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:

    (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:

    (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

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.

    (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.

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<PHONE_NUMBER>, 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:

    (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

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.

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<PHONE_NUMBER>, 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

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.

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:

    (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;

    (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:

    (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

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);

    (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

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.

    (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

    (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\  ..................................  .......  .......  .......  .......  .......