restrictions on night travel as well as oil and chemical cargo
continued for weeks after the incident. The use of an assist vessel to
maneuver tows around the sunken barges and towboat at the foot of the
dam was also required for several weeks.\1\
---------------------------------------------------------------------------
\1\ U.S. Army Corps of Engineers, Pittsburgh District,
``Recovery Operations Expected to Start at Montgomery Lock,''
January 19, 2005.
---------------------------------------------------------------------------
Based on data supplied by the Army Corps of Engineers, an average
of 70.7 lock closures occurred because of towing vessel accidents over
the past 6 years, causing an average of 209.6 hours of closures
annually for the same period, with an average duration of the delay 3.0
hours (Table 5). For the same period, an average of nine events
annually caused a lock closure of more than 6 hours (Table 6). Based on
information from the Army Corps of Engineers, 6 hours or less is
considered to be within the range of a normal operating delay. Over the
past 6 years, towing vessel accidents involving locks have caused an
average of 99.7 hours of delay beyond the 6-hour normal operating
delay. For an event that causes over 6 hours of delay, the average
duration of the delay over the 6-year
[[Page 50000]]
period is 11.3 hours, with some causing double or quadruple that
amount.
Table 5--Number & Duration of Lock Delays Caused by Towing Vessel
Accidents
------------------------------------------------------------------------
Average
Year Number of Hours of delay per
events delay event
------------------------------------------------------------------------
2002........................... 76 149.7 2.0
2003........................... 64 182.9 2.9
2004........................... 95 212.7 2.2
2005........................... 59 375.6 6.4
2006........................... 46 118 2.6
2007........................... 84 218.5 2.6
----------------------------------------
6-Year Average............. 70.7 209.6 3.0
------------------------------------------------------------------------
Source: USACE data on lock delays caused by towing vessel accidents
provided in December 2008.
Table 6--Number & Duration of Lock Delays Caused by Towing Vessel
Accidents
[Exceeding 6 Hours]
------------------------------------------------------------------------
Number of Hours of
events delay Average
Year (exceeding 6 (exceeding 6 delay per
hours) hours) event
------------------------------------------------------------------------
2002........................... 6 39.2 6.5
2003........................... 11 71.59 6.5
2004........................... 10 70.71 7.1
2005........................... 11 274.46 25.0
2006........................... 5 41.49 8.3
2007........................... 10 100.47 10.0
----------------------------------------
6-Year Average............. 8.8 99.7 11.3
------------------------------------------------------------------------
Source: USACE data on lock delays caused by towing vessel accidents
provided in December 2008.
Other towing vessel accidents with large damages have occurred
outside of the period of our benefit analysis. We do not include these
accidents in the estimate of monetized benefits usually because the
investigation is still pending or the impact details of the accident
are still being developed. For example, in July 2008, a barge being
pushed by a tow released 420,000 gallons of number 6 fuel oil in the
Mississippi River near New Orleans, closing 100 miles of the
Mississippi River to traffic for several days. The full value of clean
up and response costs are still being tabulated for this event, but
some estimates of the impact on the New Orleans economy range as high
as $275 million per day. This event has been used by the Coast Guard in
testimony before Congress to support the need for greater towing vessel
safety.
Comparison of Costs to Benefits
The high estimate for total industry and government costs is $18.4
million (annualized at a 7% discount rate). The estimate for monetized
benefits is $28.5 million (annualized at a 7% discount rate), based on
the mitigation of risks from towing vessel accidents in terms of lives
lost, injuries, oil spilled, and property damage. Subtracting the
monetized costs from the monetized benefits yields a net benefit of
$10.1 million. We also identified, but did not monetize, other benefits
from reducing the risk of accidents that have secondary consequences of
delays and congestions on waterways, highways, and railroads.
Overall, the regulatory analysis indicates that the preferred
alternative provides owners and operators of towing vessels the ability
to customize compliance to their individual business models, move the
industry into inspected status, and improve safety.
Alternatives
The Coast Guard considered other alternatives to the current
preferred alternative proposed in this NPRM. Alternative 1 would
require that all towing vessels obtain and implement a TSMS and the
Coast Guard would rely on third parties to audit and survey vessels to
demonstrate compliance. Beyond an initial inspection, the Coast Guard
would limit enforcement to review of evidence provided by third parties
and owners and operators. Alternative 2 would require a traditional
Coast Guard inspection, with no allowance for a TSMS or third party.
Alternative 3 would require towing vessels to operate with a TSMS and
undergo audits and surveys, but would not include part 140
requirements.
Alternative 1 has quantified benefits that only exceed costs by a
small margin (0.1 million). Alternatives 2-3 have quantified costs that
exceed quantified benefits thus resulting in net costs. A summary of
the costs and benefits of the alternatives are presented in Table 7.
[[Page 50001]]
Table 7--Summary of Alternatives
[$ millions, 7% discount rate]
----------------------------------------------------------------------------------------------------------------
Net
Alternative Summary Annualized Annualized benefits or
cost benefits net costs *
----------------------------------------------------------------------------------------------------------------
Preferred Alternative (proposed in this Allow TSMS and third party $18.4 $28.5 $10.1
NPRM). review or Coast Guard
inspection to demonstrate
compliance..
Alternative 1............................. Require TSMS for all towing 32.4 32.5 0.1
vessels..
Alternative 2............................. Coast Guard inspection only. 31.1 30.0 -1.1
No third party.
Alternative 3............................. Require TSMS but no Part 140 31 28.3 -2.7
requirements.
----------------------------------------------------------------------------------------------------------------
* Net benefits do not include unquantified congestion and delay benefits.
The RA available in the docket includes an analysis of the costs of
this rulemaking by requirement and provides an assessment of potential
monetized, quantified and non-quantified benefits of this rulemaking.
The RA also contains details and analysis of other alternatives
considered for this rulemaking.
B. Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this proposed rule would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000.
A combined Regulatory Analysis and Initial Regulatory Flexibility
Analysis discussing the impact of this proposed rule on small entities
is available in the docket where indicated under the ``Public
Participation and Request for Comments'' section of this preamble.
Based on available data, we determine that more than 92 percent of
the businesses affected are small by the Small Business Administration
(SBA) size standards. We analyzed revenue impacts on the initial phase-
in and annual recurring costs of this proposed rule.
For the preferred alternative proposed in this NPRM, we determined
that 25 percent of the small businesses would incur a significant
economic impact (more than 1 percent impact on revenue) during the
phase-in period in years 1 and 2. For the impact of annual recurring
costs, we determined that potentially 49 percent of small businesses
would incur a significant economic impact depending on the year.
In the ``Regulatory Planning and Review'' section of this NPRM, we
summarized and compared the costs and benefits of other alternatives to
the current preferred alternative proposed in this NPRM. Table 8
compares the impacts on small entities of the alternatives to the
preferred alternative proposed in this NPRM for the phase-in period
costs (years 1 and 2) and maximum recurring costs.
Table 8--Economic Impact of Alternatives Considered on Small Entities
----------------------------------------------------------------------------------------------------------------
Percentage of small entities with
more than 1 percent cost impact on
revenue
Alternative Summary -------------------------------------
Recurring costs
Phase-in costs (maximum)
----------------------------------------------------------------------------------------------------------------
Preferred Alternative (proposed in this Allow TSMS and third party 25% 49%
NPRM). review or Coast Guard
inspection to demonstrate
compliance.
Alternative 1........................... Require TSMS for all towing 72% 54%
vessels.
Alternative 2........................... Coast Guard inspection only. No 71% 72%
third party.
Alternative 3........................... Require TSMS, but no Part 140 72% 50%
requirements.
----------------------------------------------------------------------------------------------------------------
At this time, we have determined that this proposed rule would have
a significant economic impact on a substantial number of small entities
under section 605(b) of the Regulatory Flexibility Act. We are
interested in the potential impacts from this proposed rule on small
businesses and we request public comment on these potential impacts. If
you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this rulemaking would
have a significant economic impact on it, please submit a comment to
the Docket Management Facility at the address under ADDRESSES. In your
comment, explain why, how, and to what degree you think this rule would
have an economic impact on you.
C. Assistance for Small Entities
Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this proposed rule so that they can better
evaluate its effects on them and participate in the rulemaking. If the
proposed rule would affect your small business, organization, or
governmental jurisdiction and you have questions concerning its
provisions or options for compliance, please consult Mr. Michael
Harmon, Project Manager, CGHQ-1210, Coast Guard, telephone 202-372-
1427. The Coast Guard will not retaliate against small entities that
question or complain about this rule or any policy or action of the
Coast Guard.
Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247).
[[Page 50002]]
D. Collection of Information
This proposed rule would call for a collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). As defined
in 5 CFR 1320.3(c), ``Collection of Information'' comprises reporting,
recordkeeping, monitoring, posting, labeling, and other, similar
actions. The title and description of the information collections, a
description of those who must collect the information, and an estimate
of the total annual burden follow. The estimate covers the time for
reviewing instructions, searching existing sources of data, gathering
and maintaining the data needed, and completing and reviewing the
collection.
Title: Towing Vessels--Title 46 CFR Subchapter M.
Summary of the Collection of Information: Owners and operators of
inspected towing vessels would be required to either develop and
maintain documentation for their safety management system and arrange
periodic audits and surveys through third-party organizations, or to
demonstrate compliance with the proposed Subchapter M to Coast Guard
inspectors. Additional documentation would be required to obtain a
Certificate of Inspection for each vessel, comply with crew and vessel
operational safety standards, vessel equipment and system standards,
procedures and schedules for routine tests and inspections of towing
vessels and their onboard equipment and systems. The new requirements
for third-party auditors and surveyors include obtaining Coast Guard
approval and renewing it periodically. The Coast Guard would be
burdened by reviewing required reports, conducting compliance
examinations of towing vessels and overseeing third-party auditors and
surveyors through approval and observation.
Need for Information: The information is necessary for the proper
administration and enforcement of the proposed towing vessel inspection
program.
Proposed Use of Information: The Coast Guard would use this
information to document that towing vessels meet inspection
requirements of Subchapter M.
Description of the Respondents: The respondents are the owners and
operators of towing vessels, third-party auditors and surveyors, and
the Coast Guard that would be required to complete various forms,
reports and keep reports.
Number of Respondents: The number of respondents in the first year
and recurring annually is 1,059 for owners and operators of 5,208
towing vessels and 175 third-party organizations.
Frequency of Response: Respondents would have to report and keep
records with varying frequencies. The frequency of each regulation
creating a new burden for corresponding respondents is detailed in the
Regulatory Analysis.
Burden of Response: The burden of response for each regulation
varies. Details are shown in the Regulatory Analysis with related
assumptions and explanations both for the private sector respondents
and the Coast Guard.
Estimate of Total Annual Burden: The estimated total annual burden
for the initial phase-in (2) years (Years 1 and 2) and the first year
after that phase-in period (Year 1) is 278,260 hours. This rule would
create a new burden of 251,626 hours for the private sector and 26,634
hours for the Coast Guard for the first 3 years.
As required by the Paperwork Reduction Act of 1995 (44 U.S.C.
3507(d)), we will submit a copy of this proposed rule to the Office of
Management and Budget (OMB) for its review of the collection of
information.
We ask for public comment on the proposed collection of information
to help us determine how useful the information is; whether it can help
us perform our functions better; whether it is readily available
elsewhere; how accurate our estimate of the burden of collection is;
how valid our methods for determining burden are; how we can improve
the quality, usefulness, and clarity of the information; and how we can
minimize the burden of collection.
If you submit comments on the collection of information, submit
them both to OMB and to the Docket Management Facility where indicated
under ADDRESSES, by the date under DATES.
You need not respond to a collection of information unless it
displays a currently valid control number from OMB. Before the Coast
Guard could enforce the collection of information requirements in this
proposed rule, OMB would need to approve the Coast Guard's request to
collect this information.
E. Federalism
A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them.
It is well settled that States may not regulate in categories
reserved for regulation by the Coast Guard. It is also well settled,
now, that all of the categories covered in 46 U.S.C. 3306, 3703, 7101,
and 8101 (design, construction, alteration, repair, maintenance,
operation, equipping, personnel qualification, and manning of vessels),
as well as the reporting of casualties and any other category in which
Congress intended the Coast Guard to be the sole source of a vessel's
obligations, are within the field foreclosed from regulation by the
States. (See the decision of the Supreme Court in the consolidated
cases of United States v. Locke and Intertanko v. Locke, 529 U.S. 89,
120 S.Ct. 1135 (March 6, 2000).) This proposed rule covers all of the
foreclosed categories, as it establishes regulations covering a new
category of inspected vessels. Because the States may not regulate
within these categories, preemption under Executive Order 13132 is not
an issue.
F. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or Tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any 1 year. Though this proposed rule would not
result in such an expenditure, we do discuss the effects of this rule
elsewhere in this preamble.
G. Taking of Private Property
This proposed rule would not effect a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.
H. Civil Justice Reform
This proposed rule meets applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.
I. Protection of Children
We have analyzed this proposed rule under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and would not
create an environmental risk to health or risk to safety that might
disproportionately affect children.
[[Page 50003]]
J. Indian Tribal Governments
This proposed rule does not have Tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not have a substantial direct effect on
one or more Indian Tribes, on the relationship between the Federal
Government and Indian Tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian Tribes.
K. Energy Effects
We have analyzed this proposed rule under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order. Though it is a ``significant
regulatory action'' under Executive Order 12866, it is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.
L. Technical Standards
The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the OMB, with an explanation of why using these standards would
be inconsistent with applicable law or otherwise impractical. Voluntary
consensus standards are technical standards (e.g., specifications of
materials, performance, design, or operation; test methods; sampling
procedures; and related management systems practices) that are
developed or adopted by voluntary consensus standards bodies.
This proposed rule uses the following voluntary consensus
standards:
American Boat and Yacht Council (ABYC)
H-22--Electric Bilge Pump Systems, (2005)
H-24--Gasoline Fuel Systems, (2007)
H-25--Portable Fuel Systems for Flammable Liquids, (2003)
H-32--Ventilation of Boats Using Diesel Fuel, (2004)
H-33--Diesel Fuel Systems, (2005)
P-1--Installation of Exhaust Systems for Propulsion and Auxiliary
Engines, (2002)
H-2--Ventilation of Boats Using Gasoline, (2000)
P-4--Marine Inboard Engines and Transmissions, (2004)
E-11--AC & DC Electrical Systems on Boats, (2003)
American Bureau of Shipping (ABS)
Rules for Building and Classing Steel Vessels for Service on
Rivers and Intracoastal Waterways, (2007).
Rules for Building and Classing Steel Vessels Under 90 Meters
(295 Feet) in Length, (2006).
American National Standards Institute (ANSI)
ANSI/ASQC 9001-2000, (2000).
International Maritime Organization
IMO Resolution A.760(18), Symbols Related to Life-Saving
Appliances and Arrangements, (1993).
IMO Resolution A.520(13), Code of Practice for the Evaluation,
Testing and Acceptance of Prototype Novel Life-Saving Appliances and
Arrangements, (1993).
IMO Resolution A.688(17) Fire Test Procedures For Ignitability
of Bedding Components, (1991).
International Organization for Standardization (ISO)
ISO Standard 14726: 2008 Ships and marine technology-
Identification colours for the content of piping systems, (2008).
ISO Standard 9001-2000; Quality management systems--
Requirements, (2000).
National Fire Protection Association (NFPA)
NFPA 10 (Chapter 7), Standard on Portable Fire Extinguishers, (2007)
NFPA 1971--Standard on Protective Ensembles for Structural Fire-
Fighting and Proximity Fire-Fighting, (2007)
NFPA 750--Standard on Water Mist Fire Protection Systems, (2006)
NFPA 2001 Standard on Clean Agent Fire Extinguishing Systems, (2008)
NFPA 302-1998--Fire Protection Standard for Pleasure, and Commercial
Motor Craft, (1998)
NFPA 70-2002--National Electric Code (NEC), (2002)
Society of Automotive Engineers (SAE)
SAE J1475-1996--Hydraulic Hose Fitting for Marine Applications,
(1996)
SAE J1942-2005--Hose and Hose Assemblies for Marine Applications,
(2005)
Underwriters Laboratories
UL 217--Single and Multiple Station Smoke Detectors, (2006)
UL 1275--Flammable Storage Cabinet, (2005)
UL 1104--Standards for Marine Navigation Lights, (1998)
The proposed sections that reference these standards, and the
locations where these standards are available, are listed above in
Section V. ``Incorporation by Reference.''
The Coast Guard also developed technical standards specifically for
proposed subchapter M. They are used because we did not find specific
voluntary consensus standards that could be adopted in this rule.
Certain technical standards were developed in cooperation with TSAC. As
an example, the TSMS was developed based on TSAC's recommendations for
a safety management system appropriate for towing vessels. Requirements
for third-party organizations also were developed specifically for this
subchapter to ensure that individuals conducting activities authorized
by this proposal have the appropriate experience with towing vessels.
If you are aware of voluntary consensus standards that might apply,
please identify them in a comment to the Docket Management Facility at
the address under ADDRESSES and explain why they should be used.
M. Environment
We have analyzed this proposed rule under Department of Homeland
Security Management Directive 023-01 and Commandant Instruction
M16475.lD, which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and
have made a preliminary determination that this action is one of a
category of actions that do not individually or cumulatively have a
significant effect on the human environment. A preliminary
environmental analysis checklist supporting this determination is
available in the docket where indicated under the ``Public
Participation and Request for Comments'' section of this preamble. This
proposed rule involves regulations concerning the training of maritime
personnel, regulations concerning documentation, inspection and
equipping of vessels and regulations concerning vessel operation safety
standards. This action falls under section 2.B.2, figure 2-1,
paragraphs (34) (c) and (d) of the Instruction and under section 6(a)
of the ``Appendix to National Environmental Policy Act: Coast Guard
Procedures for Categorical Exclusions, Notice of Final Agency Policy''
(67 FR 48243, July 23, 2002). We seek any comments or information that
may lead to the discovery of a significant environmental impact from
this proposed rule.
List of Subjects
46 CFR Part 2
Marine safety, Reporting and recordkeeping requirements, Vessels.
46 CFR Part 15
Reporting and recordkeeping requirements, Seamen, Vessels.
46 CFR Part 136
Incorporation by reference, Reporting and recordkeeping
requirements, Towing vessels.
[[Page 50004]]
46 CFR Part 137
Incorporation by reference, Marine safety, Reporting and
recordkeeping requirements, Towing vessels.
46 CFR Part 138
Incorporation by reference, Marine safety, Reporting and
recordkeeping requirements, Towing vessels.
46 CFR Part 139
Incorporation by reference, Reporting and recordkeeping
requirements, Towing vessels.
46 CFR Part 140
Marine safety, Occupational health and safety, Penalties, Reporting
and recordkeeping requirements, Towing vessels.
46 CFR Part 141
Incorporation by reference, Marine safety, Occupational health and
safety, Reporting and recordkeeping requirements, Towing vessels.
46 CFR Part 142
Fire prevention, Incorporation by reference, Marine safety,
Reporting and recordkeeping requirements, Towing vessels.
46 CFR Part 143
Hazardous materials transportation, Incorporation by reference,
Marine safety, Reporting and recordkeeping requirements, Towing
vessels.
46 CFR Part 144
Incorporation by reference, Marine safety, Reporting and
recordkeeping requirements, Towing vessels.
For the reasons discussed in the preamble, the Coast Guard proposes
to amend 46 CFR parts 2 and 15 and add 46 CFR subchapter M, consisting
of parts 136, 137, 138, 139, 140, 141, 142, 143, and 144, as follows:
46 CFR Chapter I
PART 2--VESSEL INSPECTIONS
1. The authority citation for part 2 continues to read as follows:
Authority: 33 U.S.C. 1903; 43 U.S.C. 1333; 46 U.S.C. 2110, 3103,
3205, 3306, 3307, 3703; 46 U.S.C. Chapter 701; E.O. 12234, 45 FR
58801, 3 CFR, 1980 Comp., p. 277; Department of Homeland Security
Delegation No. 0170.1. Subpart 2.45 also issued under the Act Dec.
27, 1950, Ch. 1155, secs. 1, 2, 64 Stat. 1120 (see 46 U.S.C. App.
Note prec. 1).
Sec. 2.10-25 [Amended].
2. In Sec. 2.10-25, in the definition of ``Sea-going towing
vessel'', after the second occurrence of the word ``alongside'', add
the phrase ``, that has been issued a certificate of inspection under
the provisions of subchapter I of this chapter''.
PART 15--MANNING REQUIREMENTS
3. The authority citation for part 15 continues to read as follows:
Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8103,
8104, 8105, 8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903,
8904, 8905(b), 8906 and 9102; and Department of Homeland Security
Delegation No. 0170.1.
Sec. 15.501 [Amended].
4. In Sec. 15.501(b), remove the word ``Emergency'' and add, in
its place, the word ``emergency''.
5. Revise Sec. 15.505 to read as follows:
Sec. 15.505 Changes in the certificate of inspection.
All requests for changes in manning as indicated on the certificate
of inspection must be to:
(a) The Officer in Charge, Marine Inspection (OCMI) who last issued
the certificate of inspection; or
(b) The OCMI conducting the inspection, if the request is made in
conjunction with an inspection for certification.
Sec. 15.510 [Amended].
6. In Sec. 15.510, remove the word ``therefrom''.
Sec. 15.520 [Amended].
7. In Sec. 15.520(b), remove the word ``OCMI'' and add, in its
place, the words ``Officer in Charge, Marine Inspection (OCMI)''.
Sec. 15.610 [Amended].
8. In Sec. 15.610(b)(2), remove the number ``12'' and add, in its
place, the word ``four''.
9. Add Sec. 15.535 to subpart D to read as follows:
Sec. 15.535 Towing vessels.
(a) The requirements in this section for towing vessels apply to a
towing vessel certificated under subchapter M of this chapter.
(b) Except as provided in this paragraph, every towing vessel of at
least 8 meters (at least 26 feet) in length, measured from end to end
over the deck (excluding sheer), must be under the direction and
control of a person licensed as master or mate (pilot) of towing
vessels or as master or mate of vessels of greater than 200 gross
register tons holding either an endorsement on his or her license for
towing vessels or a completed Towing Officer's Assessment Record (TOAR)
signed by a designated examiner indicating that the officer is
proficient in the operation of towing vessels. This does not apply to
any vessel engaged in assistance towing, or to any towing vessel of
less than 200 gross register tons engaged in exploiting offshore
minerals or oil if the vessel has sites or equipment so engaged as its
place of departure or ultimate destination.
(c) Any towing vessel operating in the pilotage waters of the Lower
Mississippi River must be under the control of an officer who holds a
first-class pilot's license or endorsement for that route, or who meets
the requirements of either paragraph (c)(1) or (2) of this section as
applicable:
(1) To operate a towing vessel with tank barges, or a tow of barges
carrying hazardous materials regulated under part N or O of this
subchapter, an officer in charge of the towing vessel must have
completed at least 12 round trips over this route as an observer, with
at least 3 of those trips during hours of darkness, and at least 1
round trip of the 12 within the last 5 years.
(2) To operate a towing vessel without barges, or a tow of
uninspected barges, an officer in charge of the towing vessel must have
completed at least four round trips over this route as an observer,
with at least one of those trips during hours of darkness, and at least
one round trip of the four within the last 5 years.
10. Add 46 CFR subchapter M, consisting of parts 136 through 144,
to read as follows:
SUBCHAPTER M--TOWING VESSELS
PART 136--CERTIFICATION
PART 137--VESSEL COMPLIANCE
PART 138--TOWING SAFETY MANAGEMENT SYSTEMS (TSMS)
PART 139--THIRD-PARTY ORGANIZATIONS
PART 140--OPERATIONS
PART 141--LIFESAVING
PART 142--FIRE PROTECTION
PART 143--MACHINERY AND ELECTRICAL SYSTEMS AND EQUIPMENT
PART 144--CONSTRUCTION AND ARRANGEMENT
PART 136--CERTIFICATION
Subpart A--General
Sec.
136.100 Purpose.
136.105 Applicability.
[[Page 50005]]
136.110 Definitions.
136.112 Incorporation by reference.
136.115 Equivalents.
136.120 Special consideration.
136.130 Options for obtaining certification of a towing vessel
136.140 Application for a Certificate of Inspection (COI).
136.145 Inspection for certification.
136.150 Annual and periodic inspections.
136.165 Certificate of Inspection: conditions of validity.
136.170 Compliance for the Coast Guard option.
136.175 Approved equipment.
136.180 Appeals.
Subpart B--Certificate of Inspection
136.200 Certificate required.
136.203 Compliance for the TSMS option.
136.205 Description.
136.210 Obtaining or renewing a Certificate of Inspection (COI).
136.215 Period of validity.
136.220 Posting.
136.225 Temporary certificate.
136.230 Routes permitted.
136.235 Certificate of Inspection (COI) amendment.
136.240 Permit to proceed.
136.245 Permit to carry excursion party or temporary extension or
alternation of route.
136.250 Load lines.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 136.100 Purpose.
This part sets out the applicability for subchapter M and describes
the requirements for obtaining and renewing a Certificate of Inspection
(COI).
Sec. 136.105 Applicability.
(a) This subchapter is applicable to all U.S.-flag towing vessels
as defined in Sec. 136.110 engaged in pushing, pulling, or hauling
alongside, except:
(1) A vessel less than 26 feet (8 meters) in length measured from
end to end over the deck (excluding the sheer), unless pushing,
pulling, or hauling a barge that is carrying dangerous or hazardous
materials;
(2) A vessel engaged in one or more of the following:
(i) A vessel used for assistance towing;
(ii) A vessel towing recreational vessels for salvage; or
(iii) A vessel transporting or assisting the navigation of
recreational vessels within and between marinas and marina facilities,
within a limited geographic area, as defined by the local Captain of
the Port (COTP).
(3) Work boats operating exclusively within a worksite and
performing intermittent towing within the worksite;
(4) Seagoing towing vessels over 300 gross tons subject to the
provisions of Subchapter I of this chapter;
(5) A vessel inspected under other subchapters of this chapter that
may perform occasional towing;
(6) A public vessel that is owned or bareboat chartered and
operated by the United States, or by a State or political subdivision
thereof, or by a foreign nation, except when the vessel is engaged in
commercial service.
(7) A vessel which has surrendered its Certificate of Inspection
(COI) and is laid up, dismantled, or otherwise out of service; and
(8) A propulsion unit used for the purpose of propelling or
controlling the direction of a barge where the unit is controlled from
the barge, not normally manned, and not utilized as an independent
vessel.
(b) A vessel that is otherwise exempt from inspection may request
application of this part.
Sec. 136.110 Definitions.
ABS Rules means the standards developed and published by the
American Bureau of Shipping regarding the design, construction and
certification of commercial vessels.
Accepted Safety Management System means a safety management system
deemed by the Coast Guard to be equivalent to the requirements of this
subchapter.
Accommodation space means any:
(1) Messroom;
(2) Lounge;
(3) Sitting area;
(4) Recreation room;
(5) Quarters;
(6) Toilet space;
(7) Shower room;
(8) Galley;
(9) Berthing space;
(10) Clothing-changing room; and
(11) A similar space open to individuals.
Approved third party means a third party approved by the Coast
Guard in accordance with part 139 of this subchapter.
Assistance towing means towing a disabled vessel for consideration.
Audit means a systematic, independent, and documented examination
to determine whether activities and related results comply with planned
arrangements and whether these arrangements are implemented effectively
and are suitable to achieve stated objectives. This examination
includes a thorough review of appropriate reports, documents, records
and other objective evidence to verify compliance with applicable
requirements.
(1) The audit may include, but is not limited to:
(i) Examining records;
(ii) Asking responsible persons how they accomplish specific tasks;
(iii) Observing persons performing required tasks;
(iv) Examining equipment to insure proper maintenance and
operation; and
(v) Checking training records and work environments.
(2) The audit may be limited to random selection of a
representative sampling throughout the system that presents the auditor
with sufficient objective evidence of system compliance.
Berthing space means a space that is intended to be used for
sleeping and is provided with installed bunks and bedding.
Bollard pull means the maximum static pulling force that a towing
vessel can exert on another vessel or an object when its propulsion
engines are applying thrust at maximum horsepower.
Change in ownership means any change resulting in a change in the
day-to-day operational control of an approved third party organization
that conducts audits and surveys, or a change that results in a new
entity holding more than 50 percent of the ownership of the approved
third party organization.
Class Rules means the standards developed and published by a
classification society regarding the design, construction and
certification of commercial vessels.
Class II piping systems means those piping systems identified as
class II in Table 56.04-2 of Subchapter F of this Chapter.
Coastwise means a route that is not more than 20 nautical miles
offshore on any of the following waters:
(1) Any ocean;
(2) The Gulf of Mexico;
(3) The Caribbean Sea;
(4) The Bering Sea;
(5) The Gulf of Alaska; or
(6) Such other similar waters as may be designated by a Coast Guard
District Commander.
Cold water means water where the monthly mean low water temperature
is normally 15 degrees Celsius (59 degrees Fahrenheit) or less.
Conflict of Interest means a conflict between an individual's or an
organization's private interests and the interests of another party
with whom they are providing a service to or for, or in a capacity
which serves the public good.
Consideration means an economic benefit, inducement, right, or
profit
[[Page 50006]]
including pecuniary payment accruing to an individual, person, or
entity, but not including a voluntary sharing of the actual expenses of
the voyage, by monetary contribution or donation of fuel, food,
beverage, or other supplies.
Crewmember means all persons carried on board the vessel to provide
navigation and maintenance of the vessel, its machinery, systems, and
arrangements essential for propulsion and safe navigation, maintaining
the tow, or to provide services to other persons aboard and shall not
be construed as controlling the status of any person carried on board
for purposes of 46 U.S.C. 30104.
Deficiency means a failure to meet minimum requirements of the
vessel inspection laws or regulations.
Disabled vessel means a vessel that needs assistance, whether
docked, moored, anchored, aground, adrift, or under way, but does not
mean a barge or any other vessel not regularly operated under its own
power.
Downstreaming means approaching a moored barge from upstream and
landing with tow knees square against the upstream end of the barge.
Drydock means hauling out a vessel or placing a vessel in a drydock
or slipway for an examination of all accessible parts of the vessel's
underwater body and all through-hull fittings and appurtenances.
Element means a component of the safety management system,
including policies, procedures, or documentation required to ensure a
functioning towing safety management system.
Engine room means the enclosed area where any main-propulsion
engine is located. It comprises all deck levels within that area.
Essential system means a system that is required to ensure a
vessel's survivability, maintain safe operation, control the vessel, or
ensure safety of on-board personnel, including systems for:
(1) Detection or suppression of fire;
(2) Emergency dewatering or ballast management;
(3) Navigation;
(4) Internal and external communication;
(5) Vessel control, including propulsion, steering, maneuverability
and their essential auxiliaries (e.g., lube oil, fuel oil, cooling
water pumps, machinery space ventilation);
(6) Emergency evacuation and abandonment;
(7) Lifesaving;
(8) Control of a tow; and
(9) Any other marine engineering system identified in an approved
Towing Safety Management System (TSMS) identified by the cognizant
Officer in Charge, Marine Inspection (OCMI) as essential to the
vessel's survivability, maintaining safe operation, controlling the
vessel, or ensuring safety of onboard personnel.
Excepted vessel means a towing vessel that is:
(1) Used solely for any one or combination of the following
services:
(i) Within a limited geographic area, such as a fleeting area for
barges or a commercial facility, and used for restricted service, such
as making up or breaking up larger tows;
(ii) For harbor-assist;
(iii) For response to emergency or pollution; or
(2) Exempted by the cognizant Officer in Charge, Marine Inspection
(OCMI).
Existing towing vessel means a towing vessel, subject to inspection
under this subchapter, that is not a new towing vessel, as defined in
this section.
External Audit means an audit conducted by a party with no direct
affiliation to the vessel or owner or managing operator being audited.
Fixed fire-extinguishing system means:
(1) A carbon dioxide system that satisfies 46 CFR subpart 76.15 and
is approved by the Coast Guard;
(2) A manually operated, clean agent system that satisfies National
Fire Protection Association (NFPA) Standard 2001 (incorporated by
reference in Sec. 136.112 of this subchapter) and is approved by the
Coast Guard; or
(3) A manually operated, water mist system that satisfies NFPA
Standard 750 (incorporated by reference in Sec. 136.112 of this part)
and is approved by the Coast Guard.
Fleeting area means a limited geographic area where individual
barges are moored or assembled to make a tow. The barges are not in
transport, but are temporarily marshaled and waiting for pickup by
different vessels that will transport them to various destinations.
Fully attended means that a person who is appropriately trained to
monitor and operate engineering equipment is located in the engine room
at all times while the vessel is underway.
Galley means a space containing appliances with cooking surfaces
that may exceed 121 degrees Celsius (250 degrees Fahrenheit) such as
ovens, griddles, and deep fat fryers.
Great Lakes means a route on the waters of any of the Great Lakes
and of the St. Lawrence River as far east as a straight line drawn from
Cap de Rosiers to West Point, Anticosti Island, and west of a line
along the 63rd meridian from Anticosti Island to the north shore of the
St. Lawrence River.
Gross Tons means the gross ton measurement of the vessel under 46
U.S.C. chapter 145, Regulatory Measurement. For a vessel measured under
only 46 U.S.C. chapter 143, Convention Measurement, the vessel's gross
tonnage measured under 46 U.S.C. chapter 143 is used to apply all
thresholds expressed in terms of gross tons.
Harbor of Safe Refuge means a port, inlet, or other body of water
normally sheltered from heavy seas by land and in which a vessel can
navigate and safely moor. The suitability of a location as a harbor of
safe refuge will be determined by the cognizant Officer in Charge,
Marine Inspection, and varies for each vessel, dependent on the
vessel's size, maneuverability, and mooring gear.
Harbor-assist means the use of a towing vessel during maneuvers to
dock, undock, moor, or unmoor a vessel or to escort a vessel with
limited maneuverability.
Horsepower means the horsepower stated on the Certificate of
Inspection (COI), which is the sum of the manufacturer's listed brake
horsepower for all installed propulsion engines.
Independent means the equipment is arranged to perform its required
function regardless of the state of operation, or failure, of other
equipment.
Inland Waters means the navigable waters of the United States
shoreward of the Boundary Lines as described in 46 CFR part 7,
excluding the Great Lakes and, for towing vessels, excluding the
Western Rivers.
Internal Audit means an audit that is conducted by a party which
has a direct affiliation to the vessel or owner or managing operator
being audited.
International Voyage means a voyage between a country to which
SOLAS applies and a port outside that country. A country, as used in
this definition, includes every territory for the international
relations of which a contracting government to the convention is
responsible or for which the United Nations is the administering
authority. For the U.S., the term ``territory'' includes the
Commonwealth of Puerto Rico, all possessions of the U.S., and all lands
held by the U.S. under a protectorate or mandate. For the purposes of
this subchapter, vessels are not considered as being on an
``international voyage'' when solely navigating the Great Lakes and the
St. Lawrence River as far east as a straight line drawn from Cap des
Rosiers to West Point, Anticosti Island and, on the north side of
Anticosti Island, the 63rd meridian.
[[Page 50007]]
Lakes, bays, and sounds means a route on any of the following
waters:
(1) A lake other than the Great Lakes;
(2) A bay;
(3) A sound; or
(4) Such other similar waters as may be designated by the cognizant
Coast Guard District Commander.
Length means the horizontal distance measured from end to end over
the deck, excluding the sheer. Fittings and attachments are not
included in the length measurement.
Limited coastwise means a route that is not more than 20 nautical
miles from a harbor of safe refuge.
Limited geographic area means a local area of operation, usually
within a single harbor or port. The local Captain of the Port (COTP)
determines limited geographic areas for each zone.
Machinery space means any enclosed space that either contains an
installed, internal combustion engine, machinery, or systems that would
raise the ambient temperature above 45 degrees Celsius in all
environments the vessel operates in.
Major conversion means a conversion of a vessel that, as determined
by the Coast Guard, substantially changes the dimensions or carrying
capacity of the vessel, changes the type of vessel, substantially
prolongs the life of the vessel, or otherwise changes the vessel such
that it is essentially a new vessel.
Major non-conformity means an identifiable deviation which poses a
serious threat to personnel, vessel safety, or a serious risk to the
environment, and requires immediate corrective action, including the
lack of effective and systematic implementation of a requirement of the
Towing Safety Management System (TSMS).
Managing operator means an organization or person, such as the
manager or the bareboat charterer of a vessel, who has assumed the
responsibility for operation of the vessel from the ship owner and who,
on assuming responsibility, has agreed to take over all the duties and
responsibilities imposed by this subchapter.
New towing vessel means a towing vessel, subject to inspection
under this subchapter, that:
(1) Was contracted for, or the keel which was laid on or after,
[EFFECTIVE DATE OF FINAL RULE];
(2) Underwent a major conversion that was initiated on or after
[EFFECTIVE DATE OF FINAL RULE]; or
(3) Is built without a contract, the keel laying date will be used
to determine applicability.
Non-conformity means a situation where objective evidence indicates
a non-fulfillment of a specified requirement.
Objective evidence means quantitative or qualitative information,
records, or statements of fact pertaining to safety or to the existence
and implementation of a safety management system element, which is
based on observation, measurement, or testing that can be verified.
This may include, but is not limited to towing gear equipment
certificates and maintenance documents, training records, repair
records, Coast Guard documents and certificates, surveys, or class
society reports.
Oceans means a route that is more than 20 nautical miles offshore
on any of the following waters:
(1) Any ocean;
(2) The Gulf of Mexico;
(3) The Caribbean Sea;
(4) The Bering Sea;
(5) The Gulf of Alaska; or
(6) Such other similar waters as may be designated by the cognizant
Coast Guard District Commander.
Officer in Charge, Marine Inspection (OCMI) means an officer of the
Coast Guard designated as such by the Coast Guard and who, under the
direction of the Coast Guard District Commander, is in charge of a
marine inspection zone, described in part 3 of this chapter, for the
performance of duties with respect to the inspection, enforcement, and
administration of vessel safety and navigation laws and regulations.
The ``cognizant OCMI'' is the OCMI who has immediate jurisdiction over
a vessel for the purpose of performing the duties previously described.
Oil or hazardous materials in bulk, as used in this subchapter,
means that the towing vessel tows, pushes, or hauls alongside tank
barge(s) certificated under subchapters D or O of this chapter.
Operating station means the principal steering station on the
vessel, or the barge being towed or pushed, from which the vessel is
normally navigated.
Owner means the owner of a vessel, as identified on the vessel's
certificate of documentation or state registration.
Policy means a specific statement of principles or guiding
philosophy that demonstrates a clear commitment by management; a
statement of values or intent that provides a basis for consistent
decision making.
Power and lighting circuit means a branch circuit as defined in
NFPA 70-2002-National Electric Code (NEC) (incorporated by reference in
Sec. 136.112 of this subchapter) Article 100 that serves any essential
system, a distribution panel, lighting, motor or motor group, or group
of receptacles. Where multiple loads are served, the circuit is
considered to be the conductor run that will carry the current common
to all the loads. ``Power limited circuit'' conductors under Article
725 of the NEC and ``instrumentation'' conductors under Article 727 of
the NEC are not considered to be power and lighting circuits.
Pressure vessel means a closed tank, cylinder or vessel containing
gas, vapor or liquid, or a combination thereof, under pressure.
Procedure means a specification of a series of actions, acts, or
operations which must be executed in the same manner in order to
achieve a uniform approach to compliance with applicable policies.
Propulsor means a device (e.g., propeller, water jet) which imparts
force to a column of water in order to propel a vessel, together with
any equipment necessary to transmit the power from the propulsion
machinery to the device (e.g., shafting, gearing, etc.).
Recognized Classification Society means the American Bureau of
Shipping (ABS) or other classification society recognized by Coast
Guard in accordance with Part 8 of this chapter.
Recognized hazardous conditions means conditions that are:
(1) Generally known among persons in the towing industry as
causing, or likely to cause, death or serious physical harm to persons
exposed to those conditions; and
(2) Routinely controlled in the towing industry.
Rivers means a route on any river, canal, or other similar body of
water designated by the cognizant Officer in Charge, Marine Inspection.
Safety Management System means a structured and documented system
enabling owner or managing operator and vessel personnel to effectively
implement the owner or managing operator's safety and environmental
protection policies and that is routinely exercised and audited in a
way that ensures the policies and procedures are incorporated into the
daily operation of the vessel.
Skiff means a small auxiliary boat carried onboard a towing vessel.
SOLAS means the International Convention for Safety of Life at Sea,
1974, as amended.
Survey means an examination of the vessel, its systems and
equipment to verify compliance with applicable regulations, statutes,
conventions, and treaties.
Terminal gear means the additional equipment or appurtenances at
either end of the hawser or tow cable that connect the towing vessel
and tow together and may include such items as
[[Page 50008]]
thimbles, chafing gear, shackles, pendants and bridles.
Third-party organization means an organization approved by the
Coast Guard to conduct independent verification that Towing Safety
Management Systems or towing vessels comply with applicable
requirements contained in this subchapter.
Tow means a combination of a towing vessel and one or more barges
or a vessel not under its own power.
Towing vessel means a commercial vessel engaged in or intending to
engage in the service of pulling, pushing, or hauling along side, or
any combination of pulling, pushing, or hauling along side.
Towing Vessel Record (TVR) means a book, notebook, or electronic
record used to document events required by this subchapter.
Travel time means the time that it takes for a crewmember to
proceed to the towing vessel, inclusive of periods spent on commercial
and non commercial carriers, transferring between carriers, layovers,
and other delays.
Unsafe practice means a habitual or customary action or way of
doing something which creates significant risk of harm to life,
property, or the marine environment; or which contravenes a recognized
standard of care contained in law, regulation, applicable international
convention or international, national or industry consensus standard.
Warm water means water where the monthly mean low water temperature
is normally more than 15 degrees Celsius (59 Fahrenheit).
Western Rivers means the Mississippi River, its tributaries, South
Pass, and Southwest Pass, to the navigational demarcation lines
dividing the high seas from harbors, rivers, and other inland waters of
the United States, and the Port Allen-Morgan City Alternate Route, and
that part of the Atchafalaya River above its junction with the Port
Allen-Morgan City Alternate Route including the Old River and the Red
River, and those waters specified in 33 CFR 89.25.
Workboat means a vessel that pushes, pulls, or hauls alongside
equipment including dredging, construction, maintenance, or repair
equipment within a worksite.
Worksite means an area specified by the cognizant Officer in
Charge, Marine Inspection (OCMI) within which workboats are operated
over short distances for dredging, construction, maintenance, or repair
work and may include shipyards, owner's yards, or lay-down areas used
by marine construction projects.
Work space means any area on the vessel where the crew may be
present while on duty and performing their assigned tasks.
Sec. 136.112 Incorporation by reference.
Certain material is incorporated by reference into this part with
the approval of the Director of the Federal Register under 5 U.S.C
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Coast Guard must publish notice of
change in the Federal Register and the material must be available to
the public. All approved material is available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal
regulations/ibr_locations.html. Also, it is available for inspection
at U.S. Coast Guard, Office of Design and Engineering Standards (CG-
521), 2100 Second Street, SW., Washington, DC 20593-0001, and is
available from the sources listed in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are:
------------------------------------------------------------------------
------------------------------------------------------------------------
National Fire Protection Association (NFPA), 1 Batterymarch Park,
Quincy, MA 02269-9101
------------------------------------------------------------------------
NFPA 750--Standard on Water Mist Fire Protection 136.110
Systems, 2006..........................................
NFPA 2001--Standard on Clean Agent Fire Extinguishing 136.110
Systems, 2008..........................................
NFPA 70-2002-National Electric Code (NEC), 2002......... 136.110
------------------------------------------------------------------------
International Maritime Organization (IMO), 4, Albert Embankment, London,
SE1 7SR, United Kingdom
------------------------------------------------------------------------
Resolution A. 520(13), Code of Practice for the 136.115
Evaluation, Testing and Acceptance of Prototype Novel
Life-Saving Appliances and Arrangements, 1983..........
------------------------------------------------------------------------
Sec. 136.115 Equivalents.
(a) The Coast Guard may approve any arrangement, fitting,
appliance, apparatus, equipment, calculation, information, or test,
which provides a level of safety equivalent to that established by
specific provisions of this subchapter. Requests for approval must be
submitted to the Coast Guard via the cognizant Officer in Charge,
Marine Inspection (OCMI). If necessary, the Marine Safety Center may
require engineering evaluations and tests to demonstrate the
equivalence of the substitute.
(b) The Coast Guard may accept compliance with the provisions of
the International Convention for Safety of Life at Sea (SOLAS), 1974,
as amended, applicable to the vessel's size and route as an equivalent
to compliance with applicable requirements of this subchapter. Requests
for a determination of equivalency for a particular vessel must be
submitted to the Marine Safety Center via the cognizant OCMI.
(c) The Coast Guard may approve a novel lifesaving appliance or
arrangement as an equivalent if it has performance characteristics at
least equivalent to the appliance or arrangement required under this
subchapter and has been evaluated and tested under International
Maritime Organization (IMO) Resolution A.520(13) (incorporated by
reference by Sec. 136.112 of this part), Code of Practice for the
Evaluation, Testing and Acceptance of Prototype Novel Life-Saving
Appliances and Arrangements.
(d) The Coast Guard may accept alternative compliance arrangements
in lieu of specific provisions of the Towing Safety Management System
(TSMS) for the purpose of determining that an equivalent safety
management system is in place onboard a vessel. The Coast Guard may
consider the size and corporate structure of a vessel's management when
determining the acceptability of an equivalent system. Requests for
determination of equivalency must be submitted to Coast Guard via the
cognizant OCMI.
(e) Alternate compliance arrangements must be documented within the
TSMS applicable to the vessel.
Sec. 136.120 Special consideration.
Based on review of relevant information and the Towing Safety
Management System applicable to the vessel, the cognizant Officer in
Charge, Marine Inspection (OCMI) who issues the Certificate of
Inspection may give
[[Page 50009]]
special consideration to authorizing departures from the specific
requirements, when unusual circumstances or arrangements warrant such
departures and an equivalent level of safety is provided.
Sec. 136.130 Options for obtaining certification of a towing vessel.
(a) TSMS or annual Coast Guard inspections. This subchapter
provides two options for obtaining a Certificate of Inspection for a
towing vessel. The first option is annual inspection of the towing
vessel by the Coast Guard, as discussed in Sec. Sec. 136.150 through
136.165, part 137, and parts 140 through 144. The second option is to
comply with the requirements for use of a towing safety management
system (TSMS) and for use of approved third parties, as discussed in
Sec. 136.210 and parts 137 through 144 of this subchapter. Regardless
of the option chosen, the Coast Guard is responsible for issuing a
towing vessel Certificate of Inspection and may board a vessel at any
time to verify compliance and take appropriate action. An owner or
operator choosing the annual inspection option under Sec. Sec. 136.150
through 136.170 may use a management system, vessel operations manual,
or logbook to meet this subchapter's recordkeeping requirements.
(b) Specifying option. When submitting an application for a
Certificate of Inspection, the owner or operator must specify which
option he or she chooses for each particular towing vessel. Owners or
operators may choose separate options for separate vessels within their
fleet.
(c) Changing option. Requests to change options during the period
of validity of an existing Certificate of Inspection must be
accompanied by a new application to the OCMI for a new Certificate of
Inspection. If the requirements for the new option are met, the OCMI
will issue the vessel a new Certificate of Inspection.
(d) Drydock examinations. The option chosen for obtaining a
vessel's Certificate of Inspection does not impact the frequency of
required drydock examinations. Underwater inspections in lieu of a
drydock (UWILD) can be used to obtain a Certificate of Inspection
regardless of which option is chosen.
Sec. 136.140 Application for a Certificate of Inspection (COI).
Owners and operators must submit a written application for an
inspection for certification to the cognizant OCMI. To renew a
Certificate of Inspection (COI), owners and operators must submit an
application at least 30 days before the expiration of the towing
vessel's current certificate. Form CG-3752, Application for Inspection
of U.S. Vessel, must be submitted to the OCMI at or nearest to the port
where the vessel is located. When renewing a COI, the owner or operator
must schedule an inspection for certification within the 3 months
before the expiration date of the current COI.
Sec. 136.145 Inspection for certification.
(a) Frequency of inspections. After receiving an application for
inspection, the OCMI will inspect a towing vessel located in his or her
jurisdiction at least once every 5 years. The OCMI must ensure that
every towing vessel is of a structure suitable for its intended route.
If the OCMI deems it necessary, he or she may direct the vessel to be
put in motion and may adopt any other suitable means to test the towing
vessel and its equipment.
(b) Nature of inspections. The inspection for certification will
include an inspection of the structure, pressure vessels, machinery and
equipment. The inspection will ensure that the vessel is in
satisfactory condition and fit for the service for which it is
intended, and that it complies with the applicable regulations for such
vessels. It will include inspections of the structure, pressure vessels
and their appurtenances, piping, main and auxiliary machinery,
electrical installations, lifesaving appliances, fire detecting and
extinguishing equipment, pilot boarding equipment, and other equipment.
The inspection will also determine that the vessel is in possession of
a valid certificate issued by the Federal Communications Commission, if
required. The inspector will also examine the vessel's lights, means of
making sound signals, and distress signals, to ensure that they comply
with the requirements of the applicable statutes and regulations. The
inspector will also examine the vessel's pollution prevention systems
and procedures.
(c) Time of issuance of Certificate of Inspection. The OCMI will
issue a vessel a new Certificate of Inspection upon completing the
inspection for certification.
Sec. 136.150 Annual and periodic inspections.
(a) Annual inspection. A towing vessel subject to subchapter M and
choosing the Coast Guard option, or required to have the Coast Guard
option, must undergo an annual inspection within 3 months before or
after each anniversary date, except as specified in paragraph (b) of
this section.
(1) Owners and operators must contact the cognizant OCMI to
schedule an inspection at a time and place which he or she approves. No
written application is required.
(2) Annual inspections will be similar to the inspection for
certification but will cover less detail unless the cognizant marine
inspector finds deficiencies or determines that a major change has
occurred since the last inspection. If the cognizant marine inspector
finds deficiencies or that a major change to the vessel has occurred,
he or she will conduct a more detailed inspection to ensure that the
vessel is in satisfactory condition and fit for the service for which
it is intended. If the vessel passes the annual inspection, the marine
inspector will endorse the vessel's current Certificate of Inspection.
(3) If the annual inspection reveals deficiencies in a vessel's
maintenance, the owner or operator must make any or all repairs or
improvements within the time period specified by the OCMI.
(4) Nothing in this subpart limits the marine inspector from
conducting such tests or inspections he or she deems necessary to be
assured of the vessel's seaworthiness.
(b) Periodic inspection. If an owner or operator chooses the Coast
Guard inspection option, his or her vessel must undergo a periodic
inspection within 3 months before or after the second or third
anniversary of the date of the vessel's Certificate of Inspection. This
periodic inspection will take the place of an annual inspection.
(1) Owners and operators must contact the cognizant OCMI to
schedule an inspection at a time and place the OCMI approves. No
written application is required.
(2) The scope of the periodic inspection is the same as that for
the inspection for certification, as specified in Sec. 136.145. The
OCMI will ensure that the vessel is in satisfactory condition and fit
for the service for which it is intended. If the vessel passes the
periodic inspection, the marine inspector will endorse the vessel's
current Certificate of Inspection.
(3) If the periodic inspection reveals deficiencies in a vessel's
maintenance, the owner or operator must make any or all repairs or
improvements within the time period specified by the OCMI.
(4) Nothing in this subpart limits the marine inspector from
conducting such tests or inspections he or she deems necessary to be
assured of the vessel's seaworthiness.
[[Page 50010]]
Sec. 136.165 Certificate of Inspection: conditions of validity.
To maintain a valid Certificate of Inspection, an owner or operator
who chooses the Coast Guard option must complete the annual and
periodic inspections within the periods specified in Sec. 136.150(a)
and (b), and the cognizant OCMI must endorse the vessel's Certificate
of Inspection.
Sec. 136.170 Compliance for the Coast Guard option.
All owners or managing operators of more than one towing vessel
required to have a Certificate of Inspection (COI) by this subchapter
and choosing the Coast Guard inspection option, must ensure that each
vessel under their ownership or control is issued a valid Certificate
of Inspection (COI) according to the following schedule:
(a) Within 3 years of the effective date of this subchapter, 25
percent of the towing vessels must have onboard valid COIs;
(b) Within 4 years of the effective date of this subchapter, 50
percent of the towing vessels must have onboard valid COIs;
(c) Within 5 years of the effective date of this subchapter, 75
percent of the towing vessels must have onboard valid COIs; and
(d) Within 6 years of the effective date of this subchapter, 100
percent of the towing vessels must have onboard valid COIs.
Sec. 136.175 Approved equipment.
Where equipment in this subchapter is required to be of an approved
type, such equipment requires the specific approval of the Coast Guard.
A listing of approved equipment and materials may be found online at
http://cgmix.uscg.mil/equip/default.aspx. Each Officer in Charge,
Marine Inspection (OCMI) may be contacted for information concerning
approved equipment and materials.
Sec. 136.180 Appeals.
Any person directly affected by a decision or action taken under
this subchapter, by or on behalf of the Coast Guard, may appeal in
accordance with Sec. 1.03 in subchapter A of this chapter.
Subpart B--Certificate of Inspection
Sec. 136.200 Certificate required.
(a) A towing vessel may not be operated without having onboard a
valid Certificate of Inspection (COI) issued by the U.S. Coast Guard.
(b) Each towing vessel certificated under the provisions of this
subchapter must be in full compliance with the terms of the COI.
(c) If necessary to prevent delay of the vessel, a temporary COI
may be issued to a towing vessel pending the issuance and delivery of
the regular COI. The temporary COI must be carried in the same manner
as the regular COI and is equivalent to the regular COI that it
represents.
(d) A towing vessel on a foreign voyage between a port in the
United States and a port in a foreign country, whose COI expires during
the voyage, may lawfully complete the voyage without a valid COI
provided the voyage is completed within 30 days of expiration and the
certificate did not expire within 15 days of sailing on the foreign
voyage from a U.S. port.
Sec. 136.203 Compliance for the TSMS option.
All owners or managing operators of more than one towing vessel
required to have a Certificate of Inspection (COI) by this subchapter
must ensure that each vessel under their ownership/control is issued a
valid Certificate of Inspection (COI) according to the following
schedule:
(a) Within 1 year of issuance of the Towing Safety Management
System (TSMS) Certificate under Sec. 138.305 of this subchapter, 25
percent of the towing vessels under their ownership/control must have
onboard valid COIs;
(b) Within 2 years of issuance of the TSMS Certificate under Sec.
138.305 of this subchapter, 50 percent of the towing vessels under
their ownership/control must have onboard valid COIs;
(c) Within 3 years of issuance of the TSMS Certificate under Sec.
138.305 of this subchapter, 75 percent of the towing vessels under
their ownership/control must have onboard valid COIs; and
(d) Within 4 years of issuance of the TSMS Certificate under Sec.
138.305 of this subchapter, 100 percent of the towing vessels under
their ownership/control must have onboard valid COIs.
Sec. 136.205 Description.
A towing vessel's Certificate of Inspection describes the vessel,
route(s) that it may travel, minimum manning requirements, minimum
safety equipment carried, horsepower, and other information pertinent
to the vessel's operations as determined by the Officer in Charge,
Marine Inspection.
Sec. 136.210 Obtaining or renewing a Certificate of Inspection (COI).
(a) A Certificate of Inspection (COI) is obtained or renewed
through the U.S. Coast Guard by making application to the cognizant
Officer in Charge, Marine Inspection (OCMI) of the marine inspection
zone in which the towing vessel is principally operated, or in which
the owner or managing operator maintains management offices.
(b) The following documentation must be submitted:
(1) A completed Form CG 3752, ``Application for Inspection of U.S.
Vessel'';
(2) Objective evidence that the owner or managing operator and
vessel are in compliance with the Towing Safety Management System
(TSMS) requirements of part 138 of this subchapter if a TSMS is
applicable to the vessel;
(3) For initial certification--
(i) Objective evidence that the vessel's structure and stability,
and essential systems comply with the applicable requirements contained
in this subchapter for the intended route and service. This objective
evidence may be in the form of a report issued by an approved third
party or other means acceptable to the Coast Guard; and
(ii) Vessel particular information.
(4) For vessels utilizing the TSMS option, objective evidence that
the vessel is equipped, maintained, and surveyed in compliance with
Sec. Sec. 137.200 and 137.300 of this subchapter; and
(5) A description of any modifications to the vessel.
(c) A towing vessel currently classed by a recognized
classification society will be deemed to be in compliance with the
design, construction, stability, equipment, and survey requirements of
this subchapter.
(d) A towing vessel with a valid load line certificate issued in
accordance with Subchapter E of this chapter may be deemed in
compliance with the structural, drydocking, and stability requirements
of this subchapter. The frequency of drydockings must meet the
standards set forth in Sec. 137.310 of this subchapter.
(e) A towing vessel with a valid International Safety Management
Code certificate issued by a recognized classification society will be
deemed in compliance with the TSMS requirements of this subchapter.
Sec. 136.215 Period of validity.
(a) A Certificate of Inspection (COI) for a towing vessel is valid
for 5 years from the date of issue.
(b) A COI is invalid upon the expiration or revocation of the owner
or managing operator Towing Safety Management System Certificate or
International Safety Management Code Certificate.
(c) A COI may be suspended and withdrawn or revoked by the
cognizant Officer in Charge, Marine Inspection at any time for
noncompliance with the requirements of this subchapter.
[[Page 50011]]
Sec. 136.220 Posting.
(a) The original Certificate of Inspection (COI) must be framed
under glass or other transparent material and posted in a conspicuous
place onboard the towing vessel.
(b) If posting is impractical, such as in an open boat, the COI
must be kept onboard in a weathertight container and readily available.
Sec. 136.225 Temporary certificate.
If necessary to prevent delay of the towing vessel, a temporary
Certificate of Inspection (COI), Form CG-854, may be issued by the
cognizant Officer in Charge, Marine Inspection (OCMI), pending the
issuance and delivery of the regular COI. Such temporary COI must be
carried in the same manner as the regular COI.
Sec. 136.230 Routes permitted.
(a) The area of operation for each towing vessel and any necessary
operational limits are determined by the cognizant Officer in Charge,
Marine Inspection (OCMI) and recorded on the vessel's Certificate of
Inspection (COI). Each area of operation, referred to as a route, is
described on the COI under the major headings ``Oceans,''
``Coastwise,'' ``Limited Coastwise,'' ``Great Lakes,'' ``Lakes, Bays,
and Sounds,'' or ``Rivers,'' as applicable. Further limitations imposed
or extensions granted are described by reference to bodies of waters,
geographical points, distances from geographical points, distances from
land, depths of channel, seasonal limitations, and similar factors.
(b) Operation of a towing vessel on a route of lesser severity than
those specifically described or designated on the COI is permitted
unless expressly prohibited on the COI. The general order of severity
of routes is: Oceans; coastwise; limited coastwise; Great Lakes; lakes,
bays, and sounds; and rivers. The cognizant OCMI may prohibit a vessel
from operating on a route of lesser severity than the primary route on
which a vessel is authorized to operate, if local conditions
necessitate such a restriction.
(c) When designating a permitted route or imposing any operational
limits on a towing vessel, the cognizant OCMI may consider:
(1) The route-specific requirements of this subchapter;
(2) The performance capabilities of the vessel based on design,
scantlings, stability, subdivision, propulsion, speed, operating modes,
maneuverability, and other characteristics;
(3) The suitability of the vessel for nighttime operations and use
in all weather conditions;
(4) Vessel operations in globally remote areas or severe
environments not covered by this subchapter. Such areas may include,
but are not limited to, polar regions, remote islands, areas of extreme
weather, and other remote areas where timely emergency assistance
cannot be anticipated; and
(5) The Towing Safety Management System applicable to the vessel,
if the vessel has a TSMS.
Sec. 136.235 Certificate of Inspection (COI) amendment.
(a) An amended Certificate of Inspection (COI) may be issued at any
time by the cognizant Officer in Charge, Marine Inspection (OCMI). The
amended COI replaces the original, but the expiration date remains the
same as that of the original. An amended COI may be issued to authorize
and record a change in the dimensions, gross tonnage, owner, managing
operator, manning, persons permitted, route permitted, conditions of
operations, or equipment of a towing vessel, from that specified in the
current COI.
(b) A request for an amended COI must be made to the cognizant OCMI
by the owner or managing operator of the towing vessel at any time
there is a change in the character of the vessel or in its route,
equipment, ownership, operation, or similar factors specified in its
current COI.
(c) Prior to the issuance of an amended COI, the cognizant OCMI may
require that the owner or managing operator of the towing vessel
provide an audit report. The report must:
(1) Be from an approved third-party organization and prepared in
accordance with parts 138 and 139 of this subchapter; and
(2) Consider the change in the character of a vessel or in its
route, equipment, ownership, operation, or similar factors specified in
its current COI.
Sec. 136.240 Permit to proceed.
Permission to proceed to another port for repairs may be required
for a towing vessel that is no longer in compliance with its
Certificate of Inspection (COI). This may include damage to the vessel,
failure of an essential system, or failure to comply with a regulation,
including failure to comply with the Towing Safety Management System
(TSMS) requirements, if appropriate.
(a) The vessel may proceed to another port for repair, if:
(1) In the judgment of the owner, managing operator, or master, the
trip can be completed safely;
(2) If utilizing a TSMS, the TSMS addresses the condition of the
vessel that has resulted in non-compliance and the necessary conditions
under which the vessel may safely proceed to another port for repair;
(3) If utilizing a TSMS, the vessel proceeds as provided in the
TSMS and does not tow while proceeding unless the owner or managing
operator determines that it is safe to do so; and
(4) The owner or managing operator must notify the cognizant
Officer in Charge, Marine Inspection (OCMI) in whose zone the non-
compliance occurs or is discovered before the vessel proceeds and any
other OCMI zones through which the vessel will transit.
(b) If utilizing a TSMS and this TSMS does not address the
condition of the vessel that has resulted in non-compliance and the
necessary conditions under which the vessel may safely proceed to
another port for repair, the owner, managing operator, or master must
apply to the cognizant OCMI in whose zone the non-compliance occurs or
is discovered for permission to proceed to another port for repairs as
follows:
(1) The application may be made electronically, in writing, or
verbally. The cognizant OCMI may require a written description, damage
surveys, or other documentation to assist in determining the nature and
seriousness of the non-compliance;
(2) The vessel will not engage in towing, unless the cognizant OCMI
determines it is safe to do so; and
(3) The permit may be issued by the Coast Guard on Form CG-948,
``Permit to Proceed to Another Port for Repairs,'' or in letter form
and will state the conditions under which the vessel may proceed to
another port for repair.
(c) The cognizant OCMI may require inspection of the vessel by a
Coast Guard Marine Inspector or examination by an approved third-party
surveyor prior to the vessel proceeding.
Sec. 136.245 Permit to carry excursion party or temporary extension
or alternation of route.
(a) A towing vessel must obtain approval to engage in an excursion
prior to carrying a greater number of persons than permitted by the
Certificate of Inspection (COI) or a temporary extension or alteration
of area of operation.
(b) The vessel may engage in an excursion, if:
(1) In the opinion of the owner, managing operator, or master the
operation can be undertaken safely;
(2) If utilizing a TSMS, the TSMS addresses the temporary excursion
[[Page 50012]]
operation contemplated, the necessary conditions under which the vessel
may safely conduct the operation, including the number of persons the
vessel may carry, the crew required, and any additional lifesaving or
safety equipment required;
(3) If utilizing a TSMS, the vessel proceeds as provided in the
TSMS; and
(4) The owner, managing operator, or master notifies the cognizant
Officer in Charge, Marine Inspection (OCMI) at least 48 hours prior to
the temporary excursion operation. The cognizant OCMI may require
submission of the pertinent provisions of the TSMS applicable to the
vessel for review and onboard verification of compliance. If the
cognizant OCMI has reason to believe that the TSMS applicable to the
vessel is insufficient for the intended excursion, additional
information requested and/or additional requirements may be imposed.
(c)(1) If a TSMS applicable to the vessel does not address the
temporary excursion operation, then the owner or managing operator must
submit an application to the cognizant OCMI. The application must state
the intended route, number of passengers or guests, and any other
conditions applicable to the excursion that exceed those specified in
the COI.
(2) The cognizant OCMI may issue Form CG-949, ``Permit To Carry
Excursion Party'' or a letter. The cognizant OCMI will indicate on the
permit the conditions under which it is issued, the number of persons
the vessel may carry, the crew required, any additional lifesaving or
safety equipment required, the route for which the permit is granted,
and the dates on which the permit is valid. The application may be made
electronically, in writing, or verbally.
(d) The vessel may not engage in towing during the excursion,
unless the cognizant OCMI determines it is safe to do so.
(e) The cognizant OCMI may require inspection of the vessel by a
Coast Guard Marine Inspector, or examination by an approved third
party.
Sec. 136.250 Load lines.
Each towing vessel operating outside the Boundary Line (as set
forth in 46 CFR part 7) is subject to Subchapter E ``Load Lines'' as
follows:
(a) On international voyages: If 79 feet (24 meters) or more in
length and built on or after July 21, 1968, or 150 gross tons and over
if built before that date;
(b) On domestic voyages, including Great Lakes: If 79 feet (24
meters) or more in length and built on or after January 1, 1986, or 150
gross tons and over if built before that date.
PART 137--VESSEL COMPLIANCE
Subpart A--General
Sec.
137.100 Purpose.
137.105 Definitions.
137.110 [Reserved].
137.115 Issuance of Certificate of Inspection (COI).
137.120 Responsibility for compliance.
137.125 Towing Safety Management System (TSMS).
137.130 Program for vessel compliance for the TSMS option.
137.135 Reports and documentation required for the TSMS option.
Subpart B--Surveys for Certification for the TSMS Option
137.200 Frequency of survey.
137.205 Periodic survey.
137.210 Audited program.
137.215 General conduct of survey.
137.220 Scope.
Subpart C--Drydock and Internal Structural Surveys
137.300 Documenting Compliance for the TSMS option.
137.305 Intervals for drydock and internal structural examination.
137.310 Periodic survey for the TSMS option.
137.315 Audited program for the TSMS option.
137.320 Vessels holding a valid load line certificate.
137.325 General conduct of survey for the TSMS option.
137.330 Scope of the Drydock Examination.
137.335 Underwater survey in lieu of drydocking.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 137.100 Purpose.
This part describes the procedures owners or managing operators of
towing vessels must use to demonstrate compliance with the requirements
of this subchapter.
Sec. 137.105 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
Sec. 137.110 [Reserved]
Sec. 137.115 Issuance of Certificate of Inspection (COI).
The owner or managing operator of a towing vessel must demonstrate
that the vessel complies with this part to be eligible for Certificate
of Inspection (COI) in accordance with Sec. 136.210 of this
subchapter.
Sec. 137.120 Responsibility for compliance.
(a) The owner and managing operator must ensure that the towing
vessel is in compliance with this subchapter and other applicable laws
and regulations at all times.
(b) Non-conformities and deficiencies must be corrected in a timely
manner in order to prevent harm to life, property, and the marine
environment.
Sec. 137.125 Towing Safety Management System (TSMS).
If a Towing Safety Management System (TSMS) is applicable to the
towing vessel, the TSMS must:
(a) Include policies and procedures to ensure compliance with this
part; and
(b) Provide objective evidence that documents compliance with the
TSMS.
Sec. 137.130 Program for vessel compliance for the TSMS option.
The owner or managing operator of a towing vessel choosing to
utilize a TSMS must implement a program for vessel compliance. Each
program must include:
(a) Owner or managing operator policy regarding the survey of
towing vessels;
(b) Procedures for conducting towing vessel surveys, as described
in this part;
(c) Procedures for reporting and correcting non-conformities and
deficiencies;
(d) Identification of individual(s), and their qualifications,
responsible for the management of the program; and
(e) Documentation of compliance activities.
Sec. 137.135 Reports and documentation required for the TSMS option.
(a) Reports detailing surveys of a towing vessel conducted by an
approved third party must include:
(1) Vessel name;
(2) Other vessel identifier such as official number or state
number;
(3) Name and business address of owner or managing operator;
(4) Date(s) of the survey;
(5) Date the Report of Survey was issued if different than the date
the survey was concluded;
(6) Name of the surveyor;
(7) Name and business address of the approved third party the
surveyor represents;
(8) Signature of the surveyor;
(9) A list or description of the items examined or witnessed;
(10) A descriptive listing of all non-conformities identified
during the survey including those which were corrected during the
course of the survey;
(11) A descriptive listing of:
[[Page 50013]]
(i) All non-conformities remaining at the end of the survey;
(ii) The required corrective action(s);
(iii) The latest date of required corrective action, not to exceed
thirty days from date of discovery; and
(iv) Means by which the approved third party will verify that
satisfactory corrective action has occurred.
(12) Identification of items that need to be repaired or replaced
before the vessel continues in service; and
(13) A statement that the vessel complies with the applicable
requirements of this subchapter and is fit for service and route,
subject to correction of non-conformities.
(b) For a vessel subject to an audited program, the owner or
managing operator must provide objective evidence of compliance with
this part in accordance with the Towing Safety Management System
applicable to the vessel.
Subpart B--Surveys for Certification for the TSMS Option
Sec. 137.200 Frequency of survey.
The owner or managing operator of a towing vessel must document
compliance with this subpart as follows:
(a) Prior to obtaining the vessel's initial Certificate of
Inspection (COI), the owner or managing operator must provide to the
Coast Guard a report of a survey as described in Sec. 137.215 that
demonstrates that the vessel complies with the survey requirements of
this part.
(b) For re-issuance of the vessel's COI:
(1) Provide objective evidence of a periodic survey as described in
Sec. 137.205 of this part; or
(2) Provide objective evidence of an audited program as described
in Sec. 137.210 of this part.
Sec. 137.205 Periodic survey.
(a) The owner or managing operator of a towing vessel who
demonstrates compliance through a periodic survey must:
(1) Have the vessel surveyed annually by an approved third-party
surveyor;
(2) Ensure the survey is conducted in accordance with 137.215;
(3) Ensure the survey is conducted within 3 months of the
anniversary of the issuance of the Certificate of Inspection;
(4) Ensure the Towing Safety Management System (TSMS) applicable to
the vessel includes policies and procedures for complying with this
section; and
(5) Make the applicable sections of the TSMS available to the
surveyor.
(b) The approved third party must issue a report which meets the
requirements of Sec. 137.135 of this part.
Sec. 137.210 Audited program.
(a) The owner or managing operator of a towing vessel may
demonstrate vessel compliance through an audited program. The Towing
Safety Management System applicable to the vessel must include:
(1) Procedures for surveying and testing contained in Sec. 137.215
of this part;
(2) Equipment, systems, and onboard procedures to be surveyed;
(3) Identification of items that need repair or replacement before
the vessel continues in service;
(4) Procedures for documenting and reporting non-conformities and
deficiencies;
(5) Procedures for reporting and correcting major non-conformities;
(6) The responsible person(s) in management who has the authority,
to:
(i) Stop all vessel operations pending correction of non-
conformities and deficiencies;
(ii) Oversee vessel compliance activities; and
(iii) Track and verify that non-conformities and deficiencies were
corrected.
(7) Procedures for recordkeeping.
(b) The owner or managing operator is not required to survey the
items as described in Sec. 137.220 of this part as one event, but may
survey items on a schedule over time, provided that the interval
between successive surveys of any item does not exceed 1 year, unless
otherwise prescribed.
(c) Prior to placement into an audited program, a towing vessel
must successfully complete an initial audit by an approved third party.
Then, the vessel must be audited in accordance with the provisions of
part 138 of this subchapter.
(d) If the cognizant Officer in Charge, Marine Inspection (OCMI)
has reason to believe that an audited program is deficient, that OCMI
may:
(1) Require an audit or survey of the vessel in the presence of a
representative of the cognizant OCMI;
(2) Increase the frequency of the audits; or
(3) Require that the vessel comply with the periodic survey
requirements of Sec. 137.205 of this part.
(4) Require any specific action within his power and authority
deemed appropriate.
(5) For continued deficient audits, remove the vessel and or owner
or managing operator from the TSMS system.
Sec. 137.215 General conduct of survey.
(a) When conducting a survey of a towing vessel as required by this
subpart, the surveyor must determine that the item or system functions
as designed, is free of defects or modifications that reduce its
effectiveness, is suitable for the service intended, and functions
safely in a manner consistent for vessel type, service and route.
(b) The survey must address the items in Sec. 137.220 of this part
as applicable, and include:
(1) A review of certificates and documentation held on the vessel;
(2) Visual examination and tests of the vessel and its equipment
and systems in order to confirm that their condition is properly
maintained and that proper quantities are onboard;
(3) Observation of drills or training to determine that the program
of drills and training is carried out properly; and
(4) Visual examination to confirm that unapproved modifications
were not made to the vessel or its equipment.
(c) The thoroughness and stringency of the survey will depend upon
the condition of the vessel and its equipment.
(d) The owner or managing operator must notify the cognizant
Officer in Charge, Marine Inspection (OCMI) when the condition of the
vessel, its equipment, systems, or operations, create an unsafe
condition.
(e) The cognizant OCMI may require that the owner or managing
operator provide for the attendance of an approved third-party surveyor
or auditor to assist with verifying compliance with this part.
Sec. 137.220 Scope.
The owner or managing operator of a towing vessel must examine or
have examined the following systems, equipment, and procedures to
ensure that the vessel and its equipment are suitable for the service
for which the vessel is certificated:
(a) Towing Safety Management System (TSMS). (1) Verify that the
vessel is enrolled in a TSMS that complies with part 138 of this
subchapter;
(2) Verify that the policies and procedures applicable to the
vessel are available to the crew;
(3) Verify that internal and external audits are conducted in
accordance with the approved TSMS; and
(4) Verify that recordkeeping requirements are met.
(b) Hull structure and appurtenances. Verify that the vessel
complies with part 144 of this subchapter and examine the condition,
and where appropriate, witness the operation of the following:
[[Page 50014]]
(1) All accessible parts of the exterior and interior of the hull,
the watertight bulkheads, and weather decks;
(2) All watertight closures in the hull, decks, and bulkheads,
including through hull fittings and sea valves;
(3) Superstructure, masts, and similar arrangements constructed on
the hull;
(4) Railings and bulwarks and their attachments to the hull
structure;
(5) The presence of guards or rails in dangerous places;
(6) All weathertight closures above the weather deck and the
provisions for drainage of sea water from the exposed decks;
(7) Watertight doors, verifying local and remote operation and
proper fit;
(8) All accessible interior spaces to ensure that they are
adequately ventilated and drained, and that means of escape are
maintained and operate as intended; and
(9) Vessel markings.
(c) Machinery, fuel, and piping systems. Verify that the vessel
complies with applicable requirements contained in part 143 of this
subchapter and examine the condition, and where appropriate, witness
the operation of the following:
(1) Engine control mechanisms, including primary and alternate
means, if the vessel is equipped with alternate means, of starting
machinery, directional controls, and emergency shutdowns;
(2) All machinery essential to the routine operation of the vessel,
including generators and cooling systems;
(3) All fuel systems, including fuel tanks, tank vents, piping, and
pipe fittings;
(4) All valves in fuel lines, including local and remote operation;
(5) All overboard discharge and intake valves and watertight
bulkhead pipe penetration valves;
(6) Means provided for pumping bilges; and
(7) Machinery shut-downs and alarms.
(d) Steering systems. Examine the condition and, where appropriate,
witness the operation of the following:
(1) Steering systems and equipment ensuring smooth operation;
(2) Auxiliary means of steering, if installed; and
(3) Alarms.
(e) Pressure vessels and boilers. Examine, maintain, repair, and
test unfired pressure vessels and boilers in accordance with subpart C
of part 143 of this chapter.
(f) Electrical. Verify vessel complies with applicable requirements
contained in part 143 of this subchapter and examine the condition and,
where appropriate, witness the operation of the following:
(1) All cables, as far as practicable, without undue disturbance of
the cable or electrical apparatus;
(2) Circuit breakers, including testing by manual operation;
(3) Fuses, including ensuring the ratings of fuses are suitable for
the service intended;
(4) All generators, motors, lighting fixtures, and circuit
interrupting devices;
(5) Batteries including security of stowage;
(6) Electrical apparatus, which operates as part of or in
conjunction with a fire detection or alarms system installed onboard
the vessel, to ensure operation in case of fire; and
(7) All emergency electrical systems, including any automatic
systems if installed.
(g) Lifesaving. Verify vessel complies with applicable requirements
contained in part 141 of this subchapter and examine the condition of
lifesaving equipment and systems as follows:
(1) Vessel is equipped with the required number of lifejackets,
work vests, and immersion suits;
(2) Serviceable condition of each lifejacket, work vest, and marine
buoyant device;
(3) Each lifejacket, other personal floatation device, and other
lifesaving device found to be defective and incapable of repair, was
destroyed;
(4) Each item of lifesaving equipment found to be defective has
been repaired or replaced;
(5) Each piece of expired lifesaving equipment has been replaced;
(6) Operation of each rescue boat and its launching appliance and
survival craft launching appliance in accordance with Subchapter W of
this chapter;
(7) Servicing of each inflatable liferaft, inflatable buoyant
apparatus, and inflatable lifejacket as required by Subchapter W of
this chapter;
(8) Operation of each hydrostatic release unit as required by
Subchapter W of this chapter; and
(9) Vessel's crew conducted abandon ship and man overboard drills
under simulated emergency conditions.
(h) Fire protection. Verify vessel complies with applicable
requirements contained in part 142 of this subchapter and examine or
verify fire protection equipment and systems as follows:
(1) Vessel is equipped with the required fire protection equipment
for the vessel's route and service;
(2) Examinations, testing, and maintenance as required by Sec.
142.240 of this subchapter are performed; and
(3) Training requirements of Sec. 142.245 of this subchapter are
carried out.
(i) Towing gear. Verify vessel complies with applicable
requirements contained in parts 140 and 143 of this subchapter and
examine or verify the condition, and where appropriate, the operation
of the following:
(1) Deck machinery including controls, guards, alarms and safety
features;
(2) Hawsers, wires, bridles, push gear, and related vessel fittings
for damage or wear; and
(3) Vessel complies with 33 CFR part 164, if applicable.
(j) Navigation equipment. Verify vessel complies with applicable
requirements contained in part 140 of this subchapter and examine or
verify the condition and, where appropriate, the operation of the
following:
(1) Navigation systems and equipment;
(2) Navigation lights;
(3) Navigation charts or maps appropriate to the area of operation
and corrected up to date;
(4) Operation of equipment and systems necessary to maintain
visibility through the pilothouse windows; and
(5) Vessel complies with 33 CFR Part 164, if applicable.
(k) Sanitary examination. Examine quarters, toilet and washing
spaces, galleys, serving pantries, lockers, and similar spaces to
ensure that they are clean and decently habitable.
(l) Unsafe practices. (1) Verify that all observed unsafe
practices, fire hazards, and other hazardous situations are corrected,
and all required guards and protective devices are in satisfactory
condition; and
(2) Ensure that bilges and other spaces are free of excessive
accumulation of oil, trash, debris, or other matter that might create a
fire hazard, clog bilge pumping systems, or block emergency escapes.
(m) Vessel personnel. Verify that the:
(1) Vessel is manned in accordance with the vessel's Certificate of
Inspection;
(2) Crew is maintaining vessel logs and records in accordance with
applicable regulations and the TSMS appropriate to the vessel;
(3) Crew is complying with the crew safety and personnel health
requirements of part 140 of this subchapter;
(4) Crew has received training required by parts 140, 141, and 142
of this subchapter; and
(5) Vessel complies with part 140 of this subchapter.
(n) Prevention of oil pollution. Examine the vessel to ensure
compliance with the oil pollution
[[Page 50015]]
prevention requirements set forth in Sec. 140.655 of this subchapter.
(o) Miscellaneous systems and equipment. Examine all items in the
vessel's outfit, such as ground tackle, markings, and placards, which
are required to be carried by the regulations in this subchapter.
Subpart C--Drydock and Internal Structural Surveys
Sec. 137.300 Documenting compliance for the TSMS option.
The owner or managing operator of a towing vessel must document
compliance with this subpart as follows:
(a) Except as provided in paragraph (c) of this section, the owner
or managing operator must provide to the Coast Guard a report of a
survey as described in Sec. 137.215 of this part that demonstrates
that the vessel complies with the drydock and internal structural
survey requirements of this part, prior to obtaining the vessel's
initial Certificate of Inspection (COI).
(b) For re-issuance of the vessel's COI:
(1) Provide objective evidence of a periodic survey as described in
Sec. 137.310 of this part; or
(2) Provide objective evidence of an audited program as described
in Sec. 137.315 of this part.
(c) Objective evidence of compliance with the load line assignment,
certification, and marking requirements in subchapter E (Load lines) of
this chapter must be provided as described in Sec. 137.320 of this
part.
Sec. 137.305 Intervals for drydock and internal structural
examination.
(a) Regardless of the option chosen to obtain a COI, each towing
vessel must undergo a drydock examination and internal structural
examination at the following intervals:
(1) A vessel that is exposed to salt water more than 6 months in
any 12-month period since the last survey must undergo a drydock and an
internal structural survey at least twice every 5 years, with not more
than 36 months between drydockings; and
(2) A vessel that is exposed to salt water not more than 6 months
in any 12-month period since the last survey must undergo a drydock and
an internal structural survey at least once every 5 years.
(b) The cognizant Officer in Charge, Marine Inspection may require
further examination of the vessel whenever damage or deterioration to
hull plating or structural members is discovered or suspected that may
affect the seaworthiness of a vessel. This may include examination of
the vessel on drydock, including:
(1) Internal structural examination of any affected space of a
vessel, including fuel tanks;
(2) Removal of the vessel from service to assess the extent of the
damage and to effect permanent repairs; or
(3) Adjusting the drydock examination intervals to monitor the
vessel's structural condition.
Sec. 137.310 Periodic survey for the TSMS option.
(a) The owner or managing operator of a towing vessel may
demonstrate that the vessel complies with Sec. 137.330 of this part by
having an approved third-party surveyor conduct a survey of the vessel.
(b) The survey must be conducted at the intervals prescribed in
Sec. 137.305 of this part.
(c) The Towing Safety Management System (TSMS) applicable to the
vessel must include policies and procedures for complying with this
section.
(d) The applicable sections of the TSMS must be made available to
the surveyor conducting the survey.
(e) The drydock and internal structural survey must be documented
in a report that complies with the information required in Sec.
137.205(b) of this part.
Sec. 137.315 Audited program for the TSMS option.
(a) The owner or managing operator of a towing vessel may
demonstrate compliance with this subpart through an audited program.
The Towing Safety Management System (TSMS) applicable to the vessel
must include:
(1) An examination that meets the requirements contained in Sec.
137.325 of this part;
(2) Qualifications of the personnel authorized to carry out
examinations that are comparable to the requirements of an approved
third-party surveyor as provided for in Sec. 139.130 of this
subchapter;
(3) Procedures for documenting and reporting non-conformities and
deficiencies;
(4) Procedures for reporting and correcting major non-conformities;
(5) Identification of a responsible person in management who has
the authority to stop all vessel operations pending correction, oversee
vessel compliance activities, and track and verify the correction of
non-conformities and deficiencies; and
(6) Identification of objective evidence that supports the
completion of all elements of a vessel's drydock and internal
structural examinations.
(b) The third-party organization responsible for auditing the TSMS
must be notified whenever activities related to credit drydocking or
internal structural examinations are to be carried out.
(c) The interval between examinations of each item may not exceed
the applicable interval described in Sec. 137.305 of this part.
(d) Prior to commencing work, the owner or managing operator must
notify the cognizant Officer in Charge, Marine Inspection (OCMI) of the
zone within which activities related to credit drydocking or internal
structural surveys are to be carried out.
(e) If the OCMI described in paragraph (d) of this section has
reason to believe that an audited program of drydock and internal
structural survey is deficient, s/he may:
(1) Require an audit of ongoing drydocking procedures and
documentation applicable to the vessel in the presence of a
representative of the cognizant OCMI;
(2) Increase the frequency of the audits; or
(3) Require a survey by an approved third party.
(4) Require any specific action within his power and authority
deemed appropriate.
(5) For continued deficiencies, remove the vessel and/or owner or
managing operator from the TSMS system.
Sec. 137.320 Vessels holding a valid load line certificate.
(a) A towing vessel with a valid load line certificate issued by a
Recognized Classification Society will meet the requirements of this
section.
(b) The cognizant OCMI may request copies of all pertinent load
line survey documentation to include the last two periodic surveys.
Sec. 137.325 General conduct of survey for the TSMS option.
(a) When conducting a survey of a towing vessel as required by this
subpart, the surveyor must determine that the hull and related
structure and components are free of defects, deterioration, damage, or
modifications that reduce effectiveness, and that the vessel is
suitable for route and service.
(b) The survey must address the items in Sec. 137.330 of this part
as applicable, and include:
(1) Access to internal spaces as appropriate;
(2) Visual survey of the external structure of the vessel to
confirm that the condition is properly maintained; and
(3) Visual survey to confirm that unapproved modifications were not
made to the vessel.
[[Page 50016]]
(c) The thoroughness and stringency of the survey will depend upon
the condition of the vessel.
(d) The owner or managing operator must notify the cognizant
Officer in Charge, Marine Inspection (OCMI) when the condition of the
vessel creates an unsafe condition.
(e) The cognizant OCMI may require that the owner or managing
operator provide for the attendance of an approved third-party surveyor
or auditor to assist with verifying compliance with this subpart.
Sec. 137.330 Scope of drydock examination.
(a) This regulation applies to all towing vessels covered by this
subchapter. The drydock examination must be conducted while the vessel
is hauled out of the water or placed in a drydock or slipway. The Coast
Guard inspector or surveyor conducting this examination must:
(1) Examine the exterior of the hull, including bottom, sides,
headlog, and stern; all appendages for damage, fractures, wastage,
pitting, or improper repairs.
(2) Examine each tail shaft for bends, cracks, and damage,
including the sleeves or other bearing contact surface(s) on the tail
shaft for wear. The tail shaft need not be removed for examination if
these items can otherwise be properly evaluated;
(3) Examine rudders for damage; upper and lower bearings for wear;
and rudder stock for damage or wear. Rudders need not be removed for
examination if these items can be properly evaluated without doing so;
(4) Examine propellers for cracks and damage;
(5) Examine exterior components of the machinery cooling system for
leaks, damage, or deterioration;
(6) Open and examine all sea chests, thru-hull fittings, and
strainers for damage, deterioration, or fouling; and
(7) On wooden vessels, pull fastenings as required for examination.
(b) An internal structural examination/survey required by this part
may be conducted while the vessel is afloat or out of the water. It
consists of a complete examination of the vessel's main strength
members, including the major internal framing, the hull plating and
planking, voids, and ballast, cargo, and fuel oil tanks. Where the
internal framing, plating, or planking of the vessel is concealed,
sections of the lining, ceiling, or insulation may be removed or the
parts otherwise probed or exposed to determine the condition of the
hull structure. Fuel oil tanks need not be cleaned out and internally
examined if the general condition of the tanks is determined to be
satisfactory by external examination.
Sec. 137.335 Underwater survey in lieu of drydocking.
(a) This section applies to all towing vessels subject to this
subchapter. If a Towing Safety Management System (TSMS) is applicable
to the vessel, the TSMS may include policies and procedures for
employing and documenting an underwater survey in lieu of drydocking
(UWILD). A UWILD may be conducted if:
(1) No obvious damage or defects in the hull adversely affecting
the seaworthiness of the vessel are present;
(2) The vessel has been operated satisfactorily since the last
drydocking;
(3) The vessel is less than 15 years of age;
(4) The vessel has a steel or aluminum hull; and
(5) The vessel is fitted with an effective hull protection system.
(b) The owner or operator must submit an application at least 90
days before the vessel's next required drydock examination. The
application must include:
(1) The procedure for carrying out the underwater survey;
(2) The time and place of the underwater survey;
(3) The method used to accurately determine the diver's or remotely
operated vehicle (ROV)'s location relative to the hull;
(4) The means for examining all through-hull fittings and
appurtenances;
(5) The condition of the vessel, including the anticipated draft of
the vessel at the time of the survey;
(6) A description of the hull protection system; and
(7) The name and qualifications of any third party examiner, if
used.
(c) If a vessel is 15 years old or older, the Commandant may
approve an underwater survey instead of a drydock examination, at
alternating intervals. The owner or operator must submit an application
to the OCMI at least 90 days before the vessel's next required drydock
examination. The owner or operator may follow this option if--
(1) The vessel is qualified under paragraphs (a)(1), (2), (4), and
(5) of this section;
(2) The application includes the information described in
paragraphs (b)(1) through (7) of this section; and
(3) During the vessel's drydock examination preceding the
underwater survey, a complete set of hull gauging was taken which
indicated that the vessel was free from appreciable hull deterioration.
(d) After the drydock examination required by paragraph (c)(3) of
this section, the OCMI will submit a recommendation for future
underwater surveys, the results of the hull gauging, and the results of
the Coast Guard's drydock examination to Commandant for review.
PART 138--TOWING SAFETY MANAGEMENT SYSTEMS (TSMS)
Subpart A--General
Sec.
138.100 Purpose.
138.105 Definitions.
138.110 Incorporation by reference.
138.115 Compliance.
Subpart B--Towing Safety Management System (TSMS)
138.200 Safety management.
138.205 Purpose of Towing Safety Management System (TSMS).
138.210 Objectives of Towing Safety Management System (TSMS).
138.215 Functional requirements of a Towing Safety Management System
(TSMS).
138.220 Towing Safety Management System (TSMS) elements.
138.225 Existing safety management systems.
Subpart C--Documenting Compliance
138.300 General.
138.305 Towing Safety Management System (TSMS) Certificate.
138.310 Internal Audits for Towing Safety Management System (TSMS)
Certificate.
138.315 External Audits for Towing Safety Management System (TSMS)
Certificate.
Subpart D--Audits
138.400 General.
138.405 Conduct of internal audits.
138.410 Conduct of external audits.
Subpart E--Coast Guard or Organizational Oversight and Review
138.500 Notification prior to audit.
138.505 Submittal of audit results.
138.510 Required attendance.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 138.100 Purpose.
The purpose of this part is to prescribe requirements for owners or
managing operators of towing vessels who adopt a Towing Safety
Management System (TSMS) to comply with the requirements of this
subchapter.
Sec. 138.105 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
[[Page 50017]]
Sec. 138.110 Incorporation by reference.
Certain material is incorporated by reference into this part with
the approval of the Director of the Federal Register under 5 U.S.C
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Coast Guard must publish notice of
change in the Federal Register and the material must be available to
the public. All approved material is available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal
regulations/ibr_locations.html. Also, it is available for inspection
at U.S. Coast Guard, Office of Design and Engineering Standards (CG-
521), 2100 Second Street, SW., Washington, DC 20593-0001, and is
available from the sources listed in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are:
International Organization for Standardization (ISO), 1, ch. de la Voie-
Creuse, Case Postale 56, CH-1211 Geneva 20, Switzerland
------------------------------------------------------------------------
------------------------------------------------------------------------
9001-2000, 2000............................................ 138.310
------------------------------------------------------------------------
Sec. 138.115 Compliance.
Owners or managing operators of towing vessels must obtain the
Towing Safety Management System Certificate issued under Sec. 138.305
of this part no later than [DATE 2 YEARS AFTER EFFECTIVE DATE OF FINAL
RULE] if they do not want to be subject to an annual, Coast Guard
inspection regime.
Subpart B--Towing Safety Management System (TSMS)
Sec. 138.200 Safety management.
All towing vessels must be operated in compliance with an owner- or
managing operator-implemented Towing Safety Management System or be
subject to an annual, Coast Guard inspection regime.
Sec. 138.205 Purpose of Towing Safety Management System (TSMS).
(a) The purpose of a safety management system is to establish
policies, procedures, and required documentation to ensure the owner or
managing operator meets its established goals while ensuring continuous
compliance with all regulatory requirements. The safety management
system must contain a method to ensure all levels of the organization
are working within the framework.
(b) A Towing Safety Management System establishes and maintains:
(1) Management policies and procedures that serve as an operational
protocol for all levels within management;
(2) Procedures to produce objective evidence that demonstrates
compliance with the requirements of this subchapter;
(3) Procedures for an owner or managing operator to self-evaluate
that ensure it is following its own policies and procedures and
complies with the requirements of this subchapter;
(4) Arrangements for a periodic evaluation by an independent third
party to determine how well an owner or managing operator and their
towing vessels are complying with their stated policies and procedures,
and to verify that those policies and procedures comply with the
requirements of this subchapter; and
(5) Procedures for correcting problems identified by management
personnel and third parties and facilitating continuous improvement.
Sec. 138.210 Objectives of Towing Safety Management System (TSMS).
The Towing Safety Management System (TSMS), through policies,
procedures, and documentation must:
(a) Demonstrate management responsibility. The management must
demonstrate that they implemented the policies and procedures as
contained in the TSMS and the entire organization is adhering to their
safety management program.
(b) Document management procedures. A TSMS must describe and
document the owner or managing operator's organizational structure,
responsibilities, procedures, and resources which ensure quality
monitoring.
(c) Ensure document and data control. There must be clear
identification of what types of documents and data are to be
controlled, and who is responsible for controlling activities,
including: Approval, issue, distribution, modification, removal of
obsolete materials, and other related administrative functions.
(d) Provide a process and criteria for selection of third parties.
Procedures for selection of third parties must exist that include how
third parties are evaluated, including selection criteria.
(e) Establish a system of recordkeeping. Records must be maintained
to demonstrate effective operation of the TSMS. This should include
audit records, nonconformity reports and corrective actions, auditor
qualifications, auditor training, and other records as considered
necessary.
(f) Identify and meet training needs. Documented procedures for
identifying training needs and providing training must be established
and maintained.
(g) Ensure adequate resources. Identify adequate resources and
procedures necessary to comply with the TSMS.
Sec. 138.215 Functional requirements of a Towing Safety Management
System (TSMS).
The functional requirements of a Towing Safety Management System
(TSMS) include:
(a) Policies and procedures to provide direction for the safe
operation of the towing vessels and protection of the environment in
compliance with applicable U.S. law, including the Code of Federal
Regulations, and, if on an international voyage, applicable
international conventions to which the United States is a party;
(b) Defined levels of authority and lines of communication between
shoreside and vessel personnel;
(c) Procedures for reporting accidents and non-conformities;
(d) Procedures to prepare for and respond to emergency situations
by shoreside and vessel personnel;
(e) Procedures for verification of vessel compliance with this
subchapter;
(f) Procedures to manage contracted (vender safety) services.
(g) Procedures for internal auditing of the TSMS, including
shoreside and vessels;
(h) Procedures for external audits;
(i) Procedures for management review of internal and external audit
reports and correction of non-conformities; and
(j) Procedures to evaluate recommendations made by management
personnel.
Sec. 138.220 Towing Safety Management System (TSMS) elements.
The Towing Safety Management System (TSMS) must include the
elements listed in paragraphs (a) through (e) of this section. If an
element listed is not applicable to an owner or managing operator,
appropriate justification must be documented and is subject to
acceptance by the third party.
(a) Safety management system administration and management
organization. A policy must be in place that outlines the TSMS culture
and how management intends to ensure compliance with this subpart.
Supporting this policy, the following procedures and documentation must
be included:
[[Page 50018]]
(1) Management organization--(i) Responsibilities. The management
organization, authority, and responsibilities of individuals.
(ii) Designated person. Each owner or managing operator must
designate in writing the shoreside person(s) responsible for ensuring
the TSMS is implemented and continuously functions throughout
management and the fleet, and the shoreside person(s) responsible to
ensure that the vessels are properly maintained and in operable
condition, including those responsible for emergency assistance to each
towing vessel.
(iii) Master Authority. Each owner or managing operator must define
the scope of the master's authority. The master's authority must
provide for the ability to make final determinations on safe operations
of the towing vessel. Specifically, it must provide the authority for
the master to cease operation if an unsafe condition exists.
(2) Audit Procedures. (i) Procedures for conducting internal and
external audits, in accordance with Sec. Sec. 138.310 and 138.315 of
this part.
(ii) Procedures for identifying and correcting non-conformities.
The TSMS must contain procedures for any person working within the
management to report non-conformities. The procedures must describe how
an initial report should be made and the actions taken to follow up and
ensure appropriate resolution.
(b) Personnel. Policies must be in place that cover the owner or
managing operator's approach to managing its personnel, including, but
not limited to, employment, training, and health and safety of
personnel. Supporting these polices, the following procedures and
documentation must be included:
(1) Employment procedures. The TSMS must contain procedures related
to the employment of individuals. Procedures must be in place to ensure
adequate qualifications of personnel, to include background checks,
compliance with drug and alcohol standards, and that personnel are
physically and mentally capable to perform required tasks.
(2) Training of personnel. The TSMS must contain a policy related
to the training of personnel, including:
(i) New hire orientation;
(ii) Duties associated with the execution of the TSMS;
(iii) Execution of operational duties;
(iv) Execution of emergency procedures;
(v) Occupational health;
(vi) Crew safety; and
(vii) Training required by this Subchapter.
(c) Verification of vessel compliance. Policies must be in place
that cover the owner or managing operator's approach for ensuring
vessel compliance, including, but not limited to, policies on survey
and maintenance, safety, the environment, security, and emergency
preparedness. Supporting these policies, the following procedures and
documentation must be included:
(1) Maintenance and survey. Procedures outlining the owner or
managing operator's survey regime must specify all maintenance,
examination, and survey requirements. Applicable documentation must be
maintained for all activities for a period of 5 years.
(2) Safety, environment, and security. Procedures must be in place
to ensure safety of property, the environment, and personnel. This must
include procedures to ensure the selection of the appropriate vessel,
including adequate maneuverability and horsepower, appropriate rigging
and towing gear, proper management of the navigational watch, and
compliance with applicable security measures.
(3) All procedures required by this subchapter must be contained
within the TSMS.
(d) Compliance with Subchapter M. Procedures and documentation must
be in place to ensure that each towing vessel complies with the
operational, equipment, and personnel requirements of this subchapter.
(e) Contracted (vendor safety) services. Procedures must be in
place to ensure the safety, effective management, and compliance with
applicable regulations for contracted vessel towing services,
including:
(1) Procedures to evaluate personnel qualifications;
(2) Procedures to evaluate adequacy of vessel capability,
condition, and compliance with applicable regulations;
(3) Compatibility of Safety Management Systems; and
(4) Procedures to maintain objective evidence, as required by both
organizations' safety management systems.
Sec. 138.225 Existing safety management systems.
(a) A safety management system which is fully compliant with the
International Safety Management Code requirements of 33 CFR part 96
will be deemed in compliance with these requirements.
(b) Other safety management systems may be considered for
acceptance as meeting the Towing Safety Management System (TSMS)
requirements of this part. The Coast Guard may:
(1) Accept such system in full;
(2) Require modifications to the system as a condition of
acceptance; or
(3) Reject the system.
(c) An owner or managing operator wishing to meet this section must
submit documentation based on the initial audit and one full audit
cycle of at least 3 years.
(d) The Coast Guard may elect to inspect equipment and records,
including:
(1) Contents of the TSMS;
(2) Objective evidence of internal and external audits;
(3) Objective evidence that non-conformities were identified and
corrected; and
(4) Objective evidence of vessel compliance with applicable
regulations.
Subpart C--Documenting Compliance
Sec. 138.300 General.
(a) The owner and managing operator must have documentation that
demonstrates compliance with the provisions of the Towing Safety
Management System (TSMS) in order for any of its towing vessels to be
eligible for a Certificate of Inspection.
(b) The owner or managing operator will be issued a TSMS
Certificate when it is deemed in compliance with the TSMS requirements.
Sec. 138.305 Towing Safety Management System (TSMS) Certificate.
(a) A Towing Safety Management System (TSMS) Certificate is
obtained through an approved third party.
(b) A TSMS Certificate is valid for 5 years from the date of issue,
unless suspended, revoked or rescinded as provided in Sec. 138.305(d)
and (e).
(c) The TSMS Certificate must include a list of the owner or
managing operator's vessels found in compliance with the TSMS.
(d) A TSMS Certificate may be suspended or revoked by the Coast
Guard at any time for non-compliance with the requirements of this
part.
(e) The third party that issued the TSMS Certificate may rescind
the certificate for non-compliance with the requirements of this part.
(f) A copy of the TSMS Certificate must be maintained on each
towing vessel that has been issued a TSMS and on file at the owner or
managing operator's shoreside office.
Sec. 138.310 Internal Audits for Towing Safety Management System
(TSMS) Certificate.
(a) Internal management audits must be conducted annually, within 3
months of the anniversary issuance of the Towing Safety Management
System (TSMS) Certificate, to ensure the owner or managing operator is
effectively
[[Page 50019]]
implementing all elements of their TSMS.
(b) The internal management audit must ensure that management has
implemented the TSMS throughout all levels of the organization,
including audits of all the owner or managing operator's towing vessels
to ensure implementation at the operational level.
(c) The results of internal audits must be documented and
maintained for a period of 5 years and made available to the Coast
Guard upon request.
(d) Internal auditors:
(1) Must have knowledge of the management, its safety management
system, and the standards contained in this subchapter;
(2) Must have completed an International Organization for
Standardization (ISO) 9001-2000 (incorporated by reference in Sec.
138.105 of this subchapter) internal auditor/assessor course or Coast
Guard recognized equivalent;
(3) May not be the designated person, or any other person, within
the organization that is responsible for development or implementation
of the TSMS; and
(4) Must be independent of the procedures being audited.
Sec. 138.315 External Audits for Towing Safety Management System
(TSMS) Certificate.
External audits for obtaining and renewing a Towing Safety
Management System (TSMS) Certificate are conducted by an approved third
party auditor and must include both management and vessels as follows:
(a) Management audits. (1) Prior to the issuance of an owner or
managing operator's initial and subsequent renewals of a TSMS
Certificate, an external management audit must be conducted by an
approved third party auditor.
(2) A mid-period external management audit must be conducted
between the 27th and 33rd month of the certificate's period of
validity.
(b) Vessel audits. (1) An external audit of all vessels subject to
the owner or managing operator's TSMS must be conducted prior to the
issuance of the initial TSMS Certificate.
(2) An external audit of all vessels must be conducted during the
5-year period of validity of the TSMS certificate. The vessels must be
selected randomly and distributed as evenly as possible.
(c) Audit results. The results of the external audit must be
documented and maintained for a period of 5 years and made available to
the Coast Guard or the external auditor upon request.
Subpart D--Audits
Sec. 138.400 General.
All safety management systems are subject to internal and external
audits to assess the management and vessel compliance with the Towing
Safety Management System and the vessel standards requirements of this
subchapter.
Sec. 138.405 Conduct of internal audits.
(a) Internal audits are conducted by, or on behalf of, the
management and may be performed by a designated employee or by
contracted individual(s) who conduct the audit as if an employee of the
owner or managing operator.
(b) Internal audits are not necessarily conducted as one event;
they can be taken in segments over time.
(c) Internal audits must be of sufficient depth and breadth to
ensure the owner or managing operator established adequate procedures
and documentation to comply with the Towing Safety Management System
(TSMS) requirements of this part, that the TSMS was implemented
throughout all levels of the organization, and that the owner or
managing operator's vessels comply with this subchapter and the TSMS.
(e) The auditor must have the authority to examine documentation,
question personnel, examine vessel equipment, witness system testing,
and observe personnel training as necessary to verify TSMS
effectiveness.
Sec. 138.410 Conduct of external audits.
(a) External audits must be conducted by an approved third party
auditor and cover all elements of the Towing Safety Management System
(TSMS) requirements of Subchapter M of this chapter, but may be
conducted on a sampling basis of each of those TSMS elements.
(b) External audits must be of sufficient depth and breadth to
ensure the owner or operating manager effectively implemented its TSMS
throughout all levels of the organization, including onboard its
vessels.
(c) The auditor must be provided access to examine any requested
documentation, question personnel, examine vessel equipment, witness
system testing, and observe personnel training, as necessary to verify
TSMS effectiveness.
(d) The auditor may broaden the scope of the audit if:
(1) The TSMS is incomplete or not effectively implemented;
(2) Conditions found are not consistent with the records; or
(3) Unsafe conditions are identified.
(e) The auditor may verify compliance with vessel standards and
TSMS requirements through a review of objective evidence such as
checklists, invoices, and reports, and may conduct a visual
``sampling'' onboard the vessels to determine whether or not the
conditions onboard the vessel are consistent with the records reviewed.
(f) All samples must be statistically valid.
Subpart E--Coast Guard or Organizational Oversight and Review
Sec. 138.500 Notification prior to audit.
(a) The owner or managing operator of a towing vessel must notify
the Coast Guard prior to conducting a third-party audit.
(b) The Coast Guard may require that a Coast Guard representative
accompany the auditor during part, or all, of an external audit.
(c) The Coast Guard may conduct an audit of the owner or managing
operator or its towing vessels.
Sec. 138.505 Submittal of audit results.
The results of any external audit of the owner or managing
operator's compliance with Sec. 138.210 of this part and each of their
towing vessels audits must be submitted to the Coast Guard.
Sec. 138.510 Required attendance.
(a) The Coast Guard may require a third-party's attendance at the
vessel or the office of the owner or managing operator if there is
evidence that a Towing Safety Management System (TSMS), for which a
TSMS Certificate was issued, is not in compliance with the provision of
this part.
(b) The third party and the owner or managing operator may be
required to explain or otherwise demonstrate areas of the TSMS.
(c) The Coast Guard will not bear any of the costs for a third
party's attendance at the vessel or the office of the owner or managing
operator when complying with this provision.
PART 139--THIRD-PARTY ORGANIZATIONS
Sec.
139.100 Purpose.
139.105 Definitions.
139.110 Organizations not subject to further approval.
139.112 Incorporation by reference.
139.115 General.
139.120 Application for approval as a third-party organization.
139.125 Approval of third-party organizations.
139.130 Qualifications of auditors and surveyors.
139.135 Addition and removal of auditors and surveyors.
[[Page 50020]]
139.140 Renewal of third-party organization approval.
139.145 Suspension of approval.
139.150 Revocation of approval.
139.155 Appeals of suspension or revocation of approval.
139.160 Coast Guard oversight activities.
139.165 Documentation.
139.170 Required attendance.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Sec. 139.100 Purpose.
This part states the requirements applicable to approved third-
party organizations that conduct audits and surveys for towing vessels
as required by this subchapter.
Sec. 139.105 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
Sec. 139.110 Organizations not subject to further approval.
(a) A recognized classification society, as defined by 46 CFR
8.100, meets the requirements of an approved third-party organization
for the purposes of this part.
(b) Recognized classification societies must ensure that employees
providing services under this part hold proper qualifications for the
particular type of service being performed.
Sec. 139.112 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Coast Guard must publish notice of
change in the Federal Register and the material must be available to
the public. All approved material is available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, it is available for inspection
at U.S. Coast Guard, Office of Design and Engineering Standards (CG-
521), 2100 Second Street, SW., Washington, DC 20593-0001, and is
available from the sources listed in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are:
American National Standards Institute (ANSI), 1819 L Street, NW., Suite
600, Washington, DC 20036
ANSI/ASQC Q9001-2000, 2000 139.120
International Organization for Standardization (ISO), 1, ch. de la
Voie-Creuse, Case postale 56, CH-1211 Geneva 20, Switzerland
ISO 9001-2000, 2000 139.130
Sec. 139.115 General.
(a) The Coast Guard approves third-party organizations to carry out
functions related to ensuring that towing vessels comply with
provisions of this subchapter. Organizations may be approved to:
(1) Conduct audits of a Towing Safety Management System (TSMS), and
the vessels to which the TSMS applies, to verify compliance with the
applicable provisions of this subchapter.
(2) Issue TSMS Certificates to the owner or managing operator who
is in compliance with part 138 of this subchapter.
(3) Conduct surveys of towing vessels to verify compliance with the
applicable provisions of this subchapter.
(4) Issue survey reports detailing the results of surveys, carried
out in compliance with part 137 of this subchapter.
(b) The Coast Guard will approve third-party organizations that:
(1) Are independent of the owner or managing operator and vessels
that they audit or survey;
(2) Operate within a quality management system acceptable to the
Coast Guard;
(3) Ensure that the organization's auditors and surveyors are
qualified and maintain continued competence; and
(4) Demonstrate the ability to carry out the responsibilities of
approval.
(c) The Coast Guard may designate an organization to be an approved
third party when that organization provides objective evidence that its
program meets the requirements of this subchapter.
(d) A list of approved third-party organizations will be maintained
by the Coast Guard, and made available upon request.
Sec. 139.120 Application for approval as a third-party organization.
An organization, which may include a business entity or an
association, desiring to be approved as a third-party organization
under this part must submit a written request to Coast Guard, 2100
Second Street, SW., Washington, DC 20593-0001. The organization must
provide the following information:
(a) A description of the organization, including the ownership,
structure, and organizational components.
(b) A general description of the clients being served or intended
to be served.
(c) A description of the types of work performed by the
organization or by the principals of the organization in the past,
noting the amount and extent of such work performed within the previous
3 years.
(d) Objective evidence of an internal quality system based on
American National Standards Institute/American Society of Quality
Control Q9001-2000 (ANSI) (incorporated by reference in Sec. 138.105
of this chapter) or an equivalent quality standard.
(e) Organization procedures and supporting documentation describe
processes used to perform the audit and records to show system
effectiveness.
(f) Copies of checklists, forms, or other tools to be used as
guides or for recording the results of audits and/or surveys.
(g) Organization procedures for appeals and grievances.
(h) The organization's code of ethics applicable to the
organization and its auditors and/or surveyors.
(i) A list of the organization's auditors and/or surveyors who meet
the requirements of Sec. 139.130 of this subchapter. This list must
include the experience, background, and qualifications for each auditor
and/or surveyor.
(j) A description of the organization's means of assuring continued
competence of its personnel.
(k) The organization's procedures for terminating or removing
auditors and/or surveyors.
(l) A description of the organization's apprentice or associate
program for auditors and/or surveyors.
(m) A statement that the Coast Guard may inspect the organization's
facilities and records and may accompany auditors and/or surveyors in
the performance of duties related to the requested approval.
(n) Disclosure of any potential conflicts of interest.
(o) A statement that the organization, its managers, and employees
engaged in audits and/or surveys are not, and will not be involved in
any activities which could result in a conflict of interest or
otherwise limit the independent judgment of the auditor and/or surveyor
or organization.
(p) Any additional information that the applicant deems pertinent.
Sec. 139.125 Approval of third-party organizations.
(a) The Coast Guard will review the request and notify the
organization in writing whether the requested approval is granted.
(b) If a request for approval is denied, the Coast Guard will
inform the organization of the reasons for the denial and will describe
what
[[Page 50021]]
corrections are required for an approval to be granted.
(c) An approval for a third-party organization that meets the
requirements of this part will expire:
(1) Five years after the last day of the month in which it is
granted;
(2) When the third-party organization gives notice that it will no
longer offer towing vessel audit and/or survey services;
(3) When revoked by the Coast Guard; in accordance with Sec.
139.150 or;
(4) On the date of a change in ownership of the third-party
organization for which approval was granted.
Sec. 139.130 Qualifications of auditors and surveyors.
(a) A prospective auditor must demonstrate the skills and
experience necessary to assess compliance with all requirements of
subchapter M of this chapter.
(b) Auditors must meet the following qualifications:
(1) High school diploma or equivalent;
(2) Four years of experience working on towing vessels or other
relevant marine experience such as Coast Guard marine inspector,
military personnel with relevant maritime experience, or marine
surveyor;
(3) Successful completion of an International Organization for
Standardization (ISO) 9001-2000 (incorporated by reference in Sec.
139.112 of this part) lead auditor/assessor course or Coast Guard
recognized equivalent;
(4) Successful completion of a required training course for the
auditing of a Towing Safety Management System; and
(5) Audit experience, as demonstrated by one of the following:
(i) Documented experience in auditing the ISM Code or the American
Waterways Operators Responsible Carrier Program, consisting of at least
two management audits and six vessel audits within the past 5 years; or
(ii) Successful completion of a required auditor apprenticeship,
consisting of at least one management audit and three vessel audits
under the direction of a lead auditor.
(c) Surveyors must meet the following qualifications:
(1) High school diploma or equivalent; and
(2) Four years of experience working on towing vessels as master,
mate (pilot), or engineer; or
(3) Other relevant marine experience such as Coast Guard marine
inspector, military personnel with relevant maritime experience, marine
surveyor, experience on vessels of similar operating and physical
characteristics; or
(4) Marine surveyor accredited by the National Association of
Marine Surveyors, Society of Accredited Marine Surveyors, or other
accreditation acceptable to the Coast Guard.
Sec. 139.135 Addition and removal of auditors and surveyors.
(a) An approved third-party organization must maintain a list of
current and former auditors and surveyors.
(b) To add an auditor or surveyor, the organization must submit the
experience, background and qualifications to the Coast Guard for
approval.
(c) The Coast Guard must be notified when an auditor or surveyor is
removed from employment.
Sec. 139.140 Renewal of third-party organization approval.
(a) To renew an approval, a third-party organization must submit a
written request to the address listed in Sec. 139.120 of this part.
(b) For the request to be approved, the Coast Guard must be
satisfied that the applicant continues to fully meet approval criteria.
(c) The Coast Guard may request any additional information
necessary to properly evaluate the request.
Sec. 139.145 Suspension of approval.
(a) The Coast Guard may suspend the approval of a third-party
organization approved under this part whenever the Coast Guard
determines that the approved third-party organization does not comply
with the provisions of this part. The Coast Guard must:
(1) Notify the approved third-party organization in writing of the
intention to suspend the approval;
(2) Provide the details of the third-party organization's failure
to comply with this part; and
(3) Advise the third-party organization of the time period, not to
exceed 60 days, within which the third-party organization must correct
its failure to comply with this part. If the third-party organization
fails to correct its failure to comply with this part within the time
period allowed, the approval will be suspended.
(b) The Coast Guard may partially suspend the approval of a third-
party organization. This may include suspension of an individual
auditor or surveyor or suspension of the authority of the third-party
organization to carry out specific duties whenever the Coast Guard
determines that the provisions of this part are not complied with. The
Coast Guard must:
(1) Notify the approved third-party organization in writing of its
intention to partially suspend the approval;
(2) Provide the details of the failure of the auditor or surveyor
to comply with this part; and
(3) Advise the third-party organization of the time period, not to
exceed 60 days, within which the third-party organization must ensure
that the auditor or surveyor corrects his/her failure to comply with
this part. If the third-party organization fails to correct the failure
of the auditor or surveyor to comply with this part within the time
period allowed, the approval will be partially suspended with respect
to such auditor or surveyor.
Sec. 139.150 Revocation of approval.
The Coast Guard may revoke the approval of a third-party
organization if the organization has demonstrated a pattern or history
of:
(a) Failure to comply with this part;
(b) Substantial deviations from the terms of the approval granted
under this part; or
(c) Failures, including ethics, conflicts of interest or
performance, that indicate to the Coast Guard that the third-party
organization is no longer capable of carrying out its duties as an
approved third-party organization.
Sec. 139.155 Appeals of suspension or revocation of approval.
Anyone directly affected by a decision to suspend or revoke an
approval granted under this part may appeal the decision to the Coast
Guard in accordance with the provisions of 46 CFR part 1.
Sec. 139.160 Coast Guard oversight activities.
At any time the Coast Guard may:
(a) Inspect a third-party organization's records;
(b) Conduct interviews of auditors or surveyors to aid in the
evaluation of the organization;
(c) Assign personnel to observe or participate in audits or
surveys;
(d) Observe audits or surveys conducted by the third-party
organization;
(e) Request that the owner or managing operator make available, a
copy of the Towing Safety Management System (TSMS); or
(f) Require a revision of the TSMS if it is determined that
requirements of this subchapter are not met.
(g) Require a replacement for a third-party auditor for
noncompliance or poor performance.
[[Page 50022]]
Sec. 139.165 Documentation.
(a) Each approved third-party organization must retain the results
of each survey or audit conducted under its approval, including:
(1) The names of the auditors and/or surveyors;
(2) The results of each audit or survey conducted;
(3) Documentation showing continuing actions relative to an audit
or survey, such as resolution of deficiencies and non-conformities; and
(4) Results of audits of the third party organization.
(b) Records required by this part must be retained for a period of
5 years.
Sec. 139.170 Required attendance.
(a) The Coast Guard may require a third-party organization's
attendance at a towing vessel or the offices of the owner or managing
operator in the following circumstances:
(1) When there is evidence that the Towing Safety Management System
(TSMS) for which a TSMS Certificate was issued is not in compliance
with the provisions of part 138 of this subchapter.
(2) When there is objective evidence that a towing vessel that was
surveyed by a third party is not in compliance with the requirements of
this subchapter.
(b) The Coast Guard will not bear any costs for a third party
organization's attendance at the vessel or the offices of the owner or
managing operator when complying with this provision.
PART 140--OPERATIONS
Subpart A--General
Sec.
140.100 Purpose.
140.105 Definitions.
Subpart B--General Operational Safety
140.200 Towing Safety Management System (TSMS).
140.205 General vessel operation.
140.210 Responsibilities of the master and crew.
Subpart C--[Reserved]
Subpart D--Crew Safety
140.400 Personnel records.
140.405 Emergency duties and duty stations.
140.410 Safety orientation.
140.415 Orientation for individuals that are not crewmembers.
140.420 Emergency drills and training.
140.425 Fall overboard protection.
140.430 Wearing of work vests.
140.435 First aid equipment.
Subpart E--Safety and Health
140.500 General.
140.505 General health and safety requirements.
140.510 Identification and mitigation of health and safety hazards.
140.515 Training requirements.
140.520 Personnel hazard exposure and medical records.
Subpart F--Vessel Operational Safety
140.600 Applicability.
140.605 Vessel stability.
140.610 Hatches and other openings.
140.615 Tests and inspections.
140.620 Navigational safety equipment.
140.625 Navigation underway.
140.630 Lookout.
140.635 Navigation watch assessment.
140.640 Pilothouse resource management.
140.645 Navigation safety training.
140.650 Operational readiness of lifesaving and fire suppression and
detection equipment.
140.655 Prevention of oil and garbage pollution.
140.660 Vessel security.
Subpart G--Navigation and Communication Equipment
140.700 Applicability.
140.705 Charts and nautical publications.
140.710 Marine radar.
140.715 Communications equipment.
140.720 Navigation lights, shapes, and sound signals.
140.725 Additional navigation equipment.
Subpart H--Towing Safety
140.800 Applicability.
140.801 Towing gear.
140.805 Towing safety.
140.810 Towing of barges.
140.815 Examination of towing gear.
140.820 Recordkeeping for towing gear.
Subpart I--Vessel Records
140.900 Marine casualty reporting.
140.905 Official logbooks.
140.910 Towing vessel records.
140.915 Items to be recorded.
Subpart J--Penalties
140.1000 Statutory penalties.
140.1005 Suspension and revocation.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 140.100 Purpose.
This part contains the health, safety, and operational requirements
for towing vessels and the crewmembers serving onboard them.
Sec. 140.105 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
Subpart B--General Operational Safety
Sec. 140.200 Towing Safety Management System (TSMS).
If a Towing Safety Management System (TSMS) is applicable to the
vessel, the TSMS must:
(a) Include policies and procedures to ensure compliance with this
part; and
(b) Provide objective evidence that documents compliance with the
TSMS.
Sec. 140.205 General vessel operation.
(a) A vessel must be operated in accordance with applicable laws
and regulations and in such a manner as to afford protection against
hazards to life, property, and the environment.
(b) Towing vessels with a TSMS must be operated in accordance with
the TSMS applicable to the vessel.
(c) Vessels must be manned in accordance with the Certificate of
Inspection (COI). Manning requirements are contained in part 15 of this
chapter.
(d) Each crewmember that is required to hold a Merchant Mariner
Credential (MMC) must have the credential onboard and available for
examination at all times when the vessel is operating.
(e) All individuals who are not required to hold an MMC permitted
onboard the vessel must have and present on request a valid personal
identification that meets the requirements set forth in 33 CFR 101.105.
Sec. 140.210 Responsibilities of the master and crew.
(a) The safety of the towing vessel is the responsibility of the
master and includes:
(1) Adherence to the provisions of the Certificate of Inspection
(COI);
(2) Compliance with the applicable provisions of this subchapter;
(3) Compliance with Towing Safety Management System (TSMS)
applicable to the vessel, if one is applicable; and
(4) Supervision of all persons onboard in carrying out their
assigned duties.
(b) If the master believes it is unsafe for the vessel to proceed,
that an operation endangers the vessel or crew, or that an unsafe
condition exists, the master must ensure that adequate corrective
action is taken and must not proceed until it is safe to do so.
(c) Nothing in this subpart shall be construed in a manner which
limits the master or mate (pilot), at his or her own responsibility,
from diverting from the route prescribed in the COI or taking such
steps as he deems necessary and prudent to assist vessels in distress
or for other emergency conditions.
(d) It is the responsibility of the crew to:
(1) Adhere to the provisions of the COI;
(2) Comply with the applicable provisions of this subchapter;
(3) Comply with the TSMS applicable to the vessel, if the vessel
has a TSMS;
(4) Ensure that the master is made aware of all known aspects of
the condition of the vessel, including:
[[Page 50023]]
(i) Those vessels being pushed, pulled, or hauled alongside; and
(ii) Equipment and other accessories used for pushing, pulling, or
hauling along side other vessels.
(5) Report unsafe conditions to the master and take the most
effective action to prevent accidents.
Subpart C--[Reserved]
Subpart D--Crew Safety
Sec. 140.400 Personnel records.
(a) The master of each towing vessel must keep an accurate list of
crewmembers and their positions.
(b) The master must maintain a list of individuals carried onboard
the vessel.
(c) The date and time that a navigation watchstander, including
master, mate (pilot), and lookout assumes a watch and is relieved of a
watch must be recorded in the towing vessel record (TVR) or the
official logbook, or in accordance with the TSMS applicable to the
vessel. If an engineering watch is maintained, comparable records
documenting the engineering watch are required.
Sec. 140.405 Emergency duties and duty stations.
(a) Any towing vessel with alternating watches (shift work) or
overnight accommodations must identify the duties and duty stations of
each person onboard during an emergency, including:
(1) Responding to fires and flooding;
(2) Responding to emergencies that necessitate abandoning the
vessel;
(3) Launching survival craft and rescue boats;
(4) Taking action during heavy weather;
(5) Taking action in the event of a person overboard;
(6) Taking action relative to the tow;
(7) Taking action in the event of failure of propulsion, steering,
or control system;
(8) Managing individuals onboard who are not crewmembers;
(9) Managing any other event or condition which poses a threat to
life, or property; and
(10) Responding to other special duties essential to addressing
emergencies as determined by the TSMS applicable to the vessel, if a
TSMS is used.
(b) The emergency duties and duty stations required by this section
must be posted at the operating station and in a conspicuous location
in a space commonly visited by crewmembers. If posting is impractical,
such as in an open boat, they may be kept onboard in a location readily
available to the crew.
Sec. 140.410 Safety orientation.
(a) Upon initial employment, or prior to getting underway for the
first time on a particular towing vessel, each crewmember must receive
a safety orientation on the following subjects:
(1) His or her duties in an emergency;
(2) The location, operation, and use of lifesaving equipment;
(3) Prevention of falls overboard;
(4) Personal safety measures;
(5) The location, operation, and use of Personal Protective
Equipment;
(6) Emergency egress procedures;
(7) The use and operation of watertight and weathertight closures;
(8) Responsibilities to provide assistance to individuals that are
not crewmembers;
(9) How to respond to emergencies relative to the tow; and
(10) Awareness of, and expected response to, any other hazards
inherent to the operation of the towing vessel which may pose a threat
to life, property, or the environment.
(b) The safety orientation provided to crewmembers who received a
safety orientation on another vessel may be modified to cover only
those areas unique to the new vessel on which service will occur.
(c) Safety orientations and other crew training must be documented
in the towing vessel record (TVR), official logbook, or in accordance
with the TSMS applicable to the vessel. The entry must include the
following information:
(1) Date of the safety orientation or training;
(2) General description of the safety orientation or training
topics;
(3) Name of individual(s) providing the orientation or training;
and
(4) Name(s) of the individual(s) receiving the safety orientation
or training.
Sec. 140.415 Orientation for individuals that are not crewmembers.
(a) Individuals, that are not crewmembers, onboard a towing vessel
must receive a safety orientation prior to getting underway or as soon
as practicable thereafter to include:
(1) The location, operation, and use of lifesaving equipment;
(2) Emergency procedures;
(3) Methods to notify crewmembers in the event of an emergency; and
(4) Prevention of falls overboard.
(b) [Reserved]
Sec. 140.420 Emergency drills and training.
(a) The master of a towing vessel must ensure that drills are
conducted and instructions are given to ensure that all crewmembers are
capable of performing the duties expected of them during emergencies.
This includes abandoning the vessel, recovering persons from the water,
responding to onboard fires and flooding, or responding to other
threats to life, property, or the environment.
(b) Each drill must, as far as practicable, be conducted as if
there was an actual emergency.
(c) Unless otherwise stated, each crewmember must receive the
training required by this section annually.
(d) The following training or drills are required:
(1) Safety orientation, as required by Sec. 140.410 of this part;
(2) Emergency drills and training, as required by this section;
(3) Training on response to fires, as required by Sec. 142.245 of
this subchapter;
(4) Training on launching of a skiff, if listed as an item of
emergency equipment to abandon ship or man overboard recovery;
(5) If installed, training on the use of davit-launched liferafts;
and
(6) If installed, training on how each rescue boat must be
launched, with its assigned crew aboard, and maneuvered in the water as
if during an actual man overboard situation.
(e) Alternative forms of instruction. (1) Training as required by
this part may be conducted by viewing electronically or digitally
formatted training materials followed by a discussion led by someone
familiar with the subject matter. This instruction may occur either
onboard or off the vessel.
(2) Training may be performed in accordance with the TSMS
applicable to the vessel, provided that it meets the minimum
requirements of this section.
(f) Participation in drills and training. As far as practicable,
drills must take place onboard the vessel. They must include:
(1) Participation by all crewmembers; and
(2) Actual use of, or simulating the use of, emergency equipment.
(g) Recording of drills and training. Drills and training must be
recorded in the towing vessel record or official logbook, or in
accordance with the TSMS applicable to the vessel. The record must
include the date of the drill and training, a description of the drill
scenario and training topics, and the personnel involved.
Sec. 140.425 Fall overboard protection.
(a) The owner or managing operator of a towing vessel must
establish procedures to address fall overboard prevention and recovery
of persons in the water, including, but not limited to:
(1) Personal protective equipment;
(2) Safely working on the tow;
[[Page 50024]]
(3) Safety while line handling;
(4) Safely moving between the vessel and a tow, pier, structure, or
other vessel; and
(5) Use of retrieval equipment.
(b) The owner, managing operator, and master must ensure that all
persons onboard comply with the policies and procedures in this
section.
Sec. 140.430 Wearing of work vests.
Personnel dispatched from the vessel or that are working in an area
on the exterior of the vessel without rails and guards must wear a
lifejacket meeting requirements in 46 CFR 141.340, an immersion suit
meeting requirements in 46 CFR 141.350, or a work vest approved by the
Commandant under 46 CFR subpart 160.053. When worn at night, the work
vest must be equipped with a light that meets the requirements of 46
CFR 141.340(c)(a). Work vests may not be substituted for the
lifejackets required by 46 CFR part 141.
(b) Each storage container containing a work vest must be marked
``WORK VEST.''
Sec. 140.435 First aid equipment.
(a) Each towing vessel must be equipped with an industrial type
first aid cabinet or kit, appropriate to the size of the crew and
operating conditions. Each towing vessel operating on oceans,
coastwise, or Great Lakes routes must have a means to take blood
pressure readings, splint broken bones, and apply large bandages for
serious wounds.
(b) Each towing vessel with alternating watches (shift work) and
overnight accommodations must be provided with an Automatic External
Defibrillator (AED).
(c) At least two crewmembers must be trained in the use of an AED
carried onboard.
Subpart E--Safety and Health
Sec. 140.500 General.
(a) No later than 3 years after the effective date of a final rule,
the owner or managing operator must implement a health and safety plan.
The plan must include recordkeeping procedures. Records must document
compliance with this part.
(b) The owner, managing operator, and master must ensure that all
persons onboard a towing vessel comply with the health and safety plan.
Sec. 140.505 General health and safety requirements.
(a) The owner or managing operator must implement procedures for
reporting unsafe conditions and must have records of the activities
conducted under this section.
(b) All vessel equipment must be used in accordance with the
manufacturer's recommended practice and in a manner that minimizes risk
of injury or death. This includes machinery, deck machinery, towing
gear, ladders, embarkation devices, cranes, portable tools, and safety
equipment.
(c) All machinery and equipment that is not in proper working order
(including missing or malfunctioning guards or safety devices) must be
removed; made safe through marking, tagging, or covering; or otherwise
made unusable.
(d) Personal Protective Equipment (PPE)--(1) Appropriate PPE must
be made available and on hand for all personnel engaged in an activity
that requires the use of PPE.
(2) PPE must be suitable for the vessel's intended service; meet
the standards of 29 CFR 1910 subpart I; and be used, cleaned,
maintained, and repaired in accordance with manufacturer's
requirements.
(3) All individuals must wear PPE appropriate to the activity being
performed.
(4) All personnel engaged in an activity must be trained in the
proper use, limitations, and care of the PPE specified by this subpart.
(e) The vessel, including crew's quarters and the galley, must be
kept in a sanitary condition.
Sec. 140.510 Identification and mitigation of health and safety
hazards.
(a) The owner or managing operator must implement procedures to
identify and mitigate health and safety hazards, including but not
limited to the following hazards:
(1) Tools and equipment, including deck machinery, rigging, welding
and cutting, hand tools, ladders, and abrasive wheel machinery found
onboard the vessel;
(2) Slips, trips, and falls;
(3) Working aloft;
(4) Hazardous materials;
(5) Confined space entry;
(6) Blood-borne pathogens and other biological hazards;
(7) Electrical;
(8) Noise;
(9) Falls overboard;
(10) Vessel embarkation and disembarkation (including pilot
transfers);
(11) Towing gear, including winches, capstans, wires, hawsers and
other related equipment;
(12) Personal hygiene; and
(13) Sanitation and safe food handling.
(b) As far as practicable, the owner or managing operator must
implement other types of safety control measures before relying on
Personal Protective Equipment. These controls may include
administrative, engineering, source modification, substitution, process
change or controls, isolation, ventilation, or other controls.
Sec. 140.515 Training requirements.
(a) All crewmembers must be provided with health and safety
information and training that includes:
(1) Content and procedures of the owner or managing operator's
health and safety plan;
(2) Procedures for reporting unsafe conditions;
(3) Proper selection and use of Personal Protective Equipment (PPE)
appropriate to the vessel operation;
(4) Safe use of equipment including deck machinery, rigging,
welding and cutting, hand tools, ladders, and abrasive wheel machinery
found onboard the vessel;
(5) Hazard communication and cargo knowledge;
(6) Safe use and storage of hazardous materials and chemicals;
(7) Confined space entry;
(8) Respiratory protection;
(9) Lockout/Tagout procedures;
(b) Individuals, other than crewmembers, must be provided with
sufficient information or training on hazards relevant to their
potential exposure on or around the vessel.
(c) Crewmember training required by this section must be conducted
as soon as practicable, but not later than 5 days after employment.
(d) Refresher training must be repeated annually and may be
conducted over time in modules covering specific topics. Refresher
training may be less comprehensive, provided that the information
presented is sufficient to provide employees with continued
understanding of work place hazards. The refresher training of persons
subject to this subpart must include the information and training
prescribed in Sec. 140.515 of this section.
(e) The owner, managing operator, or master must determine the
appropriate training and information to provide to each individual
permitted on the vessel who is not a crewmember, relative to the
expected risk exposure of the individual.
(f) All training required in this section must be documented in
owner or managing operator records.
Sec. 140.520 Personnel hazard exposure and medical records.
(a) The owner or managing operator must:
[[Page 50025]]
(1) Maintain medical records for each employee for at least 6 years
following employment;
(2) Ensure that access is provided in a reasonable time, place, and
manner, whenever an employee, or a person designated in writing to
represent the employee, requests access to a record. If the owner or
managing operator cannot reasonably provide access to the record within
15 working days, the owner or managing operator must apprise the
employee or designated representative of the reason for the delay and
the earliest date when the record can be made available.
(b) Whenever an employee requests access to his or her employee
medical records, and a physician representing the owner or managing
operator believes that direct employee access to information contained
in the records regarding a specific diagnosis of a terminal illness or
a psychiatric condition could be detrimental to the employee's health,
the owner or managing operator may inform the employee that access will
be provided only to a designated representative of the employee having
specific written consent, and may deny the employee's request for
direct access to this information only. Where a designated
representative with specific written consent requests access to
information so withheld, the owner or managing operator must ensure the
access of the designated representative to this information, even when
it is known that the designated representative will give the
information to the employee.
Subpart F--Vessel Operational Safety
Sec. 140.600 Applicability.
This subpart applies to all towing vessels unless otherwise
specified. Certain vessels remain subject to the navigation safety
regulations in 33 CFR part 164.
Sec. 140.605 Vessel stability.
(a) A towing vessel with a stability letter must be maintained and
operated in accordance with its stability letter.
(b) A towing vessel without a stability letter must be maintained
and operated so the watertight integrity and stability of the vessel is
not compromised.
(c) Prior to getting underway, and at all other times necessary to
ensure the safety of the vessel, the master must determine that the
vessel complies with all applicable stability requirements in the
vessel's trim and stability book, stability letter, COI, and Load Line
Certificate. The vessel will not get underway until the master
determines that the vessel complies with these requirements.
Sec. 140.610 Hatches and other openings.
(a) All towing vessels must be operated in a manner that minimizes
the risk of down-flooding and progressive flooding.
(b) The master must ensure that all watertight and weathertight
hatches, doors, and other openings function properly.
(c) Hatches and openings of the hull and deck must be kept tightly
closed except:
(1) When access is needed through the opening for transit;
(2) When operating on rivers with a tow, if the master determines
the safety of the vessel is not compromised; or
(3) When operating on lakes, bays, and sounds, without a tow during
calm weather, and only if the master determines that the safety of the
vessel is not compromised.
(d) Where installed, all watertight doors in watertight bulkheads
must be closed during the operation of the vessel, unless they are
being used for transit between compartments; and
(e) When downstreaming, all exterior openings at the main deck
level must be closed.
Sec. 140.615 Tests and inspections.
(a) This section applies to a towing vessel not subject to 33 CFR
164.80.
(b) Prior to getting underway, the master of the vessel must
examine and test the steering gear, signaling whistle, propulsion
control, towing gear, navigation lights, navigation equipment, and
communication systems of the vessel. This examination and testing does
not need to be conducted more than once in any 24-hour period.
(c) The results of the inspection must be recorded in the towing
vessel record or official logbook, or in accordance with the TSMS
applicable to the vessel.
Sec. 140.620 Navigational safety equipment.
(a) This section applies to a towing vessel not subject to the
requirements of 33 CFR 164.82.
(b) The owner, managing operator, or master of each towing vessel
must maintain the required navigational-safety equipment in a fully-
functioning, operational condition.
(c) Navigational safety equipment that fails during a voyage must
be repaired at the earliest practicable time. The owner, managing
operator, or master must consider the state of the equipment (along
with such factors as weather, visibility, traffic, and the dictates of
good seamanship) when deciding whether it is safe for the vessel to
proceed.
(d) The failure and subsequent repair or replacement of
navigational-safety equipment must be recorded. The record must be made
in the official log, towing vessel record, or in accordance with the
Towing Safety Management System applicable to the vessel.
Sec. 140.625 Navigation underway.
(a) This section applies to all towing vessels. Certain towing
vessels are also subject to the requirements of 33 CFR 164.78.
(b) At all times, the movement of a towing vessel and its tow must
be under the direction and control of a master or mate (pilot) properly
licensed under subchapter B of this chapter.
(c) The master or mate (pilot) must ensure that the towing vessel
and its tow are operated in a manner that does not pose a threat to
life, property, or the environment. Special attention should be paid
to:
(1) The velocity and direction of currents in the area being
transited;
(2) Tidal state;
(3) Prevailing visibility and weather conditions;
(4) Density of marine traffic;
(5) Potential damage caused by the vessel's own wake or that of its
tow;
(6) The danger of each closing visual or radar contact;
(7) Water depth or river stage upon the route and at mooring
location;
(8) Air draft relative to bridges and overhead obstructions;
(9) Bridge transits;
(10) Lock transits;
(11) Other navigation hazards such as logs, wrecks or other
obstructions in the water;
(12) Handling characteristics of the vessel and tow; and
(13) Magnetic variation and deviation errors of the compass, if
installed.
Sec. 140.630 Lookout.
(a) Throughout the trip or voyage the master and mate (pilot) must
assess the requirement for a lookout. A lookout should be added when
necessary to:
(1) Maintain a state of vigilance with regard to any significant
change in the operational environment;
(2) Appraise the situation and the risk of collision/allision;
(3) Anticipate stranding and other dangers to navigation; and
(4) Detect any other potential hazards to safe navigation.
(b) In determining the requirement for a lookout, the person in
charge of the navigation watch must take full account of relevant
factors including, but not limited to: State of weather, visibility,
traffic density, proximity of dangers to navigation, and the attention
necessary
[[Page 50026]]
when navigating in areas of increased vessel traffic.
Sec. 140.635 Navigation watch assessment.
(a) This section applies to all towing vessels. Additionally, some
vessels remain subject to the requirements of 33 CFR 164.80.
(b) Prior to getting underway or assuming a navigation watch, the
person in charge of the navigation watch must conduct a navigation
assessment for the intended route. The navigation assessment shall be
used to assess operational risks, maintain situational awareness, and
anticipate and manage workload demands. The assessment must consider
the following factors:
(1) Compliance with applicable provisions of the Towing Safety
Management System applicable to the towing vessel, if the vessel has a
TSMS;
(2) Waterway conditions, including anticipated current direction
and speed, water depth, vessel traffic, and information contained in
relevant notice(s) to mariners;
(3) Existing and forecasted weather for the intended route;
(4) Maneuvering characteristics of the towing vessel and tow,
taking into account tow configuration, horsepower, and any auxiliary
steering units and assist vessels;
(5) Potential waterway obstacles such as bridges, dams and locks,
wrecks and other obstructions, reported shoaling, and a determination
as to whether adequate air-draft clearance, under-keel clearance, and
horizontal clearance exist;
(6) Anticipated workload caused by the nature of the towing
vessel's functions, immediate operating requirements, and anticipated
maneuvers;
(7) Any other relevant standard, procedure or guidance relating to
watchkeeping arrangements and fitness for duty;
(8) The knowledge and qualifications of crewmembers who are
assigned as members on watch;
(9) The experience and familiarity of crewmembers with the towing
vessel's equipment, procedures, and maneuvering capability;
(10) The activities taking place onboard the towing vessel and the
tow;
(11) Availability of assistance to be summoned immediately to the
pilothouse when necessary;
(12) The operational status of pilothouse instrumentation and
controls, including alarm systems;
(13) Size of the towing vessel and tow and the field of vision
available from the operating station;
(14) The configuration of the pilothouse, to the extent that such
configuration may inhibit a member of the watch from detecting by sight
or hearing any external development; and
(15) Any special conditions not covered above that impact the
safety of navigation.
(c) At each change of the navigation watch, the oncoming watch must
ensure that the navigation risk assessment is current and valid.
(d) The assessment must be updated as necessary, such as when
changes occur to the tow configuration, route, weather or other routine
conditions.
(e) When an assessment is updated, the person in charge of the
navigation watch must ensure that any changes are communicated to other
watchstanders.
(f) The assessment must be recorded in the Towing Vessel Record
(TVR), official log, or, if the vessel has aTowing Safety Management
System (TSMS), then in accordance with the TSMS applicable to the
vessel. The entry must include: The date and time of the assessment,
the name of the individual making the assessment, and the starting and
ending points of the voyage or trip that the assessment covers.
Sec. 140.640 Pilothouse resource management.
This section applies to all towing vessels.
(a) The person in charge of the navigation watch must:
(1) Ensure that other members of the navigation watch:
(i) Share a common understanding of the navigational risks
associated with the intended trip or voyage, and of agreed procedures
of transit;
(ii) Understand the chain of command and the way decisions are made
and responded to; and
(iii) Understand how and when to share information critical to the
safety of the vessel throughout the trip or voyage.
(2) Ensure that the planned route is:
(i) Clearly displayed (in print or electronically) on charts or
maps as appropriate in the pilothouse;
(ii) Continuously available to crewmembers with duties related to
the safe navigation of the towing vessel, to verify any question or
uncertainty on the course to be followed or to identify hazards to safe
navigation; and
(iii) Updated as necessary at any change of watch, route,
condition, and operational requirements during the voyage or trip.
(3) Ensure that watch change procedures provide a review of:
(i) Information critical to the safety of voyage (trip);
(ii) Procedures used to identify hazards to navigation; and
(iii) Information sharing procedures.
(4) Avoid handing over the watch if:
(i) There is reason to believe that the oncoming watchstander is
not capable of carrying out the watchkeeping duties effectively; or
(ii) The night vision of the oncoming watchstander has not fully
adjusted prior to assuming a night watch.
(b) Prior to assuming duties as person in charge of the navigation
watch, a person must:
(1) Verify the planned route, taking into consideration all
pertinent information to anticipate hazards to navigation safety;
(2) Verify the operational condition of the towing vessel; and
(3) Verify that there are adequate personnel available to assume
the watch.
(c) If at any time the licensed mariner on watch is to be relieved
when a maneuver or other action to avoid any hazard is taking place,
the relief of that licensed mariner shall be deferred until such action
has been completed.
Sec. 140.645 Navigation safety training.
(a) Prior to assuming duties related to the safe navigation of a
towing vessel, each crewmember must receive training to ensure that
they are familiar with:
(1) Watchstanding terms and definitions;
(2) Duties of a lookout;
(3) Communication with other watchstanders;
(4) Change of watch procedures;
(5) Procedures for reporting other vessels or objects; and
(6) Watchstanding safety.
(b) Crewmember training must be recorded in the towing vessel
record or official logbook, or, if the vessel has a Towing Safety
Management System (TSMS), then in accordance with the TSMS applicable
to the vessel.
Sec. 140.650 Operational readiness of lifesaving and fire suppression
and detection equipment.
The owner, managing operator, or master of a towing vessel must
ensure that the vessel's lifesaving and fire suppression and detection
equipment complies with the applicable requirements of parts 141 and
142 of this subchapter and are in good working order.
Sec. 140.655 Prevention of oil and garbage pollution.
(a) Each towing vessel must be operated in compliance with:
(1) Applicable sections of the Federal Water Pollution Control Act,
including Section 311 of the Federal Water Pollution Control Act, as
amended (33 U.S.C. 1321);
[[Page 50027]]
(2) Applicable sections of The Act to Prevent Pollution from Ships
(33 U.S.C. 1901 et seq.); and
(3) Parts 151, 155, and 156 of 33 CFR, as applicable.
(b) Each towing vessel must be capable of preventing all oil and
fuel spills from reaching the water during transfers by:
(1) Pre-closing of the scuppers/freeing ports, if the towing vessel
is so equipped;
(2) Using fixed or portable containment of sufficient capacity to
contain the most likely spill; or
(3) Pre-deploying sorbent material on the deck around vents and
fills.
(c) No person may intentionally drain oil or hazardous material
into the bilge of a towing vessel from any source.
Sec. 140.660 Vessel security.
Each towing vessel must be operated in compliance with:
(a) The Maritime Transportation Security Act of 2002 (46 U.S.C.
chapter 701); and
(b) 33 CFR parts 101 and 104, as applicable. Subpart G--Navigation
and Communication Equipment.
Sec. 140.700 Applicability.
This subpart applies to all towing vessels unless otherwise
specified. Certain towing vessels will also remain subject to the
navigation safety regulations in 33 CFR part 164.
Sec. 140.705 Charts and nautical publications.
(a) This section applies to a towing vessel not subject to the
requirements of 33 CFR 164.72.
(b) A towing vessel must carry adequate and up-to-date information
and equipment for the intended voyage, including:
(1) Charts, including electronic charts acceptable to the Coast
Guard, of appropriate scale to make safe navigation possible. Towing
vessels operating on the western rivers must have maps of appropriate
scale issued by the Army Corps of Engineers (ACOE) or river authority;
(2) ``U.S. Coast Pilot'' or similar publication;
(3) Coast Guard light list; and
(4) Towing vessels that operate on the western rivers must have
river stage(s) or Water Surface Elevations (WSE) as appropriate to the
trip or route, as published by the U.S. Army Corps of Engineers, or a
river authority must be available to the person in charge of the
navigation watch.
(c) Extracts or copies from the publications listed in paragraph
(b) of this section may be carried, so long as they are applicable to
the route.
Sec. 140.710 Marine radar.
Requirements for marine radar are set forth in 33 CFR 164.72.
Sec. 140.715 Communications equipment.
(a) Towing vessels must meet the communications requirements of 33
CFR part 26 and 33 CFR 164.72, as applicable.
(b) Towing vessels not subject to the provisions of 33 CFR part 26
and 33 CFR 164.72 must have a Very High Frequency-Frequency Modulated
(VHF-FM) radio installed and capable of monitoring VHF-FM Channels 13
and 16, except when transmitting or receiving traffic on other VHF-FM
channels, when participating in a Vessel Traffic Service (VTS), or when
monitoring a channel of a VTS. The VHF-FM radio must be installed at
the operating station and connected to a functioning battery backup.
(c) All towing vessels must have at least one properly operating
handheld VHF-FM radio in addition to the radios otherwise required.
Sec. 140.720 Navigation lights, shapes, and sound signals.
Each towing vessel must be equipped with navigation lights, shapes,
and sound signals in accordance with the International Regulations for
Prevention of Collisions at Sea (COLREGS) or 33 CFR part 84 as
appropriate to its area of operation.
Sec. 140.725 Additional navigation equipment.
(a) This section applies to all towing vessels. Some vessels will
also remain subject to the requirements of 33 CFR 164.72.
(b) Towing vessels must be equipped with the following equipment,
as applicable to the area of operation:
(1) Fathometer (except Western Rivers);
(2) Search light, controllable from the vessel's main steering
station and capable of illuminating objects at a distance of at least
two times the length of the tow;
(3) Electronic position-fixing device, satisfactory for the area in
which the vessel operates, if the towing vessel engages in towing
seaward of the navigable waters of the U.S. or more than 3 nautical
miles from shore on the Great Lakes;
(4) Magnetic compass or an illuminated swing-meter (Western rivers
vessels only). The compass or swing-meter must be readable from the
towing vessel's main steering station; and
(5) Certain towing vessels must also meet the Automatic
Identification System requirements of 33 CFR 164.46.
Subpart H--Towing Safety
Sec. 140.800 Applicability.
This subpart applies to all towing vessels unless otherwise
specified. Certain vessels will remain subject to the navigation safety
regulations in 33 CFR parts 163 and 164.
Sec. 140.801 Towing gear.
The owner, managing operator, or master of a towing vessel must
ensure that:
(a) The strength of each component used for securing the towing
vessel to the tow and for making up the tow is adequate for its
intended service.
(b) The size, material, and condition of towlines, lines, wires,
push gear, cables, and other rigging used for making up a tow or
securing the towing vessel to a tow must be appropriate for:
(1) The horsepower or bollard pull of the vessel;
(2) The static loads and dynamic loads expected during the intended
service;
(3) The environmental conditions expected during the intended
service; and
(4) The likelihood of mechanical damage.
(c) Emergency procedures related to the tow have been developed and
appropriate training provided to the crew for carrying out their
emergency duties.
Sec. 140.805 Towing safety.
Prior to getting underway, and giving due consideration to the
prevailing and expected conditions of the trip or voyage, the person in
charge of the navigation watch for a towing vessel must ensure that:
(a) The barges or vessels making up the tow are properly configured
and secured;
(b) Equipment, cargo, and industrial components onboard the tow are
properly secured and made ready for transit;
(c) The towing vessel is safely and securely made up to the tow;
and
(d) The towing vessel has appropriate horsepower or bollard pull
and is capable of safely maneuvering the tow.
Sec. 140.810 Towing of barges.
The requirements of 33 CFR part 163 also apply to certain towing
vessels.
Sec. 140.815 Examination of towing gear.
(a) The owner, managing operator, or master of a towing vessel must
ensure that a visual examination of all towing gear is conducted prior
to placing it into service and at least once every 30 days while in
service. The visual
[[Page 50028]]
examination must include, but is not limited to:
(1) Towlines, bridles, face wires, spring lines, push gear, and
other components used for towing or pushing;
(2) Wires, shackles, and other components used for making up a tow;
and
(3) Winches, bits, cleats, and other towing vessel components.
(b) Any component found to be unsuitable must be removed from
service or repaired prior to use.
Sec. 140.820 Recordkeeping for towing gear.
(a) The results of the visual examination, as outlined in Sec.
140.815 of this subpart, must be documented in the Towing Vessel Record
or official logbook, or, if the vessel has a Towing Safety Management
System (TSMS), then in accordance with the TSMS applicable to the
vessel.
(b) A record of the type, size, and service of each towline,
bridle, face wire, and spring line must be available to the Coast Guard
or third-party auditor for inspection.
Subpart I--Vessel Records
Sec. 140.900 Marine casualty reporting.
Each towing vessel must comply with the requirements of part 4 of
this chapter for reporting marine casualties and retaining voyage
records.
Sec. 140.905 Official logbooks.
(a) The following vessels are required by 46 U.S.C. 11301 to have
an official logbook:
(1) A vessel of the United States, except one on a voyage from a
port in the United States to a port in Canada, if the vessel is:
(i) On a voyage from a port in the United States to a foreign port;
or
(ii) Of at least 100 gross tons and on a voyage between a port in
the United States on the Atlantic Ocean and one on the Pacific Ocean.
(2) [Reserved]
(b) The Coast Guard furnishes, without fee, to masters of vessels
of the United States the official logbook as Form CG-706B or CG-706C,
depending on the number of persons employed as crew. The first several
pages of this logbook list various acts of Congress governing logbooks
and the entries required in them.
(c) When a voyage is completed, or after a specified time has
elapsed, the master must file the official logbook containing required
entries with the cognizant Officer in Charge, Marine Inspection at or
nearest the port where the vessel may be.
Sec. 140.910 Towing vessel records.
(a) This section applies to a towing vessel other than a vessel
operating only in a limited geographic area or a vessel required by
Sec. 140.905 of this subpart to maintain an official logbook.
(b) A towing vessel subject to this section must maintain a Towing
Vessel Record (TVR) or, if the vessel has a Towing Safety Management
System (TSMS), then other record as provided in accordance with the
TSMS applicable to the towing vessel.
(c) The TVR must include a chronological record of events as
required by this subchapter. They may be electronic or paper.
(d) Except as required by 46 CFR 140.900 and 144.905, records do
not need to be filed with the Coast Guard, but must be kept available
for review by the Coast Guard upon request. Records, unless required to
be maintained for a longer period by statute or other Federal
regulation, must be retained for at least 1 year after the date of the
latest entry.
Sec. 140.915 Items to be recorded.
The following list of items must be recorded in the official log,
Towing Vessel Record (TVR) or, if the vessel has a Towing Safety
Management System (TSMS), then the TSMS applicable to the towing
vessel:
(a) Personnel records, in accordance with Sec. 140.400 of this
part;
(b) Safety orientation, in accordance with Sec. 140.410 of this
part;
(c) Record of drills and training, in accordance with Sec. 140.420
of this part;
(d) Operative navigational-safety equipment, in accordance with
Sec. 140.620 of this part;
(e) Navigation Assessment, in accordance with Sec. 140.635 of this
part;
(f) Navigation safety training, in accordance with Sec. 140.645 of
this part; and
(g) Towing gear, in accordance with Sec. 140.820 of this part.
(h) Oil residue discharges and disposals, in accordance with Sec.
140.655.
Subpart J--Penalties
Sec. 140.1000 Statutory penalties.
Violations of the provisions of this subchapter will subject the
violator to the applicable penalty provisions of Subtitle II of Title
46, and Title 18, United States Code.
Sec. 140.1005 Suspension and revocation.
An individual is subject to proceedings under the provisions of 46
U.S.C. 7703 and part 5 of this chapter with respect to suspension or
revocation of a license, certificate, document, or credential if the
individual holds a license, certificate of registry, merchant mariner
document, or merchant mariner credential and;
(a) Commits an act of misconduct, negligence or incompetence;
(b) Uses or is addicted to a dangerous drug; or
(c) Violates or fails to comply with this subchapter or any other
law or regulation intended to promote marine safety.
PART 141--LIFESAVING
Subpart A--General
Sec.
141.100 Purpose.
141.105 Applicability.
141.110 Organization of this part.
141.115 Definitions.
141.120 Incorporation by reference.
Subpart B--General Requirements for Towing Vessels
141.205 Towing Safety Management System (TSMS).
141.215 [Reserved].
141.220 General provisions.
141.225 Alternative requirements.
141.230 Readiness.
141.235 Examination, testing, and maintenance.
141.240 Requirements for training crews.
Subpart C--Lifesaving Requirements for Towing Vessels
141.305 Survival craft requirements for towing vessels.
141.310 Stowage of survival craft.
141.315 Marking of survival craft and stowage locations.
141.320 Inflatable survival craft placards.
141.325 Survival craft equipment.
141.330 Other survival craft.
141.335 Personal lifesaving requirements for towing vessels.
141.340 Lifejackets.
141.345 Lifejacket placards.
141.350 Immersion suits.
141.360 Lifebuoys.
141.365 Means for recovery of persons in the water.
141.370 Miscellaneous lifesaving requirements for towing vessels.
141.375 Visual distress signals.
141.380 Emergency position indicating radiobeacon (EPIRB).
141.385 Line throwing appliance.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
Sec. 609 of Pub. L. 111-281; 33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 141.100 Purpose.
This part contains requirements for lifesaving equipment,
arrangements, systems, and procedures on towing vessels.
Sec. 141.105 Applicability.
(a) This part applies to all towing vessels subject to this
subchapter.
[[Page 50029]]
(b) A towing vessel on an international voyage, subject to the
International Convention for the Safety of Life at Sea (SOLAS), 1974,
as amended, must meet the applicable requirements in subchapter W of
this chapter.
(c) Towing vessels in compliance with SOLAS will be deemed in
compliance with this part.
Sec. 141.110 Organization of this part.
(a) Certain sections in this part contain functional requirements.
Functional requirements describe the desired objective of the
regulation. A towing vessel must meet the applicable functional
requirements.
(b) Certain sections may also contain a prescriptive option to meet
the functional requirements. A towing vessel that meets the
prescriptive option will have complied with the functional
requirements.
(c) If an owner or managing operator chooses to meet the functional
requirement through means other than the prescriptive option, the means
must be accepted by the cognizant Officer in Charge, Marine Inspection
or, if the vessel has a Towing Safety Management System (TSMS), then by
an approved third-party organization and documented in the TSMS
applicable to the vessel.
Sec. 141.115 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
Sec. 141.120 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register, in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any
edition other than that specified in paragraph (b) of this section, the
Coast Guard must publish notice of the change in the Federal Register
and make the material available for inspection. All approved material
is available at the U.S. Coast Guard, Office of Design and Engineering
Standards (CG-521), 2100 Second Street, SW., Washington, DC 20593-0001,
or from the sources indicated in paragraph (b) of this section, or at
the National Archives and Records Administration (NARA). For more
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/code_of_federal regulations/ibr_locations.html.
(b) The material approved for incorporation by reference in this
part and the sections affected are:
------------------------------------------------------------------------
International Maritime Organization (IMO)
------------------------------------------------------------------------
Resolution A.760(18)--Symbols related to Life-Saving 141.340
Appliances and Arrangements, 1993...........................
------------------------------------------------------------------------
Subpart B--General Requirements for Towing Vessels
Sec. 141.205 Towing Safety Management System (TSMS).
If a Towing Safety Management System (TSMS) is applicable to the
towing vessel, the TSMS must:
(a) Include policies and procedures to ensure compliance with this
part; and
(b) Provide objective evidence that documents compliance with the
TSMS.
Sec. 141.215 [Reserved]
Sec. 141.220 General provisions.
(a) Unless otherwise specified, all lifesaving equipment must be of
an approved type.
(b) Where equipment in this subpart is required to be of an
approved type, such equipment requires the specific approval of the
Coast Guard. A listing of approved equipment and materials may be found
at http://cgmix.uscg.mil/equipment. Each cognizant Officer in Charge,
Marine Inspection (OCMI) may be contacted for information concerning
approved equipment and materials.
Sec. 141.225 Alternative requirements.
(a) A towing vessel may meet the requirements of this part by being
equipped with appropriate alternate arrangements or equipment as
permitted by this subpart and, for vessels with a TSMS, documented in
the TSMS applicable to the vessel.
(b) The cognizant Officer in Charge, Marine Inspection (OCMI) may
require a towing vessel to carry specialized or additional lifesaving
equipment if:
(1) The cognizant OCMI determines that the conditions of the voyage
render the requirements of this part inadequate; or
(2) The vessel is operated in globally remote areas or severe
environments not covered under this part. Such areas may include, but
are not limited to, Polar Regions, remote islands, areas of extreme
weather, and other remote areas where timely emergency assistance
cannot be anticipated.
Sec. 141.230 Readiness.
The master must ensure that all lifesaving equipment is properly
maintained and ready for use at all times.
Sec. 141.235 Examination, testing, and maintenance.
(a) All lifesaving equipment must be tested and maintained in
accordance with the minimum requirements of Sec. 199.190 of this
chapter and, if the vessel has a Towing Safety Management System
(TSMS), with the TSMS applicable to the towing vessel.
(b) The records of tests and examinations must be maintained in
accordance with the TSMS applicable to the towing vessel, if the vessel
has a TSMS, or with the towing vessel record or the vessel's official
logbook. The following minimum information is required:
(1) The dates when tests and examinations were performed, the
number and/or other identification of each unit tested and examined,
and the name(s) of the person(s) and/or third-party auditor conducting
the tests and examinations.
(2) Receipts and other records documenting these tests and
examinations must be retained and made available upon request.
Sec. 141.240 Requirements for training crews.
Training requirements are contained in part 140 of this subchapter.
Subpart C--Lifesaving Requirements for Towing Vessels
Sec. 141.305 Survival craft requirements for towing vessels.
(a) General purpose. Survival craft provide a means for survival
when evacuation from the towing vessel is necessary. The craft and
related equipment should be selected so as to provide for the basic
needs of the crew, such as shelter from life threatening elements,
until rescue resources are expected to arrive, taking into account the
scope and nature of the towing vessel's operations.
(b) Functional requirements. A towing vessel's survival craft must
meet the functional requirements of paragraphs (b)(1) through (5) of
this section. The design, testing, and examination scheme for meeting
these functional requirements must be submitted as part of any Towing
Safety Management System (TSMS) issued under part 138 of this chapter.
Survival craft must:
(1) Be readily accessible;
(2) Have an aggregate capacity to accommodate the total number of
individuals onboard, as specified in paragraph (c) of this section;
(3) Provide a means for sheltering its complement appropriate to
the route;
(4) Provide minimum equipment for survival if recovery time is
expected to be greater than 24 hours; and
[[Page 50030]]
(5) Be marked so that an individual not familiar with the operation
of the specific survival craft has sufficient guidance to utilize the
craft for its intended use.
(6) By 2015, no survival craft may be approved unless the craft
ensures that no part of an individual is immersed in water.
(c) Prescriptive requirements. Compliance with the functional
requirements of paragraph (b) of this section may be met by meeting the
prescriptive requirements of this paragraph.
(1) Except as provided in paragraphs (c)(2) through (5) of this
section, each towing vessel must carry the survival craft specified in
Table 141.305 of this section, as appropriate for the towing vessel, in
an aggregate capacity to accommodate the total number of individuals
onboard. Equipment requirements are based on the area in which a towing
vessel is operating, not the route for which it is certificated;
however, the towing vessel must be equipped per the requirements of its
certificated route at the time of certification.
Table 141.305--Survival Craft
--------------------------------------------------------------------------------------------------------------------------------------------------------
Area of operation
---------------------------------------------------------------------------------------------
Great Lakes and Coastwise and
LBS Ltd. coastwise
Limited ------------------------------------
geographic Rivers < 3 > 3 < 3 > 3 Oceans
area miles miles miles miles
from from from from
shore shore shore shore
--------------------------------------------------------------------------------------------------------------------------------------------------------
COLD WATER OPERATION
--------------------------------------------------------------------------------------------------------------------------------------------------------
Buoyant Apparatus......................................... \1\ .................................. ....... ....... ....... ....... .......
Life Float................................................ \1\ .................................. ....... ....... ....... ....... .......
Inflatable Buoyant Apparatus.............................. \1\ \2\ \4\ \5\ \6\ 100% \2\ ....... \2\ ....... .......
100% 100%
Inflatable Liferaft with SOLAS A Pack..................... \1\ .................................. ....... ....... ....... ....... 100%
Inflatable Liferaft with SOLAS B Pack..................... \1\ .................................. ....... 100% ....... 100% .......
--------------------------------------------------------------------------------------------------------------------------------------------------------
WARM WATER OPERATION
--------------------------------------------------------------------------------------------------------------------------------------------------------
Buoyant Apparatus......................................... \1\ \2\ \4\ \5\ \6\ 100% \2\ \2\ \2\ ....... .......
100% 100% 100%
Life Float................................................ \1\ .................................. ....... ....... ....... ....... .......
Inflatable Buoyant Apparatus.............................. \1\ .................................. ....... ....... ....... ....... .......
Inflatable Liferaft with SOLAS A Pack..................... \1\ .................................. ....... ....... ....... ....... 100%
Inflatable Liferaft with SOLAS B Pack..................... \1\ .................................. ....... ....... ....... \3\ .......
100%
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Unless survival craft requirements are determined to be necessary by the cognizant OCMI or a TSMS applicable to the towing vessel.
\2\ A skiff may be substituted for all or part of required equipment if capable of being launched within five minutes under all circumstances (see Sec.
141.330).
\3\ IBA may be accepted or substituted if the vessel carries a 406 MHz Cat 1 EPIRB meeting 47 CFR Part 80.
\4\ A towing vessel may be exempt from this requirement if it carries a 406 MHz Cat 1 EPIRB meeting 46 CFR 47 Part 80.
\5\ A towing vessel designed for pushing ahead when operating on rivers and canals need not carry survival craft if a TSMS applicable to the towing
vessel contains procedures for evacuating crewmembers onto the tow or other safe location.
\6\ Not required for towing vessels operating within 1 mile of shore unless determined to be necessary by the cognizant OCMI or a TSMS applicable to the
towing vessel.
(2) A towing vessel may continue to use a survival craft, other
than an inflatable liferaft, installed onboard the vessel before
[EFFECTIVE DATE OF FINAL RULE] provided it is of the same type as
required in Table 141.305 of this section, as appropriate for the
vessel type and maintained in good and serviceable condition.
(3) A towing vessel may continue to use an inflatable liferaft
installed onboard the vessel before [EFFECTIVE DATE OF FINAL RULE],
provided it is equipped with the equipment pack required in Table Sec.
141.305 of this section, as appropriate for the vessel type and
maintained in good and serviceable condition.
(4) An approved lifeboat may be substituted for any survival craft
required by this section, provided it is arranged and equipped in
accordance with part 199 of this chapter.
(5) Each towing vessel operating within a limited geographic area
need not carry a survival craft unless it is determined to be necessary
by the cognizant Officer in Charge, Marine Inspection, or a TSMS
applicable to the towing vessel.
(6) By 2015, no survival craft may be approved unless the craft
ensures that no part of an individual is immersed in water.
Sec. 141.310 Stowage of survival craft.
Survival craft may be stowed in accordance with the Towing Safety
Management System applicable to the towing vessel, but must, at a
minimum, meet the requirements of Sec. 199.130 of this chapter, as far
as is practicable on existing towing vessels.
Sec. 141.315 Marking of survival craft and stowage locations.
Survival craft may be marked in accordance with the Towing Safety
Management System applicable to the vessel, but must, at a minimum,
meet the requirements of Sec. Sec. 199.176 and 199.178 of this
chapter.
Sec. 141.320 Inflatable survival craft placards.
Every towing vessel equipped with an inflatable survival craft must
have approved placards or otherwise post instructions for launching and
inflating inflatable survival craft in conspicuous places near each
inflatable survival craft for the information of persons onboard.
Sec. 141.325 Survival craft equipment.
(a) Each item of survival craft equipment must be of good quality,
effective for the purpose it is intended to serve, and secured to the
craft.
[[Page 50031]]
(b) Each towing vessel carrying a lifeboat must carry equipment in
accordance with 46 CFR 199.175.
(c) Each life float and buoyant apparatus must be fitted with a
lifeline, pendants, a painter, and floating electric water light
approved under subpart 161.010 of this chapter.
Sec. 141.330 Other survival craft.
A skiff may be substituted for all or part of the approved survival
craft as permitted by Table 141.305 (in Sec. 141.305) of this part.
The skiff must meet the following requirements:
(a) Must be capable of being launched within 5 minutes under all
circumstances.
(b) Must be of suitable size for all persons onboard;
(c) Must not exceed the loading specified on the capacity plate;
(d) Must not contain modifications affecting the buoyancy or
structure of the skiff;
(e) Must be of suitable design for the vessel's intended service;
approval by the Coast Guard is not required; and
(f) Must be marked in accordance with 46 CFR part 178 and 46 CFR
199.176.
(g) By 2015, no survival craft may be approved unless the craft
ensures that no part of an individual is immersed in water.
Sec. 141.335 Personal lifesaving requirements for towing vessels.
Personal lifesaving requirements are summarized in Table 141.335 of
this section. Equipment requirements are based on the area in which a
vessel is operating, not the route for which it is certificated.
Table 141.335--Personal Lifesaving Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
Area of Operation
--------------------------------------------------------------------------------------------------------------------------
Great Lakes and LBS Coastwise and Ltd. coastwise
Limited ----------------------------------------------------------------------
geographic area Rivers < 3 miles from > 3 miles from < 3 miles from > 3 miles from Oceans
shore shore shore shore
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lifejackets.................. 1 per person.... 1 per person onboard. In addition, for vessels with berthing aboard, 1 per watch stander located at
each watch station.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Immersion Suits.............. ................ ................ 1 per person onboard. In addition, see 141.350(a)(2).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Work Vests................... Required to be worn when dispatched from the towing vessel or working without rails and guard on the exterior of the
vessel.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec. 141.340 Lifejackets.
Each towing vessel must meet the requirements of 46 CFR 199.70(b)
and (d), except that:
(a) A lifejacket meeting the requirements of 46 CFR 199.620(c) is
acceptable.
(b) Child lifejackets are not required.
(c) For towing vessels with berthing aboard, a sufficient number of
additional lifejackets must be carried so that a lifejacket is
immediately available for persons at each normally manned watch
station.
(d) If a Towing Safety Management System (TSMS) is applicable to
the towing vessel, the TSMS may provide for an appropriate, alternative
number of lifejackets for the vessel, but there must be at least one
lifejacket for each person onboard. Any TSMS applicable to the towing
vessel must specify the number and location of lifejackets in such a
manner as to facilitate immediate accessibility at normally occupied
spaces including, but not limited to, accommodation spaces and watch
stations.
(e) The requirements of 46 CFR 199.70(b)(2)(iii) do not apply to
stowage positions for lifejackets, other than lifejackets stowed in a
berthing space or stateroom.
(f) Each lifejacket container must also be marked in block capital
letters and numbers with the minimum quantity, identity, and, if sizes
other than adult or universal sizes are used on the vessel, the size of
the lifejackets stowed inside the container. The equipment may be
identified in words or with the appropriate symbol from IMO Resolution
A.760(18) incorporated by reference in Sec. 141.120 of this part); and
(g) Where, due to the particular arrangements of the vessel, the
lifejackets under paragraph (a) of this section could become
inaccessible, any TSMS applicable to the vessel may include suitable
alternative arrangements.
(h) A lifejacket light described in 46 CFR 199.620(e) may be used
on vessels that are not in international service.
Sec. 141.345 Lifejacket placards.
(a) Placards containing instructions for the donning and use of the
lifejackets aboard the vessel must be posted in conspicuous places for
all persons onboard.
(b) If there is no suitable mounting surface, the lifejacket
placards must be available to all persons onboard for familiarization.
Sec. 141.350 Immersion suits.
(a) General. Except for a towing vessel operating on rivers or in a
limited geographic area, each towing vessel operating north of 32
degrees North latitude or south of 32 degrees South latitude must carry
the number of immersion suits as prescribed in this subsection:
(1) At least one immersion suit, approved under subpart 160.171 of
this chapter, must be the appropriate size for each person onboard, as
noted in Table 141.335 (in Sec. 141.335) of this part; and
(2) In addition to the immersion suits required under paragraph
(a)(1) of this section, each watch station, work station, and
industrial work site must have enough immersion suits to equal the
number of persons normally on watch in, or assigned to, the station or
site at one time. However, an immersion suit is not required at a
station or site for a person whose cabin or berthing area (and the
immersion suits stowed in that location) is readily accessible to the
station or site.
(3) If a TSMS is applicable to the towing vessel, the TSMS may
provide for an appropriate, alternative number of immersion suits for
the vessel, but there must be at least one immersion suit of the
appropriate size for each person onboard if the towing vessel is
required to carry them as prescribed in paragraph (a)(1) of this
section. Any TSMS applicable to the towing vessel must specify the
number and location of the immersion suits in such a manner as to
facilitate immediate accessibility at normally occupied spaces,
including
[[Page 50032]]
but not limited to, accommodation spaces and watch stations.
(b) Attachments and Fittings. Immersion suits must carried on
towing vessels must meet the requirements of 46 CFR 199.70(c) and (d).
Sec. 141.360 Lifebuoys.
(a) A towing vessel must have one or more lifebuoys as follows:
(1) A towing vessel less than 26 feet length must carry a minimum
of one lifebuoy of not less than 510 millimeters (20 inches) in
diameter;
(2) A towing vessel of at least 26 feet, but less than 79 feet, in
length must carry a minimum of three lifebuoys located in positions to
be spread around the vessel where personnel are normally present.
Lifebuoys must be at least 610 millimeters (24 inches) in diameter;
(3) A towing vessel 79 feet or more in length must carry four
lifebuoys, plus one lifebuoy on each side of the primary operating
station and one lifebuoy at each alternative operating station if the
vessel is so equipped. Lifebuoys must be at least 610 millimeters (24
inches) in diameter; or
(4) If a Towing Safety Management System (TSMS) is applicable to
the towing vessel, the TSMS may provide for an appropriate, alternative
number of lifebuoys for the vessel. Any TSMS applicable to the towing
vessel must specify the number and location of lifebuoys in such a
manner as to facilitate rapid deployment of ring buoys from exposed
decks, including the pilot house.
(b) Each lifebuoy on a towing vessel must meet the requirements of
46 CFR 199.70(a), except that:
(1) Lifebuoys must be orange in color, if on a vessel on an oceans
or coastwise route.
(2) At least two lifebuoys on a towing vessel greater than 26 feet
must be fitted with a floating electric water light approved under
subpart 161.010 of this chapter. If the towing vessel is limited to
daytime operation, no floating electric water light is required. The
floating electric water light may not be attached to the lifebuoys
fitted with lifelines.
(3) Each lifebuoy with a floating electric water light must have a
lanyard of at least 910 millimeters (3 feet) in length, but not more
than 1,830 millimeters (6 feet), securing the water light around the
body of the ring buoy.
(4) Each floating electric water light on a vessel carrying only
one lifebuoy must be attached by the lanyard with a corrosion-resistant
clip to allow the water light to be quickly disconnected from the ring
buoy. The clip must have a strength of at least 22.7 kilograms (50
pounds).
Sec. 141.365 Means for recovery of persons in the water.
If a Towing Safety Management System (TSMS) is applicable to the
towing vessel, the TSMS must include procedures for the prompt recovery
of a person from the water and for the training of crewmembers
responsible for recovery in effectively implementing such procedures.
Sec. 141.370 Miscellaneous lifesaving requirements for towing
vessels.
Miscellaneous lifesaving requirements are summarized in Table
141.370 of this section. Equipment requirements are based on the area
in which a towing vessel is operating, not the route for which it is
certificated.
Table 141.370--Miscellaneous Lifesaving Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
Area of operation
--------------------------------------------------------------------------------------------------------------------------
Great Lakes and LBS Coastwise and Ltd. Coastwise
Limited ----------------------------------------------------------------------
geographic area Rivers < 3 miles from > 3 miles from < 3 miles from > 3 miles from Oceans
shore shore shore shore
--------------------------------------------------------------------------------------------------------------------------------------------------------
Visual Distress Signals (Sec. 3 and 3......... 3 and 3......... 3 and 3......... 6 and 6; or 12 3 and 3........ 6 and 6; or 12 6 and 6; or 12
141.375). parachute parachute parachute
flares. flares. flares.
EPIRBS (Sec. 141.380)...... ................ ................ ................ Yes............. ............... Yes............ Yes, Type
Accepted
Category 1.
Line Throwing Appliances ................ ................ ................ ................ ............... ............... Yes, 1.
(Sec. 141.385).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec. 141.375 Visual distress signals.
(a) Operating on oceans and other bodies of water. A towing vessel
operating on oceans, coastwise, limited coastwise, Great Lakes, or
lakes, bays and sounds must carry:
(1) Six hand red flare distress signals, as approved under 46 CFR
subpart 160.021 or other standard specified by the Coast Guard; and
(2) Six hand orange smoke distress signals, as approved under 46
CFR 160.037 or other standard specified by the Coast Guard.
(b) Operating on rivers and other bodies of water. A towing vessel
operating on rivers or western rivers, and not more than 3 nautical
miles from shore upon limited coastwise, great lakes or lakes, or bays
and sounds, must carry:
(1) Three hand red flare distress signals, as approved under 46 CFR
subpart 160.021 or other standard specified by the Coast Guard.
(2) Three hand orange smoke distress signals, as approved under 46
CFR subpart 160.037 or other standard specified by the Coast Guard.
(c) Operating in limited geographic areas. A towing vessel
operating in a limited geographic area must carry:
(1) Three hand red flare distress signals approved under 46 CFR
subpart 160.021 or other standard specified by the Coast Guard.
(2) Three hand orange smoke distress signals, as approved under 46
CFR subpart 160.037 or other standard specified by the Coast Guard.
(d) Substitutions. (1) A rocket parachute flare, as approved under
46 CFR subpart 160.036 or other standard specified by the Coast Guard,
may be substituted for any of the hand red flare distress signals, as
required under paragraph (a) or (b) of this section; or
(2) One of the following may be substituted for any of the hand
orange smoke distress signals, as required under paragraph (a) or (b)
of this section:
(i) A rocket parachute flare, as approved under 46 CFR subpart
160.036 or other standard specified by the Coast Guard;
(ii) A hand red flare distress signal, as approved under 46 CFR
subpart 160.021
[[Page 50033]]
or other standard specified by the Coast Guard; or
(iii) A floating orange smoke distress signal, as approved under 46
CFR subpart 160.022 or other standard specified by the Coast Guard.
(e) Exemption. A vessel operating in a limited geographic area on a
short run limited to approximately 30 minutes away from the dock is not
required to carry distress flares and smoke signals under this section.
(f) Stowage. Each pyrotechnic distress signal carried to meet this
section must be stowed in one of the following:
(1) A portable watertight container carried at the operating
station. Portable watertight containers for pyrotechnic distress
signals must be of a bright color and must be clearly marked in legible
contrasting letters at least 12.7 millimeters (0.5 inches) high with
``DISTRESS SIGNALS''; or
(2) A pyrotechnic locker secured above the freeboard deck, away
from heat, in the vicinity of the operating station.
Sec. 141.380 Emergency position indicating radiobeacon (EPIRB).
(a) Each towing vessel operating on oceans, coastwise, limited
coastwise, or beyond 3 nautical miles from shore upon the Great Lakes
must carry a Category 1, 406 MHz satellite Emergency Position
Indicating Radio Beacon (EPIRB) which meets the requirements of 47 CFR
part 80.
(b) When the towing vessel is underway, the EPIRB must be stowed in
its float-free bracket with the controls set for automatic activation
and be mounted in a manner so that it will float free if the towing
vessel sinks.
(c) The name of the towing vessel must be marked or painted in
clearly legible letters on each EPIRB, except on an EPIRB in an
inflatable liferaft.
(d) The owner or managing operator must maintain valid proof of
registration.
Sec. 141.385 Line throwing appliance.
Each towing vessel operating in oceans service must have a line
throwing appliance approved under subpart 160.040 of this chapter.
(a) Stowage. The line throwing appliance and its equipment must be
readily accessible for use.
(b) Additional equipment. The following equipment for the line
throwing appliance is required:
(1) The equipment on the list provided by the manufacturer with the
approved appliance; and
(2) An auxiliary line that--
(i) Is at least 450 meters (1,500 feet) long; and
(ii) Has a breaking strength of at least 40 kilonewtons (9,000
pounds-force); and
(iii) Is, if synthetic, of a dark color or certified by the
manufacturer to be resistant to deterioration from ultraviolet light.
PART 142--FIRE PROTECTION
Subpart A--General
Sec.
142.100 Purpose.
142.105 Applicability.
142.110 Definitions.
142.115 Incorporation by reference.
Subpart B--General Requirements for Towing Vessels
142.200 Towing Safety Management System (TSMS).
142.205 Vessels built to alternate standards.
142.210 Alternate arrangements or equipment.
142.215 Approved equipment.
142.220 Fire hazards to be minimized.
142.225 Storage of flammable or combustible products.
142.230 Hand-portable fire extinguishers and semi-portable fire-
extinguishing systems.
142.235 Fixed fire-extinguishing systems.
142.240 Examination, testing, and maintenance.
142.245 Requirements for training crews to respond to fires.
Subpart C--Equipment Requirements
142.300 General.
142.305 Fire-extinguishing equipment required.
142.310 Vessels contracted for prior to November 19, 1952.
142.315 Additional fire-extinguishing equipment requirements.
142.325 Fire pumps, fire mains, and fire hoses.
142.330 Fire detection in the engine room.
142.335 Smoke alarms in berthing spaces.
142.340 Heat detector in galley.
142.345 Firemen's outfit.
142.350 Fire Axe.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 142.100 Purpose.
This part describes the requirements for fire suppression and
detection equipment and arrangements on towing vessels.
Sec. 142.105 Applicability.
This part applies to all towing vessels subject to this subchapter.
Sec. 142.110 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
Sec. 142.115 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5 U.S.C
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Coast Guard must publish notice of
change in the Federal Register and the material must be available to
the public. All approved material is available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal
regulations/ibr_locations.html. Also, it is available for inspection
at U.S. Coast Guard, Office of Design and Engineering Standards (CG-
521), 2100 Second Street, SW., Washington, DC 20593-0001, and is
available from the sources listed in paragraph (b) of this section.
(b) The materials approved for incorporation by reference in this
part and the sections affected are:
------------------------------------------------------------------------
------------------------------------------------------------------------
National Fire Protection Association (NFPA), 1 Batterymarch Park,
Quincy, MA 02269-9101
------------------------------------------------------------------------
NFPA 10 (Chapter 7)--Portable Fire Extinguishers, 2007.. 142.240
NFPA 1971--Standard on Protective Ensembles for 142.345
Structural Fire-Fighting and Proximity Fire-Fighting,
2007...................................................
------------------------------------------------------------------------
Underwriters Laboratories Standard, 12 Laboratory Drive, Research
Triangle Park, NC 27709-3995
------------------------------------------------------------------------
UL 217--Single and Multiple Station Smoke Detectors..... 142.335
UL 1275--Flammable Storage Cabinet...................... 142.225
------------------------------------------------------------------------
[[Page 50034]]
Subpart B--General Requirements for Towing Vessels
Sec. 142.200 Towing Safety Management System (TSMS).
If a Towing Safety Management System (TSMS) is applicable to the
towing vessel, the TSMS must:
(a) Include policies and procedures to ensure compliance with this
part; and
(b) Provide objective evidence that documents compliance with the
TSMS.
Sec. 142.205 Vessels built to alternate standards.
(a) Towing vessels that comply with The International Convention
for the Safety of Life at Sea (SOLAS), 1974, as amended will be deemed
to be in compliance with this part.
(b) Alternate standards may be used where it can be shown that they
provide an equivalent level of safety and performance.
Sec. 142.210 Alternate arrangements or equipment.
(a) A towing vessel may comply with the requirements of this
subpart by being equipped with appropriate alternate arrangements or
equipment as permitted by this subpart and documented in the Towing
Safety Management System applicable to the towing vessel.
(b) The cognizant Officer in Charge, Marine Inspection (OCMI) may
require a towing vessel to carry specialized or additional fire
protection, suppression, or detection equipment if:
(1) The cognizant OCMI determines that the conditions of the voyage
render the requirements of this part inadequate; or
(2) The towing vessel is operated in globally remote areas or
severe environments not covered under this part. These areas may
include, but are not limited to, Polar Regions, remote islands, areas
of extreme weather, and other remote areas where timely emergency
assistance cannot be anticipated.
Sec. 142.215 Approved equipment.
(a) All hand-portable fire extinguishers, semi-portable fire-
extinguishing systems, and fixed fire-extinguishing systems must be of
an approved type.
(b) Where equipment in this subpart is required to be of an
approved type, such equipment requires the specific approval of the
Coast Guard. A listing of approved equipment and materials may be found
online at http://cgmix.uscg.mil/equip. Each cognizant Officer in
Charge, Marine Inspection (OCMI) may be contacted for information
concerning approved equipment and materials.
Sec. 142.220 Fire hazards to be minimized.
Each towing vessel must be maintained and operated so as to
minimize fire hazards and to ensure the following:
(a) All bilges and void spaces are kept free from accumulation of
combustible and flammable materials and liquids;
(b) Storage areas are kept free from accumulation of combustible
materials insofar as practicable; and
(c) Internal combustion engine exhaust ducts and galley exhaust
ducts are insulated with noncombustible insulation if less than 450 mm
(18 inches) away from combustibles.
Sec. 142.225 Storage of flammable or combustible products.
(a) A towing vessel that has paints, coatings, or other flammable
or combustible products onboard must have a designated storage area.
(b) The storage area may be any room or compartment that is free of
ignition sources. A flammable storage cabinet that satisfies
Underwriters Laboratories Standard (UL) 1275 (incorporated by reference
in Sec. 142.105 of this part) may be used, or other suitable steel
container that provides an equivalent level of protection. If a
flammable storage cabinet or steel container is used, it must be
secured to the vessel so that it does not move.
(c) A B-II portable fire extinguisher must be located near the
storage area. This is in addition to the portable fire extinguishers
required by Table 142.305 (in Sec. 142.305) of this part.
Sec. 142.230 Hand-portable fire extinguishers and semi-portable fire-
extinguishing systems.
(a) Hand-portable fire extinguishers and semi-portable fire-
extinguishing systems are classified by a combination letter and Roman
numeral. The letter indicates the type of fire which the unit could be
expected to extinguish, and the Roman numeral indicates the relative
size of the unit.
(b) For the purpose of this subchapter, all required hand-portable
fire extinguishers and semi-portable fire-extinguishing systems must
include Type B classification, suitable for extinguishing fires
involving flammable liquids, grease, etc.
(c) The number designations for size run from ``I'' for the
smallest to ``V'' for the largest. Sizes I and II are hand-portable
fire extinguishers; sizes III, IV, and V are semi-portable fire-
extinguishing systems, which must be fitted with hose and nozzle or
other practical means to cover all portions of the space involved.
Examples of the sizes for some of the typical hand-portable fire
extinguishers and semi-portable fire-extinguishing systems appear in
Table 142.230(c) of this section.
Table 142.230(c)--Portable and Semi-portable Extinguishers
----------------------------------------------------------------------------------------------------------------
Carbon
Foam, liters dioxide, Dry chemical,
Classification (gallons) kilograms kilograms
(pounds) (pounds)
----------------------------------------------------------------------------------------------------------------
B-I............................................................. 4.75 (1.25) 2 (4) 1 (2)
B-II............................................................ 9.5 (2.5) 7 (15) 4.5 (10)
B-III........................................................... 45 (12) 16 (35) 9 (20)
B-IV............................................................ 75 (20) 23 (50) 13.5 (30)
B-V............................................................. 125 (33) 45 (100) 23 (50)
----------------------------------------------------------------------------------------------------------------
(d) All hand-portable fire extinguishers and semi-portable fire-
extinguishing systems must have a permanently attached name plate
giving the name of the item, the rated capacity in gallons, quarts, or
pounds, the name and address of the approving person or firm, and the
manufacturer's identifying mark.
Sec. 142.235 Fixed fire-extinguishing systems.
(a) When a fixed fire-extinguishing system is installed on a towing
vessel, it must be a type approved by the Coast Guard.
(b) If the system is a carbon-dioxide type, then it must be
designed and installed in accordance with subpart 76.15 of this
chapter.
[[Page 50035]]
Sec. 142.240 Examination, testing, and maintenance.
(a) All fire suppression and detection equipment and systems on
board a towing vessel must be tested and maintained in accordance with
the attached nameplate, manufacturer's approved design manual or as
otherwise provided in any Towing Safety Management System (TSMS)
applicable to the vessel.
(b) The records of examinations and tests must be recorded in
accordance with any TSMS applicable to the vessel, the towing vessel
record, or the vessel's official logbook. The following minimum
information is required:
(1) For tests: the dates when tests and examinations were
performed, the number and/or other identification of each unit tested
and examined, and the name(s) of the person(s) and/or third-party
auditor conducting the tests and examinations; and
(2) Receipts and other records generated by these tests and
examinations must be retained for at least 1 year after the expiration
of the COI and made available upon request.
(c) All hand-portable fire extinguishers, semi-portable fire-
extinguishing systems, fire detection systems, and fixed fire-
extinguishing systems, including ventilation, machinery shutdowns, and
dampers onboard the vessel, must be tested or examined at least once
every 12 months, as prescribed in paragraph (d) of this section.
(d) Tests and examinations. (1) Portable fire extinguishers must be
tested in accordance with the examinations, maintenance procedures, and
hydrostatic pressure tests required by Chapter 7 of NFPA 10, Portable
Fire Extinguishers (incorporated by reference in Sec. 142.105 of this
subchapter), with the frequency as specified by NFPA 10. In addition,
carbon dioxide and Halocarbon portable fire extinguishers must be
refilled when the net content weight loss exceeds that specified for
fixed systems in Table 142.240 of this section.
(2) Semi-portable and fixed gas fire-extinguishing systems must be
inspected and tested, as required by Table 142.240 of this section, in
addition to the tests required by Sec. Sec. 147.60 and 147.65 of
subchapter N of this chapter.
(3) Flexible connections and discharge hoses on all semi-portable
extinguishers and fixed gas extinguishing systems must be inspected and
tested in accordance with Sec. 147.65 of this chapter;
(4) All cylinders containing compressed gas must be tested and
marked in accordance with Sec. 147.60 of this chapter;
(5) All piping, controls, valves, and alarms must be examined; and
the operation of controls, alarms, and ventilation shutdowns for each
fixed fire-extinguishing system and detecting system must be verified,
to determine that the system is operating properly;
(6) The fire main system must be charged, and appropriate pressure
must be verified at the most remote and highest outlets;
(7) All fire hoses must be examined and subjected to a test
pressure equivalent to the maximum service pressure;
(8) All smoke and fire detection systems, including sensors and
alarms must be tested; and
(9) All fire hoses which are defective and incapable of repair must
be destroyed.
Table 142.240--Semi-Portable and Fixed Fire Extinguishing Systems
------------------------------------------------------------------------
Type system Test
------------------------------------------------------------------------
Carbon dioxide.................... Weigh cylinders. Recharge if weight
loss exceeds 10 percent of weight
of charge. Test time delays,
alarms, and ventilation shutdowns
with carbon dioxide, nitrogen, or
other nonflammable gas as stated in
the system manufacturer's
instruction manual. Examine hoses
and nozzles to be sure they are
clean.
Halon............................. Weigh cylinders. Recharge if weight
loss exceeds 5 percent of weight of
charge. If the system has a
pressure gauge, recharge if
pressure loss (adjusted for
temperature) exceeds 10 percent.
Test time delays, alarms, and
ventilation shutdowns with carbon
dioxide, nitrogen, or other
nonflammable gasses stated in the
system manufacturer's instruction
manual. Examine hoses and nozzles
to be sure they are clean.
Dry Chemical (cartridge operated). Examine pressure cartridge and
replace if end is punctured or if
determined to have leaked or is in
an unsuitable condition. Examine
hose and nozzle to see if they are
clear. Insert charged cartridge.
Ensure dry chemical is free flowing
(not caked) and extinguisher
contains full charge.
Dry chemical (stored pressure).... See that pressure gauge is within
operating range. If not, or if the
seal is broken, weigh or otherwise
determine that extinguisher is
fully charged with dry chemical.
Recharge if pressure is low or dry
chemical is needed.
Foam (stored pressure)............ See that pressure gauge, if so
equipped, is within the operating
range. If not, or if the seal is
broken, weigh or otherwise
determine that extinguisher is
fully charged with foam. Recharge
if pressure is low or foam is
needed. Replace premixed agent
every 3 years.
Halocarbon........................ Recharge or replace if weight loss
exceeds 5 percent of weight of
charge, or if pressure loss exceeds
10 percent of specified gauge
pressure, adjusted for temperature.
Inert gas......................... Recharge or replace if cylinder
pressure loss exceeds 5 percent of
specified gauge pressure, adjusted
for temperature.
Water mist........................ Maintain system in accordance with
the maintenance instructions in the
system manufacturer's design,
installation, operation, and
maintenance manual.
------------------------------------------------------------------------
Sec. 142.245 Requirements for training crews to respond to fires.
(a) Drills and instruction. The master of a towing vessel must
ensure that each crewmember participates in fire fighting drills and
receives instruction at least once each month. The instruction may
coincide with the drills, but is not required. All crewmembers must be
familiar with their fire fighting duties, and, specifically how to:
(1) Fight a fire in the engine room and elsewhere onboard the
towing vessel, including how to--
(i) Operate all of the fire-extinguishing equipment onboard the
towing vessel;
(ii) Stop any mechanical ventilation system for the engine room and
effectively seal all natural openings to the space to prevent leakage
of the extinguishing agent; and
(iii) Operate the fuel shut-off(s) for the engine room.
(2) Activate the general alarm.
[[Page 50036]]
(3) Report inoperative alarm systems and fire detection systems;
and
(4) Don a fireman's outfit and a self-contained breathing
apparatus, if the vessel is so equipped.
(b) Alternative form of instruction. Video training, followed by a
discussion led by someone familiar with the contingencies listed in
paragraph (a) of this section, is an acceptable, alternative form of
instruction. This instruction may occur either onboard or off the
towing vessel.
(c) Participation in drills. Drills must take place onboard the
towing vessel as if there were an actual emergency. They must include:
(1) Participation by all crewmembers;
(2) Breaking out and using, or simulating the use of, emergency
equipment;
(3) Testing of all alarm and detection systems; and
(4) Putting on protective clothing by at least one person, if the
towing vessel is so equipped.
(d) Safety orientation. The master must ensure that each crewmember
who has not participated in the drills required by paragraph (a) of
this section and received the instruction required by that paragraph
receives a safety orientation within 24 hours of reporting for duty.
The safety orientation must cover the particular contingencies listed
in paragraph (a) of this section.
(e) Recording. Training must be recorded in accordance with the
provisions of part 140 of this subchapter.
Subpart C--Equipment Requirements
Sec. 142.300 General.
Excepted vessels, as defined in Sec. 136.110 of this subchapter,
need not comply with the provisions of Sec. Sec. 142.315 through
142.340 of this subpart.
Sec. 142.305 Fire-extinguishing equipment required.
(a) Towing vessels of 65 feet or less in length must carry at least
the minimum number of hand-portable fire extinguishers set forth in
Table 142.305(a) of this section.
Table 142.305(a)--Hand-Portable Fire Extinguishers
------------------------------------------------------------------------
Minimum number of B-I hand
portable fire extinguishers
required \1\
-------------------------------
Length, feet No fixed fire- Fixed fire-
extinguishing extinguishing
system in system in
machinery machinery
space space
------------------------------------------------------------------------
Under 16................................ 1 0
16 and over, but under 26 \2\........... 1 0
26 and over, but under 40............... 2 1
40 and over, but not over 65............ 3 2
------------------------------------------------------------------------
\1\ One B-II hand-portable fire extinguisher may be substituted for two
B-I hand portable fire extinguishers.
\2\ See Sec. 136.105 Applicability concerning vessels under 26 feet.
(b)(1) Towing vessels of more than 65 feet in length must carry at
least the minimum number of hand portable fire extinguishers set forth
in Table 142.305(b)(1) of this section.
Table 142.305(b)(1)
------------------------------------------------------------------------
Gross tonnage-- Minimum number
------------------------------------------------------- of B-II hand
portable fire
Over Not over extinguishers
------------------------------------------------------------------------
50.................... 1
50............................ 100................... 2
100........................... 500................... 3
500........................... 1,000................. 6
1,000......................... ...................... 8
------------------------------------------------------------------------
(2) In addition to the hand portable extinguishers required by
paragraph (b)(1) of this section, one Type B-II hand-portable fire
extinguisher must be fitted in the engine room for each 1,000 brake
horsepower of the main engines or fraction thereof. A towing vessel is
not required to carry more than six such extinguishers.
Sec. 142.310 Vessels contracted for prior to November 19, 1952.
(a) Towing vessels contracted for construction prior to November
19, 1952, must meet the applicable provisions of this part concerning
the number and general type of equipment required.
(b) Existing lists of equipment and installations previously
approved, but not meeting the applicable requirements for type
approval, may be continued in service so long as they are in good
condition.
(c) All new installations and replacements must meet the
requirements of this part.
Sec. 142.315 Additional fire-extinguishing equipment requirements.
(a) A towing vessel that is:
(1) Certificated for rivers, lakes, bays, and sounds; or
(2) Certificated for limited coastwise, coastwise, oceans or waters
beyond 3 nautical miles from shore on the Great Lakes, whose contract
for construction was executed prior to August 27, 2003, must have:
(i) The minimum number of hand-portable fire extinguishers required
by Sec. 142.305 of this part; and
[[Page 50037]]
(ii) An approved B-V semi-portable fire-extinguishing system to
protect the engine room; or
(iii) A fixed fire-extinguishing system installed to protect the
engine room.
(b) A towing vessel whose contract for construction was executed on
or after August 27, 2003, and is certificated for limited coastwise,
coastwise, oceans, or beyond 3 nautical miles from shore on the Great
Lakes, must be equipped with:
(1) The minimum number of hand-portable fire extinguishers required
by Sec. 142.305 of this part; and
(2) An approved B-V semi-portable fire-extinguishing system to
protect the engine room; and
(3) A fixed fire-extinguishing system installed to protect the
engine room.
(4) Paragraph (b) of this section does not apply to any towing
vessel pushing a barge ahead or hauling a barge alongside when the
barge's coastwise, limited coastwise, or Great Lakes route is
restricted, as indicated on its Certificate of Inspection, so that the
barge may operate ``in fair weather only, within 12 miles of shore'' or
with words to that effect.
Sec. 142.325 Fire pumps, fire mains, and fire hoses.
Each towing vessel must have either a self-priming, power-driven,
fixed fire pump, a fire main, and hoses and nozzles in accordance with
paragraphs (a) through (d) of this section; or a portable pump, and
hoses and nozzles, in accordance with paragraphs (e) and (f) of this
section.
(a) A fixed fire pump must be capable of:
(1) Delivering water simultaneously from the two highest hydrants,
or from both branches of the fitting if the highest hydrant has a
Siamese fitting, at a pitot-tube pressure of at least 344 kilopascals
(kPa), 50 pounds per square inch (psi), and a flow rate of at least 300
liters per minute (LPM), 80 gallons per minute (gpm), and
(2) Being energized remotely from a safe place outside the engine
room and from the pump.
(b) All suction valves necessary for the operation of the fire main
must be kept in the open position or capable of operation from the same
place where the remote fire pump control is located.
(c) The fire main must have a sufficient number of fire hydrants
with attached hose to reach any part of the machinery space using a
single length of fire hose.
(d) The hose must be lined commercial fire hose, at least 40
millimeters (1.5 inches) in diameter, 15 meters (50 feet) in length,
and fitted with a nozzle made of corrosion-resistant material capable
of providing a solid stream and a spray pattern.
(e) The portable fire pump must be self-priming and power-driven,
with--
(1) A minimum capacity of at least 300 LPM (80 gpm) at a discharge
gauge pressure of not less than 414 kPa (60 psi), measured at the pump
discharge;
(2) A sufficient amount of lined commercial fire-hose at least 40
mm (1.5 inches) in diameter and 15 meters (50 feet) in length,
immediately available to attach to it so that a stream of water will
reach any part of the vessel; and
(3) A nozzle made of corrosion-resistant material capable of
providing a solid stream and a spray pattern.
(f) The pump must be stowed with its hose and nozzle outside of the
machinery space.
Sec. 142.330 Fire detection in the engine room.
Each towing vessel must have a fire-detection system installed to
detect engine room fires. A towing vessel whose construction was
contracted for prior to January 18, 2000, may use an existing engine
room monitoring system (with fire-detection capability) instead of a
fire detection system, if the monitoring system is operable and
complies with this section. The owner or managing operator must ensure
that:
(a) Each detector, control panel, and fire alarm are approved under
46 CFR 161.002 or listed by an independent testing laboratory; except
that, for an existing engine room monitoring system (with fire-
detection capability), each detector must be listed by an independent
testing laboratory.
(b) The system is installed, tested, and maintained in accordance
with the manufacturer's design manual;
(c) The system is arranged and installed so a fire in the engine
room automatically sets off alarms on a control panel at the primary
operating station;
(d) The control panel includes:
(1) A power available light;
(2) Both an audible alarm to notify crew at the operating station
of a fire, and visual alarms to identify the zone or zones of origin of
the fire;
(3) A means to silence the audible alarm while maintaining
indication by the visual alarms;
(4) A circuit-fault detector test-switch; and
(5) Labels for all switches and indicator lights, identifying their
functions.
(e) The system draws power from two sources; switchover from the
primary source to the secondary source may be either manual or
automatic;
(f) The system serves no other purpose, unless it is an engine room
monitoring system (with fire-detection capability) installed on a
vessel whose contract for construction occurred prior to January 18,
2000; and
(g) The system is certified by a Registered Professional Engineer,
or by a recognized classification society (under 46 CFR part 8), to
comply with paragraphs (a) through (f) of this section.
Sec. 142.335 Smoke alarms in berthing spaces.
Each towing vessel must be equipped with a means to detect smoke in
the berthing spaces and lounges that alerts individuals in those
spaces. This may be accomplished via an installed detection system or
by using individual battery-operated detectors meeting Underwriters
Laboratories Standard 217 (incorporated by reference in Sec. 142.105
of this subchapter). Detection systems or individual detectors must be
kept operational at all times when the crew is onboard the towing
vessel.
Sec. 142.340 Heat detector in galley.
Each new towing vessel equipped with a galley must have a heat
detection system, which sounds an audible alarm at the operating
station.
Sec. 142.345 Firemen's outfit.
(a) Each towing vessel 79 feet or more in length operating on
oceans and coastwise routes that does not have an installed fixed fire-
extinguishing system must have:
(1) At least two firemen's outfits that meet National Fire
Protection Association (NFPA) 1971, Protective Ensemble for Structural
Fire Fighting (incorporated by reference in Sec. 142.115 of this
subchapter).
(2) Two self-contained breathing apparatus of the pressure demand,
open circuit type that are approved by the Mine Safety and Health
Administration (MSHA) and by the National Institute for Occupational
Safety and Health (NIOSH), under 42 CFR part 84. The breathing
apparatus must have a minimum 30-minute air supply and full facepiece.
(b) [Reserved].
Sec. 142.350 Fire axe.
Each towing vessel must be equipped with at least one fire axe that
is readily accessible for use from the exterior of the vessel.
PART 143--MACHINERY AND ELECTRICAL SYSTEMS AND EQUIPMENT
Subpart A--General
Sec.
143.100 Purpose.
143.105 Applicability.
[[Page 50038]]
143.110 Organization of this part.
143.115 Definitions.
143.120 Incorporation by reference.
Subpart B--Requirements for All Towing Vessels
143.200 Applicability.
143.205 Towing Safety Management System (TSMS).
143.210 Vessels built to class.
143.215 Alternate design considerations.
143.220 General.
143.225 [Reserved].
143.230 Guards for exposed hazards.
143.235 Machinery space fire prevention.
143.240 Control and monitoring requirements.
143.245 Alarms and monitoring.
143.250 General alarms.
143.255 Communication requirements.
143.260 Readiness and testing.
143.270 System isolation and markings.
143.275 Fuel system requirements for towing vessels.
143.280 Fuel shutoff requirements.
143.285 Additional fuel system requirements for towing vessels built
after January 18, 2000.
143.290 Piping systems and tanks.
143.295 Bilge pumps or other dewatering capability.
143.300 Pressure Vessels.
143.305 Electrical systems, general.
143.310 Shipboard lighting.
143.315 Navigation lights.
Subpart C--Deferred Requirements for Existing Towing Vessels
143.320 Applicability.
143.325 Pilothouse alerter system.
143.330 Towing machinery.
143.335 Remote shutdowns.
143.340 Electrical power sources, generators, and motors.
143.345 Electrical distribution panels and switchboards.
143.350 Electrical overcurrent protection other than generators and
motors.
143.355 Electrical grounding and ground detection.
143.360 Electrical conductors, connections, and equipment.
Subpart D--Requirements for Towing Vessels That Tow Oil or Hazardous
Materials in Bulk
143.400 General applicability.
143.405 General requirements for propulsion, steering, and related
controls.
143.410 Propulsor redundancy.
143.420 Vessels with one propulsor.
143.430 Alternative standards.
143.435 Demonstration of compliance.
Subpart E--New Towing Vessels
143.500 Applicability.
143.505 Standards to be used.
143.510 Plan approval.
143.515 Towing vessels built to American Bureau of Shipping rules.
143.520 Towing vessels built to American Boat and Yacht Council
(ABYC) standards.
143.525 Towing vessels not built to American Bureau of Shipping
(ABS) rules or American Boat and Yacht Council (ABYC) standards.
143.530 [Reserved].
143.532 New towing vessels that move barges carrying oil or
hazardous materials in bulk.
143.535 Pumps, pipes, valves, and fittings for essential systems.
143.540 Pressure vessels.
143.545 Steering systems.
143.550 Electrical installations.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 143.100 Purpose.
This part contains requirements for the design, installation, and
operation of primary and auxiliary machinery and electrical systems and
equipment on towing vessels.
Sec. 143.105 Applicability.
This part applies to all towing vessels subject to this subchapter.
Sec. 143.110 Organization of this part.
(a) Certain sections in this part contain functional requirements.
Functional requirements describe the desired objective of the
regulation. A towing vessel must meet the applicable functional
requirements.
(b) Certain sections may also contain a prescriptive option to meet
the functional requirements. A towing vessel that meets the
prescriptive option will have complied with the functional
requirements.
(c) If an owner or managing operator chooses to meet the functional
requirement through means other than the prescriptive option, the means
must be accepted by the cognizant OCMI or an approved third-party
organization and documented in any TSMS applicable to the vessel.
Sec. 143.115 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
Sec. 143.120 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce an edition other
than that specified in paragraph (b) of this section, the Coast Guard
must publish notice of the change in the Federal Register and the
material must be available for inspection. All approved material is
available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal regulations/ibr_locations.html.
Also, all materials are available at the U.S. Coast Guard, Office of
Design and Engineering Standards (CG-521), 2100 Second Street SW.,
Washington, DC 20593-0001, or from the sources indicated in this
section.
(b) The material approved for incorporation by reference in this
part and the sections affected are:
------------------------------------------------------------------------
----------------------------------------------------
American Boat and Yacht Council (ABYC), 3069
Solomons Island Road, Edgewater, MD 21037-1416
------------------------------------------------------------------------
E-11--AC & DC 143.520
Electrical Systems
on Boats, 2003
H-2--Ventilation of 143.520
Boats Using
Gasoline, 2000
H-22--Electric 143.520
Bilge Pump
Systems, 2005
H-24 -- Gasoline 143.520
Fuel Systems, 2007
H-25--Portable Fuel 143.285, 143.520
Systems for
Flammable Liquids,
2003
H-32--Ventilation 143.520
of Boats Using
Diesel Fuel, 2004
H-33--Diesel Fuel 143.520
Systems, 2005
P-1--Installation 143.520
of Exhaust Systems
for Propulsion and
Auxiliary Engines,
2002
P-4--Marine Inboard 143.520
Engines and
Transmissions,
2004
------------------------------------------------------------------------
American Bureau of Shipping (ABS), ABS Plaza, 16855
Northchase Drive, Houston, TX 77060
------------------------------------------------------------------------
Rules for Building 143,210, 143.430, 143.515,
and Classing Steel 143.535, 143.545, 143.550
Vessels for
Service on Rivers
and Intracoastal
Waterways, 2007
[[Page 50039]]
Rules for Building 143.210, 143.340, 143.430,
and Classing Steel 143.515, 143.535, 143.540,
Vessels Under 90 143.545, 143.550
Meters (295 Feet)
in Length, 2006
------------------------------------------------------------------------
International Organization for Standardization
(ISO), 1 rue de varembe', Case postale 56, CH-1211
Geneve 20, Switzerland
------------------------------------------------------------------------
ISO Standard 14726: 143.270
2008 Ships and
marine technology--
Identification
colours for the
content of piping
systems, 2008
------------------------------------------------------------------------
National Fire Protection Association (NFPA), 1
Batterymarch Park, Quincy, MA 02269-9101
------------------------------------------------------------------------
NFPA 302-1998--Fire 143.285
Protection
Standard for
Pleasure, and
Commercial Motor
Craft, 1998
NFPA 70-2002-- 143.340, 143.350
National Electric
Code (NEC)
articles 240, 430,
and 450, 2002
------------------------------------------------------------------------
Society of Automotive Engineers (SAE), 400
Commonwealth Drive, Warrendale, PA 15096-0001
------------------------------------------------------------------------
SAE J1475-1996-- 143.285
Hydraulic Hose
Fitting for Marine
Applications, 1996
SAE J1942-2005-- 143.285
Hose and Hose
Assemblies for
Marine
Applications, 2005
------------------------------------------------------------------------
Underwriters Laboratories, 12 Laboratory Drive,
Research Triangle Park, NC 27709-3995
------------------------------------------------------------------------
UL 1104--Standards 143.315
for Marine
Navigation Lights,
1998
------------------------------------------------------------------------
Subpart B--Requirements for All Towing Vessels
Sec. 143.200 Applicability.
(a) This subpart applies to all towing vessels subject to this
subchapter.
(b) Where indicated, excepted towing vessels as defined in Sec.
136.110 need not comply with the provisions of this part.
Sec. 143.205 Towing Safety Management System (TSMS).
If a Towing Safety Management System (TSMS) is applicable to the
towing vessel, the TSMS must:
(a) Include policies and procedures to ensure compliance with this
part; and
(b) Provide objective evidence that documents compliance with the
TSMS.
Sec. 143.210 Vessels built to class.
(a) Except as noted in paragraph (b) of this section:
(1) A towing vessel classed by the American Bureau of Shipping
(ABS) (incorporated by reference in Sec. 143.120 of this part) in
accordance with their rules, and as appropriate for the intended
service and routes, is considered in compliance with the mechanical and
electrical standards of this part.
(2) A towing vessel built and equipped to conform to ABS rules
(incorporated by reference in Sec. 143.120 of this part) appropriate
for the intended service and routes, but not currently classed, may be
deemed to be in compliance with this part, provided that the vessel
continues to conform to ABS rules.
(b) Additional requirements. A towing vessel that complies with
paragraph (a) of this section must also comply with the following
requirements:
(1) A towing vessel that moves oil or hazardous materials in bulk
must meet the class requirements described in subpart D of this part.
(2) A towing vessel must meet the potable water requirements in
Sec. 143.225 of this part.
(3) A towing vessel must meet the pilothouse alerter requirements
in Sec. 143.325 of this part.
(4) A towing vessel must meet the towing machinery requirements of
Sec. 143.330 of this part.
Sec. 143.215 Alternate design considerations.
Machinery or electrical equipment or systems of a novel design,
unusual form, or special materials which cannot be reviewed or approved
in accordance with this part, may be approved by the Commanding
Officer, Marine Safety Center. It must be shown by systematic analysis,
based on engineering principles, that the machinery or electrical
equipment or system provides an equivalent level of safety. The owner
shall submit detailed plans, material component specifications, and
design criteria, including the expected vessel service and operating
environment, to the Marine Safety Center.
Sec. 143.220 General.
(a) Machinery and electrical systems must be designed and
maintained to provide for safe operation of the vessel and safety of
persons onboard under normal and emergency conditions.
(b) The crew of each towing vessel must be able to demonstrate the
ability to operate primary and auxiliary machinery and electrical
systems under normal and emergency conditions. This includes, but is
not limited to, responses to alarms and operation of propulsion and
steering in the event of failure.
(c) Propulsion machinery, including main engines, reduction gears,
shafting, bearings, and electrical equipment and systems, must:
(1) Be maintained to ensure proper operation;
(2) Be suitable for route and service; and
(3) Have suitable propulsion controls to provide the operator full
control at the primary operating station.
(d) Repairs and minor alterations to existing towing vessels must
be made in accordance with this part. New installations on or after
[date after a final rule takes effect] that are not ``replacements in
kind'' on an existing towing vessel must comply with subparts C and D
of this part, if applicable.
Sec. 143.225 [Reserved]
Sec. 143.230 Guards for exposed hazards.
Exposed hazards, such as gears or rotating machinery, must be
properly protected by a cover, guard, or rail.
Sec. 143.235 Machinery space fire prevention.
(a) All seals and gaskets must be properly maintained to prevent
flammable liquid leaks in the machinery space.
(b) Machinery space bilges must be kept free of excessive
accumulation of oil.
(c) Piping and machinery components that exceed 65.5 [deg]C (150
[deg]F), including fittings, flanges, valves, exhaust manifolds, and
turbochargers, must be insulated. Measures must be in place to prevent
flammable liquid piping leaks from coming into contact with these
components.
(d) Flammable and combustible materials must not be stored in
machinery spaces, unless they are stored in a suitable container that
meets the requirements of Sec. 142.225 of this subchapter.
[[Page 50040]]
Sec. 143.240 Control and monitoring requirements.
(a) Each towing vessel must have a means to monitor and control the
amount of thrust, rudder angle, and (if applicable), direction of
thrust at the primary operating station.
(b) Each towing vessel equipped with rudder(s) must have a means to
monitor and control the position of the rudder(s) at the primary
operating station.
Sec. 143.245 Alarms and monitoring.
(a) Each towing vessel must have a reliable means to provide
notification when an emergency condition exists or an essential system
develops problems that require attention. The following must be
equipped with alarms:
(1) Main engine lubricating oil pressure;
(2) Main engine cooling water temperature;
(3) Main engine fuel oil pressure;
(4) Auxiliary generator engine lubricating oil pressure;
(5) Auxiliary generator engine cooling water temperature;
(6) Auxiliary generator fuel pressure;
(7) Bilge high levels;
(8) Hydraulic steering fluid levels, if applicable; and
(9) Low fuel level, if fitted with a day tank (see Sec. 143.275).
(b) Alarms must:
(1) Be visible and audible at the operating station;
(2) Function when primary electrical power is lost;
(3) Have a means to test actuation at the operating station;
(4) Continue until they are acknowledged; and
(5) Not interfere with night vision at the operating station.
(c) The following systems must be equipped with gauges visible at
the operating station:
(1) Main engine lubricating oil pressure;
(2) Main engine cooling water temperature;
(3) Auxiliary generator engine lubricating oil pressure;
(4) Auxiliary generator engine cooling water temperature; and
(5) Hydraulic steering fluid pressure, if the vessel is equipped
with hydraulic steering systems.
(d) On excepted towing vessels, as defined in Sec. 136.110 of this
subchapter, the alarms required by this section may be located in the
engine room, provided that an audible summary alarm is provided in the
pilothouse and that communication exits between the pilothouse and the
engine room that functions when ship service power is not available.
Sec. 143.250 General alarms.
(a) Applicability. This section applies to all towing vessels that
are not an excepted vessel as defined in Sec. 136.110 of this
subchapter.
(b) Purpose. To provide a reliable and effective means of notifying
all persons onboard the towing vessel of an emergency.
(c) Each towing vessel must be fitted with a general alarm that:
(1) Has a contact maker at the operating station that can notify
persons onboard in the event of an emergency;
(2) Is capable of notifying persons in any accommodation, work
space, and the engine room;
(3) Has installed, in the engine room and any other area where
background noise makes a general alarm hard to hear, a supplemental
flashing red light that is identified with a sign that reads:
``Attention General Alarm--When Alarm Sounds or Flashes Go to Your
Station''; and
(4) Is tested at least once each week.
(d) A public-address (PA) system or other means of alerting all
persons on the towing vessel may be used in lieu of the general alarm
in paragraph (c) of this section if the system:
(1) Is capable of notifying persons in any accommodation, work
space, and the engine room;
(2) Complies with paragraph (c)(3) of this section;
(3) Can be activated from the operating station; and
(4) Is tested at least once each week.
Sec. 143.255 Communication requirements.
(a) Applicability. This section applies to all towing vessels
subject to this subchapter that are not an excepted towing vessel as
defined in Sec. 136.110 of this subchapter.
(b) Communication system. Each towing vessel must be fitted with a
communication system between the pilothouse and the engine room that:
(1) Consists of either fixed or portable equipment, such as a
sound-powered telephone, portable radios, or other reliable method of
voice communication, with a main or reserve power supply that is
independent of the electrical system;
(2) Provides two-way voice communication and calling between the
pilothouse and either the engine room or a location immediately
adjacent to an exit from the engine room.
(c) Exceptions. Towing vessels with more than one propulsion unit
and independent pilothouse control for all engines are not required to
have internal communication systems.
(d) Direct voice communication. When the pilothouse engine controls
and the access to the engine room are within 3 meters (10 feet) of each
other and allow unobstructed visible contact between them, direct voice
communication is acceptable instead of a communication system.
Sec. 143.260 Readiness and testing.
(a) Functional requirements. Essential systems or equipment must be
regularly tested and examined. If a component is found unsatisfactory,
it must be repaired or replaced. Test and examination procedures must
be in accordance with manufacturer's instructions (if available) and
the vessel's Towing Safety Management System, if the vessel has a TSMS.
Tests and examinations must verify that the system or equipment
functions as designed.
(b) Prescriptive option. The towing vessel must perform the tests
in Table 143.260(c) of this section. The tests required by this section
must be recorded in accordance with part 140 of this subchapter.
Table 143.260(c)--Required Tests and Frequency
------------------------------------------------------------------------
Tests of: Frequency
------------------------------------------------------------------------
Propulsion controls; ahead and astern Before the vessel embarks on a
at the operating station. trip or voyage of more than 24
hours or when each new master
takes command.
Steering controls at the operating Before the vessel embarks on a
station. trip or voyage of more than 24
hours or when each new master
takes command.
Pilothouse alerter system required by Weekly.
Sec. 143.325 of this part, as
applicable.
All alternate steering and propulsion Weekly.
controls including those required by
subpart D of this part (if
applicable).
[[Page 50041]]
Alarm actuation circuits for alarms Weekly.
required by Sec. 143.245 of this
part, and if applicable, subpart D
of this part.
Emergency communication, including Weekly.
any required by subpart D if
applicable.
General alarm if the vessel is so Weekly.
equipped.
Emergency lighting and power if the At least once every 3 months.
vessel is so equipped.
Storage batteries if the vessel is so At least once every 3 months.
equipped, for emergency lighting and
power.
Alarm setpoints...................... Annually using methods described
in 46 CFR 61.40-10.
Pressure vessel safety valves........ Annually.
All other essential systems.......... At least once every 3 months.
------------------------------------------------------------------------
Sec. 143.270 System isolation and markings.
Electrical equipment, piping for flammable liquid, seawater
cooling, or firefighting systems must be provided with isolation
devices and markings as follows:
(a) Electrical equipment must be provided with circuit isolation
and must be marked as described in Sec. 143.305 of this part;
(b) Electrical panels or other enclosures containing more than one
source of power must be fitted with a sign warning persons of this
condition and identifying where to secure all sources;
(c) Piping for flammable liquid, seawater cooling, or firefighting
systems must be fitted with isolation valves that are clearly marked by
labeling or color coding that enables the crew to identify its
function; and
(d) Any piping system that penetrates the hull below the waterline
must be fitted with efficient and accessible means, located as close to
the hull penetrations as is practicable, for preventing the accidental
admission of water into the vessel either through such pipes or in the
event of a fracture of such pipe. The valve must be clearly marked by
labeling or color coding that enables the crew to identify its
function.
(e) Color coding required by this section may be met by complying
with coding standards contained in International Organization for
Standardization (ISO) standard 14726 (incorporated by reference in
Sec. 143.120 of this part), or in accordance with the Towing Safety
Management System applicable to the vessel.
Sec. 143.275 Fuel system requirements for towing vessels.
(a) Fuel systems for the towing vessel, main engine propulsion, and
auxiliary generator systems must be maintained to ensure proper
operation of the system.
(b) A continuous supply of clean fuel must be provided to all
engines necessary for towing vessel control including the main
propulsion engines and auxiliary generator engines.
(c) The fuel system must include filters or centrifuge. Where
filters are used:
(1) A supply of spare fuel filters must be provided onboard; and
(2) Fuel filters must be examined and replaced in accordance with
manufacturer's requirements.
(d) Towing vessels equipped with a day tank must be equipped with a
low fuel level alarm that meets the requirements of Sec. 143.245 of
this part.
Sec. 143.280 Fuel shutoff requirements.
(a) Applicability. This section applies to all towing vessels
subject to this subchapter that are not excepted towing vessels, as
defined in Sec. 136.110 of this subchapter.
(b) To stop the flow of fuel in the event of a break in the fuel
line, a positive, remote fuel shutoff valve must be fitted on any fuel
line that supplies fuel directly to an engine or generator prime mover.
(c) The valve must be near the source of supply (for instance, at
the day tank, storage tank, or fuel-distribution manifold).
(d) The valve(s) must be operable from a safe place outside the
space where the valve is installed.
(e) Each remote valve control should be marked in clearly legible
letters, at least 25 millimeters (1 inch) high, indicating the purpose
of the valve and the way to operate it.
Sec. 143.285 Additional fuel system requirements for towing vessels
built after January 18, 2000.
(a) Applicability. This section applies to all towing vessels
subject to this subchapter that are not excepted towing vessels, as
defined in Sec. 136.110 of this subchapter. Except for the components
of an outboard engine or of a portable bilge or fire pump, each fuel
system installed onboard the towing vessel must comply with this
section.
(b) Portable fuel systems. The towing vessel must not incorporate
or carry portable fuel systems, including portable tanks and related
fuel lines and accessories, except when used for outboard engines or
when permanently attached to portable equipment such as portable bilge
or fire pumps. The design, construction, and stowage of portable tanks
and related fuel lines and accessories must comply with the American
Boat and Yacht Council (ABYC) H-25 (incorporated by reference in Sec.
143.120 of this subchapter).
(c) Vent pipes for integral fuel tanks. Each integral fuel tank
must meet the following:
(1) Each tank must have a vent that connects to the highest point
of the tank, discharges on a weather deck through a bend of 180 degrees
(3.14 radians), and is fitted with a 30-by-30-mesh corrosion-resistant
flame screen. Vents from two or more fuel tanks may combine in a system
that discharges on a weather deck. The net cross-sectional area of the
vent pipe for the tank must be not less than 312.3 square millimeters
(0.484 square inches), for any tank filled by gravity, but not less
than that of the fill pipe for any tank filled under pressure.
(d) Fuel piping. Except as permitted in paragraphs (e)(1), (2), and
(3) of this section, each fuel line must be seamless and made of steel,
annealed copper, nickel-copper, or copper-nickel. Each fuel line must
have a wall thickness of not less than 0.9 millimeters (0.035 inch)
except that--
(1) Aluminum piping is acceptable on an aluminum-hull vessel if it
is installed outside the engine room and is at least Schedule 80 in
thickness; and
(2) Nonmetallic flexible hose is acceptable if it--
(i) Is used in lengths of not more than 0.76 meters (30 inches);
(ii) Is visible and easily accessible;
(iii) Does not penetrate a watertight bulkhead;
(iv) Is fabricated with an inner tube and a cover of synthetic
rubber or other suitable material reinforced with wire braid; and
[[Page 50042]]
(v) Either,--
(A) If it is designed for use with compression fittings, is fitted
with suitable, corrosion-resistant, compression fittings, or fittings
compliant with Society of Automotive Engineers (SAE) J1475
(incorporated by reference in Sec. 143.120 of this subchapter); or
(B) If it is designed for use with clamps, is installed with two
clamps at each end of the hose. Clamps must not rely on spring tension
and must be installed beyond the bead or flare or over the serrations
of the mating spud, pipe, or hose fitting. Hose complying with SAE
J1475 (incorporated by reference in Sec. 143.120 of this subchapter),
is also acceptable.
(3) Nonmetallic flexible hose complying with SAE J1942
(incorporated by reference in Sec. 143.120 of this subchapter), is
also acceptable.
(e) A towing vessel of less than 79 feet in length may comply with
any of the following standards for fuel systems instead of those of
paragraph (d) in this section:
(1) American Boat and Yacht Council (ABYC) H-33 (incorporated by
reference in Sec. 143.120 of this part);
(2) Chapter 5 of National Fire Protection Association (NFPA) 302
(incorporated by reference in Sec. 143.120 of this part); or
(3) 33 CFR chapter I, subchapter S (Boating Safety).
Sec. 143.290 Piping systems and tanks.
Vessel piping and tanks that are exposed to the outside of the hull
must be made of metal and maintained in a leak free condition.
Sec. 143.295 Bilge pumps or other dewatering capability.
Each towing vessel must have an installed bilge pump or another
method for emergency dewatering, such as a portable pump with
sufficient hose length. All bilge piping, whether installed or
portable, must have a check/foot valve in each bilge suction that
prevents unintended backflooding through bilge piping.
Sec. 143.300 Pressure vessels.
(a) Pressure vessels over 5 cubic feet in volume and over 15 PSI
maximum allowable working pressure must be equipped with an indicating
pressure gage (in a readily visible location) and with one or more
spring-loaded relief valves. The total relieving capacity of such
relief valves must be such as to prevent pressure in the receiver from
exceeding the maximum allowable working pressure of the receiver, as
established by the manufacturer, by more than 10 percent.
(b) Compressed air receivers must be examined and relief valves
must be tested at least annually.
(c) Pressure vessels installed after [EFFECTIVE DATE OF FINAL RULE]
must meet the requirements of Sec. 143.540 of this part.
Sec. 143.305 Electrical systems, general.
(a) Electrical systems and equipment on board towing vessels must
function properly and minimize system failures, fire hazards, and shock
hazards to personnel.
(b) Installed electrical power source(s) must be capable of
carrying the electrical load of the towing vessel under normal
operating conditions.
(c) Electrical equipment must be marked with its respective current
and voltage ratings.
(d) All panels, motors, and major electrical equipment must be
marked with the location(s) of the designated isolating switch or
circuit breaker. Individual circuit breakers on switchboards and
distribution panels must be labeled with a description of the loads
they serve.
(e) Electrical connections must be suitably installed to prevent
them from coming loose through vibration or accidental contact.
(f) Electrical equipment and electrical cables must be suitably
protected from wet and corrosive environments.
(g) Electrical components that pose an electrical hazard must be in
an enclosure.
(h) Electrical conductors passing though watertight bulkheads must
be installed so that the bulkhead remains watertight.
(i) When flexible cable is used to transmit power between the
vessel and tow:
(1) The receptacles must be male and the flexible cable leads must
be female; and
(2) The connection must be designed to prevent unintended
separation.
Sec. 143.310 Shipboard lighting.
(a) Sufficient lighting suitable for the marine environment must be
provided on towing vessels within crew working and living areas.
(b) Emergency lighting must be provided for all crew working and
living areas internal to the towing vessel. Emergency lighting sources
must provide for sufficient illumination under emergency conditions to
facilitate egress from each space and must be either:
(1) Powered as described in Sec. 143.340(b)(9) of this part;
(2) Automatic, battery-operated with a duration of no less than 3
hours; or
(3) Non-electric, phosphorescent adhesive lighting strips that are
installed along escape routes and sufficiently visible to enable egress
with no power.
(c) Each towing vessel must be equipped with at least two operable,
portable, and battery-powered lights. One must be located in the
pilothouse and the other at the access to the engine room.
Sec. 143.315 Navigation lights.
(a) Towing vessels more than 65 feet in length must use navigation
lights that meet Underwriters Laboratories (UL) 1104 (incorporated by
reference in Sec. 143.120 of this part) or other standards specified
by the Coast Guard.
(b) Towing vessels 65 feet or less in length may meet the
requirements listed in 33 CFR 183.810 or paragraph (a) of this section.
Subpart C--Deferred Requirements for Existing Towing Vessels
Sec. 143.320 Applicability.
(a) This section applies to existing towing vessels, as defined in
Sec. 136.110 of this subchapter, that are not excepted towing vessels.
(b) A towing vessel to which this section applies need not comply
with the requirements of this subpart until 5 years after the issuance
of its first Certificate of Inspection (COI).
(c) Repairs and minor alterations to existing towing vessels must
be made in accordance with Subpart B of this part. New installations on
or after the date of issuance of the existing towing vessel's first
(COI) that are not ``replacements in kind'' on that vessel must comply
with subparts C and (if applicable) D of this part.
Sec. 143.325 Pilothouse alerter system.
(a) A towing vessel with overnight accommodations and alternating
watches (shift work), when pulling, pushing or hauling along side one
or more barges, must have an alarm to detect when its master or mate
(pilot) becomes incapacitated. The alarm must:
(1) Have a method to detect possible incapacitation of the master
and actuate in the pilothouse when this condition exists;
(2) Require acknowledgement in the pilothouse within 10 minutes;
(3) If not acknowledged within 10 minutes, promptly notify another
crewmember; and
(4) Be distinct from any other alarm.
(b) A towing vessel need not comply with this section if a second
person is provided in the pilothouse.
[[Page 50043]]
Sec. 143.330 Towing machinery.
(a) Towing machinery such as capstans, winches, and other
mechanical devices used to connect the towing vessel to the tow must be
designed and installed to maximize control of the tow.
(b) Towing machinery for towing astern must have sufficient
safeguards to prevent the machinery from becoming disabled in the event
the tow becomes out of line.
(c) Towing machinery used to connect the towing vessel to the tow
must be suitable for its intended service. It must be capable of
withstanding exposure to the marine environment, likely mechanical
damage, static and dynamic loads expected during intended service, the
towing vessel's horsepower, and arrangement of the tow.
(d) When a winch is used that has the potential for uncontrolled
release under tension, a warning must be in place at the winch controls
that indicates this. When safeguards designed to prevent uncontrolled
release are utilized, they must not be disabled.
(e) Each owner or managing operator must develop procedures to
routinely examine, maintain, and replace capstans, winches, and other
machinery used to connect the towing vessel to the tow.
Sec. 143.335 Remote shutdowns.
(a) Each towing vessel must have a remote manual shutdown for each
main propulsion engine and auxiliary generator engine, which can be
operated from a location outside the machinery space where the engines
are located.
(b) The fuel shutoff required by Sec. 143.280(b) of this part may
serve as the remote manual shutdown, provided each engine can be
independently shutdown.
Sec. 143.340 Electrical power sources, generators, and motors.
(a) Functional Requirements. (1) Each towing vessel must have
sufficient electrical power to provide for the applicable power needs
for:
(i) Propulsion, steering and control systems;
(ii) Safety systems;
(iii) Navigation systems;
(iv) Control of the tow;
(v) Minimum conditions of habitability; and
(vi) Other installed or portable systems and equipment.
(2) Generators and motors must be suitably rated for the
environment where they operate, marked with their respective ratings,
and suitably protected against overcurrent.
(3) In the event of a main power source failure, a towing vessel,
other than an excepted towing vessel, must have a means to power
essential alarms, lighting, radios, navigation equipment, and any other
essential system identified by an approved third party or the cognizant
Officer in Charge, Marine Inspection (OCMI).
(b) Prescriptive option to meet functional requirements. (1) The
owner or managing operator of each towing vessel must complete a load
analysis that shows that the electrical power source is sufficient to
power the sum of connected loads described in paragraph (a)(1) of this
section utilizing an appropriate load factor for each load.
(2) Prior to implementation of this section, the owner or managing
operator must complete the load analysis of paragraph (b)(1) of this
section. A record of the analysis must be retained by the owner or
managing operator and be available upon request of the approved third
party or cognizant OCMI.
(3) The owner or managing operator must have procedures for the
evaluation of additional electrical loads added to the towing vessel to
ensure compliance with paragraph (a)(1) of this section.
(4) Installed generators or motors must have a data plate listing
rated kilowatts and power factor (or current), voltage, and ambient
temperature.
(5) Generators must be provided with overcurrent protection no
greater than 115 percent of their rated current and utilize a
distribution panel.
(6) Motors must be provided with overcurrent protection that meets
article 430 of the National Electric Code (NEC) (incorporated by
reference in Sec. 143.120 of this subchapter). Steering motor circuits
must be protected as per Part 4 Chapter 6 Section 2, Regulation 11
(except 11.7) of American Bureau of Shipping (ABS) Rules for Building
and Classing Steel Vessels Under 90 Meters (295 feet) in Length,
(incorporated by reference in Sec. 143.120 of this part).
(7) Generators and motors installed in machinery spaces must be
certified to operate in an ambient temperature of 50[deg]C unless they
are derated. When derating, divide the rated ambient temperature of the
generator (in degrees Celsius) by 50[deg]C and multiply the resulting
factor by the maximum rated current of the generator. Each generator
and motor, except a submersible-pump motor, must be in an accessible
space which is adequately ventilated and as dry as practicable. It must
be mounted above the bilges to avoid damage by splash and to avoid
contact with low-lying vapors.
(8) A generator driven by a main propulsion unit (such as a shaft
generator) which is capable of providing electrical power continuously,
regardless of the speed and direction of the propulsion shaft, may be
considered one of the power sources required by paragraph (a) of this
section. Any vessel speed change or throttle movement must not cause
electrical power interruption.
(9) Other than excepted towing vessels, each towing vessel that
relies on electricity for power must be arranged so that the following
loads can be energized from two independent sources of electricity:
(i) Alarms required by Sec. 143.245 of this part;
(ii) Emergency egress lighting, unless the requirements of Sec.
143.310(b)(2) or (3) of this part are met;
(iii) Navigation lights;
(iv) Pilothouse lighting;
(v) Any installed radios and navigation equipment; and
(vi) Any essential system identified by an approved third party or
the cognizant Officer in Charge, Marine Inspection.
(vii) If a battery is used as the second source of electricity
required of this subsection, it must be capable of supplying the loads
for at least three hours.
Sec. 143.345 Electrical distribution panels and switchboards.
(a) Each distribution panel or switchboard on a towing vessel must
be:
(1) In a location that is accessible, as dry as practicable,
adequately ventilated, and protected from falling debris and dripping
or splashing water;
(2) Totally enclosed and of the dead-front type; and
(3) Fitted with a drip shield, unless the switchboard or
distribution panel is of a type mounted deck-to-overhead and is not
subject to falling objects or liquids from above.
(b) Each switchboard accessible from the rear must be constructed
to prevent a person's accidental contact with energized parts.
(c) Nonconductive mats or grating must be provided on the deck in
front of each switchboard and, if it is accessible from the rear, on
the deck behind the switchboard.
(d) Each un-insulated current-carrying part must be mounted on
noncombustible, nonabsorbent, and high-dielectric insulating material.
(e) Equipment mounted on a hinged door of an enclosure must be
constructed or shielded so that a person will not come into accidental
contact with energized parts of the door-mounted equipment when the
door is open and the circuit energized.
[[Page 50044]]
Sec. 143.350 Electrical overcurrent protection other than generators
and motors.
(a) Functional requirement. Power and lighting circuits on towing
vessels must be protected by suitable overcurrent protection. On a
towing vessel, other than an excepted towing vessel as defined in Sec.
136.110 of this subchapter, an overcurrent protection device must not
be used for both essential and non-essential systems.
(b) Prescriptive option to meet functional requirements. (1) Cable
and wiring used in power and lighting circuits must be protected by
overcurrent protection that opens the circuit at the standard setting
closest to 80 percent of the manufacturer's listed ampacity.
Overcurrent protection setting exceptions allowed by the National
Electric Code (NEC), Article 240 (incorporated by reference in Sec.
143.120 of this subchapter) may be employed.
(2) If the manufacturer's listed ampacity is not known, table
310.16 of the NEC (incorporated by reference in Sec. 143.120 of this
part) must be used, assuming a temperature rating of 75 degrees and an
assumed temperature of 50 degrees Celsius for machinery spaces and 40
degrees for other spaces.
(3) Overcurrent protection devices must be installed in a manner
that will not open the path to ground in a circuit; only ungrounded
conductors must be protected. Overcurrent protection must be
coordinated such that an overcurrent situation is cleared by the
nearest circuit breaker or fuse.
(4) Each transformer must have protection against overcurrent that
meets article 450 of the NEC (incorporated by reference in Sec.
143.120 of this part).
(5) On a towing vessel, other than an excepted vessel as defined in
Sec. 136.110 of this subchapter, essential systems and non-essential
systems must not be on the same circuit or share the same overcurrent
protective device.
Sec. 143.355 Electrical grounding and ground detection.
(a) Dual voltage electrical distribution systems on towing vessels
must have the neutral suitably grounded. There must be only one
connection to ground, regardless of the number of power sources. This
connection must be at the main switchboard or distribution panel.
(b) On a metallic towing vessel, a grounded distribution system
must be grounded to the hull. This grounded system must be connected to
a common, non-aluminum ground plate. The ground plate must have only
one connection to the main switchboard or distribution panel, and the
connection must be readily accessible for examination.
(c) On a nonmetallic towing vessel, all electrical equipment must
be grounded to a common ground. Multiple ground plates bonded together
are acceptable.
(d) Each insulated grounding-conductor of a cable must be
identified by one of the following means:
(1) Wrapping the cable with green braid or green insulation;
(2) Stripping the insulation from the entire exposed length of the
grounding-conductor; or
(3) Marking the exposed insulation of the grounding-conductor with
green tape or green adhesive labels.
(e) A towing vessel's hull may not carry current as a conductor,
except for an impressed-current cathodic-protection system or a battery
system to start an engine.
(f) Cable armor may not be used to ground electrical equipment or
systems.
(g) Each receptacle outlet and attachment plug for a portable lamp,
tool, or similar apparatus operating at 100 or more volts must have a
grounding-pole and a grounding-conductor in the portable cord.
(h) In a grounded distribution system, only grounded, three-prong
appliances may be used. Adaptors that allow an ungrounded, two-prong
appliance to fit into a grounded, three-prong, receptacle must not be
used.
(i) A suitable method must be in place to detect unintentional
grounds.
Sec. 143.360 Electrical conductors, connections, and equipment.
(a) Each cable and wire on a towing vessel must:
(1) Have conductors with sufficient current-carrying capacity for
the circuit in which it is used;
(2) Be suitably supported every 24 inches with metal supports and
not installed with sharp bends;
(3) Be installed in a manner to prevent contact with personnel,
mechanical hazards, and hazards from leaking fluids and must not be
installed in bilges, locations where a piping leak would drip on them,
across a normal walking path, or less than 24 inches from moving
machinery;
(4) Have connections and terminations suitable for copper stranded
conductors that retain the original electrical, mechanical, flame-
retarding, and where necessary, fire-resisting properties of the
conductor. If twist-on types of connectors are used, the connections
must be made within an enclosure and the insulated cap of the connector
must be secured to prevent loosening due to vibration. Twist-on type of
connectors may not be used for making joints in cables, facilitating a
conductor splice, or extending the length of a circuit;
(5) Be installed so as to avoid or reduce interference with radio
reception and compass indication;
(6) Be protected from the weather;
(7) Be supported in order to avoid chafing or other damage;
(8) Be protected by metal coverings or other suitable means, if in
areas subject to mechanical abuse;
(9) Be suitable for low temperature and high humidity, if installed
in refrigerated compartments;
(10) Be located outside a tank, unless it supplies power to
equipment in the tank; and
(11) If wire is installed in a tank, it must have sheathing or wire
insulation compatible with the fluid in a tank.
(b) Extension cords may not be used as a permanent source of
electrical power.
(c) Multi-outlet adapters may not be used to expand the capacity of
a receptacle.
Subpart D--Requirements for Towing Vessels That Tow Oil or
Hazardous Materials in Bulk
Sec. 143.400 General applicability.
This subpart applies to a towing vessel subject to this subchapter
that moves barges carrying oil or hazardous materials in bulk.
(a) An existing towing vessel need not comply with the requirements
of this subpart until 5 years after the issuance of its first
Certificate of Inspection (COI).
(b) An excepted towing vessel, as defined in Sec. 136.110 of this
subchapter, is not required to comply with the requirements of this
subpart.
Sec. 143.405 General requirements for propulsion, steering, and
related controls.
(a) A towing vessel to which this subpart applies must have an
alternate means to control the propulsion and steering system which
shall:
(1) Be independent of the primary control required by Sec. 143.240
of this part;
(2) Be located at or near the propulsion and steering equipment;
and
(3) Be readily accessible and suitable for prolonged operation.
(b) A towing vessel to which this subpart applies must have a means
to communicate between the operating station and the alternate
propulsion and steering controls.
(c) A towing vessel to which this subpart applies must have a means
to stop each propulsion engine and steering motor from the operating
station.
[[Page 50045]]
(d) The means to monitor the amount of thrust, rudder angle, and
(if applicable) direction of thrust must be independent of the controls
required by Sec. 143.240 of this part.
(e) The propulsion control system required by Sec. 143.240 of this
part must be designed so that, in the event of a single failure of any
component of the system, propeller speed and direction of thrust are
maintained or reduced to zero.
(f) On a towing vessel with an integrated steering and propulsion
system, such as a Z-drive, the control system required by Sec. 143.240
of this part must be designed so that, in the event of a single failure
of any component of the system, propeller speed and direction of thrust
are maintained or the propeller speed is reduced to zero.
(g) An audible and visual alarm must actuate at the operating
station when:
(1) The propulsion control system fails;
(2) A non-follow up steering control system fails, if installed;
and
(3) The ordered rudder angle does not match the actual rudder
position on a follow-up steering control system, if installed. This
alarm must have an appropriate delay and error tolerance to eliminate
nuisance alarms.
(h) Alarms must be separate and independent of the control system
required by Sec. 143.240 of this part and function when primary
electrical power is lost.
(i) A means of communication must be provided between the operating
station and any crewmember(s) required to respond to alarms.
(j) The two sources of electricity required by Sec. 143.340(a)(3)
and (b)(9) of this part must be capable of powering electrical loads
needed to maintain propulsion, steering, and related controls for not
less than 3 hours.
(k) A towing vessel to which this subpart applies that uses
propulsion, steering, or related controls that are directly reliant on
electrical power, must have a means to automatically restore power to
propulsion, steering, and related controls when the main power source
fails.
(l) A towing vessel to which this subpart applies that uses
propulsion, steering, or related controls that are directly reliant on
stored energy, such as air or hydraulics, must:
(1) Have two independent, stored energy systems capable of
maintaining propulsion, steering, and related controls; and
(2) If the stored energy system is recharged by electrical power,
have sufficient stored energy available to provide time to switch
electrical power sources without a loss of propulsion, steering, or
related controls.
(m) After a power failure, electrical motors used to maintain
propulsion and steering must automatically restart when power is
restored, unless remote control starting is provided at the operating
station.
Sec. 143.410 Propulsor redundancy.
(a) A towing vessel must be provided with at least two independent
propulsors unless the requirements of Sec. 143.420 are met.
(b) There must be independent controls for each propulsor at the
operating station.
(c) In the event of a failure of a single propulsor, the remaining
propulsor(s) must have sufficient power to maneuver the vessel to a
safe location.
Sec. 143.420 Vessels with one propulsor.
(a) A towing vessel must have independent, duplicate vital
auxiliaries. For the purpose of this section, vital auxiliaries are the
equipment necessary to maintain the propulsion engine (e.g., fuel,
lubricating oil, and cooling pumps). In the event of a failure or
malfunction of any single vital auxiliary, the propulsion engine must
continue to provide propulsion adequate to maintain control of the tow.
(b) In the event of a failure, the corresponding independent
duplicate vital auxiliary, described in paragraph (a) of this section,
must automatically assume the operation of the failed unit.
(c) Propulsion engine fuel line(s) must meet the requirements of
Sec. 143.285, regardless of build date.
(d) A towing vessel must be provided with an independent, auxiliary
steering system that:
(1) Has independent controls available at the operating station;
(2) Is immediately available upon the loss of main steering system;
(3) Is appropriate to maneuver the tow; and
(4) Remains operable in the event of any single failure that
affects the main steering system. This does not apply to failures of
the tiller, quadrant, or other equipment that serve the same purpose.
(e) For the purpose of this section, the place where isolation
valves join the piping system, as by a flange, constitutes a single-
failure point. The valve itself need not constitute a single-failure
point if it has a double seal to prevent substantial loss of fluid
under pressure.
Sec. 143.430 Alternative standards.
(a) In lieu of meeting this subpart, a towing vessel may comply
with the American Bureau of Shipping (ABS) Steel rules for vessels
under 90 meters (incorporated by reference in Sec. 143.120 of this
part) as follows:
(1) Sections 4-7-5 (class ACBU) and 4-3-5 (class R2); and
(2) A vessel that operates exclusively on rivers or intracoastal
waterways need not meet 4-7-4/3.9 and the automatic day tank fill pump
requirement of 4-7-4/25.3.
(b) A vessel meeting the alternative standards of this section must
comply with Sec. 143.435 of this subpart.
Sec. 143.435 Demonstration of compliance.
(a) The owner or managing operator of each towing vessel must
devise test procedures that demonstrate compliance with the design and
engineering requirements prescribed in this subpart.
(b) The tests required in paragraph (a) of this section must be
satisfactorily conducted and witnessed by an approved third party or
cognizant Officer in Charge, Marine Inspection (OCMI) prior to
implementation date of this section. A record of the test must be
retained by the owner or managing operator and be available upon
request of the approved third party or cognizant OCMI.
Subpart E--New Towing Vessels
Sec. 143.500 Applicability.
This subpart applies to a new towing vessel, as defined in Sec.
136.110 of this subchapter, unless it is an excepted vessel.
Sec. 143.505 Standards to be used.
(a) Except as noted in paragraph (b) of this section, a new towing
vessel must be constructed using the standards specified in this part.
The standard selected must be used in its entirety.
(b) An alternate standard may be considered by the Commanding
Officer, Marine Safety Center where it can be shown that it provides an
equivalent level of safety and performance.
Sec. 143.510 Plan approval.
Procedures for plan approval are contained in part 144 of this
subchapter.
Sec. 143.515 Towing vessels built to American Bureau of Shipping
rules.
(a) Except as noted in paragraph (b) of this section:
(1) A towing vessel classed by the American Bureau of Shipping
(ABS) (incorporated by reference in Sec. 143.120 of this part) in
accordance with their rules as appropriate for the intended service and
routes is considered in compliance with this subpart.
(2) A towing vessel built and equipped to conform to ABS
[[Page 50046]]
(incorporated by reference in Sec. 143.120 of this subchapter) rules
appropriate for the intended service and routes, but not currently
classed, may be deemed to be in compliance with this subpart providing
it can be shown that the vessel continues to conform to ABS rules.
(b) In addition to the requirements in paragraph (a) of this
section, a new towing vessel:
(1) That moves barges carrying oil or hazardous materials in bulk
must meet the class requirements described in Sec. 143.430 of this
part.
(2) Must meet the potable water requirements in Sec. 143.530 of
this part.
(3) Must meet the pilothouse alerter requirements in Sec. 143.325
of this part.
(4) Must meet the towing machinery requirements of Sec. 143.330 of
this part.
Sec. 143.520 Towing vessels built to American Boat and Yacht Council
(ABYC) standards.
(a) Except as noted in paragraph (b) of this section, a new towing
vessel 65 feet (19.8 meters) or less in length built to conform with
the American Boat and Yacht Council (ABYC) standards listed in this
paragraph (Incorporated by reference in Sec. 143.120 of this
subchapter) is considered in compliance with this subpart.
(1) H-2-Ventilation of Boats Using Gasoline;
(2) H-22--Electric Bilge Pump Systems;
(3) H-24--Gasoline Fuel Systems;
(4) H-25--Portable Gasoline Fuel Systems for Flammable Liquids;
(5) H-32--Ventilation of Boats Using Diesel Fuel;
(6) H-33--Diesel Fuel Systems;
(7) P-1--Installation of Exhaust Systems for Propulsion and
Auxiliary Engines; and
(8) P-4--Marine Inboard Engines and Transmissions
(9) ABYC E-11--AC & DC Electrical Systems on Boats.
(b) In addition to the requirements in paragraph (a) of this
section, a new towing vessel 65 feet (19.8 meters) or less in length
must meet the:
(1) Requirements of subpart B of this part;
(2) Requirements described in subpart D of this part if it moves
oil or hazardous materials in bulk;
(3) Potable water requirements in Sec. 143.530 of this part;
(4) Pilothouse alerter requirements in Sec. 143.325 of this part;
and
(5) Towing machinery requirements of Sec. 143.330 of this part.
Sec. 143.525 Towing vessels not built to American Bureau of Shipping
(ABS) rules or American Boat and Yacht Council (ABYC) standards.
A new towing vessel not built to American Bureau of Shipping rules
or American Boat and Yacht Council standards must meet subparts B and C
of this part and Sec. Sec. 143.530 through 143.555 of this subpart.
Sec. 143.530 [Reserved]
Sec. 143.532 New towing vessels that move barges carrying oil or
hazardous materials in bulk.
A new towing vessel that moves barges carrying oil or hazardous
materials in bulk must meet the requirements in subpart D of this part.
Sec. 143.535 Pumps, pipes, valves, and fittings for essential
systems.
(a) In lieu of meeting the requirements of Sec. 143.285 of this
part, a new towing vessel must meet the requirements of this section.
(b) Except as noted in paragraph (c) of this section pumps, pipes,
valves, and fittings in essential systems on vessels must meet American
Bureau of Shipping (ABS) rules for Steel Vessels under 90 Meters
(incorporated by reference in Sec. 143.120 of this part), Part 4,
Chapter 4 as applicable.
(c) Pumps, pipes, valves, and fittings in essential systems on
towing vessels operating exclusively on rivers or intracoastal
waterways may meet ABS Rules for Steel Vessel on Rivers and
Intracoastal Waterways (incorporated by reference in Sec. 143.120 of
this subchapter), Part 4, Chapter 3 as applicable in lieu of paragraph
(b) of this section.
Sec. 143.540 Pressure vessels.
(a) In lieu of meeting the requirements of Sec. 143.300 of this
part, a new towing vessel must meet the requirements of this section.
(b) Pressure vessels over 5 cubic feet in volume and over 15 pounds
per square inch maximum allowable working pressure on new towing
vessels must meet American Bureau of Shipping Rules for Steel Vessels
under 90 Meters (incorporated by reference in Sec. 143.120 of this
part), Part 4, Chapter 1, Section 1, Regulation 7.5.
Sec. 143.545 Steering systems.
(a) Except as noted in paragraph (b) of this section, steering
systems on new towing vessels must meet American Bureau of Shipping
(ABS) rules for Steel Vessels under 90 Meters (incorporated by
reference in Sec. 143.120 of this part), section 4-3-3, as applicable.
(b) Steering systems on new towing vessels operating exclusively on
rivers or intracoastal waterways may meet ABS Rules for Steel Vessels
on Rivers and Intracoastal Waterways (incorporated by reference in
Sec. 143.120 of this part), section 4-2-3 as applicable, in lieu of
paragraph (a) of this section.
Sec. 143.550 Electrical installations.
(a) In lieu of meeting the requirements of Sec. Sec. 143.340-360
of this part, a new towing vessel must meet the requirements of this
section.
(b) Except as noted in paragraph (c) of this section, electrical
installations on vessels must meet American Bureau of Shipping (ABS)
Rules for Steel Vessels Under 90 Meters (incorporated by reference in
Sec. 143.120 of this part), chapter 4-6.
(c) Electrical installations on vessels operating exclusively on
rivers or intracoastal waterways may meet ABS Rules for Steel Vessels
on Rivers and Intracoastal Waterways (incorporated by reference in
Sec. 143.120 of this part), Part 4, Chapter 5 in lieu of paragraph (a)
of this section.
PART 144--CONSTRUCTION AND ARRANGEMENT
Subpart A-General
Sec.
144.100 Purpose.
144.105 Definitions.
144.110 Incorporation by reference.
Subpart B--All Towing Vessels
144.200 Applicability.
144.205 Towing Safety Management System (TSMS).
144.210 General.
144.215 Special consideration.
144.220 Verification of compliance.
144.225 Qualifications.
144.230 Procedures for verification of compliance with construction
and arrangement standards.
144.235 Verification for sister vessels.
144.240 Marking of towing vessels.
Subpart C--Existing Towing Vessels
144.300 Applicability.
144.305 General.
144.310 Structural standards.
144.315 Stability.
144.320 Watertight integrity.
144.325 Visibility from pilothouse.
144.330 Emergency escape.
144.335 Handrails and bulwarks.
144.340 Storm rails.
144.345 Guards in dangerous places.
144.350 Exhausts.
144.355 Crew Spaces.
144.360 Ventilation for accommodations.
Subpart D--New Towing vessels
144.400 Applicability.
144.405 Vessels built to class.
144.410 Structural standards.
144.415 Stability.
144.420 Minimum standards.
[[Page 50047]]
144.425 Visibility.
144.430 Windows and portholes.
144.435 General fire protection.
Authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904;
33 CFR 1.05; DHS Delegation 0170.1.
Subpart A--General
Sec. 144.100 Purpose.
This part details the requirements for design, construction and
arrangement, and plan review and approval for towing vessels.
Sec. 144.105 Definitions.
The definitions provided in Sec. 136.110 of this subchapter apply
to this part.
Sec. 144.110 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5 U.S.C
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Coast Guard must publish notice of
change in the Federal Register and the material must be available to
the public. All approved material is available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal
regulations/ibr_locations.html. Also, it is available for inspection
at U.S. Coast Guard, Office of Design and Engineering Standards (CG-
521), 2100 Second Street SW., Washington, DC 20593-0001, and is
available from the sources listed in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are:
------------------------------------------------------------------------
------------------------------------------------------------------------
American Bureau of Shipping (ABS), ABS Plaza, 16855 Northchase Drive,
Houston, TX 77060
------------------------------------------------------------------------
Rules for Building and Classing Steel Vessels for 144.410
Service on Rivers and Intracoastal Waterways, 2007.....
Rules for Building and Classing Steel Vessels Under 90 144.410
Meters (295 Feet) in Length, 2006......................
------------------------------------------------------------------------
International Maritime Organization, (IMO). 4 Albert Embankment, London
SE1 7SR
------------------------------------------------------------------------
Resolution A.688(17) Fire Test Procedures For 144.435
Ignitability of Bedding Components, 1991...............
------------------------------------------------------------------------
Subpart B--All Towing Vessels
Sec. 144.200 Applicability.
This subpart applies to all towing vessels subject to this
subchapter.
Sec. 144.205 Towing Safety Management System (TSMS).
If a Towing Safety Management System (TSMS) is applicable to the
vessel, the TSMS must:
(a) Include policies and procedures to ensure compliance with this
part; and
(b) Provide objective evidence that documents compliance with the
TSMS.
Sec. 144.210 General.
The construction and arrangement of the towing vessel must be
suitable for the service and route of the vessel, including the welfare
of the crew and control of the tow.
Sec. 144.215 Special consideration.
The cognizant Officer in Charge, Marine Inspection may give special
consideration to the structural requirements for small vessels or
vessels of an unusual design not contemplated by the rules of the
American Bureau of Shipping or other recognized classification society.
Sec. 144.220 Verification of compliance.
A verification of compliance with established standards must be
performed as follows:
(a) Prior to conducting a major conversion or alternation to the
hull, machinery, or equipment that affect the safety of a new or
existing towing vessel;
(b) For new installations, after [date final rule takes effect],
that are not ``replacements in kind'' on an existing towing vessel; and
(c) Upon request of the Coast Guard.
Sec. 144.225 Qualifications.
(a) Verification of compliance with this part must be performed by
a registered Professional Engineer (P.E.) licensed by one of the 50
states of the United States or the District of Columbia, or by a
current, full time employee of the American Bureau of Shipping (ABS).
(b) The P.E. must ensure that he or she does not exceed the scope
of his or her P.E. license.
(c) In the case of certifications by ABS employees, ABS must ensure
the reviewer holds proper ABS qualifications for the particular type of
review being conducted.
Sec. 144.230 Procedures for verification of compliance with
construction and arrangement standards.
(a) Verification of compliance with construction and arrangement
standards for towing vessels, when required, must be performed by an
individual meeting the requirements of Sec. 144.225 of this part.
(b) Objective evidence of compliance must be provided to the Coast
Guard and include:
(1) A description of the towing vessel's intended service and
route;
(2) The standards applied;
(3) Deviations from the standards used;
(4) A statement that the towing vessel is suitable for the intended
service and route;
(5) The name, address, employer affiliation, license number, and
state of licensure of the professional engineer making the
verification; and
(6) Attestation by the builder that the vessel was built to plans.
(c) The verification must include a review and analyses of
sufficient plans, drawings, schematics, and calculations to ensure the
vessel complies with the standards used. The plans must be stamped or
otherwise indicate that they have been reviewed by an individual
meeting the requirements of Sec. 144.225.
(d) A copy of the verified plans must be forwarded to the cognizant
Officer in Charge, Marine Inspection in whose zone the work will be
performed.
(e) A copy of the verified plans must be available at the
construction site.
(f) Plans reviewed and approved by the American Bureau of Shipping
need not be forwarded to the Coast Guard unless requested.
Sec. 144.235 Verification for sister vessels.
(a) A full verification of compliance is not required for sister
towing vessels, provided that:
(1) The plans for the original vessels have already been verified
as complying with this part;
(2) The owner authorizes their use for the new construction;
(3) The regulations or published standards have not changed since
the original verification;
(4) The sister vessel is built to the same plans and equipped with
the same machinery as the first vessel of the class, and has not been
subsequently modified;
[[Page 50048]]
(5) The sister vessel is built in the same shipyard facility as the
first vessel;
(6) For stability purposes, the sister vessel is delivered within 2
years of the stability test date of an earlier vessel in the class. If
delivered later than 2 years, the sister vessel must undergo a
deadweight survey to determine its actual light ship displacement and
Longitudinal Center of Gravity (LCG). If the deadweight survey results
are within 3 percent of the earlier vessel's approved light ship
displacement and within 1 percent Length Between Perpendiculars (LBP)
of the earlier vessel's approved light ship LCG, it may be accepted as
a sister vessel and use the earlier vessel's approved light ship
Vertical Center of Gravity (VCG); and
(7) If no vessel of the class previously underwent a stability
test, then one vessel of the class must undergo a stability test in
accordance with 46 CFR Part 170 Subpart F, and the sister vessel(s)
must undergo a deadweight survey in accordance with paragraph (a)(6) of
this section.
(b) A statement verifying sister status from an individual meeting
the requirements of Sec. 144.225 of this section must be retained and
produced upon request.
Sec. 144.240 Marking of towing vessels.
(a) The hull of each documented towing vessel must be marked as
required by part 67 of this chapter.
(b) The hull of each undocumented towing vessel must be marked with
its name and hailing port.
(c) A towing vessel required to comply with Sec. Sec. 144.315 and
144.415 must have the drafts of the vessel plainly and legibly marked
up the stem and upon the sternpost or rudderpost or at any place at the
stern of the vessel that is easily observed. The bottom of each mark
must indicate the draft.
(d) Each towing vessel assigned a load line must have load line
markings and deck line markings permanently scribed or embossed as
required by subchapter E of this chapter.
(e) Watertight doors and watertight hatches must be marked on both
sides in clearly legible letters at least 25 millimeters (1 inch) high:
``WATERTIGHT DOOR--KEEP CLOSED'' or ``WATERTIGHT HATCH--KEEP CLOSED''.
(f) All escape hatches and other emergency exits used as means of
escape must be marked on both sides in clearly legible letters at least
50 millimeters (2 inches) high: ``EMERGENCY EXIT, KEEP CLEAR''.
Subpart C--Existing Towing Vessels
Sec. 144.300 Applicability.
This subpart applies to all existing towing vessels as defined in
Sec. 136.110 of this subchapter.
Sec. 144.305 General.
(a) Except as otherwise required in this part, an existing towing
vessel must comply with the construction and arrangement standards that
were applicable to the vessel prior to the implementation date of these
regulations.
(b) Alterations or modifications made to the structure or
arrangements of an existing towing vessel that are a major conversion,
on or after the [effective date of regulations], must comply with the
regulations of this part.
(c) Repairs conducted on an existing towing vessel, resulting in no
significant changes to the original structure or arrangement of the
vessel, must comply with the standards applicable to the vessel at the
time of construction or as an alternative, with the regulations in this
part.
Sec. 144.310 Structural standards.
(a) A existing towing vessel classed by the American Bureau of
Shipping (ABS) in accordance with their rules as appropriate for the
intended service and routes of the vessel, meets the structural
standards of this subpart.
(b) A existing towing vessel with a valid load line certificate
issued in accordance with Subchapter E of this chapter may be deemed in
compliance with the structural requirements of this subpart.
(c) A existing towing vessel built to International Convention for
Safety of Life at Sea (SOLAS) 1974, as amended, is considered to be in
compliance with this part.
(d) A existing towing vessel built and equipped to conform to ABS
rules appropriate for the intended service and routes, but not
currently classed, may be deemed to be in compliance with this subpart,
provided that the vessel continues to conform to ABS rules.
(e) The current standards of other recognized classification
societies may be accepted upon approval by the Coast Guard.
(f) Classification by a recognized classification society is not
required.
Sec. 144.315 Stability.
(a) This section applies to an existing towing vessel with a
previously issued stability document.
(b) Each existing towing vessel operating under a previously issued
stability document must continue to operate in accordance with the
conditions specified therein and the requirements of this section.
(c)(1) A weight and moment history of changes to the vessel since
approval of its light ship characteristics (displacement, Longitudinal
Center of Gravity (LCG) and Vertical Center of Gravity (VCG)) shall be
maintained. All weight modifications to the vessel (additions,
removals, and relocations) shall be recorded in the history, along with
a description of the change(s), when and where accomplished, moment
arms, etc. After each modification, the light ship characteristics
shall be recalculated.
(2) When the aggregate weight change (absolute total of all
additions, removals, and relocations) is more than 2 percent of the
vessel's approved light ship displacement, or the recalculated change
in the vessel's light ship LCG is more than 1 percent of its length
between perpendiculars (LBP), a deadweight survey shall be performed to
determine the vessel's current light ship displacement and LCG. If the
deadweight survey results are within 1 percent of the recalculated
light ship displacement and within 1 percent LBP of the recalculated
light ship LCG, then the recalculated light ship VCG can be accepted as
accurate. If, however, the deadweight survey results are outside these
tolerances, then the vessel must undergo a full stability test in
accordance with 46 CFR 170 subpart F.
(3) When the aggregate weight change is more than 10 percent of the
vessel's approved light ship displacement, the vessel must undergo a
full stability test in accordance with 46 CFR Part 170 Subpart F.
(d) The cognizant Officer in Charge, Marine Inspection may restrict
the route of an existing towing vessel based on concerns for the
vessel's stability.
Sec. 144.320 Watertight integrity.
(a) An existing towing vessel must comply with the watertight
integrity regulations which were applicable to the vessel on [EFFECTIVE
DATE OF FINAL RULE], except that:
(1) Hatches, doors, vent closures, and other fittings affecting the
watertight integrity of the vessel must be in place and operable;
(2) Decks and bulkheads designed to be watertight or weathertight
must be maintained in that condition;
(3) Piping systems that penetrate the hull and tanks that are
integral to the hull must be made of appropriate metal;
(4) Each existing towing vessel fitted with installed bulwarks
around the exterior of the main deck must have sufficient freeing ports
or scuppers or a
[[Page 50049]]
combination of freeing ports and scuppers to allow water to run off the
deck quickly without adversely affecting the stability of the vessel;
and
(5) Closure devices must be provided for cabin or hull
penetrations, which open to the exterior of the vessel and which may
allow water to enter the vessel. These devices must be suitable for the
expected route.
(b) The cognizant Officer in Charge, Marine Inspection may require
review of an existing towing vessel's watertight and weathertight
integrity. This review may be performed by an individual meeting Sec.
144.225 of this part. The review may include an examination of drawings
or plans that show the original placement of decks and bulkheads.
Sec. 144.325 Visibility from pilothouse.
(a) Windows and other openings at the pilothouse of an existing
towing vessel must be of sufficient size and properly located to
provide a clear field of vision for safe operation in any condition.
(b) Means must be provided to ensure that windows immediately
forward of the steering station in the pilothouse allow for adequate
visibility to ensure safe navigation regardless of weather conditions.
This may include mechanical means such as windshield wipers, defoggers,
clear-view screens, or other such means, taking into consideration the
intended route of the vessel.
Sec. 144.330 Emergency escape.
(a) Where practicable, each space on an existing towing vessel
where crew may be quartered or normally employed must have at least two
means of escape.
(b) The two required means of escape must be widely separated and,
if possible, at opposite ends or sides of the space. Means may include
normal and emergency exits, passageways, stairways, ladders, deck
scuttles, doors, and windows.
(c) On an existing towing vessel of 65 feet (19.8 meters) or less
in length, a window or windshield of sufficient size and proper
accessibility may be used as one of the required means of escape from
an enclosed space, provided it:
(1) Does not lead directly overboard;
(2) Is suitably marked; and
(3) Has a means to open a window or break a glass.
(d) Only one means of escape is required from a space where:
(1) The space has a deck area less than 30 square meters (322
square feet);
(2) There is no stove, heater, or other source of fire in the
space;
(3) The means of escape is located as far as possible from a
machinery space or fuel tank; and
(4) If an accommodation space, the single means of escape does not
include a deck scuttle or a ladder.
(e) Existing arrangements may be retained if it is impracticable or
unreasonable to provide two means of escape.
Sec. 144.335 Handrails and bulwarks.
(a) Rails or equivalent protection must be installed on existing
towing vessels near the periphery of all decks accessible to crew.
Equivalent protection may include lifelines, wire rope, chains, and
bulwarks that provide strength and support equivalent to fixed rails.
(b) In areas where space limitations make deck rails impractical,
such as at narrow catwalks in way of deckhouse sides, hand grabs may be
substituted.
Sec. 144.340 Storm rails.
On existing towing vessels in ocean and coastwise service, suitable
storm rails must be installed in all passageways and at the deckhouse
sides where persons onboard might have normal access. Storm rails must
be installed on both sides of passageways which are 6 feet or more in
width.
Sec. 144.345 Guards in dangerous places.
An exposed hazard on existing towing vessels, such as gears and
rotating machinery, must be protected by a cover guard or rail. This is
not meant to restrict access to towing equipment such as winches,
drums, towing gear or steering compartment equipment necessary for the
operation of the vessel.
Sec. 144.350 Exhausts.
(a) Exhausts of internal-combustion engines, galley uptakes, and
similar sources of ignition on existing towing vessels must be kept
clear of and insulated from woodwork and other combustible matter.
(b) Each exhaust pipe from an internal combustion engine which is
within reach of personnel must be insulated or otherwise guarded to
prevent burns.
Sec. 144.355 Crew spaces.
(a) Overnight accommodations must be provided for crewmembers on an
existing towing vessel if it is operated more than 12 hours in a 24-
hour period, unless the crew is put ashore and the vessel is provided
with a new crew.
(b) Crew accommodation spaces and work spaces must be of sufficient
size, adequate construction, and with suitable equipment to provide for
the safe operation of the vessel and the protection and accommodation
of the crew in a manner practicable for the size, facilities, service,
route, and modes of operation of the vessel.
(c) The deck above a crew accommodation space must be located above
the deepest load waterline.
(d) Condition of the crew accommodations should consider the
importance of crew rest. Factors to consider include: vibrations,
ambient light, noise levels, and general comfort. Every effort should
be made to ensure that quarters help provide a suitable environment for
sleep and off-duty rest.
Sec. 144.360 Ventilation for accommodations.
(a) Each accommodation space on an existing towing vessel must be
ventilated in a manner suitable for the purpose of the space.
(b) Existing towing vessels of more than 65 feet (19.8 meters) in
length with overnight accommodations must have mechanical ventilation
systems unless a natural system, such as opening windows, portholes, or
doors, will provide adequate ventilation in ordinary weather.
(c) Means must be provided for stopping each fan in a ventilation
system serving machinery spaces and for closing, in case of fire, each
doorway, ventilator, and annular space around funnels and other
openings into such spaces.
Subpart D--New Towing Vessels
Sec. 144.400 Applicability.
This subpart applies to new towing vessels as defined in Sec.
136.110 this subchapter.
Sec. 144.405 Vessels built to class.
A new towing vessel classed by the American Bureau of Shipping in
accordance with their rules as appropriate for the intended service and
routes, meets the structural standards of this subpart.
Sec. 144.410 Structural standards.
(a) Except as provided by paragraphs (b) and (d) of this section,
compliance with the construction and structural rules established by
the American Bureau of Shipping is acceptable for the design and
construction of a new towing vessel.
(1) For new towing vessels to be certificated for service on lakes,
bays, and sounds, limited coastwise, coastwise, and oceans routes,
American Bureau of Shipping (ABS) Rules for Building and Classing Steel
Vessels Under 90 Meters (295 Feet) in Length (incorporated by reference
in Sec. 144.110 of this part) apply.
(2) For new towing vessels to be certificated for service on rivers
or intracoastal waterways routes, ABS Rules for Building and Classing
Steel Vessels for Service on Rivers and
[[Page 50050]]
Intracoastal Waterways (incorporated by reference in Sec. 144.110 of
this part) apply.
(b) The current standards of a recognized classification society,
other than ABS may be used if they provide an equivalent level of
safety.
(c) Classification by a recognized classification society is not
required.
(d) Application may be made for use of alternative standards.
Consideration of alternative standards will be given on a case-by-case
basis upon review of vessel size, service, route, configuration, and
other factors as deemed appropriate by the Commanding Officer, Marine
Safety Center (MSC).
(e) The plans required by Sec. 144.230 of this part must specify
the standard to which the vessel is designed.
(f) The standard selected must be applied throughout the vessel
including design, construction, installation, maintenance, alteration,
and repair. Deviations are subject to approval by the Commanding
Officer, MSC.
Sec. 144.415 Stability.
(a) Except as otherwise provided in paragraphs (b) and (c) of this
section, each new towing vessel must meet the applicable stability
requirements of part 170 and subpart E of part 173 of this chapter.
(b) For new towing vessels with a load line, the review, approval,
and issuance of stability documentation (including stability tests) per
Sec. Sec. 170.110 and 170.120, and 170 subpart F must be done by the
load line issuing authority. For new towing vessels without a load
line, these functions must be done by an individual meeting the
requirements of Sec. 144.225 of this part.
(c)(1) Each new towing vessel certificated to operate on protected
waters must meet the requirements of Sec. 170.173(e)(2);
(2) Each new towing vessel certificated to operate on partially
protected waters must meet the requirements of Sec. Sec. 170.170 and
170.173(e)(1);
(3) Each new towing vessel certificated to operate on exposed
waters or that requires a load line must meet the requirements of
Sec. Sec. 170.170 and 174.145.
(d) Each new towing vessel equipped for lifting must meet the
requirements of subpart B of part 173 of this chapter.
(e)(1) A weight and moment history of changes to the vessel since
approval of its light ship characteristics (displacement, Longitudinal
Center of Gravity (LCG) and Vertical Center of Gravity (VCG)) shall be
maintained. All weight modifications to the vessel (additions,
removals, and relocations) shall be recorded in the history, along with
a description of the change(s), when and where accomplished, moment
arms, etc. After each modification, the light ship characteristics
shall be recalculated.
(2) When the aggregate weight change (absolute total of all
additions, removals, and relocations) is more than two percent of the
vessel's approved light ship displacement, or the recalculated change
in the vessel's light ship LCG is more than 1 percent of its length
between perpendiculars (LBP), a deadweight survey shall be performed to
determine the vessel's current light ship displacement and LCG. If the
deadweight survey results are within 1 percent of the recalculated
light ship displacement and within 1 percent LBP of the recalculated
light ship LCG, then the recalculated light ship VCG can be accepted as
accurate. If, however, the deadweight survey results are outside these
tolerances, then the vessel must undergo a full stability test in
accordance with 46 CFR 170 subpart F.
(3) When the aggregate weight change is more than 10 percent of the
vessel's approved light ship displacement, the vessel must undergo a
full stability test in accordance with 46 CFR part 170 subpart F.
(f) The cognizant Officer in Charge, Marine Inspection may restrict
the route of a towing vessel based on concerns for the vessel's
stability.
Sec. 144.420 Minimum standards.
Regardless of the construction and arrangements standards used,
each new towing vessel must, as a minimum, meet the requirements of
this subpart and subparts B and C of this part, as appropriate.
Sec. 144.425 Visibility.
(a) Each new towing vessel must be constructed in order to ensure a
clear field of vision from the operating station. The field of vision
must extend over an arc from dead ahead to at least 60 degrees on
either side of the vessel.
(b) If towing astern, the primary steering station must be provided
with a view aft.
(c) Means must be provided to ensure that windows immediately
forward of the steering station in the pilothouse allow for adequate
visibility to ensure safe navigation regardless of weather conditions.
This may include mechanical means such as windshield wipers, defoggers,
clear-view screens, or other such means, as appropriate for the
intended route.
Sec. 144.430 Windows and portholes.
(a) Glass and other glazing materials used in windows of new towing
vessels must be materials that will not break into dangerous fragments
if fractured.
(b) Each window or porthole, and its means of attachment to the
hull or the deckhouse, must be capable of withstanding the maximum
expected load from wind and waves, due to its location on the vessel
and the vessel's authorized route.
(c) Any covering or protection placed over a window or porthole
that could be used as a means of escape must be able to be readily
removed or opened from within the space.
Sec. 144.435 General fire protection.
(a) Each new towing vessel must be designed and constructed to
minimize fire hazards as far as reasonable and practicable.
(b) Machinery and fuel tank spaces must be separated from
accommodation spaces by bulkheads. Doors may be installed provided they
are the self-closing type.
(c) Exhausts of internal-combustion engines, galley uptakes, and
similar sources capable of starting a fire must be kept clear of and
insulated from woodwork and other combustible matter.
(d) Paint lockers and similar compartments must be constructed of
steel or be wholly lined with steel and comply with Sec. 142.225 of
this subchapter.
(e) Unless other means are provided to ensure that a potential
waste receptacle fire would be limited to the receptacle, waste
receptacles must be constructed of noncombustible materials with no
openings in the sides or bottom.
(f) All mattresses must comply with either:
(1) The U.S. Department of Commerce Standard for Mattress
Flammability (FF 4-72.16), 16 CFR part 1632, Subpart A and not contain
polyurethane foam; or
(2) International Maritime Organization Resolution A.688(17) Fire
Test Procedures For Ignitability of Bedding Components (incorporated by
reference in Sec. 144.110 of this part). Mattresses that are tested to
this standard may contain polyurethane foam.
Dated: July 19, 2011.
Robert J. Papp, Jr.,
Admiral, U.S. Coast Guard, Commandant.
[FR Doc. 2011-18989 Filed 8-10-11; 8:45 am]
BILLING CODE 9110-04-P