1625-0122 Staty/Authority

33 CFR Part 97 Subpart A (up to date as of 5/19/2022)
Cargo Securing Manuals

33 CFR Part 97 Subpart A

This content is from the eCFR and is authoritative but unofficial.

Title 33 - Navigation and Navigable Waters
Chapter I - Coast Guard, Department of Homeland Security
Subchapter F - Vessel Operating Regulations
Part 97 - Rules for the Safe Operation of Vessels, Stowage and Securing of Cargoes
Authority: 46 U.S.C. 2103, 3306; E.O. 12234; Department of Homeland Security Delegation No. 0170.1(92)(a) and (b).
Source: USCG-2000-7080, 81 FR 28014, May 9, 2016, unless otherwise noted.

Subpart A Cargo Securing Manuals
§ 97.100 Applicability - Electronic documentation.
§ 97.105 Definitions.
§ 97.110 Incorporation by reference.
§ 97.115 Reporting lost or jettisoned cargo.
§ 97.120 Cargo securing manuals.
§§ 97.121-97.199 [Reserved]
§ 97.200 Cargo securing manual (CSM) approval for U.S.-flagged vessels on international
voyages.
§ 97.205 Requirements for amending an approved cargo securing manual (CSM).
§ 97.210 Appeals.
§§ 97.211-97.299 [Reserved]
§ 97.300 Authorized cargo securing manual (CSM) approval authorities.
§ 97.305 Requests for authorization to act as cargo securing manual (CSM) approval authority.
§ 97.310 Criteria for authorization.
§ 97.315 Requirements for authorized approval organizations.
§ 97.320 Revocation of authorization.
Subpart A - Cargo Securing Manuals
§ 97.100 Applicability - Electronic documentation.
(a) This subpart applies to (1) A self-propelled cargo vessel of 500 gross tons or more, on an international voyage, that must
comply with Chapter VI/5.6 or Chapter VII/5 of the International Convention for the Safety of Life at
Sea, 1974 as amended (SOLAS), that does not solely carry liquid or solid cargoes in bulk, and that is
either a U.S.-flagged self-propelled cargo vessel, or a foreign-flagged self-propelled cargo vessel that
is operating in waters subject to the jurisdiction of the United States;
(2) A U.S.-flagged self-propelled cargo vessel that chooses to have this subpart applied to it by
submitting a cargo securing manual for approval in accordance with § 97.200(a)(3);

33 CFR 97.100(a)(2) (enhanced display)

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33 CFR 97.100(a)(3)

(3) A foreign-flagged self-propelled cargo vessel of 500 gross tons or more on an international voyage
from a country that is not a signatory to SOLAS, that would otherwise be required to comply with
Chapter VI/5.6 or Chapter VII/5 of SOLAS, that does not solely carry liquid or solid cargoes in bulk,
and that is operating in waters subject to the jurisdiction of the United States; and
(4) Any organization applying to be selected as a cargo securing manual approval authority.
(b) This subpart does not apply to a vessel owned by the Maritime Administration that is part of the Ready
Reserve Force or the title of which is vested in the United States and which is used for public purposes
only.
(c) Any manual, letter, request, appeal, or ruling required by this subpart may be provided or submitted in
electronic form or in printed form.

§ 97.105 Definitions.
As used in this subpart Approval authority means a CSM approval authority, as that term is defined in this section.
Cargo means the goods or merchandise conveyed in a vessel, and includes, but is not limited to, cargo that can
be measured as a “cargo unit” as that term is used in the International Maritime Organization's Code of
Safe Practice for Cargo Stowage and Securing, 2003 edition: “a vehicle, container, flat, pallet, portable
tank, packaged unit, or any other entity, etc., and loading equipment, or any part thereof, which belongs to
the ship but is not fixed to the ship . . .”; but it does not include other vessel equipment or the incidental
personal possessions of persons on board the vessel.
Cargo safe access plan (CSAP) means a plan included in the cargo securing manual that provides detailed
information on safe access for persons engaged in work connected with cargo stowage and securing on
ships that are specifically designed and fitted for the purpose of carrying containers.
Cargo securing manual (CSM) means an electronic or printed manual developed to meet the requirements of
SOLAS and this subpart and that is used by the master of a vessel to properly stow and secure cargoes
on the vessel for which it is developed.
Cargo securing manual approval authority or CSM approval authority means an organization that meets the
requirements of this subpart, and that the Commandant has authorized to conduct certain actions and
issue electronic or printed approval letters 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.
Commandant, except as otherwise specified, means the Chief, Office of Operating and Environmental Standards,
whose address is Commandant (CG-OES), 2703 Martin Luther King, Jr. Avenue SE., Stop 7509,
Washington, DC 20593-7509 and whose telephone number is 202-372-1404.
Container means an article of transport equipment described in 49 CFR 450.3.
Container vessel means a vessel specifically designed and fitted for the purpose of carrying containers.
International voyage means a voyage between a port or place in one country (or its possessions) and a port or
place in another country.

33 CFR 97.105 “International voyage” (enhanced display)

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33 CFR 97.110

§ 97.110 Incorporation by reference.
(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection
by contacting Mr. Ken Smith of the Coast Guard's Vessel and Facility Operating Standards Division,
Commandant (CG-OES-2); telephone 202-372-1413, email [email protected], and is available from
the sources listed below. It is also available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030 or
go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) International Maritime Organization (IMO), Publications Section, 4 Albert Embankment, London, SE1 7SR,
United Kingdom, +44(0)20 7735 7611, http://www.imo.org.
(1) MSC.1/Circ.1352, Amendments to the Code of Safe Practice for Cargo Stowage and Securing (CSS
Code), June 30, 2010 (Maritime Safety Committee Circular), IBR approved for § 97.120(b).
(2) MSC.1/Circ. 1353/Rev.1, Revised Guidelines for the Preparation of the Cargo Securing Manual,
December 15, 2014 (Maritime Safety Committee Circular), IBR approved for § 97.120(a).
(3) Resolution A.739(18) (Res.A.739(18)), Guidelines for the Authorization of Organizations Acting on
Behalf of the Administration, November 22, 1993 (Assembly Resolution), IBR approved for §
97.310(a).

§ 97.115 Reporting lost or jettisoned cargo.
(a) In the event a vessel loses or jettisons at sea any cargo described in paragraph (b) of this section, it must
comply with the immediate notification requirements of 33 CFR 160.216, and if the cargo contains
hazardous material as defined in paragraph (c) of this section, the vessel must also report it as soon as
possible in accordance with 49 CFR 176.48.
(b) The cargo to which this section applies includes any container and any other cargo the loss or jettisoning
of which could adversely affect the safety of any vessel, bridge, structure, or shore area or the
environmental quality of any port, harbor, or navigable waterway of the United States.
(c) As used in this section, “hazardous material” means a substance or material designated by the Secretary
of Transportation as capable of posing an unreasonable risk to health, safety, and property when
transported in commerce. The term includes hazardous substances, hazardous wastes, marine
pollutants, and elevated temperature materials as defined in 49 CFR 171.8, materials designated as
hazardous under the provisions of 49 CFR 172.101, and materials that meet the defining criteria for
hazard classes and divisions in 49 CFR part 173.
[USCG-2000-7080, 81 FR 28014, May 9, 2016; 81 FR 59136, Aug. 29, 2016]

§ 97.120 Cargo securing manuals.
(a) Any vessel to which this subpart applies must have a cargo securing manual (CSM) on board that has
been approved by the government of the country whose flag the vessel is entitled to fly; and a CSM
approved after June 30, 2010, must, at a minimum, meet the guidelines in MSC.1/Circ. 1353/Rev.1,
(incorporated by reference, see 33 CFR 97.110).
(b) A container vessel with a keel laid on or after January 1, 2015, must include a cargo safe access plan that,
at a minimum, meets the guidelines in MSC.1/Circ.1352, Annex 14, Guidance on Providing Safe Working
Conditions for Securing of Containers on Deck (incorporated by reference, see 33 CFR 97.110).
33 CFR 97.120(b) (enhanced display)

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33 CFR 97.120(c)

(c) While operating in waters under the jurisdiction of the United States, the Coast Guard may board any
vessel to which this subpart applies to determine that the vessel has the document(s) required by
paragraph (a) of this section on board. Any foreign-flagged vessel found not to be in compliance with
paragraph (a) of this section may be detained by order of the Captain of the Port at the port or terminal
where the noncompliance is found until the COTP determines that the vessel can go to sea without
presenting an unreasonable threat of harm to the port, the marine environment, the vessel, or its crew.

§§ 97.121-97.199 [Reserved]
§ 97.200 Cargo securing manual (CSM) approval for U.S.-flagged vessels on international
voyages.
(a) Owners of U.S.-flagged vessels on international voyages must have Cargo Securing Manuals (CSMs)
approved in accordance with this part.
(1) An applicant for CSM approval may be the owner or operator of the vessel, or a person acting on the
owner or operator's behalf.
(2) The Commandant is responsible for overseeing and managing the review and approval of CSM
approval authority applications and providing an up-to-date list of organizations authorized to act
under this subpart, which is available at http://www.uscg.mil/hq/cg5/cg522/cg5222, or by requesting
it in writing from the Commandant and enclosing a self-addressed, stamped envelope.
(3) The applicant must submit two dated copies of a CSM that meets the requirements of this subpart
to a CSM approval authority for review and approval. If any amendments are submitted, they must be
dated. The CSM must include a “change page” document to ensure continuous documentation of
amendments made and the dates they were completed.
(4) The approval authority will retain one copy of the CSM for its records.
(b) If the approval authority completes the review process and approves the CSM, the approval authority will
provide a CSM approval letter on its letterhead, containing (1) Date of CSM approval;
(2) A subject line reading: “APPROVAL OF CARGO SECURING MANUAL (AMENDMENT - if applicable)
FOR THE M/V ____, OFFICIAL NUMBER ____”;
(3) The following statement: “This is to certify that the Cargo Securing Manual (Amendment - if
applicable) dated ____ for the M/V ____, Official Number ____, has been approved on behalf of the
United States. The Cargo Securing Manual (Amendment - if applicable) was reviewed for compliance
with Maritime Safety Committee Circular 1353 (MSC.1/Circ. 1353/Rev.1) for content, and
correctness of the calculations on which the approval is based. This approval letter is to be kept with
the Cargo Securing Manual, as proof of compliance with regulations VI/5.6 and VII5 of the 2004
amendments to the International Convention for the Safety of Life at Sea (SOLAS) 1974.”;
(4) Signature of the approval authority official responsible for review and approval of the CSM; and
(5) The approval authority's seal or stamp.
(c) If the approval authority completes the review process and disapproves the CSM, the approval authority
will provide a letter on its letterhead, containing (1) Date of CSM disapproval; and
33 CFR 97.200(c)(1) (enhanced display)

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33 CFR 97.200(c)(2)

(2) Explanation of why the CSM was disapproved and what the submitter must do to correct
deficiencies.
(d) The submitter of a disapproved CSM may resubmit the CSM with amendments for further review, either to
correct deficiencies noted by the approval authority or to expand the CSM to fully meet the requirements
of this part.
(e) The original copy of the CSM approval letter must be kept with the approved CSM and its amendments,
together with supporting documents and calculations used in granting the approval, on board the vessel
for review by Coast Guard personnel upon request.

§ 97.205 Requirements for amending an approved cargo securing manual (CSM).
Resubmission and re-approval by a CSM approval authority are required after any of the following events occurs:
(a) Reconfiguration of a vessel from one type of cargo carriage to another (e.g., a general break-bulk cargo
vessel reconfigured to a container or a roll-on/roll-off vessel).
(b) Reconfiguration or replacement of 15 percent or more of the vessel's fixed cargo securing or tie-down
systems with different types of devices or systems.
(c) Replacement of 15 percent or more of the vessel's portable cargo securing devices, with different types of
devices for securing the cargo not already used aboard the vessel (e.g., wire lashings replaced with
turnbuckles or chains).

§ 97.210 Appeals.
(a) A vessel owner or operator, or person acting on their behalf, who disagrees with a decision of a CSM
approval authority may submit a written appeal to the approval authority requesting reconsideration of
information in dispute. Within 30 days of receiving the appeal, the approval authority must provide the
submitter with a final written ruling on the request, with a copy to the Commandant.
(b) A submitter who is dissatisfied with the approval authority's final written ruling may appeal directly to the
Commandant. The appeal must be made in writing and include the documentation and supporting
evidence the submitter wants to be considered, and may ask the Commandant to stay the effect of the
appealed decision while it is under review by the Commandant.
(c) The Commandant will make a decision on the appeal and send a formal response to the submitter and a
copy to the approval authority. The Commandant's decision will constitute final agency action on the
appeal request.

§§ 97.211-97.299 [Reserved]
§ 97.300 Authorized cargo securing manual (CSM) approval authorities.
The following organizations are authorized to act on behalf of the United States for the review and approval of
CSMs:
(a) Any recognized classification society to which the Coast Guard has delegated issuance of a Cargo Ship
Safety Equipment Certificate in accordance with 46 CFR 8.320(b)(4). A list of these organizations can be
found at www.uscg.mil/hq/cg5/cg522/cg5222 in the “Summary of Authorizations” link.
(b) The National Cargo Bureau, Inc., 17 Battery Place, Suite 1232, New York, NY 10004-1110, 212-785-8300,
http://www.natcargo.org.
33 CFR 97.300(b) (enhanced display)

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33 CFR 97.305

§ 97.305 Requests for authorization to act as cargo securing manual (CSM) approval authority.
An organization seeking authorization as a CSM approval authority must make a request to the Commandant for
authorization. The request must include, in writing, the items listed in this section or as otherwise specified by the
Commandant.
(a) A certified copy of the organization's certificate of incorporation or partnership on file with a U.S. State,
including the name and address of the organization, with written statements or documents which show
that (1) The organization's owners, managers, and employees are free from influence or control by vessel
shipbuilders, owners, operators, lessors, or other related commercial interests as evidenced by past
and present business practices;
(2) The organization has demonstrated, through other related work, the capability to competently
evaluate CSMs for completeness and sufficiency according to the requirements of SOLAS and this
part;
(3) The organization has an acceptable degree of financial security, based on recent audits by certified
public accountants over the last 5 years; and
(4) The organization maintains a corporate office in the United States that has adequate resources and
staff to support all aspects of CSM review, approval, and recordkeeping.
(b) A listing of the names of the organization's principal executives, with titles, telephone, and telefax
numbers.
(c) A written general description of the organization, covering the ownership, managerial structure, and
organization components, including any directly affiliated organizations, and their functions utilized for
supporting technical services.
(d) A written list of technical services the organization offers.
(e) A written general description of the geographical area the organization serves.
(f)

A written general description of the clients the organization is serving, or intends to serve.

(g) A written general description of similar work performed by the organization in the past, noting the amount
and extent of such work performed within the previous 3 years.
(h) A written listing of the names of full-time professional staff employed by the organization and available
for technical review and approval of CSMs including (1) Naval architects and naval engineers, with copies of their professional credentials, college degrees,
and specialized training certificates;
(2) Merchant mariners with Coast Guard-issued credentials, with a summary of their working experience
on board cargo vessels (including vessel tonnage and types of cargo); and
(3) Written proof of staff competence to perform CSM review and approval, evidenced by detailed
summaries of each individual's experience (measured in months) during the past 5 years of
evaluating maritime cargo securing systems. Experience summaries must be documented on
company letterhead and endorsed by a company executive who has had direct observation of the
individual and quality of his or her work product.

33 CFR 97.305(h)(3) (enhanced display)

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(j)

33 CFR 97.305(j)

A complete description of the organization's internal quality control processes, including written
standards used by the organization to ensure consistency in CSM review and approval procedures by
qualified professionals.

(k) A description of the organization's training program for assuring continued competency of professional
employees performing CSM review and approval who are identified in the application.
(l)

Evidence of financial stability over the past 5-year period, such as financial reports completed
independently by certified public accountants.

(m) A list of five or more business references, including names, addresses, and telephone numbers of
principal executives, who can attest to the organization's competence within the past 2 years.
(n) A statement to the Coast Guard that gives its officials permission to inspect the organization's facilities
and records of CSM review and approval on behalf of the United States at any time with reasonable
advance notice.
(o) Any additional information the organization deems to be pertinent.

§ 97.310 Criteria for authorization.
(a) The Commandant will evaluate the organization's request for authorization and supporting written
materials, looking for evidence of (1) The organization's clear assignment of management duties;
(2) Ethical standards for managers and cargo securing manual (CSM) reviewers;
(3) Procedures for personnel training, qualification, certification, and re-qualification that are consistent
with recognized industry standards;
(4) Acceptable standards available for the organization's internal auditing and management review;
(5) Recordkeeping standards for CSM review and approval;
(6) Methods used to review and certify CSMs;
(7) Experience and knowledge demonstrating competency to evaluate CSMs for completeness and
sufficiency according to the requirements of SOLAS;
(8) Methods for handling appeals; and
(9) Overall procedures consistent with Res.A.739(18), (incorporated by reference, see § 97.110).
(b) After a favorable evaluation of the organization's request, the Commandant may arrange to visit the
organization's corporate and port offices for an on-site evaluation of operations.
(c) When a request is approved, the organization and the Coast Guard will enter into the written agreement
provided for by 33 CFR 97.315. If the request is not approved, the Commandant will give the organization
a written explanation, and the organization may resubmit its request if it corrects any noted deficiencies.

§ 97.315 Requirements for authorized approval organizations.
Approved organizations will enter into a written agreement with the Coast Guard that specifies (a) The period the authorization is valid;

33 CFR 97.315(a) (enhanced display)

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33 CFR 97.315(b)

(b) Which duties and responsibilities the organization may perform and what approval letters it may issue on
behalf of the U.S.;
(c) Reports and information the organization must send to the Commandant;
(d) Actions the organization must take to renew the agreement when it expires; and
(e) Actions the organization must take if the Commandant revokes authorization pursuant to 33 CFR 97.320.

§ 97.320 Revocation of authorization.
The Commandant may revoke a cargo securing manual (CSM) approval authority's authorization and remove it from
the list of CSM approval authorities if it fails to maintain acceptable standards. For the purposes of 46 CFR subpart
1.03, such a revocation would be treated as involving the recognition of a classification society and could be
appealed pursuant to 46 CFR 1.03-15(h)(4). Upon revocation, the former approval authority must send written notice
to each vessel owner whose CSM it approved. The notice must include the current list of CSM approval authorities
and state (a) That its authorization as a CSM approval authority has been revoked;
(b) The Coast Guard's explanation for the revocation; and
(c) That the vessel's CSM remains valid as long as amendments have not been completed which require it to
be re-approved pursuant to 33 CFR 97.200 or 97.205.

33 CFR 97.320(c) (enhanced display)

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