As per ISM code under SOLAS chapter IX, a company shall be issued with Document of

compliance (DOC) and its ships are issued with Safety Management Certificates (SMC) only
after ensuring that the company has a Safety Management System (SMS) and all ships are
operated as per the SMS.

Understanding DOC

A Document of Compliance or DOC is issued to a company based on the type of ship. This
means that the DOC will be different for different type of ships i.e. if company have10
containers and 10 oil tankers then 2 different DOC will be issued, one to the container fleet
and other to the tanker fleet.

DOC is issued under the authority of flag state government by successfully auditing and
reviewing companies SMS and its implementation.

Types of DOCs

Interim DOC
  An interim DOC is issued to a newly established company or when a new type of ship
is added in the company

 The company is requested to submit SMS implementation plan and 12 months are
given to the company for fulfilling the ISM requirements.

 The company shall undergo initial audit, and in case of newly built shipping company
within the validity period of interim DOC i.e. 12 months.

 The company shall undergo additional audit in case new ship type is added to the
shipping company within the validity period of interim DOC i.e. 12 months.

 For a new company, further document review is conducted prior to the audit by
administration.

Short Term DOC

 A short term DOC is issued on the day of the audit by the administration auditor as a
response or proof of completion of the initial, annual or renewal audit process.

 Validity of short term DOC is 5 months.

DOC

 It is issued by the administration after successful completion of initial audit or

fulfilment or interim DOC requirements.

 Issued after at least three months of implementation of SMS at the company and at
least one ship in the fleet for which DOC is concerned.

 The validity of DOC, after initial audit is 5 years from the next date of expiry and it is
subjected to annual audit.

 If a Major NON Conformity is found in the audit, the DOC is withdrawn.

 The DOC is kept with the company and copy is kept in all the ship under that DOC
fleet.

Understanding SMC

A Safety Management Certificate is issued to the ship of a DOC holding Company by the
administration.
Every individual ship must have a SMC which ensures that it complies with the onboard
Safety Management Manual based on ISM.

If a company owns 25 oil tanker ships, then SMC is issued to each ship with total of 25 SMC.

SMC is issued after successfully auditing the ship for making sure that it is operating as per
the SMS based on ISM code.

Types of SMC

1. Interim SMC

 Issued to the company which posses Main DOC, Interim DOC or Short term DOC.

 Issued to the newly built ship added to the existing fleet of the shipping company.

 Issued to a new ship with change in Management Company.

 Issued to a company with change in the flag state.

 Its Validity is for 6 months.

  A ship undergoes initial audit with interim SMC and it must fulfil the entire
requirements to comply the SMS based on ISM code to get the main SMC.

2. Short Term SMC

 A short term SMC is issued on the day of the audit by the administration auditor as a
response or proof of completion of the initial, annual or renewal audit process.

 Validity of short term SMC is 5 months.

3. SMC

 It is issued by the administration after successful completion of initial audit or

fulfilment or interim SMC requirements.

 The validity of SMC, after initial audit is 5 years from the next date of expiry and it is
subjected to intermediate audit.

 The intermediate audit is carried out between the second and the third anniversary
date of the ship.

 If a Major NON Conformity is found in the audit, the SMC and DOC are withdrawn.

 The original SMC is kept on the ship and copy is kept with the company.