[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: 33CFR96.440]



[Page 243]

 

                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 D_Authorization of Recognized Organizations To Act on Behalf of 

                                the U.S.

 

Sec. 96.440  How will the Coast Guard decide whether to approve an 

organization's request to be authorized?



    (a) First, the Coast Guard will evaluate the organization's request 

for authorization and supporting written materials, looking for evidence 

of the following--

    (1) The organization's clear assignment of management duties;

    (2) Ethical standards for managers and auditors;

    (3) Procedures for auditor training, qualification, certification, 

and requalification that are consistent with recognized industry 

standards;

    (4) Procedures for auditing safety management systems that are 

consistent with recognized industry standards and IMO Resolution 

A.788(19);

    (5) Acceptable standards for internal auditing and management 

review;

    (6) Record-keeping standards for safety management auditing and 

certification;

    (7) Methods for reporting non-conformities and recording completion 

of remedial actions;

    (8) Methods for certifying safety management systems;

    (9) Methods for periodic and intermediate audits of safety 

management systems;

    (10) Methods for renewal audits of safety management systems;

    (11) Methods for handling appeals; and

    (12) Overall procedures consistent with IMO Resolution A.739(18), 

``Guidelines for the Authorization of Organizations Acting on Behalf of 

the Administration.''

    (b) After a favorable evaluation of the organization's written 

request, the Coast Guard will arrange to visit the organization's 

corporate offices and port offices for an on-site evaluation of 

operations.

    (c) When a request is approved, the recognized organization and the 

Coast Guard will enter into a written agreement. This agreement will 

define the scope, terms, conditions and requirements of the 

authorization. Conditions of this agreement are found in Sec. 96.460 of 

this part.