NVIC 01-97: Safety and contingency plans for passenger vessels
Last reviewed: October 14, 2026
This NVIC is Coast Guard guidance on preparing a Shipboard Safety Management and Contingency Plan for passenger vessels. The plan is an alternative to the survival craft requirements under 46 CFR 199.201(b). The guidance says the cognizant OCMI verifies the plan's effectiveness when it is submitted as that alternative.
Applies toThe alternative applies to passenger vessels operating on routes that are not subject to the requirements of the Safety of Life at Sea Convention (SOLAS) to which subchapter W in 46 CFR chapter I applies.
What it says
This NVIC is guidance on preparing a plan under 46 CFR 199.630(f) as an alternative to the survival craft requirements under 46 CFR 199.201(b).
“provides guidance on preparing a Shipboard Safety Management and Contingency Plan (hereafter referred to as the “plan”) under 46 CFR 199.630(f) as an alternative to the survival craft requirements under 46 CFR 199.201(b).”
The cognizant OCMI shall verify the effectiveness of the plan if it is submitted as an alternative to the requirements of 46 CFR 199.201(b).
NVIC 01-97 b.“The cognizant OCMI shall verify the effectiveness of the shipboard safety management and contingency plan if the plan is submitted as an alternative to the requirements of 46 CFR 199.201(b).”
Owners and operators of passenger vessels are encouraged to review the guidance in enclosure (1) before preparing the plan.
NVIC 01-97 c.“Owners and operators of passenger vessels are encouraged to review the guidance contained in enclosure (1) before preparing a shipboard safety management and contingency plan”
Developing a plan using the guidelines in enclosure (1) and having the cognizant OCMI approve it meets the requirements of 46 CFR 199.630(f).
NVIC 01-97 b.“Developing a plan using the guidelines in enclosure (1) and having it approved by the cognizant OCMI, meets the requirements of 46 CFR 199.630(f).”
Vessel owners and operators should have contingency plans in place for medical emergencies, oil spills, vessel fires, collisions, and groundings.
NVIC 01-97 a.“vessel owners and operators should have contingency plans in place to deal with medical emergencies, oil spills, vessel fires, collisions, and groundings.”
The plans should identify local fire, ambulance, and search and rescue facilities, including local telephone numbers and contact points.
NVIC 01-97 a.“These plans should identify local fire, ambulance, and search and rescue facilities, including local telephone numbers and contact points.”
The crew training program should apply to hotel and service personnel and include measures for crowd control.
NVIC 01-97 a.“The crew training program should be applicable to hotel and service personnel and include measures for crowd control.”
Common questions
What is the Shipboard Safety Management and Contingency Plan?
It is a plan prepared under 46 CFR 199.630(f) as an alternative to the survival craft requirements under 46 CFR 199.201(b). This NVIC provides guidance on preparing it.
“provides guidance on preparing a Shipboard Safety Management and Contingency Plan (hereafter referred to as the “plan”) under 46 CFR 199.630(f) as an alternative to the survival craft requirements under 46 CFR 199.201(b).”
Who verifies a shipboard safety management and contingency plan?
The cognizant OCMI shall verify the plan's effectiveness if it is submitted as an alternative to the requirements of 46 CFR 199.201(b).
“The cognizant OCMI shall verify the effectiveness of the shipboard safety management and contingency plan if the plan is submitted as an alternative to the requirements of 46 CFR 199.201(b).”
What is the main purpose of the contingency plan?
Its primary purpose is to set in motion the necessary actions to end or minimize the effect of the emergency.
“Its primary purpose is to set in motion the necessary actions to end or minimize the effect of the emergency.”
Does this NVIC apply to vessels subject to SOLAS?
The alternative applies to passenger vessels operating on routes that are not subject to the requirements of the Safety of Life at Sea Convention (SOLAS) to which subchapter W in 46 CFR chapter I applies.
“This alternative applies to passenger vessels operating on routes that are not subject to the requirements of the Safety of Life at Sea Convention (SOLAS) to which subchapter W in 46 CFR chapter I applies.”
The text of NVIC 01-97
U.S. Coast Guard, NVIC 01-97 (main body; enclosures not shown)
Shipboard Safety Management and Contingency Plan for Passenger Vessels
Commandant 2100 Second Street, S.W. United States Coast Guard Washington, DC 20593-0001 Staff Symbol: G-MOC Phone: 202-267-1464 COMDTPUB P16601 NVIC 1-97 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 1-97 Subj: SHIPBOARD SAFETY MANAGEMENT AND CONTINGENCY PLAN FOR PASSENGER VESSELS Electronic Version For Distribution Via the World Wide Web
Shipboard Safety Management and Contingency Plan for Passenger Vessels — PURPOSE. This Navigation and Vessel Inspection Circular (NVIC) provides guidance on
preparing a Shipboard Safety Management and Contingency Plan (hereafter referred to as the “plan”) under 46 CFR 199.630(f) as an alternative to the survival craft requirements under 46 CFR 199.201(b). This alternative applies to passenger vessels operating on routes that are not subject to the requirements of the Safety of Life at Sea Convention (SOLAS) to which subchapter W in 46 CFR chapter I applies. In addition, this guidance may be helpful to operators that wish to prepare a shipboard safety management and contingency plan to augment their existing safety program.
Shipboard Safety Management and Contingency Plan for Passenger Vessels — ACTION.
a. The Officer in Charge, Marine Inspection (OCMI) shall bring enclosure (1) to the attention of appropriate individuals in the marine industry within their zones. b. The cognizant OCMI shall verify the effectiveness of the shipboard safety management and contingency plan if the plan is submitted as an alternative to the requirements of 46 CFR 199.201(b). c. Owners and operators of passenger vessels are encouraged to review the guidance contained in enclosure (1) before preparing a shipboard safety management and contingency plan as an alternative to the survival craft requirements in 46 CFR 199.201(b).
Shipboard Safety Management and Contingency Plan for Passenger Vessels — DIRECTIVES AFFECTED. None.
DISTRIBUTION – SDL No. 134 a b c d e f g h I j k l m n o p q r s t u v w x y z A B 2 10 1 1 132 1 5 30 C * 1 * D 1 1 1* 1 * E 2 2 F 1 1 1 G H *NON-STANDARD DISTRIBUTION: (See page 3.) NAVIGATION AND VESSEL INSPECTION CIRCULAR NO.1-97
Shipboard Safety Management and Contingency Plan for Passenger Vessels — BACKGROUND.
a. Recently there has been a dramatic increase in the number of inland and near coastal passenger vessel operations. Passenger vessels which have been traditionally used for transport of passengers and vehicles are now also involved in a wide variety of operations related to entertainment. Some of these vessels, although fully capable of navigation, do not normally leave the dock, other vessels operate over short distances in protected “moats,” while still others operate on rivers with normally fast flowing currents. As a result, many of the assumptions made in developing certain safety regulations, may not be appropriate for passenger vessels operating in such services. b. Subchapter W describes the lifesaving equipment requirements for passenger vessels. Because of the unique nature of some passenger vessel operations, subchapter W allows owners and operators to outfit their vessels with alternative lifesaving arrangements, if they provide a comprehensive shipboard safety and contingency plan. Developing a plan using the guidelines in enclosure (1) and having it approved by the cognizant OCMI, meets the requirements of 46 CFR 199.630(f).
Shipboard Safety Management and Contingency Plan for Passenger Vessels — DISCUSSION.
a.
Good marine practice dictates that vessel owners and operators should have contingency plans in place to deal with medical emergencies, oil spills, vessel fires, collisions, and groundings.
In preparing contingency plans, consideration should be given to the geographical area of operation, the environmental conditions, the proximity of other vessels and suitability of any onshore or offshore facilities.
These plans should identify local fire, ambulance, and search and rescue facilities, including local telephone numbers and contact points.
The plan should also address concerns associated with the above emergencies for both underway and dockside situations as appropriate and include provisions for company drills and crew training.
Passengers should be instructed on safety issues before they get involved in the activities on board.
The crew training program should be applicable to hotel and service personnel and include measures for crowd control. b.
The guidelines in enclosure (1) assist with the preparation of these plans.
While developing the plans, consider the many variables that apply to the particular vessel for which the plan is developed.
Some of these variables include type and size of vessel; number of passengers carried on board; shore based management structure; search and rescue facilities available; route of the vessel; and traffic and weather conditions. c.
The plan should be available to assist personnel in dealing with an emergency.
Its primary purpose is to set in motion the necessary actions to end or minimize the effect of the emergency.
Effective planning ensures that the necessary actions are taken in a structured, logical, and timely manner.
NAVIGATION AND VESSEL INSPECTION CIRCULAR NO.1-97 d.
The need for a predetermined plan is clear when considering the pressures and multiple tasks facing personnel confronted with an emergency.
During an emergency, effective planning will prevent confusion, mistakes, and failure to advise key people.
Delays will be avoided and time will be used wisely.
J.
C.
Card Chief, Marine Safety and Environmental Protection Encl: (1) Guidelines for the Development of a Shipboard Safety Management and Contingency Plan for Passenger Vessels Non-Standard Distribution: C:e New Orleans (90); Hampton Roads (50); Baltimore (45); San Francisco, Puget Sound (40); Philadelphia, Port Arthur, Honolulu (35); Miami, Houston, Mobile, Long Beach, Morgan City, Portland OR (25); Jacksonville (20); Boston, Portland ME, Charleston, Galveston, Anchorage
(15); Cleveland (12); Louisville, Memphis, Paducah, Pittsburgh, St. Louis, Savannah, San Juan, Tampa, Buffalo, Chicago, Detroit, Duluth, Milwaukee, San Diego, Juneau, Valdez (10); Providence, Huntington, Wilmington, Corpus Christi, Toledo, Guam, Sault Ste. Marie (5). C:m New York (70); Sturgeon Bay (4). D:d Except Baltimore, Moriches and Grand Haven. D:1 CG Liaison Officer MILSEALIFTCOMD (Code N-7CG), CG Liaison Officer RSPA
(DHM-22), CG Liaison Officer MARAD (MAR-742), CG Liaison Officer JUSMAGPHIL, CG Liaison Officer World Maritime University, CG Liaison Officer ABS, Maritime Liaison Office Commander U.S. Naval Forces Central Command (1). NOAA Fleet Inspection Officer (1). U.S. Merchant Marine Academy (1).
Sections it refers to
The plain-English explanation on this page was written with AI from the regulation text above and checked automatically before publishing: every quote appears in the text, every number comes from it, and a second model confirmed each statement adds nothing the text doesn't say. The regulation text governs. RegKnot is not affiliated with the U.S. Coast Guard.