1625-0084 Stat/Auth

Coast Guard, DHS

Pt. 96

(b) A chemical test.
[CGD 84–099, 53 FR 13117, April 21, 1988; CGD
84–009, 53 FR 13117, Apr. 21, 1988, as amended
by USCG–1998–4593, 66 FR 1862, Jan. 10, 2001]

§ 95.035 Reasonable cause for directing a chemical test.
(a) Only a law enforcement officer or
a marine employer may direct an individual operating a vessel to undergo a
chemical test when reasonable cause
exists. Reasonable cause exists when:
(1) The individual was directly involved in the occurrence of a marine
casualty as defined in Chapter 61 of
Title 46, United States Code, or
(2) The individual is suspected of
being in violation of the standards in
§§ 95.020 or 95.025.
(b) When an individual is directed to
undergo a chemical test, the individual
to be tested must be informed of that
fact and directed to undergo a test as
soon as is practicable.
(c) When practicable, a marine employer should base a determination of
the existence of reasonable cause,
under paragraph (a)(2) of this section,
on observation by two persons.
[CGD 84–099, FR 47532, Dec. 14, 1987; CGD 84–
099, 53 FR 13117, Apr. 1, 1988]

§ 95.040

Refusal to submit to testing.

(a) If an individual refuses to submit
to or cooperate in the administration
of a timely chemical test when directed by a law enforcement officer
based on reasonable cause, evidence of
the refusal is admissible in evidence in
any administrative proceeding and the
individual will be presumed to be under
the influence of alcohol or a dangerous
drug.
(b) If an individual refuses to submit
to or cooperate in the administration
of a timely chemical test when directed by the marine employer based
on reasonable cause, evidence of the refusal is admissible in evidence in any
administrative proceeding.
[CGD 84–099, 52 FR 47532, Dec. 14, 1987, as
amended by USCG–1998–4593, 66 FR 1862, Jan.
10, 2001]

§ 95.045 General operating rules for
vessels inspected, or subject to inspection, under Chapter 33 of Title
46 United States Code.
While on board a vessel inspected, or
subject to inspection, under Chapter 33
of Title 46 United States Code, a crewmember (including an officer), pilot, or
watchstander not a regular member of
the crew:
(a) Shall not perform or attempt to
perform any scheduled duties within
four hours of consuming any alcohol;
(b) Shall not be intoxicated at any
time;
(c) Shall not consume any intoxicant
while on watch or duty; and
(d) May consume a legal non-prescription or prescription drug provided
the drug does not cause the individual
to be intoxicated.
[CGD 84–099, 52 FR 47532, Dec. 14, 1987, as
amended at USCG–2006–24371, 74 FR 11211,
Mar. 16, 2009]

§ 95.050 Responsibility for compliance.
(a) The marine employer shall exercise due diligence to assure compliance
with the applicable provisions of this
part.
(b) If the marine employer has reason
to believe that an individual is intoxicated, the marine employer shall not
allow that individual to stand watch or
perform other duties.

PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS
Subpart A—General
Sec.
96.100
96.110
96.120
96.130

Purpose.
Who does this subpart apply to?
Definitions.
Incorporation by reference.

Subpart B—Company and Vessel Safety
Management Systems
96.200 Purpose.
96.210 Who does this subpart apply to?
96.220 What makes up a safety management
system?
96.230 What objectives must a safety management system meet?
96.240 What functional requirements must a
safety management system meet?
96.250 What documents and reports must a
safety management system have?

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§ 96.100

33 CFR Ch. I (7–1–12 Edition)

Subpart C—How Will Safety Management
Systems Be Certificated and Enforced?

Subpart A—General

96.300 Purpose.
96.310 Who does this subpart apply to?
96.320 What is involved to complete a safety
management audit and when is it required to be completed?
96.330 Document of Compliance certificate:
what is it and when is it needed?
96.340 Safety Management Certificate: what
is it and when is it needed?
96.350 Interim Document of Compliance certificate: what is it and when can it be
used?
96.360 Interim Safety Management Certificate: what is it and when can it be used?
96.370 What are the requirements for vessels
of countries not party to Chapter IX of
SOLAS?
96.380 How will the Coast Guard handle
compliance and enforcement of these
regulations?
96.390 When will the Coast Guard deny
entry into a U.S. port?

Subpart D—Authorization of Recognized
Organizations To Act on Behalf of the U.S.
96.400 Purpose.
96.410 Who does this regulation apply to?
96.420 What authority may an organization
ask for under this regulation?
96.430 How does an organization submit a
request to be authorized?
96.440 How will the Coast Guard decide
whether to approve an organization’s request to be authorized?
96.450 What happens if the Coast Guard disapproves an organization’s request to be
authorized?
96.460 How will I know what the Coast
Guard requires of my organization if my
organization receives authorization?
96.470 How does the Coast Guard terminate
an organization’s authorization?
96.480 What is the status of a certificate if
the issuing organization has its authority terminated?
96.490 What further obligations exist for my
organization if the Coast Guard terminates its authorization?
96.495 How can I appeal a decision made by
an authorized organization?
AUTHORITY: 46 U.S.C. 3201 et. seq.; 46 U.S.C.
3103; 46 U.S.C. 3316, 33 U.S.C. 1231; 49 CFR
1.45, 49 CFR 1.46.
SOURCE: CGD 95–073, 62 FR 67506, Dec. 24,
1997, unless otherwise noted.
EDITORIAL NOTE: Nomenclature changes to
part 96 appear at 75 FR 36281, June 25, 2010.

§ 96.100

Purpose.

This subpart implements Chapter IX
of the International Convention for the
Safety of Life at Sea (SOLAS), 1974,
International Management Code for
the Safe Operation of Ships and for
Pollution Prevention (International
Safety Management (ISM) Code), as required by 46 U.S.C. Chapter 32.
NOTE: Chapter IX of SOLAS is available
from the International Maritime Organization, Publication Section, 4 Albert Embankment, London, SE1 75R, United Kingdom,
Telex 23588. Please include document reference number ‘‘IMO–190E’’ in your request.

§ 96.110
to?

Who does this subpart apply

This subpart applies to you if—
(a) You are a responsible person who
owns a U.S. vessel(s) and must comply
with Chapter IX of SOLAS;
(b) You are a responsible person who
owns a U.S. vessel(s) that is not required to comply with Chapter IX of
SOLAS, but requests application of
this subpart;
(c) You are a responsible person who
owns a foreign vessel(s) engaged on a
foreign voyage, bound for ports or
places under the jurisdiction of the
U.S., which must comply with Chapter
IX of SOLAS; or
(d) You are a recognized organization
applying for authorization to act on behalf of the U.S. to conduct safety management audits and issue international
convention certificates.
§ 96.120

Definitions.

(a) Unless otherwise stated in this
section, the definitions in Chapter IX,
Regulation 1 of the International Convention for the Safety of Life at Sea
(SOLAS) apply to this part.
(b) As used in this part—
Administration means the Government of the State whose flag the ship
is entitled to fly.
Authorized Organization Acting on behalf of the U.S. means an organization
that is recognized by the Commandant
of the U.S. Coast Guard under the minimum standards of subparts A and B of
46 CFR part 8, and has been authorized
under this section to conduct certain

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Coast Guard, DHS

§ 96.120

actions and certifications on behalf of
the United States.
Captain of the Port (COTP) means the
U.S. Coast Guard officer as described in
33 CFR 6.01–3, commanding a Captain
of the Port zone described in 33 CFR
part 3, or that person’s authorized representative.
Commandant means the Commandant,
U.S. Coast Guard.
Company means the owner of a vessel,
or any other organization or person
such as the manager or the bareboat
charterer of a vessel, who has assumed
the responsibility for operation of the
vessel from the shipowner and who on
assuming responsibility has agreed to
take over all the duties and responsibilities imposed by this part or the
ISM Code.
Designated person means a person or
persons designated in writing by the
responsible person who monitors the
safety management system of the company and vessel and has:
(1) Direct access to communicate
with the highest levels of the company
and with all management levels ashore
and aboard the company’s vessel(s);
(2) Responsibility to monitor the
safety and environmental aspects of
the operation of each vessel; and
(3) Responsibility to ensure there are
adequate support and shore-based resources for vessel(s) operations.
Document of Compliance means a certificate issued to a company or responsible person that complies with the requirements of this part or the ISM
Code.
International
Safety
Management
(ISM) Code means the International
Management Code for the Safe Operation of Ships and Pollution Prevention, Chapter IX of the Annex to the
International Convention for the Safety of Life at Sea (SOLAS), 1974.
Non-conformity means an observed
situation where objective evidence indicates the non-fulfillment of a specified requirement.
Major non-conformity means an identifiable deviation which poses a serious
threat to personnel or vessel safety or
a serious risk to the environment and
requires immediate corrective action;
in addition, the lack of effective and
systematic implementation of a re-

quirement of the ISM Code is also considered a major non-conformity.
Objective Evidence means quantitative
or qualitative information, records or
statements of fact pertaining to safety
or to the existence and implementation
of a safety management system element, which is based on observation,
measurement or test and which can be
verified.
Officer In Charge, Marine Inspection
(OCMI) means the U.S. Coast Guard officer as described in 46 CFR 1.01–15(b),
in charge of an inspection zone described in 33 CFR part 3, or that person’s authorized representative.
Recognized organization means an organization which has applied and been
recognized by the Commandant of the
Coast Guard to meet the minimum
standards of 46 CFR part 8, subparts A
and B.
Responsible person means—
(1) The owner of a vessel to whom
this part applies, or
(2) Any other person that—
(i) has assumed the responsibility
from the owner for operation of the
vessel to which this part applies; and
(ii) agreed to assume, with respect to
the vessel, responsibility for complying
with all the requirements of this part.
(3) A responsible person may be a
company, firm, corporation, association, partnership or individual.
Safety management audit means a systematic and independent examination
to determine whether the safety management system activities and related
results comply with planned arrangements and whether these arrangements
are implemented effectively and are
suitable to achieve objectives.
Safety Management Certificate means a
document issued to a vessel which signifies that the responsible person or its
company, and the vessel’s shipboard
management operate in accordance
with the approved safety management
system.
Safety Management System means a
structured and documented system enabling Company and vessel personnel
to effectively implement the responsible person’s safety and environmental
protection policies.
SOLAS means the International Convention for the Safety of Life at Sea,
1974, as amended.

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§ 96.130

33 CFR Ch. I (7–1–12 Edition)

Vessel engaged on a foreign voyage
means a vessel to which this part applies that is—
(1) Arriving at a place under the jurisdiction of the United States from a
place in a foreign country;
(2) Making a voyage between places
outside the United States; or
(3) Departing from a place under the
jurisdiction of the United States for a
place in a foreign country.
§ 96.130

Incorporation by reference.

(a) The Director of the Federal Register approves certain material that is
incorporated by reference into this subpart under 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 the material
must be available to the public. You
may inspect all material at the U.S.
Coast Guard, Office of Design and Engineering Standards (CG–521), 2100 2nd St.
SW., Stop 7126, Washington, DC 20593–
7126, or at the National Archives and
Records Administration (NARA), and
receive it from the source listed in
paragraph (b) of this section. For information on the availability of this material at NARA, call 202–741–6030, or go
to:
http://www.archives.gov/
federallregister/
codeloflfederallregulations/
ibrllocations.html.
(b) The material approved for incorporation by reference in this subpart
and the sections affected are as follows:
American National Standards Institute (ANSI)—
11 West 42nd St., New York, NY 10036.
ANSI/ASQC Q9001–1994, Quality Systems—
Model for Quality Assurance in Design,
Development, Production, Installation,
and Servicing, 1994—96.430
International Maritime Organization IMO—4
Albert Embankment, London, SE1 7SR,
United Kingdom.
Resolution A.741(18), International Management Code for the Safe Operation of
Ships and for Pollution Prevention, November 4, 1993—96.220, 96.370
Resolution A.788 (19), Guidelines on Implementation of the International Safety
Management (ISM) Code by Administrations, November 23, 1995—96.320, 96.440
Resolution A.739(18), Guidelines for the Authorization of Organizations Acting on

Behalf of the Administration, November
4, 1993—96.440
[CGD 95–073, 62 FR 67506, Dec. 24, 1997, as
amended at 69 FR 18803, Apr. 9, 2004]

Subpart B—Company and Vessel
Safety Management Systems
§ 96.200 Purpose.
This subpart establishes the minimum standards that the safety management system of a company and its
U.S. flag vessel(s) must meet for certification to comply with the requirements of 46 U.S.C. 3201–3205 and Chapter IX of SOLAS, 1974. It also permits
companies with U.S. flag vessels that
are not required to comply with this
part to voluntarily develop safety management systems which can be certificated to standards consistent with
Chapter IX of SOLAS.
§ 96.210 Who does this subpart apply
to?
(a) This subpart applies—
(1) To a responsible person who owns
or operates a U.S. vessel(s) engaged on
a foreign voyage which meet the conditions of paragraph (a)(2) of this section;
(2) To all U.S. vessels engaged on a
foreign voyage that are—
(i) A vessel transporting more than 12
passengers; or
(ii) A tanker, a bulk freight vessel, a
freight vessel or a self-propelled mobile
offshore drilling unit (MODU) of 500
gross tons or more; and
(3) To all foreign vessels engaged on a
foreign voyage, bound for ports or
places under the jurisdiction of the
U.S., and subject to Chapter IX of
SOLAS.
(b) This subpart does not apply to—
(1) A barge;
(2) A recreational vessel not engaged
in commercial service;
(3) A fishing vessel;
(4) A vessel operating only on the
Great Lakes or its tributary and connecting waters; or
(5) A public vessel, which includes a
U.S. vessel of the National Defense Reserve Fleet owned by the U.S. Maritime Administration and operated in
non-commercial service.
(c) Any responsible person and their
company who owns and operates a U.S.
flag vessel(s) which does not meet the

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Coast Guard, DHS

§ 96.250

conditions of paragraph (a), may voluntarily meet the standards of this part
and Chapter IX of SOLAS and have
their safety management systems certificated.
(d) The compliance date for the requirements of this part are—
(1) On or after July 1, 1998, for—
(i) Vessels transporting more than 12
passengers engaged on a foreign voyage; or
(ii) Tankers, bulk freight vessels, or
high speed freight vessels of at least 500
gross tons or more, engaged on a foreign voyage.
(2) On or after July 1, 2002, for other
freight vessels and self-propelled mobile offshore drilling units (MODUs) of
at least 500 gross tons or more, engaged
on a foreign voyage.
§ 96.220 What makes up a safety management system?
(a) The safety management system
must document the responsible person’s—
(1) Safety and pollution prevention
policy;
(2) Functional safety and operational
requirements;
(3) Recordkeeping responsibilities;
and
(4) Reporting responsibilities.
(b) A safety management system
must also be consistent with the functional standards and performance elements of IMO Resolution A.741(18).
§ 96.230 What objectives must a safety
management system meet?
The safety management system
must:
(a) Provide for safe practices in vessel operation and a safe work environment onboard the type of vessel the
system is developed for;
(b) Establish and implement safeguards against all identified risks;
(c) Establish and implement actions
to continuously improve safety management skills of personnel ashore and
aboard vessels, including preparation
for emergencies related to both safety
and environmental protection; and
(d) Ensure compliance with mandatory rules and regulations, taking into
account relevant national and inter-

national regulations, standards, codes
and maritime industry guidelines,
when developing procedures and policies for the safety management system.
§ 96.240 What functional requirements
must a safety management system
meet?
The functional requirements of a
safety management system must include—
(a) A written statement from the responsible person stating the company’s
safety and environmental protection
policy;
(b) Instructions and procedures to
provide direction for the safe operation
of the vessel and protection of the environment in compliance with the applicable U.S. Code of Federal Regulations,
and international conventions to which
the U.S. is a party (SOLAS, MARPOL,
etc.);
(c) Documents showing the levels of
authority and lines of communication
between shoreside and shipboard personnel;
(d) Procedures for reporting accidents, near accidents, and nonconformities with provisions of the
company’s and vessel’s safety management system, and the ISM Code;
(e) Procedures to prepare for and respond to emergency situations by
shoreside and shipboard personnel;
(f) Procedures for internal audits on
the operation of the company and vessel(s) safety management system; and
(g) Procedures and processes for management review of company internal
audit reports and correction of nonconformities that are reported by these
or other reports.
§ 96.250 What documents and reports
must a safety management system
have?
The documents and reports required
for a safety management system under
§ 96.330 or § 96.340 must include the written documents and reports itemized in
Table 96.250. These documents and reports must be available to the company’s shore-based and vessel(s)-based
personnel:

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§ 96.250

33 CFR Ch. I (7–1–12 Edition)
TABLE 96.250—SAFETY MANAGEMENT SYSTEM DOCUMENTS AND REPORTS

Type of documents and reports
(a) Safety and environmental
policy statements.
(b) Company responsibilities
and authority statements.

(c) Designation in writing of a
person or persons to monitor
the safety management system for the company and
vessel(s).
(d) Written statements that define the Master’s responsibilities and authorities.

Specific requirements
(1) Meet the objectives of § 96.230; and
(2) Are carried out and kept current at all levels of the company;
(1) The owners name and details of responsibility for operation of the company and vessel(s);
(2) Name of the person responsible for operation of the company and vessel(s), if not the
owner;
(3) Responsibility, authority and interrelations of all personnel who manage, perform, and
verify work relating to and affecting the safety and pollution prevention operations of the
company and vessel(s); and
(4) A statement describing the company’s responsibility to ensure adequate resources and
shore-based support are provided to enable the designated person or persons to carry out
the responsibilities of this subpart.
(1) Have direct access to communicate with the highest levels of the company and with all
management levels ashore and aboard the company’s vessel(s);
(2) Have the written responsibility to monitor the safety and environmental aspects of the operation of each vessel; and
(3) Have the written responsibility to ensure there are adequate support and shore-based resources for vessel(s) operations.
(1) Carry out the company’s safety and environmental policies;
(2) Motivate the vessel’s crew to observe the safety management system policies;
(3) Issue orders and instructions in a clear and simple manner;
(4) Make sure that specific requirements are carried out by the vessel’s crew and shore-based
resources; and
(5) Review the safety management system and report non-conformities to shore-based management.
(1) Ability to make decisions about safety and environmental pollution; and
(2) Ability to request the company’s help when necessary.

(e) Written statements that the
Master has overriding responsibility and authority to
make vessel decisions.
(f) Personnel procedures and
(1) Masters of vessels are properly qualified for command;
resources which are avail(2) Masters of vessels know the company’s safety management system;
able ashore and aboard ship.. (3) Owners or companies provide the necessary support so that the Master’s duties can be
safely performed;
(4) Each vessel is properly crewed with qualified, certificated and medically fit seafarers complying with national and international requirements;
(5) New personnel and personnel transferred to new assignments involving safety and protection of the environment are properly introduced to their duties;
(6) Personnel involved with the company’s safety management system have an adequate understanding of the relevant rules, regulations, codes and guidelines;
(7) Needed training is identified to support the safety management system and ensure that the
training is provided for all personnel concerned;
(8) Communication of relevant procedures for the vessel’s personnel involved with the safety
management system is in the language(s) understood by them; and
(9) Personnel are able to communicate effectively when carrying out their duties as related to
the safety management system.
(g) Vessel safety and pollution
(1) Define tasks; and
prevention operation plans
(2) Assign qualified personnel to specific tasks.
and instructions for key shipboard operations..
(h) Emergency preparedness
(1) Identify, describe and direct response to potential emergency shipboard situations;
procedures..
(2) Set up programs for drills and exercises to prepare for emergency actions; and
(3) Make sure that the company’s organization can respond at anytime, to hazards, accidents
and emergency situations involving their vessel(s).
(i) Reporting procedures on re- (1) Report non-conformities of the safety management system;
quired actions..
(2) Report accidents;
(3) Report hazardous situations to the owner or company; and
(4) Make sure reported items are investigated and analyzed with the objective of improving
safety and pollution prevention.
(j) Vessel maintenance proce(1) Inspect vessel’s equipment, hull, and machinery at appropriate intervals;
dures. (These procedures
(2) Report any non-conformity or deficiency with its possible cause, if known;
verify that a company’s ves(3) Take appropriate corrective actions;
sel(s) is maintained in con(4) Keep records of these activities;
formity with the provisions of
(5) Identify specific equipment and technical systems that may result in a hazardous situation
relevant rules and regulaif a sudden operational failure occurs;
tions, with any additional requirements which may be established by the company.).
(6) Identify measures that promote the reliability of the equipment and technical systems identified in paragraph (j)(5), and regularly test standby arrangements and equipment or technical systems not in continuous use; and
(7) Include the inspections required by this section into the vessel’s operational maintenance
routine.

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Coast Guard, DHS

§ 96.320

TABLE 96.250—SAFETY MANAGEMENT SYSTEM DOCUMENTS AND REPORTS—Continued
Type of documents and reports

Specific requirements

(k) Safety management system
document and data maintenance.

(1) Procedures which establish and maintain control of all documents and data relevant to the
safety management system.

(l) Safety management system
internal audits which verify
the safety and pollution prevention activities.

(2) Documents are available at all relevant locations, i.e., each vessel carries on board all documents relevant to that vessels operation;
(3) Changes to documents are reviewed and approved by authorized personnel; and
(4) Outdated documents are promptly removed.
(1) Periodic evaluation of the safety management system’s efficiency and review of the system
in accordance with the established procedures of the company, when needed;
(2) Types and frequency of internal audits, when they are required, how they are reported, and
possible corrective actions, if necessary;
(3) Determining factors for the selection of personnel, independent of the area being audited,
to complete internal company and vessel audits; and
(4) Communication and reporting of internal audit findings for critical management review and
to ensure management personnel of the area audited take timely and corrective action on
non-conformities or deficiencies found.

Note: The documents and reports required by this part are for the purpose of promoting safety of life and property at sea, as
well as protection of the environment. The documents and reports are intended to ensure the communication and understanding
of company and vessel safety management systems, which will allow a measure of the systems effectiveness and its responsible
person to continuously improve the system and safety the system provides.

Subpart C—How Will Safety Management Systems Be Certificated and Enforced?
§ 96.300

Purpose.

This subpart establishes the standards for the responsible person of a
company and its vessel(s) to obtain the
required and voluntary, national and
international certification for the company’s and vessel’s safety management
system.
§ 96.310
to?

Who does this subpart apply

This subpart applies:
(a) If you are a responsible person
who owns a vessel(s) registered in the
U.S. and engaged on a foreign voyage(s), or holds certificates or endorsement of such voyages;
(b) If you are a responsible person
who owns a vessel(s) registered in the
U.S. and volunteer to meet the standards of this part and Chapter IX of
SOLAS;
(c) To all foreign vessels engaged on
a foreign voyage, bound for ports or
places under the jurisdiction of the
U.S., and subject to Chapter IX of
SOLAS; or
(d) If you are a recognized organization authorized by the U.S. to complete
safety management audits and certification required by this part.

§ 96.320 What is involved to complete a
safety management audit and when
is it required to be completed?
(a) A safety management audit is any
of the following:
(1) An initial audit which is carried
out before a Document of Compliance
certificate or a Safety Management
Certificate is issued;
(2) A renewal audit which is carried
out before the renewal of a Document
of Compliance certificate or a Safety
Management Certificate;
(3) Periodic audits including—
(i) An annual verification audit, as
described in § 96.330(f) of this part, and
(ii) An intermediate verification
audit, as described in § 96.340(e)(2) of
this part.
(b) A satisfactory audit means that
the auditor(s) agrees that the requirements of this part are met, based on review and verification of the procedures
and documents that make up the safety management system.
(c) Actions required during safety
management audits for a company and
their U.S. vessel(s) are—
(1) Review and verify the procedures
and documents that make up a safety
management system, as defined in subpart B of this part.
(2) Make sure the audit complies with
this subpart and is consistent with IMO
Resolution A.788(19), Guidelines on Implementation of the International
Safety Management (ISM) Code by Administrations.

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§ 96.330

33 CFR Ch. I (7–1–12 Edition)

(3) Make sure the audit is carried out
by a team of Coast Guard auditors or
auditors assigned by a recognized organization authorized to complete such
actions by subpart D of this part.
(d) Safety management audits for a
company and their U.S. vessel(s) are
required—
(1) Before issuing or renewing a Document of Compliance certificate, and
to keep a Document of Compliance certificate valid, as described in §§ 96.330
and 96.340 of this part.
(2) Before issuing or renewing a Safety Management Certificate, and to
maintain the validity of a Safety Management Certificate, as described in
§ 96.340 of this part.
However, any safety management audit
for the purpose of verifying a vessel’s
safety management system will not be
scheduled or conducted for a company’s
U.S. vessel unless the company first
has undergone a safety management
audit of the company’s safety management system, and has received its Document of Compliance certificate.
(e) Requests for all safety management audits for a company and its U.S.
vessel(s) must be communicated—
(1) By a responsible person directly
to a recognized organization authorized
by the U.S.
(2) By a responsible person within the
time limits for an annual verification
audit, described in § 96.330(f) of this
part,
and
for
an
intermediate
verification
audit,
described
in
§ 96.340(e)(2) of this part. If he or she
does not make a request for a safety
management annual or verification
audit for a valid Document of Compliance certificate issued to a company or
a valid Safety Management Certificate
issued to a vessel, this is cause for the
Coast Guard to revoke the certificate
as described in §§ 96.330 and 96.340 of
this part.
(f) If a non-conformity with a safety
management system is found during an
audit, it must be reported in writing by
the auditor:
(1) For a company’s safety management system audit, to the company’s
owner; and
(2) For a vessel’s safety management
system audit, to the company’s owner
and vessel’s Master.

§ 96.330 Document of Compliance certificate: what is it and when is it
needed?
(a) You must hold a valid Document
of Compliance certificate if you are the
responsible person who, or company
which, owns a U.S. vessel engaged on
foreign voyages, carrying more than 12
passengers, or is a tanker, bulk freight
vessel, freight vessel, or a self-propelled mobile offshore drilling unit of
500 gross tons or more.
(b) You may voluntarily hold a valid
Document of Compliance certificate, if
you are a responsible person who, or a
company which, owns a U.S. vessel not
included in paragraph (a) of this section.
(c) You will be issued a Document of
Compliance certificate only after you
complete a satisfactory safety management audit as described in § 96.320 of
this part.
(d) All U.S. and foreign vessels that
carry more than 12 passengers or a
tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore
drilling unit of 500 gross tons or more,
must carry a valid copy of the company’s Document of Compliance certificate onboard when on a foreign voyage.
(e) A valid Document of Compliance
certificate covers the type of vessel(s)
on which a company’s safety management system initial safety management audit was based. The validity of
the Document of Compliance certificate may be extended to cover additional types of vessels after a satisfactory safety management audit is completed on the company’s safety management system which includes those
additional vessel types.
(f) A Document of Compliance certificate is valid for 60 months. The company’s safety management system
must be verified annually by the Coast
Guard or by an authorized organization
acting on behalf of the U.S. through a
safety management verification audit,
within three months before or after the
certificate’s anniversary date.
(g) Only the Coast Guard may revoke
a Document of Compliance certificate
from a company which owns a U.S. vessel. The Document of Compliance certificate may be revoked if—

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Coast Guard, DHS

§ 96.350

(1) The annual safety management
audit and system verification required
by paragraph (f) of this section is not
completed by the responsible person; or
(2) Major non-conformities are found
in the company’s safety management
system during a safety management
audit or other related survey or inspection being completed by the Coast
Guard or the recognized organization
chosen by the company or responsible
person.
(3) The Coast Guard or an authorized
organization acting on its behalf is denied, or restricted access to, any vessel, record or personnel of the company, at any time necessary to evaluate the safety management system.
(h) When a company’s valid Document of Compliance certificate is revoked by the Coast Guard, a satisfactory safety management audit must be
completed before a new Document of
Compliance certificate for the company’s safety management system can
be reissued.
§ 96.340 Safety Management Certificate: what is it and when is it needed?
(a) Your U.S. vessel engaged on a foreign voyage must hold a valid Safety
Management Certificate if it carries
more than 12 passengers, or if it is a
tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore
drilling unit of 500 gross tons or more.
(b) Your U.S. vessel may voluntarily
hold a valid Safety Management Certificate even if your vessel is not required to by paragraph (a) of this section.
(c) Your U.S. vessel may only be
issued a Safety Management Certificate or have it renewed when your
company holds a valid Document of
Compliance certificate issued under
§ 96.330 of this part and the vessel has
completed a satisfactory safety management audit of the vessel’s safety
management system set out in § 96.320
of this part.
(d) A copy of your vessel’s valid Safety Management Certificate must be on
board all U.S. and foreign vessels which
carry more than 12 passengers, and
must be on board a tanker, bulk freight
vessel, freight vessel, or a self-propelled mobile offshore drilling unit of

500 gross tons or more, when engaged
on foreign voyages or within U.S. waters.
(e) A Safety Management Certificate
is valid for 60 months. The validity of
the Safety Management Certificate is
based on—
(1) A satisfactory initial safety management audit;
(2)
A
satisfactory
intermediate
verification audit requested by the vessel’s responsible person, completed between the 24th and 36th month of the
certificate’s period of validity; and
(3) A vessel’s company holding a
valid Document of Compliance certificate. When a company’s Document of
Compliance certificate expires or is revoked, the Safety Management Certificate for the company-owned vessel(s) is
invalid.
(f) Renewal of a Safety Management
Certificate requires the completion of a
satisfactory safety management system audit which meets all of the requirements of subpart B in this part. A
renewal of a Safety Management Certificate cannot be started unless the
company which owns the vessel holds a
valid Document of Compliance certificate.
(g) Only the Coast Guard may revoke
a Safety Management Certificate from
a U.S. vessel. The Safety Management
Certificate will be revoked if—
(1) The vessel’s responsible person
has not completed an intermediate
safety management audit required by
paragraph (e)(2) of this section; or
(2) Major non-conformities are found
in the vessel’s safety management system during a safety management audit
or other related survey or inspection
being completed by the Coast Guard or
the recognized organization chosen by
the vessel’s responsible person.
[CGD 95–073, 62 FR 67506, Dec. 24, 1997, as
amended by USCG–1999–5832, 64 FR 34712,
June 29, 1999]

§ 96.350 Interim Document of Compliance certificate: what is it and
when can it be used?
(a) An Interim Document of Compliance certificate may be issued to help
set up a company’s safety management
system when—

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§ 96.360

33 CFR Ch. I (7–1–12 Edition)

(1) A company is newly set up or in
transition from an existing company
into a new company; or
(2) A new type of vessel is added to an
existing safety management system
and Document of Compliance certificate for a company.
(b) A responsible person for a company operating a U.S. vessel(s) that
meets the requirements of paragraph
(a) of this section, may send a request
to a recognized organization authorized
to act on behalf of the U.S. to receive
an Interim Document of Compliance
certificate that is valid for a period up
to 12 months. To be issued the Interim
Document of Compliance certificate
the vessel’s company must—
(1) Demonstrate to an auditor that
the company has a safety management
system that meets § 96.230 of this part;
and
(2) Provide a plan for full implementation of a safety management system
within the period that the Interim Document of Compliance certificate is
valid.
§ 96.360 Interim Safety Management
Certificate: what is it and when can
it be used?
(a) A responsible person may apply
for an Interim Safety Management
Certificate when—
(1) A responsible person takes delivery of a new U.S. vessel; or
(2) Takes responsibility for the management of a U.S. vessel which is new
to the responsible person or their company.
(b) An Interim Safety Management
Certificate is valid for 6 months. It
may be issued to a U.S. vessel which
meets the conditions of paragraph (a)
of this section, when—
(1) The company’s valid Document of
Compliance certificate or Interim Document of Compliance certificate applies to that vessel type;
(2) The company’s safety management system for the vessel includes the
key elements of a safety management
system, set out in § 96.220, applicable to
this new type of vessel;
(3) The company’s safety management system has been assessed during
the safety management audit to issue
the Document of Compliance certificate or demonstrated for the issuance

of the Interim Document of Compliance certificate;
(4) The Master and senior officers of
the vessel are familiar with the safety
management system and the planned
set up arrangements;
(5) Written documented instructions
have been extracted from the safety
management system and given to the
vessel prior to sailing;
(6) The company plans an internal
audit of the vessel within three
months; and
(7) The relevant information from the
safety management system is written
in English, and in any other language
understood by the vessel’s personnel.
§ 96.370 What are the requirements for
vessels of countries not party to
Chapter IX of SOLAS?
(a) Each foreign vessel which carries
more than 12 passengers, or is a tanker,
bulk freight vessel, freight vessel, or
self-propelled mobile offshore drilling
unit of 500 gross tons or more, operated
in U.S. waters, under the authority of a
country not a party to Chapter IX of
SOLAS must—
(1) Have on board valid documentation showing that the vessel’s company
has a safety management system which
was audited and assessed, consistent
with the International Safety Management Code of IMO Resolution A.741(18);
(2) Have on board valid documentation from a vessel’s Flag Administration showing that the vessel’s safety
management system was audited and
assessed to be consistent with the
International Safety Management Code
of IMO Resolution A.741(18); or
(3) Show that evidence of compliance
was issued by either a government that
is party to SOLAS or an organization
recognized to act on behalf of the vessel’s Flag Administration.
(b) Evidence of compliance must contain all of the information in, and have
substantially the same format as a—
(1) Document of Compliance certificate; and
(2) Safety Management Certificate.
(c) Failure to comply with this section will subject the vessel to the compliance and enforcement procedures of
§ 96.380 of this part.

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Coast Guard, DHS

§ 96.410

§ 96.380 How will the Coast Guard
handle compliance and enforcement of these regulations?
(a) While operating in waters under
the jurisdiction of the United States,
the Coast Guard may board a vessel to
determine that—
(1) Valid copies of the company’s
Document of Compliance certificate
and Safety Management Certificate are
on board, or evidence of the same for
vessels from countries not party to
Chapter IX of SOLAS; and
(2) The vessel’s crew or shore-based
personnel are following the procedures
and policies of the safety management
system while operating the vessel or
transferring cargoes.
(b) A foreign vessel that does not
comply with these regulations, or one
on which the vessel’s condition or use
of its safety management system do
not substantially agree with the particulars of the Document of Compliance certificate, Safety Management
Certificate or other required evidence
of compliance, may be detained by
order of the COTP or OCMI. This may
occur at the port or terminal where the
violation is found until, in the opinion
of the detaining authority, the vessel
can go to sea without presenting an unreasonable threat of harm to the port,
the marine environment, the vessel or
its crew. The detention order may
allow the vessel to go to another area
of the port, if needed, rather than stay
at the place where the violation was
found.
(c) If any vessel that must comply
with this part or with the ISM Code
does not have a Safety Management
Certificate and a copy of its company’s
Document of Compliance certificate on
board, a vessel owner, charterer, managing operator, agent, Master, or any
other individual in charge of the vessel
that is subject to this part, may be liable for a civil penalty under 46 U.S.C.
3318. For foreign vessels, the Coast
Guard may request the Secretary of
the Treasury to withhold or revoke the
clearance required by 46 U.S.C. App. 91.
The Coast Guard may ask the Secretary to permit the vessel’s departure
after the bond or other surety is filed.

§ 96.390 When will the Coast Guard
deny entry into a U.S. port?
(a) Except for a foreign vessel entering U.S. waters under force majeure, no
vessel shall enter any port or terminal
of the U.S. without a safety management system that has been properly
certificated to this subpart or to the
requirements of Chapter IX of SOLAS
if—
(1) It is engaged on a foreign voyage;
and
(2) It is carrying more than 12 passengers, or a tanker, bulk freight vessel, freight vessel, or self-propelled mobile offshore drilling unit of 500 gross
tons or more.
(b) The cognizant COTP will deny
entry of a vessel into a port or terminal under the authority of 46 U.S.C.
3204(c), to any vessel that does not
meet the requirements of paragraph (a)
of this section.

Subpart D—Authorization of Recognized Organizations To Act
on Behalf of the U.S.
§ 96.400

Purpose.

(a) This subpart establishes criteria
and procedures for organizations recognized under 46 CFR part 8, subparts A
and B, to be authorized by the Coast
Guard to act on behalf of the U.S. The
authorization is necessary in order for
a recognized organization to perform
safety management audits and certification functions delegated by the Coast
Guard as described in this part.
(b) To receive an up-to-date list of
recognized organizations authorized to
act under this subpart, send a self-addressed, stamped envelope and written
request to the Commandant (CG–521),
2100 2nd St., SW., Stop 7126, Washington, DC 20593–7126.
§ 96.410 Who
apply to?

does

this

regulation

This subpart applies to all organizations recognized by the U.S. under 46
CFR part 8, subpart A and B, who wish
to seek authorization to conduct safety
management audits and issue relevant
international safety certificates under
the provisions of the ISM Code and voluntary certificates on behalf of the
U.S.

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§ 96.420

33 CFR Ch. I (7–1–12 Edition)

§ 96.420 What authority may an organization ask for under this regulation?
(a) An organization may request authorization to conduct safety management audits and to issue the following
certificates:
(1) Safety Management Certificate;
(2) Document of Compliance certificate;
(3) Interim Safety Management Certificate; and
(4) Interim Document of Compliance
certificate.
(b) [Reserved]
§ 96.430 How does an organization submit a request to be authorized?
(a) A recognized organization must
send a written request for authorization to the Commandant (CG–521), Office of Design and Engineering Standards, 2100 2nd St. SW., Stop 7126, Washington, DC 20593–7126. The request must
include the following:
(1) A statement describing what type
of authorization the organization
seeks;
(2) Documents showing that—
(i) The organization has an internal
quality system with written policies,
procedures and processes that meet the
requirements in § 96.440 of this part for
safety management auditing and certification; or
(ii) The organization has an internal
quality system based on ANSI/ASQC
C9001 for safety management auditing
and certification; or
(iii) The organization has an equivalent internal quality standard system
recognized by the Coast Guard to complete safety management audits and
certification.
(3) A list of the organization’s exclusive auditors qualified to complete
safety management audits and their
operational area; and
(4) A written statement that the procedures and records of the recognized
organization regarding its actions involving safety management system audits and certification are available for
review annually and at any time
deemed necessary by the Coast Guard.
(b) If the organization is a foreign
classification society that has been
recognized under 46 CFR part 8, subparts A and B, and wishes to apply for

authorization under this part, it must
demonstrate the reciprocity required
by 46 U.S.C. 3316 for ISM Code certification. The organization must provide,
with its request for authorization an
affidavit from the government of the
country in which the classification society is headquartered. This affidavit
must provide a list of authorized delegations by the flag state of the administration of the foreign classification
society’s country to the American Bureau of Shipping, and indicate any conditions related to the delegated authority. If this affidavit is not received
with a request for authorization from a
foreign classification society, the request for authorization will be disapproved and returned by the Coast
Guard.
(c) Upon the satisfactory completion
of the Coast Guard’s evaluation of a request for authorization, the organization will be visited for an evaluation as
described in § 96.440(b) of this part.
§ 96.440 How will the Coast Guard decide whether to approve an organization’s request to be authorized?
(a) First, the Coast Guard will evaluate the organization’s request for authorization and supporting written materials, looking for evidence of the following—
(1) The organization’s clear assignment of management duties;
(2) Ethical standards for managers
and auditors;
(3) Procedures for auditor training,
qualification, certification, and requalification that are consistent with
recognized industry standards;
(4) Procedures for auditing safety
management systems that are consistent with recognized industry standards and IMO Resolution A.788(19);
(5) Acceptable standards for internal
auditing and management review;
(6) Record-keeping standards for safety management auditing and certification;
(7) Methods for reporting nonconformities and recording completion
of remedial actions;
(8) Methods for certifying safety
management systems;
(9) Methods for periodic and intermediate audits of safety management
systems;

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Coast Guard, DHS

§ 96.490

(10) Methods for renewal audits of
safety management systems;
(11) Methods for handling appeals;
and
(12) Overall procedures consistent
with IMO Resolution A.739(18), ‘‘Guidelines for the Authorization of Organizations Acting on Behalf of the Administration.’’
(b) After a favorable evaluation of
the organization’s written request, the
Coast Guard will arrange to visit the
organization’s corporate offices and
port offices for an on-site evaluation of
operations.
(c) When a request is approved, the
recognized organization and the Coast
Guard will enter into a written agreement. This agreement will define the
scope, terms, conditions and requirements of the authorization. Conditions
of this agreement are found in § 96.460
of this part.
§ 96.450 What happens if the Coast
Guard disapproves an organization’s request to be authorized?
(a) The Coast Guard will write to the
organization explaining why it did not
meet the criteria for authorization.
(b) The organization may then correct the deficiencies and reapply.
§ 96.460 How will I know what the
Coast Guard requires of my organization if my organization receives
authorization?
(a) Your organization will enter into
a written agreement with the Coast
Guard. This written agreement will
specify—
(1) How long the authorization is
valid;
(2) Which duties and responsibilities
the organization may perform, and
which certificates it may issue on behalf of the U.S.;
(3) Reports and information the organization must send to the Commandant
(CG-543);
(4) Actions the organization must
take to renew the agreement when it
expires; and
(5) Actions the organization must
take if the Coast Guard should revoke
its authorization or recognition under
46 CFR part 8.
(b) [Reserved]

§ 96.470 How does the Coast Guard terminate an organization’s authorization?
At least every 12 months, the Coast
Guard evaluates organizations authorized under this subpart. If an organization fails to maintain acceptable
standards, the Coast Guard may terminate that organization’s authorization,
remove the organization from the Commandant’s list of recognized organizations, and further evaluate the organization’s recognition under 46 CFR part
8.
§ 96.480 What is the status of a certificate if the issuing organization has
its authority terminated?
Any certificate issued by an organization authorized by the Coast Guard
whose authorization is later terminated remains valid until—
(a) Its original expiration date,
(b) The date of the next periodic
audit required to maintain the certificate’s validity, or
(c) Whichever of paragraphs (a) or (b)
occurs first.
§ 96.490 What further obligations exist
for an organization if the Coast
Guard terminates its authorization?
The written agreement by which an
organization receives authorization
from the Coast Guard places it under
certain obligations if the Coast Guard
revokes that authorization. The organization agrees to send written notice
of its termination to all responsible
persons, companies and vessels that
have received certificates from the organization. In that notice, the organization must include—
(a) A written statement explaining
why the organization’s authorization
was terminated by the Coast Guard;
(b) An explanation of the status of
issued certificates;
(c) A current list of organizations authorized by the Coast Guard to conduct
safety management audits; and
(d) A statement of what the companies and vessels must do to have their
safety management systems transferred to another organization authorized to act on behalf of the U.S.

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§ 96.495

33 CFR Ch. I (7–1–12 Edition)

§ 96.495 How can I appeal a decision
made by an authorized organization?
(a) A responsible person may appeal a
decision made by an authorized organization by mailing or delivering to the
organization a written request for reconsideration. Within 30 days of receiving your request, the authorized organization must rule on it and send you a
written response. They must also send
a copy of their response to the Commandant (CG-543), 2100 2nd Street, SW.,
Stop 7126, Washington, DC 20593–7126.
(b) If you are not satisfied with the
organization’s decision, you may appeal directly to the Commandant (CG543), 2100 2nd Street, SW., Stop 7126,

Washington, DC 20593–7126. You must
make your appeal in writing, including
any documentation and evidence you
wish to be considered. You may ask the
Commandant (CG-543), 2100 2nd Street,
SW., Stop 7126, Washington, DC 20593–
7126to stay the effect of the appealed
decision while it is under review.
(c) The Commandant (CG-543), 2100
2nd Street, SW., Stop 7126, Washington,
DC 20593–7126 will make a decision on
your appeal and send you a response in
writing. That decision will be the final
Coast Guard action on your request.
[CGD 95–073, 62 FR 67506, Dec. 24, 1997, as
amended by USCG–2011–0257, 76 FR 31836,
June 2, 2011]

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