---
kind: "section"
citation: "33 C.F.R. § 96.440"
title: "33"
number: "96.440"
heading: "How will the Coast Guard decide whether to approve an organization's request to be authorized?"
url: "https://uscodex.org/cfr/33/96.440"
---

# §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 [§ 96.460](/cfr/33/96.460.md) of this part.

## Notes

### 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.