1625-0081 Stat/Authority

§ 7.165

46 CFR Ch. I (10–1–06 Edition)

to the southernmost extremity of Cape
Puget.
(d) A line drawn from the southernmost extremity of Cape Resurrection
to the Aialik Cape.

to the southernmost extremity of Cape
Peirce; thence to the southernmost extremity of Cape Newenham.
(c) A line drawn from the church
spire located in approximate position
latitude 59°45′ N. longitude 161°55′ W. at
the mouth of the Kanektok River to
the southernmost extremity of Cape
Avinof.

§ 7.165 Kenai Peninsula, AK to Kodiak
Island, AK.
(a) A line drawn from the southernmost extremity of Kenai Peninsula at
longitude 151°44.0′ W. to East Amatuli
Island Light; thence to the northwesternmost extremity of Shuyak Island at Party Cape; thence to the easternmost extremity of Cape Douglas.
(b) A line drawn from the southernmost extremity of Pillar Cape on Afognak Island to Spruce Cape Light;
thence to the easternmost extremity of
Long Island; thence to the northeasternmost
extremity
of
Cape
Chiniak.
(c) A line drawn from Cape Nunilak
at latitude 58°09.7′ N. to the northernmost extremity of Raspberry Island. A
line drawn from the westernmost extremity of Raspberry Cape to the
northernmost extremity of Miners
Point.

§ 7.180

Kotzebue Sound, AK.

A line drawn from Cape Espenberg
Light to latitude 66°52′ N. longitude
163°28′ W.; and thence to Cape
Krusenstern Light.

PART 8—VESSEL INSPECTION
ALTERNATIVES
Subpart A—General
Sec.
8.100
8.110
8.120
8.130

Definitions.
Incorporation by reference.
Reciprocity.
Agreement conditions.

Subpart B—Recognition of a Classification
Society
8.200 Purpose.
8.210 Applicability.
8.220 Recognition of a classification society.
8.230 Minimum standards for a recognized
classification society.
8.240 Application for recognition.
8.250 Acceptance of standards and functions
delegated under existing regulations.
8.260 Revocation of classification society
recognition.

§ 7.170 Alaska Peninsula, AK to Aleutian Islands, AK.
(a) A line drawn from the southernmost extremity of Cape Kumlium to
the
westernmost
extremity
of
Nakchamik Island; thence to the easternmost extremity of Castle Cape at
Chignik Bay.
(b) A line drawn from Second Priest
Rock to Ulakta Head Light at Iliuliuk
Bay entrance.
(c) A line drawn from Arch Rock to
the northernmost extremity of Devilfish Point at Captains Bay.
(d) A line drawn from the easternmost extremity of Lagoon Point to the
northwesternmost extremity of Cape
Kutuzof at Port Moller.

Subpart C—International Convention
Certificate Issuance
8.300 Purpose.
8.310 Applicability.
8.320 Classification society authorization to
issue international certificates.
8.330 Termination of classification society
authority.

Subpart D—Alternate Compliance Program

§ 7.175 Alaska
Peninsula,
AK
to
Nunivak, AK.
(a) A line drawn from the northernmost extremity of Goose Point at
Egegik Bay to Protection Point.
(b) A line drawn from the westernmost extremity of Kulukak Point to
the northernmost extremity of Round
Island; thence to the southernmost extremity of Hagemeister Island; thence

8.400 Purpose.
8.410 Applicability.
8.420 Classification society authorization to
participate in the Alternate Compliance
Program.
8.430 U.S. Supplement to class rules.
8.440 Vessel enrollment in the Alternate
Compliance Program.
8.450 Termination of classification society
authority.

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Coast Guard, DHS

§ 8.100

Subpart E—Streamlined Inspection
Program

Delegated Function Related to General
Vessel Safety Assessment means issuance
of the SOLAS Cargo Ship Safety Construction Certificate or issuance of the
SOLAS Cargo Ship Safety Equipment
Certificate.
Exclusive Surveyor means a person
who is employed solely by a classification society and is authorized to conduct vessel surveys. Independent surveyors, hired on a case-by-case basis,
or surveyors of another classification
society are not considered exclusive
surveyors for the performance of delegated functions on behalf of the Coast
Guard.
Gross Tons means vessel tonnage
measured in accordance with the International Convention on Tonnage Measurement of Ships, 1969. Vessels not
measured by this convention must be
measured in accordance with the method utilized by the flag state administration of that vessel.
MARPOL 73/78 means the Protocol of
1978 relating to the International Convention for the Prevention of Pollution
from Ships, 1973, and includes the Convention which means the International
Convention for the Prevention of Pollution from Ships, 1973, including Protocols I and II and Annexes I, II, and V
thereto, including any modification or
amendments to the Convention, Protocols or Annexes which have entered
into force for the United States.
Officer in Charge, Marine Inspection
(OCMI) means any person from the civilian or military branch of the Coast
Guard designated as such by the Commandant and who, under the superintendence and direction of a Coast
Guard District Commander, is in
charge of an inspection zone for the
performance of duties with respect to
the inspection, enforcement, and administration of 46 U.S.C., Revised Statutes, and acts amendatory thereof or
supplemental thereto, and rules and
regulations thereunder.
Recognized
Classification
Society
means the American Bureau of Shipping or other classification society recognized by the Commandant under this
part.
SOLAS means International Convention for the Safety of Life at Sea, 1974,
as amended.

8.500 Purpose.
8.505 Scope and applicability.
8.510 Definitions.
8.515 Eligibility.
8.520 Application.
8.525 OCMI review and action.
8.530 Plan development and approval.
8.535 Training and operational evaluation.
8.540 Enrollment in SIP.
8.545 Scope of inspection for enrolled vessels.
8.550 Plan review and revisions.
8.555 Disenrollment.
8.560 Waiver.
8.565 Appeal.
8.570 Interim approval of prototype SIP
company or vessel plans.
AUTHORITY: 46 U.S.C. 3103, 3306, 3316, 3703;
Department of Homeland Security Delegation No. 0170.1.
SOURCE: CGD 95–010, 62 FR 67532, Dec. 24,
1997, unless otherwise noted.

Subpart A—General
§ 8.100

Definitions.

Authorized
Classification
Society
means a recognized classification society that has been delegated the authority to conduct certain functions and
certifications on behalf of the Coast
Guard.
Class Rules means the standards developed and published by a classification society regarding the design, construction and certification of commercial vessels.
Classed means that a vessel meets the
classification
society
requirements
that embody the technical rules, regulations, standards, guidelines and associated surveys and inspections covering
the design, construction and throughlife compliance of a ship’s structure
and essential engineering and electrical systems.
Commandant means the Commandant
of the Coast Guard.
Delegated Function means a function
related to Coast Guard commercial
vessel inspection which has been delegated to a classification society. Delegated functions may include issuance
of international convention certificates and participation in the Alternate Compliance Program under this
part.

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§ 8.110
§ 8.110

46 CFR Ch. I (10–1–06 Edition)
Lloyd’s Register of Shipping Supplemental Requirements, 19 September 1998—31.01–3(b),
71.15–5(b), 91.15–5(b)

Incorporation by reference.

(a) Certain material is incorporated
by reference into this subchapter 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 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. All
material is available for inspection at
the U.S. Coast Guard, Office of Design
and Engineering Standards, 2100 Second St., SW., Washington, DC 20593–
0001, or at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030, or
go
to:
http://www.archives.gov/
federallregister/
codeloflfederallregulations/
ibrllocations.html. All material is
available from the sources listed in
paragraph (b).
(b) The material incorporated by reference in this subchapter and the sections affected are as follows:

[CGD 95–010, 62 FR 67532, Dec. 24, 1997, as
amended by USCG-1999–5004, 64 FR 30439,
June 8, 1999; USCG-2000–7790, 65 FR 58458,
Sept. 29, 2000]

§ 8.120

Reciprocity.

(a) The Commandant may delegate
authority to a classification society
that has its headquarters in a country
other than the United States only to
the extent that the flag state administration of that country delegates authority and provides access to the
American Bureau of Shipping to inspect, certify and provide related services to vessels flagged by that country.
The Commandant will determine reciprocity on a ‘‘case-by-case’’ basis.
(b) In order to demonstrate that the
conditions described in paragraph (a) of
this section are satisfied, a classification society must provide to the Coast
Guard an affidavit, from the government of the country that the classification society is headquartered in, listing
the authorities delegated by the flag
state administration of that country to
the American Bureau of Shipping, and
indicating any conditions related to
the delegated authority.
(c) The Commandant will not consider an application for authorization
to perform a delegated function submitted under this part until the conditions described in paragraph (a) of this
section are satisfied. Where simultaneous authorization by a foreign government for ABS is involved, this requirement may be waived.
(d) The Commandant will not evaluate a classification society for recognition until the conditions described in
paragraph (a) of this section are satisfied for at least one of the authorized
delegations being sought. Where simultaneous recognition by a foreign government for ABS is involved, this requirement may be waived.
(e) The Commandant may make a
delegation regarding load lines under
46 U.S.C. 5107 or measurement of vessels under 46 U.S.C. 14103 without regard to the conditions described in
paragraph (a) of this section.

American Bureau of Shipping (ABS)—ABS
Plaza, 16855 Northchase Drive, Houston, TX
77060.
Rules for Building and Classing Steel Vessels, 1996—31.01–3(b), 71.15–5(b), 91.15–5(b)
Rules for Building and Classing Steel Vessels, 1997—31.01–3(b), 71.15–5(b), 91.15–5(b)
Rules for Building and Classing Steel Vessels, 1998—31.01–3(b), 71.15–5(b), 91.15–5(b)
Rules for Building and Classing Mobile Offshore Drilling Units, 1998—107.205(b)
U. S. Supplement to ABS Rules for Steel
Vessels for Vessels on International Voyages, 21 October 1996—31.01–3(b), 71.15–
5(b), 91.15–5(b)
U.S. Supplement to ABS Rules for Steel
Vessels for Vessels on International Voyages, 1 August 1997—31.01–3(b), 71.15–5(b),
91.15–5(b)
U.S. Supplement to ABS Rules for Mobile
Offshore Drilling Units, 1 June 1998—
107.205(b)
American National Standards Institute (ANSI)—
11 West 42nd St., New York, NY 10036.
ANSI/ASQC Q9001—1994, Quality Assurance
in Design, Development, Production and
Servicing, 1994—8.230
Lloyd’s
Register
of
Shipping
(LR)—100
Leadenhall Street, London EC3A 3BP.
Rules and Regulations for the Classification of Ships, 1998—31.01–3(b), 71.15–5(b),
91.15–5(b)

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Coast Guard, DHS

§ 8.130
(9) Suspend class for vessels that are
overdue for special renewal or annual
survey.
(10) Attend any vessel for which the
classification society has performed
any delegated function on behalf of the
Coast Guard at the request of the appropriate Coast Guard officials, without regard to the vessel’s location—unless prohibited to do so under the laws
of the United States, the laws of the jurisdiction in which the vessel is located, the classification society’s home
country domestic law, or where the
classification society considers an unacceptable hazard to life and/or property exists.
(11) Honor appeal decisions made by
the Commandant (G-MSE) or Commandant (G-MOC) on issues related to
delegated functions.
(12) Apply U.S. flag administration
interpretations, when they exist, to
international conventions for which
the classification society has been delegated authority to certificate or perform other functions on behalf of the
Coast Guard.
(13) Obtain approval from the Commandant (G-MOC) prior to granting exemptions from the requirements of
international conventions, class rules,
and the U.S. supplement to class rules.
(14) Make available to the Coast
Guard all records, in the English language, related to equivalency determinations or approvals made in the
course of delegated functions conducted on behalf of the Coast Guard.
(15) Report to the Coast Guard all information specified in the agreement
at the specified frequency and to the
specified Coast Guard office or official.
(16) Grant the Coast Guard access to
all plans and documents, including reports on surveys, on the basis of which
certificates are issued or endorsed by
the classification society.
(17) Identify a liaison representative
to the Coast Guard.
(18) Provide regulations, rules, instructions and report forms in the
English language.
(19) Allow the Commandant (G-M) to
participate in the development of class
rules.
(20) Inform the Commandant (G-M) of
all proposed changes to class rules.

§ 8.130 Agreement conditions.
(a) Delegated functions performed by,
and statutory certificates issued by, an
authorized classification society will
be accepted as functions performed by,
or certificates issued by, the Coast
Guard, provided that the classification
society maintains compliance with all
provisions of its agreement with the
Commandant. Any agreement between
the Commandant and a recognized classification society authorizing the performance of delegated functions will be
written and will require the classification society to comply with each of the
following:
(1) Issue any certificates related to a
delegated function in the English language.
(2) Maintain a corporate office in the
United States that has adequate resources and staff to support all delegated functions and to maintain required associated records.
(3) Maintain all records in the United
States related to delegated functions
conducted on behalf of the Coast
Guard.
(4) Make available to appropriate
Coast Guard representatives vessel status information and records, including
outstanding vessel deficiencies or classification society recommendations, in
the English language, on all vessels for
which the classification society has
performed any delegated function on
behalf of the Coast Guard.
(5) Report to the Commandant (GMOC) the names and official numbers
of any vessels removed from class for
which the classification society has
performed any delegated function on
behalf of the Coast Guard and include a
description of the reason for the removal.
(6) Report to the Commandant (GMOC) all port state detentions on all
vessels for which the classification society has performed any delegated
function on behalf of the Coast Guard
when aware of such detention.
(7) Annually provide the Commandant (G-MOC) with its register of
classed vessels.
(8) Ensure vessels meet all requirements for class of the accepting classification society prior to accepting vessels transferred from another classification society.

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46 CFR Ch. I (10–1–06 Edition)

(21) Provide the Commandant (G-M)
the opportunity to comment on any
proposed changes to class rules and to
respond to the classification society’s
disposition of the comments made by
the Coast Guard.
(22) Furnish information and required
access to the Coast Guard to conduct
oversight of the classification society’s
activities related to delegated functions conducted on behalf of the Coast
Guard.
(23) Allow the Coast Guard to accompany them on internal and external
quality audits and provide written results of such audits to appropriate
Coast Guard representatives.
(24) Provide the Coast Guard access
necessary to audit the authorized classification society to ensure that it continues to comply with the minimum
standards for a recognized classification society.
(25) Use only exclusive surveyors of
that classification society to accomplish all work done on behalf of, or
under any delegation from, the Coast
Guard. For tonnage-related measurement service only, however, classification societies may use part-time employees or independent contractors in
place of exclusive surveyors.
(26) Allow its surveyors to participate in training with the Coast Guard
regarding delegated functions.
(b) Amendments to an agreement between the Coast Guard and an authorized classification society will become
effective only after consultation and
written agreement between parties.
(c) Agreements may be terminated by
one party only upon written notice to
the other party. Termination will
occur sixty days after written notice is
given.

§ 8.210 Applicability.
This subpart applies to all vessel
classification societies seeking recognition by the Coast Guard.
§ 8.220 Recognition of a classification
society.
(a) A classification society must be
recognized by the Commandant before
it may receive statutory authority delegated by the Coast Guard.
(b) In order to become recognized, a
classification society must meet the
requirements of § 8.230.
(c) A classification society found to
meet the criteria for recognition will
be notified in writing by the Commandant.
(d) If the Coast Guard determines
that a classification society does not
meet the criteria for recognition, the
Coast Guard will provide the reason for
this determination.
(e) A classification society may reapply for recognition upon correction
of the deficiencies identified by the
Coast Guard.
§ 8.230 Minimum standards for a recognized classification society.
(a) In order to receive recognition by
the Coast Guard a classification society must:
(1) Establish that it has functioned as
an international classification society
for at least 30 years with its own class
rules;
(2) Establish that is has a history of
appropriate corrective actions in addressing vessel casualties and cases of
nonconformity with class rules;
(3) Establish that it has a history of
appropriate changes to class rules
based on their application and the
overall performance of its classed fleet;
(4) Have a total classed tonnage of at
least 10 million gross tons;
(5) Have a classed fleet of at least
1,500 ocean-going vessels over 100 gross
tons;
(6) Have a total classed tonnage of
ocean-going vessels over 100 gross tons
totaling no less than 8 million gross
tons;
(7) Publish and maintain class rules
in the English language for the design,
construction and certification of ships
and their associated essential engineering systems;

Subpart B—Recognition of a
Classification Society
§ 8.200 Purpose.
This subpart establishes criteria and
procedures for vessel classification societies to obtain recognition from the
Coast Guard. This recognition is necessary in order for a classification society to become authorized to perform
vessel inspection and certification
functions delegated by the Coast Guard
as described in this part.

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Coast Guard, DHS

§ 8.310

(8) Maintain written survey procedures in the English language;
(9) Have adequate resources, including research, technical, and managerial
staff, to ensure appropriate updating
and maintaining of class rules and procedures;
(10) Have adequate resources and geographical coverage to carry out all
plan review and vessel survey activities
associated with delegated functions as
well as classification society requirements;
(11) Employ a minimum of 150 exclusive surveyors;
(12) Have adequate criteria for hiring
and qualifying surveyors and technical
staff;
(13) Have an adequate program for
continued training of surveyors and
technical staff;
(14) Have a corporate office in the
United States that provides a continuous management and administrative
presence;
(15) Maintain an internal quality system based on ANSI/ASQC Q9001 or an
equivalent quality standard;
(16) Determine classed vessels comply
with class rules, during appropriate
surveys and inspection;
(17) Determine that attended vessels
comply with all statutory requirements related to delegated functions,
during appropriate surveys and inspection;
(18) Monitor all activities related to
delegated functions for consistency and
required end-results;
(19) Maintain and ensure compliance
with a Code of Ethics that recognizes
the inherent responsibility associated
with delegation of authority;
(20) Not be under the financial control of shipowners or shipbuilders, or of
others engaged commercially in the
manufacture, equipping, repair or operation of ships;
(21) Not be financially dependent on a
single commercial enterprise for its
revenue;
(22) Not have any business interest
in, or share of ownership of, any vessel
in its classed fleet; and
(23) Not be involved in any activities
which could result in a conflict of interest.
(b) Recognition may be granted after
it is established that the classification

society has an acceptable record of vessel detentions attributed to classification society performance under the
Coast Guard Port State Control Program.
§ 8.240

Application for recognition.

(a) A classification society must
apply for recognition in writing to the
Commandant (G-MSE).
(b) An application must indicate
which specific authority the classification society seeks to have delegated.
(c) Upon verification from the Coast
Guard that the conditions of reciprocity have been met in accordance
with § 8.120, the requesting classification society must submit documentation to establish that it meets the requirements of § 8.230.
§ 8.250 Acceptance of standards and
functions delegated under existing
regulations.
(a) Classification society class rules
will only be accepted as equivalent to
Coast Guard regulatory standards when
that classification society has received
authorization to conduct a related delegated function.
(b) A recognized classification society may not conduct any delegated
function under this title until it receives a separate written authorization
from the Commandant to conduct that
specific function.
§ 8.260 Revocation of classification society recognition.
A recognized classification society
which fails to maintain the minimum
standards established in this part will
be reevaluated and its recognized status revoked if warranted.

Subpart C—International
Convention Certificate Issuance
§ 8.300

Purpose.

This subpart establishes options for
vessel owners and operators to obtain
required international convention certification through means other than
those prescribed elsewhere in this
chapter.
§ 8.310

Applicability.

This subpart applies to:

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§ 8.320

46 CFR Ch. I (10–1–06 Edition)
these agreements
§ 8.130.

(a) Recognized classification societies; and
(b) All U.S. flag vessels that are certificated for international voyages and
are classed by a recognized classification society that is authorized by the
Coast Guard to issue the applicable
international certificate as specified in
this subpart.

are

presented

[CGD 95–010, 62 FR 67532, Dec. 24, 1997, as
amended by USCG-2004–18884, 69 FR 58342,
Sept. 30, 2004]

§ 8.330 Termination of
society authority.

classification

(a) The Coast Guard may terminate
an authorization agreement with a
classification society if:
(1) The Commandant revokes the
classification society’s recognition, as
specified in § 8.260; or
(2) The classification society fails to
comply with the conditions of the authorization agreement as specified in
§ 8.130.
(b) In the event that a flag administration of a country changes conditions
related to the authority that is delegated to ABS, the Commandant may
modify or revoke the Coast Guard’s authorization of that classification society that has its headquarters in that
country.
(c) Certificates issued by a classification society which has had its authorization terminated will remain valid
until the next classification society
survey associated with that certificate
is required or until the certificate expires, whichever occurs first.

§ 8.320 Classification society authorization to issue international certificates.
(a) The Commandant may authorize
a recognized classification society to
issue certain international convention
certificates. Authorization will be
based on review of:
(1) Applicable class rules; and
(2) Applicable classification society
procedures.
(b) The Coast Guard may delegate
issuance of the following international
convention certificates to a recognized
classification society:
(1) International Load Line Certificate;
(2) International Tonnage Certificate
(1969);
(3) SOLAS Cargo Ship Safety Construction Certificate;
(4) SOLAS Cargo Ship Safety Equipment Certificate;
(5) International Certificate of Fitness for the Carriage of Dangerous
Chemicals in Bulk;
(6) International Certificate of Fitness for the Carriage of Liquefied Gases
in Bulk;
(7) International Maritime Organization (IMO) Mobile Offshore Drilling
Unit Safety Certificate;
(8) MARPOL 73/78 International Oil
Pollution Prevention Certificate; and
(9) MARPOL 73/78 International Pollution Prevention Certificate for the
Carriage of Noxious Liquid Substances
in Bulk.
(c) The Coast Guard will enter into a
written agreement with a recognized
classification society authorized to
issue international convention certificates. This agreement will define the
scope, terms, conditions and requirements of that delegation. Conditions of

Subpart D—Alternate Compliance
Program
§ 8.400

Purpose.

This subpart establishes an alternative to subpart 2.01 of this chapter
for certification of United States vessels.
§ 8.410

Applicability.

This subpart applies to:
(a) Recognized classification societies; and
(b) U.S. flag vessels that are certificated for international voyages and are
classed by a recognized classification
society that is authorized by the Coast
Guard to participate in the Alternate
Compliance Program (ACP) as specified
in this subpart and whose vessel type is
authorized to participate in the ACP
per the applicable subchapter of 46 CFR
chapter I.

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Coast Guard, DHS

§ 8.440
are not, in the opinion of the Commandant, adequately established by either the class rules of that classification society or applicable international
regulations.

§ 8.420 Classification society authorization to participate in the Alternate Compliance Program.
(a) The Commandant may authorize
a recognized classification society to
participate in the ACP. Authorization
will be based on a satisfactory review
of:
(1) Applicable class rules; and
(2) Applicable classification society
procedures.
(b) Authorization for a recognized
classification society to participate in
the ACP will require development of a
U.S. Supplement to the society’s class
rules that meets the requirements of
§ 8.430 of this part, which must be accepted by the Coast Guard.
(c) A recognized classification society will be eligible to receive authorization to participate in the ACP only
after it has performed a delegated function related to general vessel safety assessment, as defined in § 8.100, for a
two-year period.
(d) If, after this two-year period, the
Coast Guard finds that the recognized
classification society has not demonstrated the necessary satisfactory
performance or lacks adequate experience, the recognized classification society will not be eligible to participate
in the ACP. The Coast Guard will provide the reason for this determination
to the recognized classification society. A classification society may appeal the decision of the Coast Guard
concerning recognition to the Commandant in writing in accordance with
46 CFR 1.03–15(h)(4).
(e) The Coast Guard will enter into a
written agreement with a recognized
classification society authorized to
participate in the ACP. This agreement
will define the scope, terms, conditions
and requirements of the necessary delegation. Conditions of this agreement
are presented in § 8.130.

§ 8.440 Vessel enrollment in the Alternate Compliance Program.
(a) In place of compliance with other
applicable provisions of this title, the
owner or operator of a vessel subject to
plan review and inspection under this
subchapter for initial issuance or renewal of a COI may submit the vessel
for classification, plan review and inspection by a recognized classification
society authorized by the Coast Guard
to determine compliance with applicable international treaties and agreements, the classification society’s class
rules, and the U.S. Supplement prepared by the classification society and
accepted by the Coast Guard.
(b) A vessel owner or operator wishing to have a vessel inspected under
paragraph (a) of this section shall submit an Application for Inspection of
U.S. Vessel (CG-3752) to the cognizant
OCMI, and indicate on the form that
the inspection will be conducted by an
authorized classification society under
the ACP.
(c) Based on reports from an authorized classification society that a vessel
complies with applicable international
treaties and agreements, the classification society’s class rules, and the U.S.
Supplement prepared by the classification society and accepted by the Coast
Guard, the cognizant OCMI may issue a
certificate of inspection to the vessel.
If the OCMI declines to issue a certificate of inspection even though the reports made by the authorized classification society indicate that the vessel meets applicable standards, the vessel owner or operator may appeal the
OCMI decision as provided in subpart
1.03 of this chapter.
(d) If reports from an authorized classification society indicate that a vessel
does not comply with applicable international treaties and agreements, the
classification society’s class rules, and
the U.S. Supplement prepared by the
classification society and accepted by
the Coast Guard, the cognizant OCMI
may decline to issue a certificate of inspection. If the OCMI declines to issue

§ 8.430 U.S. Supplement to class rules.
Prior to receiving authorization to
participate in the ACP, a recognized
classification society must prepare,
and receive Commandant (G-MSE) approval of, a U.S. Supplement to the
recognized classification society’s class
rules. This supplement must include all
regulations applicable for issuance of a
Certificate of Inspection (COI) which

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46 CFR Ch. I (10–1–06 Edition)

a certificate of inspection, the vessel
owner or operator may:
(1) Correct the reported deficiencies
and make arrangements with the classification society for an additional inspection;
(2) Request inspection by the Coast
Guard under other provisions of this
subchapter; or
(3) Appeal via the authorized classification society to the Chief, Office of
Compliance, Commandant (G-MOC),
U.S. Coast Guard, 2100 Second St. SW.,
Washington, DC 20593–0001.
§ 8.450 Termination of
society authority.

graph (d) of this section must be completed.
[CGD 95–010, 62 FR 67532, Dec. 24, 1997, as
amended by USCG-2004–18884, 69 FR 58342,
Sept. 30, 2004]

Subpart E—Streamlined Inspection
Program
SOURCE: CGD 96–055, 63 FR 44353, Aug. 18,
1998, unless otherwise noted.

§ 8.500 Purpose.
(a) This subpart establishes the
Streamlined Inspection Program (SIP)
which is a voluntary alternative inspection program for U.S. documented
or registered vessels required to maintain a valid certificate of inspection
(COI).
(b) This subpart sets out the eligibility and application requirements
and the plan development and approval
procedures for enrollment of companies
and their vessels in the SIP.

classification

(a) The Coast Guard may terminate
an authorization agreement with a
classification society to participate in
the Alternate Compliance Program if:
(1) The Commandant revokes the
classification society’s recognition, as
specified in § 8.260; or
(2) The classification society fails to
comply with the conditions of the authorization agreement as specified in
§ 8.130.
(b) In the event that a flag administration of a country changes conditions
related to the authority that is delegated to ABS, the Commandant may
modify or revoke the Coast Guard’s authorization of that classification society that has its headquarters in that
country.
(c) Certificates issued by a classification society which has had its authorization to participate in the Alternate
Compliance Program terminated, will
be subject to the provisions of § 8.330.
(d) Owners or operators of vessels enrolled in the ACP and classed by a classification society that has its authority to participate in the ACP terminated, must:
(1) Change the classification society
for the vessel to a classification society that is authorized to participate in
the ACP; or
(2) Disenroll the vessel from the ACP.
(e) The Coast Guard will provide
guidance to a vessel owner affected by
the revocation of a classification society’s authority to participate in the
ACP. This will include notification of
when the action required under para-

§ 8.505 Scope and applicability.
(a) This subpart applies to U.S. documented or registered vessels that have
a valid COI.
(b) A vessel enrolled in the SIP will
be inspected in accordance with its approved Vessel Action Plan (VAP).
(c) The SIP includes all inspections
required to renew and maintain a valid
COI. The SIP does not include dry-dock
examinations, unscheduled inspections
related to vessel casualties, equipment
repair or replacement, or vessel modifications. Those inspections will be
conducted in accordance with the subparts applicable to the vessel.
§ 8.510 Definitions.
The following definitions apply to
this subpart:
Civil penalty means a final assessment under the provisions of 33 CFR
part 1, subpart 1.07 or part 20 of this
chapter.
Coast Guard SIP Advisor means the
Coast Guard marine inspector assigned
by the Officer in Charge, Marine Inspection (OCMI), to assist in the development of an action plan.
Company means the owner of the vessel or any other organization or person,
such as the manager or the bareboat

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Coast Guard, DHS

§ 8.520
(1) Have owned or operated at least
one U.S. documented or registered vessel for a minimum of 3 consecutive
years before the SIP application date;
and
(2) Have paid all civil penalties and
user fees.
(b) Except as allowed by paragraph
(c) of this section, each vessel must—
(1) Have been in operation with an eligible owner or operator for at least 3
consecutive years before the SIP application date;
(2) Have had no revocation of its COI
during the 3 years before the SIP application date; and
(3) Have no documented deficiency
for any of the following in the 3 years
before the SIP application date:
(i) Any vessel operation inconsistent
with the operating details specified on
its COI.
(ii) Operating without the required
amount of lifesaving appliances on
board the vessel or with inoperable survival craft.
(iii) Operating without the required
firefighting equipment on board the
vessel or with an inoperable fire
pump(s).
(iv) Unauthorized modifications to
the vessel’s approved systems or structure, such as fixed firefighting systems,
pollution prevention arrangements,
overcurrent protection devices, or watertight boundary arrangements.
(v) Operating without the required
navigation equipment on board the vessel or with inoperable navigation
equipment.
(c) A vessel constructed for, or acquired by, a company with one or more
vessels enrolled in the SIP need not
meet the requirement in paragraph
(b)(1) of this section for enrollment in
the SIP, provided that the vessel holds
a valid COI issued by the OCMI where
the vessel will principally operate.

charterer, who operates a vessel under
the SIP.
Company Action Plan (CAP) means the
document describing a company’s organization, policies, and responsibilities
required for participation in the SIP.
Company SIP Agent means the individual who is responsible for the Company Action Plan and the Vessel Action Plan development and implementation and who has the authority to
bind the company to the terms of these
plans.
Correction Report means a document
which sets out specific vessel deficiencies and is used to record their correction by the company.
Documented deficiency means an incident documented in a Coast Guard
record in which the condition of a vessel, its equipment, or its operation was
not in compliance with Coast Guard
regulations.
Examination Checklist means any document or form approved in the VAP,
that may be used by company employees to record the periodic examinations
required by the VAP.
Inspection Criteria References (ICR)
means the individual pages in the VAP
that list each item on the vessel required by regulation to be periodically
inspected.
Inspection Schedule and Verification
(ISV) means the document that lists
the items to be inspected and the intervals for their inspection, and on which
is recorded the completion of required
examinations and tests conducted by
designated company employees.
Prototype SIP plan means the SIP
plans developed for a company or vessel participating in a Coast Guard District-or OCMI-endorsed SIP before August 18, 1998.
Reportable casualty means a marine
casualty or accident required to be reported under 46 CFR part 4, subpart 4.05
of this chapter.
Streamlined Inspection Program (SIP)
means the alternative inspection program set out in this subpart.
Vessel Action Plan (VAP) means the
document that prescribes procedures
for maintenance, examination, and inspection of a vessel enrolled in the SIP.

§ 8.520 Application.
To apply for SIP enrollment, a company will submit an application, in
writing, to the cognizant OCMI. The
application must contain the following:
(a) A statement that the company
and prospective vessel(s) meet the requirements of § 8.515.
(b) A summation of the company’s
current status in relation to § 8.530(a).

§ 8.515 Eligibility.
(a) The company must—

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§ 8.525

46 CFR Ch. I (10–1–06 Edition)

(c) The name and official number of
the vessel(s) the company intends to
enroll in the SIP.
(d) The name and contact information for the Company SIP Agent.
§ 8.525

(8) A description of the company’s
training infrastructure, the method
used to track and record training for
individual employees, and the training
required for the designated SIP support
personnel to implement the CAP and
the VAP.
(9) A master list of all SIP documents
and ICRs that the company intends to
use in its VAP(s).
(10) Appendices for each approved
VAP.
(b) Vessel Action Plan. Each VAP shall
include at least the following:
(1) A copy of the OCMI VAP approval
letter (once the VAP is approved).
(2) A description of the method that
will be used to integrate the VAP into
the vessel’s regular operations.
(3) Vessel-specific ICRs.
(4) Vessel-specific ISV forms.
(5)
Vessel-specific
examination
checklists.
(6) Correction reports.
(c) Plan Approval. The Company SIP
Agent will submit the CAP and each
VAP to the cognizant OCMI for approval. Once approved, a copy of the
VAP shall be kept on board the vessel.

OCMI review and action.

(a) The cognizant OCMI will review
Coast Guard records for the 3 years before the SIP application date to verify
the eligibility of the company and each
vessel listed in the SIP application.
(b) If the company and one or more of
its vessels meets the eligibility requirements contained in § 8.515, the
cognizant OCMI will notify the company of its eligibility and assign a
Coast Guard SIP Advisor.
(c) If, according to Coast Guard
records, a company or vessel does not
meet the eligibility requirements contained in § 8.515, the cognizant OCMI
will notify the company in writing of
its ineligibility stating each reason for
not accepting the company or a vessel.
§ 8.530 Plan
proval.

development

and

ap-

The Company SIP Agent will develop
the CAP and VAP with guidance from
the Coast Guard SIP Advisor for OCMI
approval.
(a) Company Action Plan. The CAP
shall include at least the following:
(1) A copy of the OCMI CAP approval
letter (once the CAP is approved).
(2) An organization commitment
statement.
(3) A company organization chart
that includes the name(s) of the designated SIP support personnel who will
be responsible for implementation and
oversight of the approved CAP and
VAP(s).
(4) A statement describing the responsibilities and authorities of personnel involved in the examination and
maintenance of the vessel(s) for the
company.
(5) A description of the method the
company will use to integrate the applicable subpart regulations into its
SIP and the method or system used to
initiate corrective action.
(6) A description of the company’s
safety program.
(7) A description of the company’s environmental protection program.

§ 8.535 Training and operational evaluation.
When the CAP and VAP(s) have been
approved by the cognizant OCMI, the
company may begin training and operating under the plans. This evaluation
phase includes the following:
(a) The company shall provide the
designated SIP support personnel with
training as required by the CAP.
(b) The vessel must operate and be
examined under the VAP for a period of
at least 3 months.
(c) During the operational periods,
the Coast Guard SIP Advisor will conduct an ongoing evaluation of the vessel’s operation, the training records,
and the ability of all designated persons to perform their assigned functions under the VAP. The Coast Guard
SIP Advisor will report periodically to
the cognizant OCMI and the Company
SIP Agent on the vessel’s performance,
and make recommendations, if needed.
(d) Revisions recommended under
paragraph (c) of this section, or any additional operational periods under a revised CAP or VAP as may be required

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Coast Guard, DHS

§ 8.555

by the cognizant OCMI must be completed prior to enrollment.

ing an inspection covered in paragraph
(a) of this section.

§ 8.540 Enrollment in SIP.
Upon successful completion of the
training and evaluation phase, the
Coast Guard SIP Advisor will recommend to the OCMI that the company or vessel be enrolled in the SIP. If
the OCMI concurs with the recommendation, he or she will issue an
enrollment letter and endorse the vessel’s COI. Subsequent inspections covered under this subpart will be conducted in accordance with the approved
VAP.

§ 8.550

Plan review and revisions.

(a) Mandatory reviews and revisions.
The CAP and VAP(s) must be reviewed
and revised as follows:
(1) Every 2 years after the plan approval date, the company shall review
the CAP and update all information required by § 8.530.
(2) Every 5 years after the plan approval date, the Coast Guard SIP Advisor and the Company SIP Agent will
review the VAP.
(3) If a reportable casualty occurs,
the cognizant OCMI will review the
portions of the VAP related to equipment, training, personnel, and systems
involved in the casualty and determine
whether revisions to the VAP are appropriate.
(4) When statutes or regulations
change, the appropriate sections of the
CAP and VAP(s) will be revised.
(b) Discretionary reviews and revisions.
The CAP and VAP(s) may be reviewed
and revised by the company at any
time. The revisions must be submitted
to the cognizant OCMI for approval.

§ 8.545 Scope of inspection for enrolled
vessels.
(a) A Coast Guard marine inspector
will conduct required periodic and follow-on inspections necessary to ensure
compliance with Coast Guard regulations.
(b) A Coast Guard marine inspector
will conduct the inspections in paragraph (a) of this section in accordance
with the procedures set out in the
VAP. These inspections will normally
include the following:
(1) Administrative review. This portion
of the inspection consists of a review of
prior Coast Guard SIP inspection
forms, the contents of the VAP, and
other certifications of equipment and
vessel systems.
(2) SIP performance review. This portion of the inspection consists of a review of vessel SIP documentation and
records, review of the SIP procedures,
and a company evaluation of their SIP.
(3) Materiel review. This portion of the
inspection consists of a general examination of the vessel, witnessing the examination of selected items under the
VAP by company designated SIP support personnel, inspection of selected
items, and witnessing crew performance in drills.
(4) Conclusion and recommendations.
This portion of the inspection contains
the Coast Guard marine inspector’s
evaluation of regulatory compliance of
the vessel under its VAP.
(c) A Coast Guard marine inspector
may conduct any additional tests or
examinations of vessel equipment or
systems necessary to ensure compliance with Coast Guard regulations dur-

§ 8.555

Disenrollment.

(a) Voluntary disenrollment. A company may request SIP disenrollment
(which includes all of its vessels) or
may request disenrollment of a specific
vessel from the SIP by writing to the
cognizant OCMI. The OCMI will then
issue a letter disenrolling the vessel or
company. Disenrolled vessels will be
inspected in accordance with the requirements of 46 CFR part 2, subpart
2.01 of this chapter.
(b) Company disenrollment. The OCMI
may issue a letter disenrolling the
company if the company no longer has
at least one enrolled vessel or if the
company fails to continue to meet the
eligibility requirements in § 8.515.
(c) Vessel disenrollment. The OCMI
may issue a letter disenrolling a vessel
if any one or more of the following occurs:
(1) The sale of the vessel.
(2) A finalized letter of warning or assessment of a civil penalty for—
(i) Operating outside the scope of the
vessel’s COI or Stability Letter;

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46 CFR Ch. I (10–1–06 Edition)

(ii) Not reporting a personnel or material casualty required to be reported
under 46 CFR part 4; or
(iii) A material deficiency listed in
§ 8.515(b)(3).
§ 8.560

PART 9—EXTRA COMPENSATION
FOR OVERTIME SERVICES
Sec.
9.1 Extra compensation; Coast Guard civilian personnel.
9.2 Payment although no actual service performed.
9.3 Overtime earnings not basis for overtime under Federal Employees Pay Act
of 1945.
9.4 Waiting time; actual report for duties.
9.5 Night, Sunday, and holiday defined.
9.6 Rate for night service.
9.7 Rate for Sunday or holiday services.
9.8 Broken periods.
9.9 Two hours between broken periods.
9.10 Waiting time.
9.11 Proration of charges.
9.12 Travel status overtime.
9.13 Congressional
appropriations
necessary.
9.14 Assessment and collection of fees.
9.15 Application form.
9.16 Billing for services.
9.17 Protests.

Waiver.

(a) A Coast Guard District Commander may waive any requirement of
this subpart—
(1) If good cause exists for granting a
waiver; and
(2) If the safety of the vessel and
those on board will not be adversely affected.
(b) Requests for waiver of any requirement of this subpart must be submitted in writing to the cognizant
OCMI for review before forwarding to
the Coast Guard District Commander
for action.
(c) A copy of each waiver granted
under this section shall be maintained
at all times in the VAP.
§ 8.565

AUTHORITY: 46 U.S.C. 2103; Department of
Homeland Security Delegation No. 0170.1.

Appeal.

SOURCE: CGD 74–119, 39 FR 33336, Sept. 17,
1974, unless otherwise noted.

A company may appeal any decision
or action taken under this subpart in
accordance with 46 CFR part 1, subpart
1.03 of this chapter.

§ 9.1 Extra compensation; Coast Guard
civilian personnel.
Civilians assigned to the duties formerly assigned to local inspectors and
their assistants, prior to Reorganization Plan No. 3 of 1946 (3 CFR, 1946
Supp.), and customs officers and employees, while performing duties in
connection with the inspection of vessels or their equipment, supplying or
signing on or discharging crews of vessels, at night or on Sundays and holidays, shall receive extra compensation
to be paid by the master, owner, or
agent of the vessel to the local United
States collector of customs or his representative. (See § 9.16.)

§ 8.570 Interim approval of prototype
SIP company or vessel plans.
(a) A company operating under an approved prototype SIP company or vessel plan must apply in writing by November 1, 1998, to the cognizant OCMI
for approval to continue operating
under the plans while revisions are developed to bring the prototype SIP
company or vessel plan into conformance with this subpart. The OCMI may
approve the request for a period of up
to 3 years.
(b) A company that does not request
approval as required by paragraph (a)
of this section or does not obtain approval to continue operating under a
prototype SIP company or vessel plan
by February 1, 1999, may no longer operate under the plans and will be inspected in accordance with the requirements of 46 CFR part 2, subpart 2.01 of
this chapter.

[CGD 74–119, 39 FR 33336, Sept. 17, 1974, as
amended by USCG-2000–7790, 65 FR 58458,
Sept. 29, 2000]

§ 9.2 Payment although no actual service performed.
The rates of extra compensation are
payable in cases where the services of
officers or employees have been duly
requested and the officers or employees
have reported for duty, even though no
actual service may be performed.

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