---
kind: "section"
citation: "33 C.F.R. § 96.340"
title: "33"
number: "96.340"
heading: "Safety Management Certificate: what is it and when is it needed?"
url: "https://uscodex.org/cfr/33/96.340"
---

# §96.340. Safety Management Certificate: what is it and when is it needed?

- (a) Your U.S. vessel engaged on a foreign voyage must hold a valid Safety Management Certificate if it carries more than 12 passengers, or if it is a tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore drilling unit of 500 gross tons or more.
- (b) Your U.S. vessel may voluntarily hold a valid Safety Management Certificate even if your vessel is not required to by [paragraph (a)](#a) of this section.
- (c) Your U.S. vessel may only be issued a Safety Management Certificate or have it renewed when your company holds a valid Document of Compliance certificate issued under [§ 96.330](/cfr/33/96.330.md) of this part and the vessel has completed a satisfactory safety management audit of the vessel's safety management system set out in [§ 96.320](/cfr/33/96.320.md) of this part.
- (d) A copy of your vessel's valid Safety Management Certificate must be on board all U.S. and foreign vessels which carry more than 12 passengers, and must be on board a tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore drilling unit of 500 gross tons or more, when engaged on foreign voyages or within U.S. waters.
- (e) **A Safety Management Certificate is valid for 60 months.** The validity of the Safety Management Certificate is based on—
  - (1) A satisfactory initial safety management audit;
  - (2) A satisfactory intermediate verification audit requested by the vessel's responsible person, completed between the 24th and 36th month of the certificate's period of validity; and
  - (3) **A vessel's company holding a valid Document of Compliance certificate.** When a company's Document of Compliance certificate expires or is revoked, the Safety Management Certificate for the company-owned vessel(s) is invalid.
- (f) Renewal of a Safety Management Certificate requires the completion of a satisfactory safety management system audit which meets all of the requirements of subpart B in this part. A renewal of a Safety Management Certificate cannot be started unless the company which owns the vessel holds a valid Document of Compliance certificate.
- (g) Only the Coast Guard may revoke a Safety Management Certificate from a U.S. vessel. The Safety Management Certificate will be revoked if—
  - (1) The vessel's responsible person has not completed an intermediate safety management audit required by [paragraph (e)(2)](#e-2) of this section; or
  - (2) Major non-conformities are found in the vessel'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 vessel's responsible person.

## Notes

### Amendments

[CGD 95-073, 62 FR 67506, Dec. 24, 1997, as amended by USCG-1999-5832, 64 FR 34712, June 29, 1999]

### Authority

Authority: 46 U.S.C. 3201 et. seq.; 46 U.S.C. 3103; 46 U.S.C. 3316; 33 U.S.C. 1231.

### Source

Source: CGD 95-073, 62 FR 67506, Dec. 24, 1997, unless otherwise noted.

### Amendments

[CGD 95-073, 62 FR 67506, Dec. 24, 1997, as amended by USCG-1999-5832, 64 FR 34712, June 29, 1999]