[Code of Federal Regulations]

[Title 33, Volume 1]

[Revised as of July 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 33CFR96.320]



[Page 237-238]

 

                TITLE 33--NAVIGATION AND NAVIGABLE WATERS

 

         CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY

 

PART 96_RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT 

SYSTEMS--Table of Contents

 

    Subpart C_How Will Safety Management Systems Be Certificated and 

                                Enforced?

 

Sec. 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



[[Page 238]]



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 Sec. 96.330(f) of 

this part, and

    (ii) An intermediate verification audit, as described in Sec. 

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.

    (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 

Sec. Sec. 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 Sec. 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 Sec. 96.330(f) of this part, and for 

an intermediate verification audit, described in Sec. 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 Sec. Sec. 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.