46 C.F.R. Subpart E—Streamlined Inspection Program
Title 46 - Shipping
Source: CGD 96–055, 63 FR 44353, Aug. 18, 1998, unless otherwise noted.
(a) This subpart establishes the Streamlined Inspection Program (SIP) which is a voluntary alternative inspection program for U.S. documented or registered vessels required to maintain a valid certificate of inspection (COI). (b) This subpart sets out the eligibility and application requirements and the plan development and approval procedures for enrollment of companies and their vessels in the SIP. (a) This subpart applies to U.S. documented or registered vessels that have a valid COI. (b) A vessel enrolled in the SIP will be inspected in accordance with its approved Vessel Action Plan (VAP). (c) The SIP includes all inspections required to renew and maintain a valid COI. The SIP does not include dry-dock examinations, unscheduled inspections related to vessel casualties, equipment repair or replacement, or vessel modifications. Those inspections will be conducted in accordance with the subparts applicable to the vessel. The following definitions apply to this subpart: Civil penalty means a final assessment under the provisions of 33 CFR part 1, subpart 1.07 or part 20 of this chapter. Coast Guard SIP Advisor means the Coast Guard marine inspector assigned by the Officer in Charge, Marine Inspection (OCMI), to assist in the development of an action plan. Company means the owner of the vessel or any other organization or person, such as the manager or the bareboat charterer, who operates a vessel under the SIP. Company Action Plan (CAP) means the document describing a company's organization, policies, and responsibilities required for participation in the SIP. Company SIP Agent means the individual who is responsible for the Company Action Plan and the Vessel Action Plan development and implementation and who has the authority to bind the company to the terms of these plans. Correction Report means a document which sets out specific vessel deficiencies and is used to record their correction by the company. Documented deficiency means an incident documented in a Coast Guard record in which the condition of a vessel, its equipment, or its operation was not in compliance with Coast Guard regulations. Examination Checklist means any document or form approved in the VAP, that may be used by company employees to record the periodic examinations required by the VAP. Inspection Criteria References (ICR) means the individual pages in the VAP that list each item on the vessel required by regulation to be periodically inspected. Inspection Schedule and Verification (ISV) means the document that lists the items to be inspected and the intervals for their inspection, and on which is recorded the completion of required examinations and tests conducted by designated company employees. Prototype SIP plan means the SIP plans developed for a company or vessel participating in a Coast Guard District-or OCMI-endorsed SIP before August 18, 1998. Reportable casualty means a marine casualty or accident required to be reported under 46 CFR part 4, subpart 4.05 of this chapter. Streamlined Inspection Program (SIP) means the alternative inspection program set out in this subpart. Vessel Action Plan (VAP) means the document that prescribes procedures for maintenance, examination, and inspection of a vessel enrolled in the SIP. (a) The company must— (1) Have owned or operated at least one U.S. documented or registered vessel for a minimum of 3 consecutive years before the SIP application date; and (2) Have paid all civil penalties and user fees. (b) Except as allowed by paragraph (c) of this section, each vessel must— (1) Have been in operation with an eligible owner or operator for at least 3 consecutive years before the SIP application date; (2) Have had no revocation of its COI during the 3 years before the SIP application date; and (3) Have no documented deficiency for any of the following in the 3 years before the SIP application date: (i) Any vessel operation inconsistent with the operating details specified on its COI. (ii) Operating without the required amount of lifesaving appliances on board the vessel or with inoperable survival craft. (iii) Operating without the required firefighting equipment on board the vessel or with an inoperable fire pump(s). (iv) Unauthorized modifications to the vessel's approved systems or structure, such as fixed firefighting systems, pollution prevention arrangements, overcurrent protection devices, or watertight boundary arrangements. (v) Operating without the required navigation equipment on board the vessel or with inoperable navigation equipment. (c) A vessel constructed for, or acquired by, a company with one or more vessels enrolled in the SIP need not meet the requirement in paragraph (b)(1) of this section for enrollment in the SIP, provided that the vessel holds a valid COI issued by the OCMI where the vessel will principally operate. To apply for SIP enrollment, a company will submit an application, in writing, to the cognizant OCMI. The application must contain the following: (a) A statement that the company and prospective vessel(s) meet the requirements of §8.515. (b) A summation of the company's current status in relation to §8.530(a). (c) The name and official number of the vessel(s) the company intends to enroll in the SIP. (d) The name and contact information for the Company SIP Agent. (a) The cognizant OCMI will review Coast Guard records for the 3 years before the SIP application date to verify the eligibility of the company and each vessel listed in the SIP application. (b) If the company and one or more of its vessels meets the eligibility requirements contained in §8.515, the cognizant OCMI will notify the company of its eligibility and assign a Coast Guard SIP Advisor. (c) If, according to Coast Guard records, a company or vessel does not meet the eligibility requirements contained in §8.515, the cognizant OCMI will notify the company in writing of its ineligibility stating each reason for not accepting the company or a vessel. The Company SIP Agent will develop the CAP and VAP with guidance from the Coast Guard SIP Advisor for OCMI approval. (a) Company Action Plan. The CAP shall include at least the following: (1) A copy of the OCMI CAP approval letter (once the CAP is approved). (2) An organization commitment statement. (3) A company organization chart that includes the name(s) of the designated SIP support personnel who will be responsible for implementation and oversight of the approved CAP and VAP(s). (4) A statement describing the responsibilities and authorities of personnel involved in the examination and maintenance of the vessel(s) for the company. (5) A description of the method the company will use to integrate the applicable subpart regulations into its SIP and the method or system used to initiate corrective action. (6) A description of the company's safety program. (7) A description of the company's environmental protection program. (8) A description of the company's training infrastructure, the method used to track and record training for individual employees, and the training required for the designated SIP support personnel to implement the CAP and the VAP. (9) A master list of all SIP documents and ICRs that the company intends to use in its VAP(s). (10) Appendices for each approved VAP. (b) Vessel Action Plan. Each VAP shall include at least the following: (1) A copy of the OCMI VAP approval letter (once the VAP is approved). (2) A description of the method that will be used to integrate the VAP into the vessel's regular operations. (3) Vessel-specific ICRs. (4) Vessel-specific ISV forms. (5) Vessel-specific examination checklists. (6) Correction reports. (c) Plan Approval. The Company SIP Agent will submit the CAP and each VAP to the cognizant OCMI for approval. Once approved, a copy of the VAP shall be kept on board the vessel. When the CAP and VAP(s) have been approved by the cognizant OCMI, the company may begin training and operating under the plans. This evaluation phase includes the following: (a) The company shall provide the designated SIP support personnel with training as required by the CAP. (b) The vessel must operate and be examined under the VAP for a period of at least 3 months. (c) During the operational periods, the Coast Guard SIP Advisor will conduct an ongoing evaluation of the vessel's operation, the training records, and the ability of all designated persons to perform their assigned functions under the VAP. The Coast Guard SIP Advisor will report periodically to the cognizant OCMI and the Company SIP Agent on the vessel's performance, and make recommendations, if needed. (d) Revisions recommended under paragraph (c) of this section, or any additional operational periods under a revised CAP or VAP as may be required by the cognizant OCMI must be completed prior to enrollment. Upon successful completion of the training and evaluation phase, the Coast Guard SIP Advisor will recommend to the OCMI that the company or vessel be enrolled in the SIP. If the OCMI concurs with the recommendation, he or she will issue an enrollment letter and endorse the vessel's COI. Subsequent inspections covered under this subpart will be conducted in accordance with the approved VAP. (a) A Coast Guard marine inspector will conduct required periodic and follow-on inspections necessary to ensure compliance with Coast Guard regulations. (b) A Coast Guard marine inspector will conduct the inspections in paragraph (a) of this section in accordance with the procedures set out in the VAP. These inspections will normally include the following: (1) Administrative review. This portion of the inspection consists of a review of prior Coast Guard SIP inspection forms, the contents of the VAP, and other certifications of equipment and vessel systems. (2) SIP performance review. This portion of the inspection consists of a review of vessel SIP documentation and records, review of the SIP procedures, and a company evaluation of their SIP. (3) Materiel review. This portion of the inspection consists of a general examination of the vessel, witnessing the examination of selected items under the VAP by company designated SIP support personnel, inspection of selected items, and witnessing crew performance in drills. (4) Conclusion and recommendations. This portion of the inspection contains the Coast Guard marine inspector's evaluation of regulatory compliance of the vessel under its VAP. (c) A Coast Guard marine inspector may conduct any additional tests or examinations of vessel equipment or systems necessary to ensure compliance with Coast Guard regulations during an inspection covered in paragraph (a) of this section. (a) Mandatory reviews and revisions. The CAP and VAP(s) must be reviewed and revised as follows: (1) Every 2 years after the plan approval date, the company shall review the CAP and update all information required by §8.530. (2) Every 5 years after the plan approval date, the Coast Guard SIP Advisor and the Company SIP Agent will review the VAP. (3) If a reportable casualty occurs, the cognizant OCMI will review the portions of the VAP related to equipment, training, personnel, and systems involved in the casualty and determine whether revisions to the VAP are appropriate. (4) When statutes or regulations change, the appropriate sections of the CAP and VAP(s) will be revised. (b) Discretionary reviews and revisions. The CAP and VAP(s) may be reviewed and revised by the company at any time. The revisions must be submitted to the cognizant OCMI for approval. (a) Voluntary disenrollment. A company may request SIP disenrollment (which includes all of its vessels) or may request disenrollment of a specific vessel from the SIP by writing to the cognizant OCMI. The OCMI will then issue a letter disenrolling the vessel or company. Disenrolled vessels will be inspected in accordance with the requirements of 46 CFR part 2, subpart 2.01 of this chapter. (b) Company disenrollment. The OCMI may issue a letter disenrolling the company if the company no longer has at least one enrolled vessel or if the company fails to continue to meet the eligibility requirements in §8.515. (c) Vessel disenrollment. The OCMI may issue a letter disenrolling a vessel if any one or more of the following occurs: (1) The sale of the vessel. (2) A finalized letter of warning or assessment of a civil penalty for— (i) Operating outside the scope of the vessel's COI or Stability Letter; (ii) Not reporting a personnel or material casualty required to be reported under 46 CFR part 4; or (iii) A material deficiency listed in §8.515(b)(3). (a) A Coast Guard District Commander may waive any requirement of this subpart— (1) If good cause exists for granting a waiver; and (2) If the safety of the vessel and those on board will not be adversely affected. (b) Requests for waiver of any requirement of this subpart must be submitted in writing to the cognizant OCMI for review before forwarding to the Coast Guard District Commander for action. (c) A copy of each waiver granted under this section shall be maintained at all times in the VAP. A company may appeal any decision or action taken under this subpart in accordance with 46 CFR part 1, subpart 1.03 of this chapter. (a) A company operating under an approved prototype SIP company or vessel plan must apply in writing by November 1, 1998, to the cognizant OCMI for approval to continue operating under the plans while revisions are developed to bring the prototype SIP company or vessel plan into conformance with this subpart. The OCMI may approve the request for a period of up to 3 years. (b) A company that does not request approval as required by paragraph (a) of this section or does not obtain approval to continue operating under a prototype SIP company or vessel plan by February 1, 1999, may no longer operate under the plans and will be inspected in accordance with the requirements of 46 CFR part 2, subpart 2.01 of this chapter.
Title 46: Shipping
PART 8—VESSEL INSPECTION ALTERNATIVES
Subpart E—Streamlined Inspection Program
§ 8.500 Purpose.
§ 8.505 Scope and applicability.
§ 8.510 Definitions.
§ 8.515 Eligibility.
§ 8.520 Application.
§ 8.525 OCMI review and action.
§ 8.530 Plan development and approval.
§ 8.535 Training and operational evaluation.
§ 8.540 Enrollment in SIP.
§ 8.545 Scope of inspection for enrolled vessels.
§ 8.550 Plan review and revisions.
§ 8.555 Disenrollment.
§ 8.560 Waiver.
§ 8.565 Appeal.
§ 8.570 Interim approval of prototype SIP company or vessel plans.
