Section 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 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 § 96.330(f) of this part, and(ii) An intermediate verification audit, as described in § 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 §§ 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 § 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 § 96.330(f) of this part, and for an intermediate verification audit, described in § 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 §§ 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.