[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: 33CFR96.330]



[Page 238-239]

 

                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. 96.330  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 Sec. 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



[[Page 239]]



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--

    (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.