1625-0084 Stat/Authority

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(c) as (c) and (d), respectively, and, in introductory provisions of subsec. (d), substituted ‘‘subsection (c)’’ for
‘‘subsection (b)’’.
Subsec. (d)(4). Pub. L. 111–281, § 610(a)(5), inserted
‘‘that is not described in subsection (b) of this section’’
after ‘‘connecting waters’’.
2004—Subsec. (a). Pub. L. 108–293 reenacted heading
without change and amended text generally. Prior to
amendment, text read as follows: ‘‘This chapter applies
to the following vessels engaged on a foreign voyage:
‘‘(1) Beginning July 1, 1998—
‘‘(A) a vessel transporting more than 12 passengers described in section 2101(21)(A) of this title;
and
‘‘(B) a tanker, bulk freight vessel, or high-speed
freight vessel, of at least 500 gross tons.
‘‘(2) Beginning July 1, 2002, a freight vessel and a
self-propelled mobile offshore drilling unit of at least
500 gross tons.’’

§ 3203. Safety management system
(a) IN GENERAL.—The Secretary shall prescribe
regulations which establish a safety management system for responsible persons and vessels
to which this chapter applies (including, for purposes of this section, all covered small passenger
vessels, as defined in section 3306(n)(5)), including—
(1) a safety and environmental protection
policy;
(2) instructions and procedures to ensure
safe operation of those vessels and protection
of the environment in compliance with international and United States law;
(3) defined levels of authority and lines of
communications between, and among, personnel on shore and on the vessel;
(4) procedures for reporting accidents and
nonconformities with this chapter;
(5) with respect to sexual harassment and
sexual assault, procedures for, and annual
training requirements for all responsible persons and vessels to which this chapter applies
on—
(A) prevention;
(B) bystander intervention;
(C) reporting;
(D) response; and
(E) investigation;
(6) the list required under section 3106(a)(2)
and the log book required under section
3106(a)(3);
(7) procedures for preparing for and responding to emergency situations; and
(8) procedures for internal audits and management reviews of the system.
PROCEDURES AND TRAINING REQUIREMENTS.—In prescribing regulations for the procedures and training requirements described in
subsection (a)(5), such procedures and requirements shall be consistent with the requirements
to report sexual harassment or sexual assault
under section 10104.
(c) AUDITS.—
(1) CERTIFICATES.—
(A) SUSPENSION.—During an audit of a
safety management system of a vessel required under section 10104(e), the Secretary
may suspend the Safety Management Certificate issued for the vessel under section
3205 and issue a separate Safety Management Certificate for the vessel to be in effect
(b)

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for a 3-month period beginning on the date
of the issuance of such separate certificate.
(B) REVOCATION.—At the conclusion of an
audit of a safety management system required under section 10104(e), the Secretary
shall revoke the Safety Management Certificate issued for the vessel under section 3205
if the Secretary determines—
(i) that the holder of the Safety Management Certificate knowingly, or repeatedly,
failed to comply with section 10104; or
(ii) other failure of the safety management system resulted in the failure to
comply with such section.
(2) DOCUMENTS OF COMPLIANCE.—
(A) IN GENERAL.—Following an audit of the
safety management system of a vessel required under section 10104(e), the Secretary
may audit the safety management system of
the responsible person for the vessel.
(B) SUSPENSION.—During an audit under
subparagraph (A), the Secretary may suspend the Document of Compliance issued to
the responsible person under section 3205 and
issue a separate Document of Compliance to
such person to be in effect for a 3-month period beginning on the date of the issuance of
such separate document.
(C) REVOCATION.—At the conclusion of an
assessment or an audit of a safety management system under subparagraph (A), the
Secretary shall revoke the Document of
Compliance issued to the responsible person
if the Secretary determines—
(i) that the holder of the Document of
Compliance knowingly, or repeatedly,
failed to comply with section 10104; or
(ii) that other failure of the safety management system resulted in the failure to
comply with such section.
(d) COMPLIANCE WITH CODE.—Regulations prescribed under this section shall be consistent
with the International Safety Management Code
with respect to vessels to which this chapter applies under section 3202(a) of this title.
(e) In prescribing regulations for passenger
vessels and small passenger vessels, the Secretary shall consider—
(1) the characteristics, methods of operation,
and nature of the service of these vessels; and
(2) with respect to vessels that are ferries,
the sizes of the ferry systems within which the
vessels operate.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3928; amended Pub. L. 108–293, title
IV, § 405(b), Aug. 9, 2004, 118 Stat. 1043; Pub. L.
111–281, title VI, § 610(b), Oct. 15, 2010, 124 Stat.
2969; Pub. L. 116–283, div. G, title LVXXXIV
[LXXXIV], § 8441(c), Jan. 1, 2021, 134 Stat. 4744;
Pub. L. 117–263, div. K, title CXVI, § 11610(a), Dec.
23, 2022, 136 Stat. 4154.)
Editorial Notes
AMENDMENTS
2022—Subsec. (a)(5) to (8). Pub. L. 117–263, § 11610(a)(1),
added pars. (5) and (6) and redesignated former pars. (5)
and (6) as (7) and (8), respectively.
Subsecs. (b) to (e). Pub. L. 117–263, § 11610(a)(2), (3),
added subsecs. (b) and (c) and redesignated former subsecs. (b) and (c) as (d) and (e), respectively.

§ 3204

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2021—Subsec. (a). Pub. L. 116–283 inserted ‘‘(including,
for purposes of this section, all covered small passenger
vessels, as defined in section 3306(n)(5))’’ after ‘‘vessels
to which this chapter applies’’ in introductory provisions.
2010—Subsec. (c). Pub. L. 111–281 added subsec. (c).
2004—Subsec. (b). Pub. L. 108–293 substituted ‘‘vessels
to which this chapter applies under section 3202(a) of
this title’’ for ‘‘vessels engaged on a foreign voyage’’.
Statutory Notes and Related Subsidiaries
FLAG-STATE GUIDANCE AND SUPPLEMENTS
Pub. L. 115–265, title II, § 213, Oct. 11, 2018, 132 Stat.
3750, provided that:
‘‘(a) FREIGHT VESSELS; DAMAGE CONTROL INFORMATION.—Within 1 year after the date of the enactment of
this Act [Oct. 11, 2018], the Secretary shall issue flagState guidance for all freight vessels documented under
chapter 121 of title 46, United States Code, built before
January 1, 1992, regarding the inclusion of comprehensive damage control information in safety management
plans required under chapter 32 of title 46, United
States Code.
‘‘(b) RECOGNIZED ORGANIZATIONS; UNITED STATES SUPPLEMENT.—The Commandant [of the Coast Guard]
shall—
‘‘(1) work with recognized organizations to create a
single United States Supplement to rules of such organizations for classification of vessels; and
‘‘(2) by not later than 1 year after the date of the
enactment of this Act, provide to the Committee on
Commerce, Science, and Transportation of the Senate and the Committee on Transportation and Infrastructure of the House of Representatives a briefing
on whether it is necessary to revise part 8 of title 46,
Code of Federal Regulations, to authorize only one
United States Supplement to such rules.’’
[For definitions of ‘‘Secretary’’ and ‘‘recognized organizations’’ as used in section 213 of Pub. L. 115–265, set
out above, see section 203 of Pub. L. 115–265, set out as
a note under section 2101 of this title.]

§ 3204. Implementation of safety management
system
(a) SAFETY MANAGEMENT PLAN.—Each responsible person shall establish and submit to the
Secretary for approval a safety management
plan describing how that person and vessels of
the person to which this chapter applies will
comply with the regulations prescribed under
section 3203(a) of this title.
(b) APPROVAL.—Upon receipt of a safety management plan submitted under subsection (a),
the Secretary shall review the plan and approve
it if the Secretary determines that it is consistent with and will assist in implementing the
safety management system established under
section 3203.
(c) PROHIBITION ON VESSEL OPERATION.—A vessel to which this chapter applies under section
3202(a) may not be operated without having on
board a Safety Management Certificate and a
copy of a Document of Compliance issued for the
vessel under section 3205 of this title.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3929.)
§ 3205. Certification
(a) ISSUANCE OF CERTIFICATE AND DOCUMENT.—
After verifying that the responsible person for a
vessel to which this chapter applies and the vessel comply with the applicable requirements
under this chapter, the Secretary shall issue for

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the vessel, on request of the responsible person,
a Safety Management Certificate and a Document of Compliance.
(b) MAINTENANCE OF CERTIFICATE AND DOCUMENT.—A Safety Management Certificate and a
Document of Compliance issued for a vessel
under this section shall be maintained by the responsible person for the vessel as required by
the Secretary.
(c) VERIFICATION OF COMPLIANCE.—The Secretary shall—
(1) periodically, or upon discovery from
other sources of information acquired by the
Coast Guard, including a discovery made during an audit or systematic review conducted
under section 10104(e) of a failure of a responsible person or vessel to comply with a requirement of a safety management system for
which a Safety Management Certificate and a
Document of compliance 1 has been issued
under this section, including a failure to comply with regulations prescribed under section
3203(a)(7) and (8), review whether a responsible
person having a safety management plan approved under section 3204(b) and each vessel to
which the plan applies is complying with the
plan; and
(2) revoke the Secretary’s approval of the
plan and each Safety Management Certificate
and Document of Compliance issued to the
person for a vessel to which the plan applies,
if the Secretary determines that the person or
a vessel to which the plan applies has not complied with the plan.
(d) ENFORCEMENT.—At the request of the Secretary, the Secretary of Homeland Security
shall withhold or revoke the clearance required
by section 60105 of this title of a vessel that is
subject to this chapter under section 3202(a) of
this title or to the International Safety Management Code, if the vessel does not have on board
a Safety Management Certificate and a copy of
a Document of Compliance for the vessel. Clearance may be granted on filing a bond or other
surety satisfactory to the Secretary.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3929; amended Pub. L. 109–304,
§ 15(10), Oct. 6, 2006, 120 Stat. 1703; Pub. L.
110–181, div. C, title XXXV, § 3529(b)(1)(A), Jan.
28, 2008, 122 Stat. 603; Pub. L. 117–263, div. K, title
CXVI, § 11610(b), Dec. 23, 2022, 136 Stat. 4155.)
Editorial Notes
AMENDMENTS
2022—Subsec. (c)(1). Pub. L. 117–263 inserted ‘‘, or
upon discovery from other sources of information acquired by the Coast Guard, including a discovery made
during an audit or systematic review conducted under
section 10104(e) of a failure of a responsible person or
vessel to comply with a requirement of a safety management system for which a Safety Management Certificate and a Document of compliance has been issued
under this section, including a failure to comply with
regulations prescribed under section 3203(a)(7) and (8),’’
after ‘‘periodically’’.
2008—Subsec. (d). Pub. L. 110–181 amended Pub. L.
109–304, § 15(10). See 2006 Amendment note below.
2006—Subsec. (d). Pub. L. 109–304, § 15(10), as amended
by Pub. L. 110–181, substituted ‘‘Secretary of Homeland
1 So

in original. Probably should be ‘‘Compliance’’.