LADY CAROLINE

A fixed gas fire extinguishing system may be used that automatically discharges upon activation of a heat sensor. Heat sensor did not activate system. System must be repaired to properly function. Function test to be conducted in the presence of a marine inspector within 30 days. Operations prior to repair are authorized because system can still be manually operated. Captain must discuss alternative procedures with crew to ensure fire safety while operating.

A device must be provided to automatically shutdown power ventilation and machinery that draws intake air from within the protected space. Pressure switch did not shut down machinery or ventilation. Demonstrate proper shutdowns during function test in the presence of a marine inspector.

The OCMI may require an inspection and testing whenever a repair is made. Vessel captain reported an alarm when trying to clutch their starboard main engine into the forward position. Vessel recently experienced an issue with the same control box and it was replaced. Vessel must return to the dock and troubleshoot the controls and make permanent repairs prior to departure.

Lady Caroline LLC did not produce documentation supporting compliance with record keeping regulations. Custody and control forms, signed by the Medical Review Officer, indicating the test was either positive or negative, or a lab report indicating the test was either positive or negative, were not maintained and available during the audit. Two positive pre-employment tests were documented on Lady Caroline LLC’s 2023 MIS report, but test results were not available. Additionally, drug test results were not provided for four random and four pre-employment drug tests conducted in 2024.

Lady Caroline LLC employed crewmembers onboard the U.S. Coast Guard inspected passenger vessel Lady Caroline (O.N. 1124961) in 2025 without having conducted pre-employment drug tests and having negative results on file.

[withheld — contains personal information; the deficiency system, dates, and resolution status are shown above]

Lady Caroline LLC did not produce documentation that supported pre-employment background checks were conducted for employees in safety-sensitive positions who were previously employed by DOT employers.

Lady Caroline LLC did not produce proof that random drug testing was conducted at 50 percent of covered crewmembers for calendar year 2024. Lady Caroline LLC reported having eleven covered crewmembers, and only four random drug tests were conducted.

Lady Caroline LLC’s passenger vessel Lady Caroline had onboard One Step Saliva Alcohol Test Strips that had expired on November 24, 2024.

Each vessel inspected and certificated under Sub chapter K must, when passengers are on board, be in full compliance with the terms of the Certificate of Inspection. Vessel has routinely been operating without the required manning (Deckhands) as indicated on the Certificate of Inspection.

Vessels on a Great Lakes route must carry 6 day and 6 night flares of an approved type. Multiple flares on the bridge were expired. Replace expired flares prior to carrying passengers. .

Chemical testing of personnel must be conducted as required by this subpart and in accordance with the procedures detailed in 49 CFR part 40. The company failed to comply with required chemical testing. Crew members have not been enrolled in a random drug testing program since October of 2024. All crew members that perform safety sensitive positions shall receive a preemployment drug test in accordance with 46 CFR 16.210 , receive negative results, and be enrolled in random testing in accordance with 46 CFR 16.230, prior to departure of the vessel. Additionally, the company shall undergo a full Drug and Alcohol inspection audit and come into compliance within 30 days.

A mariner may not serve under the authority of an MMC past its expiration date. All Masters of the vessel are required to have a valid MMC. Vessel logs indicate that on multiple occasions the vessel was under the control of a mariner without a valid credential. The vessel shall not operate without a valid credentialed mariner.

Adult and Child size lifejackets must be stowed in a location that is appropriately marked so they cannot be mistaken for the wrong size. Lifejacket containers need to be adequately marked for the size and number of lifejackets contained.

All escape hatches and other emergency exits used as means of escape must be marked on both sides in clearly legible letters at least 50 millimeters (2 inches) high: "EMERGENCY EXIT, KEEP CLEAR", unless such markings are deemed unnecessary by the cognizant OCMI. Vessel is missing sufficient emergency exit markings in the crew/employee state room. Vessel is to post appropriate markings in employee state room as soon as possible but no later than 7 days.

All escape hatches and other emergency exits used as means of escape must be marked on both sides in clearly legible letters at least 50 millimeters (2 inches) high: "EMERGENCY EXIT, KEEP CLEAR", unless such markings are deemed unnecessary by the cognizant OCMI. Vessel is missing markings for each of its escape hatches. Vessel is to ensure each escape hatch is clearly marked as soon as possible but no later than 7 days.

In accordance with the Certificate of Inspection, the vessel is required to carry a suitable rescue boat to safely and efficiently retrieve a person in the water. The crew is to prove proper operation of this boat prior to carrying passengers.

IAW the 72 COLREGS, Rule 34, a power driven vessel must have the ability to make required sound signals, while underway. The vessel is temporarily using freon activated horns until their replacement air compressor arrives. Must prove proper operation of air compressor system by 20JUL2024.

There are exposed wires in the vicinity of the STBD Side control station. These must be appropriately secured and/or de-energized prior to carrying passengers.

The high water alarm did not function when tested. Prove proper operation of the high water level alarm prior to carrying passengers.

Excess gear, lube oil, and cleaning solvents must be removed or securely stowed to prevent blocking escape routes or creating a hazard. Clean spaces to the satisfaction of the marine inspector prior to carrying passengers.

Shelving used for storage is not secured and in danger of collapsing and or dumping its contents. Secure the shelves to the satisfaction of the attending Marine Inspector, prior to carrying passengers.

THE VESSEL IS IN THE PROCESS OF REPLACING THE GENERATORS, ELECTRICAL PANELS, GALLEY EQUIPMENT, FLOORING ETC. DUE TO THIS ONGOING WORK, THE VESSEL MAY NOT LEAVE THE DOCK WITH PASSENGERS UNTIL THE [name withheld] OF PENDING WORK.

The construction and arrangement of a vessel must allow the safe operation of the vessel in accordance with the terms of its Certificate of Inspection giving consideration to provisions for a seaworthy hull, protection against fire, means of escape in case of sudden expected , and necessary facilities for passengers and crew. The vessel is in the process of replacing the generators, electrical panels, galley equipment, flooring, etc. Vessel is awaiting final approval from MSC for an updated stability letter. Until the new stability letter is issued, vessel is only permitted to carry 263 persons onboard. No more than 173 passengers are permitted on the top deck at any time. All other conditions of the COI are to be met at all times while passengers are onboard.

Vessel control systems must be suitable for the purpose intended. Vessel's propulsion controls from the starboard operating station is inoperable. Vessel is to prove operation of propulsion controls from the starboard operation station with a technician's report and to the satisfaction of the Coast Guard prior to the carrying passengers.

Lady Caroline LLC did not produce proof that they were complying with record keeping regulations. Custody and control forms, signed by the Medical Review Officer, indicating that the test was either positive or negative, or a lab report indicating the tests are either positive or negative, were not maintained and available during the audit.

Lady Caroline LLC did not produce proof that MIS reports were submitted to U.S. Coast Guard Headquarters.

Lady Caroline LLC employed an individual on September 12, 2023, as a deckhand aboard Lady Caroline, a position required by the vessel’s Certificate of Inspection, without conducting a pre-employment drug test.

Lady Caroline LLC did not produce proof that pre-employment background checks for employees in safety-sensitive positions who were previously employed by DOT employers were conducted.

Lady Caroline LLC did not produce proof that random drug testing was conducted at 50 percent of covered crewmembers. In addition, two (2) employees acknowledged Lady Caroline LLC’ Drug and Alcohol Policy but were not included on the list of crewmembers enrolled in the company’s random drug testing program.

Lady Caroline LLC employed an individual on September 12, 2023, as a deckhand aboard Lady Caroline, a position required by the vessel’s Certificate of Inspection, without enrolling the individual in a random drug testing program.

Although no SMIs reportedly occurred onboard Lady Caroline LLC’s vessels, Lady Caroline LLC was not familiar with alcohol and drug testing requirements following a SMI and the company’s written policy did not identify these requirements. Furthermore, alcohol testing strips onboard Lady Caroline had expired on March 31, 2020. Lady Caroline LLC did not have a third-party contract for alcohol testing or a plan in place for conducting SMI drug and alcohol testing.

Lady Caroline LLC’s written drug and alcohol policy did not provide the name(s) and contact information for the SAP(s) that may be used by Lady Caroline LLC for drug test violations.

Lady Caroline LLC maintained documentation attesting that each crewmember acknowledged they read and understood Lady Caroline LLC’s Drug and Alcohol Policy, with the exception of one (1) crewmember who was listed on their random drug testing list. However, Lady Caroline LLC’s Drug and Alcohol Policy did not address: (1) an explanation of what constitutes a refusal to test; (2) the signs and symptoms of drug use and alcohol misuse; (3) information on the effects of drugs and alcohol on a person’s health, work, and personal life; (4) and training requirements for supervisors and other officials about reasonable suspicion and reasonable cause testing (i.e. indicators of probable drug use (1 hour) and indicators of probable alcohol use (1 hour)).

Initial requirement written to make the port bridge wing engine control station operational. Upon further inspection, the installation of the engine controls at the three stations (port, center, starboard) is not in compliance with the manufacturer's user manual, covering installation, operation and troubleshooting. Owner must prove proper operation of the engine control system in accordance with published Design Verification Test Procedures and installation of the engine control system as designed.

Each vessel that relies on electricity to power the listed loads, must be arranged so that the loads can be energized from two sources of electricity. The port SSDG overheated and shut-down. Prove proper operation of the generator prior to carriage of passengers.

Stations in the maritime service must be licensed by the FCC either individually or by fleet. Vessel owner must secure FCC Station License within 30 days. 47 CFR 80.13

A means of escape must be adequately marked with clearly legible letters: EMERGENCY EXIT KEEP CLEAR. Spaces must be marked to the satisfaction of the attending Marine Inspector.

Vessel control systems must be suitable for the purpose intended. The port wing engine control station is not operational. The deficiency must be rectified within 14 days.

46 CFR 116.438(e) A stairway or stair tower must be clear of all obstructions other than handrails. Stairwell on aft of vessel needs to be clear of mooring lines prior to carrying passengers.

The CO2 system must be capable of automatic operation by a heat actuator within the space. The installed heat actuated disk that allows for automatic discharged of the CO2 system has been disconnected and the internal gas escaped. Provide servicing report by technician that system has been service and tested. In the meantime, fire watch rounds shall be increased to every 15 minutes and logging each round in logbook.

Electrical equipment on a vessel must be installed and maintained to prevent electrical hazards, including fire, caused by or originating in electrical equipment. Replace one electrical outlet under the bar top on the 4th deck bar and two outlets on the port and starboard forward bulkhead of the 3rd deck that showed signs of charring and melted electrical sockets.

Penetrations in A-Class fire control boundaries for electrical cables, pipes, trunks, ducts, etc. must be constructed to prevent the passage of flame and smoke for one hour. In addition, the penetration must be designed or insulated so that it will withstand the same temperature rise limits as the boundary penetrated. Structural fire protection in AC/heater closet on navigation Bridge and in the engine room bulkhead starboard side aft require re-packing of insulation in the penetrations.

46 CFR 120.340 (b) (4) All cables and wire must be installed with metal supports spaced not more than 24 inches apart, and in such a manner as to avoid chafing and other damage. The use of plastic tie wraps must be limited to bundling or retention of multiple cable installations, and not used as a means of support. Wires underneath navigation bridge counsel must be supported with metal holds.

A door in a stairtower, stairway, and main vertical zone bulkhead must be of the self-closing type capable and holdback hooks are not allowed. If installed, a hold back mechanism for a door must allow the door to be released. Fire door on stairwell top deck must be adjusted to close completely unassisted and hinged foot hold back removed.

Door frames must be of rigid construction and provide at least a 0.5 inch overlap at the sides and top. Aft starboard side door leading towards the engine room has a loose frame and needs to be secured with in its position in the bulkhead.

Each item of lifesaving equipment determined by the marine inspector to not be in serviceable condition must be repaired or replaced. Multiple life floats are waterlogged and have increased significantly in weight. Provide proof that all ten of the life floats are in serviceable condition.

All life buoys must be approved and in serviceable working condition. At least one ring life buoy must be fitted with a lifeline. If more than one ring life buoy is carried, at least one must not have a lifeline attached. At least one ring buoy must be fitted with a floating water light, unless the vessel is limited to daytime operation, in that case no floating water light is required. Replace the life lines around the two white life buoys with a UV resistant line. Completely replace the orange life ring located on the aft of the vessel. Provide the additional accessories of the required life line and floating water light.

A lighting fixture on a vessel must be installed and maintained to provide services necessary for safety under normal and emergency conditions. Light in engine room on port side is out.

The exhaust piping of the propulsion machinery must be of a corrosion resistant material and capable of operating at constant marine load. The raw water line on the port side wet exhaust has a leak. Address this during the upcoming Dry Dock in November 2022.

Each item of lifesaving equipment determined by the marine inspector to not be in serviceable condition must be repaired or replaced. Multiple life floats are waterlogged and have increased significantly in weight. Provide proof that all ten of the life floats are in serviceable condition. Vessel is restricted to operation within 1 NM on a Lakes/Bays/Sound and Rivers route until rectified.

The following spaces must be equipped with a fire detection and alarm system on vessels with no overnight accommodations; public spaces that may be assumed to be occupied by large number of persons when passengers are on board. Vessels fire detection and fire alarm panel was inoperative. Provide proper operation of fire detection and fire alarm panel to satisfactory of attending Coast Guard Marine Inspector. 46 CFR 118.400 (c)

Electrical equipment on a vessel must be installed to protect passengers, crew, other persons from electrical hazards. Vessels electrical cabinet on main deck had numerous wires, power strip cords, and unnecessary equipment in electrical cabinet. Remove all necessary equipment, power strips and re-organize all wiring to satisfaction of Coast Guard Marine Inspector. 46 CFR 120.200(b)

Security exercises must be conducted once each calendar year, with no more than 18 months between exercise. Vessel is missing annual security exercise.

The grablines on all life floats need to be replaced.

Vessel was not ready for inspection as required by regulation. Vessel has numerous electrical hazards, blocked means of escape, improper life saving arrangements, etc. All items discussed w/ owner and will be further documented via 835. Vessel must complete their COI Inspection. 46CFR115.404

Vessel must complete a security drill with USCG Marine Inspectors. 46CFR115.404

Vessel has designated passenger staterooms with emergency escape ladders. These ladders are blocked with various different materials such as tools and clothing. Vessel must ensure all means of escape are clear and available for use. 46CFR115.830

Vessel's electrical distribution panel is displaying a 2 amp ground to the hull. Vessel must determine the cause of this ground and correct. 46CFR120.200 (b)

Vessel has flammable material and liquid stored in unauthorized spaces changing the space designation for fire load. Vessel must remove all unauthorized materials and use the space in accordance with the space designation as outlined on the Structural Fire Plan. 46CFR115.840

Vessel must properly arrange all life floats and replace reflective material. 46CFR117.130

Vessel must provide a correct fire control plan with all required information. 46CFR116.530

All portable electrical equipment require a ground plug, remove all electrical equipment without a grounding plug. 46CFR120.370

All outlets exposed to the weather must be waterproof. Replace all non-waterproof outlet covers. 46CFR120.210 (b)

External LED lights must have proper electrical cable. Replace with marine grade. 46CFR120.340 (d)(2)

Vessel's air compressor is required to be ASME approved. Vessel must provide documentation proving this vessel to be ASME approved or remove/replace with an approved type. 46CFR54.01-5

The air compressor is wired with an extension cord. Vessel must properly wire with marine grade wire. 46CFR120.340 (d)(2)

All electrical connections must be made in an enclosure. Vessel must end all bilge alarm connections in a proper enclosure. 46CFR120.340(g)

Vessel's galley is not in serviceable condition. Vessel must have a sanitary inspection by the NY City Department of Health. Provide documentation to the USCG. 46CFR115.818

[withheld — contains personal information; the deficiency system, dates, and resolution status are shown above]

Provide EAP information and hotline numbers; make accessible to crew.

Program MMSI number in VHF radio.

Provide updated marine charts, coast pilot, and light list publications.

Stencil vessel name on ring buoy located near bridge.

Paddles must be lashed to life floats. 46 CFR 117.175(f)(2).

Renew grab lines on (02) life ring buoys. 46 CFR 117.70(c)(5)

Install non-conducting mat in front of switchboard. 46 CFR 120.330.

Conduct and log maintenance and inspections as required by 46 CFR 122.720 & 722.

Port-Stern side shell was crumpled IWO of the main deck egress station.

Port-Stern deck plating was bent IWO 2nd deck egress station, to an extent that warranted a unsafe condition.

01. Repair/replace identified light fixture on lifefloat.

02. Replace expired hydrostatic release on EPIRB.

Battery terminals for battery banks in engine were corroded. Corrosion needs to be removed from terminals and connections need to be cleaned. 46CFR115.806(f)

Battery Boxes in engine room had vent holes that were painted over. Paint needs to be removed from the vent holes to allow the gases produced during recharging to dissipate properly. 46CFR115.806(f)

Protective guard for drive pulley on the outboard side of the Port Generator is missing. Cover must be re-installed or a new cover fabricated and installed to protect personnel from contact with rotating parts. 46CFR116.960

Add one (1) emergency light fixture in engine room to illuminate the area for the emergency escape hatch so that it can be located by a crewmember if the ship loses power. 46CFR 120.432 & 46CFR116.500(i)

Install cover for 120 volt receptacle on outboard wall on STBD side of Galley. 46CFR120.200(b) & (c)

Repair 2" crack on exhaust piping for STBD main diesel engine. Crack is located along upper support bracket weld on the exhaust muffler. After repair, engine must be test ran in presence of Coast Guard Marine Inspector to verify that exhaust is no longer leaking from the piping. 46CFR119.430(b)

Mark/post placards to identify all escape hatches onboard, IAW 46CFR122.606

High level bilge alarm panel is not functioning properly. Visual indicators for several zones illuminate after testing several of the floats in different zones. Outstanding CG-835 issued by [name withheld] is still active. 46CFR119.530

Ensure required amount of flares are on board prior to sailing

Provide up to date first aid kit and show equipment list

Install new light bulbs and ensure all E lighting is functioning properly

ensure all lights function properly.

Start and maintain an elevator maintenance program IAW manufacturers guidance

Provide new navigation books and charts for AOR

Starboard bow damaged by storm after contacting dock. Required repair at dry dock prior to 2011 boating season.

Install pressure guage on discharge side of firepump.

Provide proposal to account for closure of 3rd deck stairtower door (#12) and remove locking handle iaw evacuation plan.

Correct evacuation plan to be iaw vessel stability letter- NMT 200 persons on 4th deck.

Properly seal electrical wire run in the pilothouse deck to comply with A-60 per 46 CFR 116.415

Install Nylock nuts on Morse control cable anchors at the Marine Gear Per 46 CFR 119.200

Renew GFI recepticle at the swim plateform per 46 CFR 120.370

Install additional PA speakers throughout the vessel to comply with 46 CFR 121.610,

Provide new waterlight lines for al 10 Bouyant Apparatusper 46 CFR 117.70

Post bilge system line diagram at the bilge manifold IAW 46 CFR 115.830

Provide safe means to attach man overboard rescue personnel IAW46 CFR 115.830

Update all expired First Aid gear Per 46 CFR 121.710.

Battery to the bow thruster died causing the bow thruster to become inoperable.

While attempting to scavenge a battery from the stbd generator, power was lost to the bridge propulsion controls. Battery was reconnected and control was restored. Vessel must prove proper operation of emergency power to the propulsion system controls as per 46 CFR 120.310. In addition, sea trials are to be conducted to the satisfaction of the attending Marine Inspector.

Properly repair fire screen doors to be self closing, found four fire doors that remained open, in accordance with 46 CFR 116.435.

Properly label and ensure operation of emergency escape hatch from crews lounge in accordance with 46 CFR 116.500.

Properly terminate dead end wire in a junction box or remove dead end wire from main deck aft compartment in accordance with 46 CFR 120.340.

Properly implement passenger count method to have a record of passengers on board on the shore side in accordance with 46 CFR 122.504.

Properly repair water light on lifebuoy in accordance with 46 CFR 117.175 (d).

Ensure proper operation of the heat risers on the fixed CO2 System in the Engineroom.

Vessel limited to 3nm until tonnage and SFP issues are resolved.

Provide on board a SOLAS "A" or "B" pack liferaft for 100% persons onboard. Prior to departure of the vessel from Boston, MA.

Prior to departure from the port of Boston, MA, provide onboard a USCG approved Personal Floatation Device light for each exposure suit onboard.

Provide calculations to the Coast Guard Marine Safety Center on the weights added / removed / relocated and their effect on the vessel's lightship data.

Provide approved drawings reviewed by the USCG Marine Safety Center for the modifications to the vessel.

Prove proper operation of the main fire pump prior to carrying passenger but NLT 30JUN04 to the satisfaction of the attending Marine Inspector.

Provide 3 red hand held flares prior to carrying passenger but NLT 30JUN04 to the satisfaction of the attending Marine Inspector.

Provide new hydrostatic release for the EPRIB prior to carrying passenger but NLT 30JUN04 to the satisfaction of the attending Marine Inspector.

Provide means to leave passenger count ashore NLT 30JUN04

Provide up-to-date training log to include training and drills conducted and members attending NLT 30JUN04

Rudder bolts and nuts not properly installed, make permanent and proper repairs to the satisfaction of the attending Marine Inspector NLT 30JUN04

Provide copy of the Drug and Alcohol Testing Date MIS Form, once proper filled out and faxed to CG Headquarters .NLT 30JUN04

[withheld — contains personal information; the deficiency system, dates, and resolution status are shown above]

Prove bilge de-watering system in all spaces served.

Renew the seawater intake hose on the generators and bow thruster.

Remove all carpet from behind bar areas on decks 3 and 4. LEGACY COMPONENT DESC: Primary Deck Coverings

Mount life jacket donning placards immediately adjacent to life jackets. LEGACY COMPONENT DESC: Life Jacket Placards

Provide updated navigation pubs and charts. LEGACY COMPONENT DESC: Navigation charts and Publications

Remove and properly store all flammable liquids on bridge. LEGACY COMPONENT DESC: Storage

Remove portable grills or make grills meet ABYC, A-1 regulations or NFPA 302, Chp 6, when passengers embarked.

Renew hydraulic hode on steering ram starboard side.

Renew flame screen on port side fuel vent.

Remove door stops on all lower cabin doors.

Prove proper operation of remote start for fire pump.

Locate and correct or repair ground fault on electrical panel.

Provide alarm for steering motor failure.