Operational Guide · Registers & Logbooks

# Document of Compliance (DOC) and Safety Management Certificate (SMC)

The two certificates that make ISM compliance tangible: what they attest, who issues them, when they must be renewed, and what happens if they expire or are suspended.

ISM Code DOC SMC certification survey

## Operational Explanation

The Document of Compliance (DOC) is issued to the Company and attests that its Safety Management System has been verified as compliant with the ISM Code; it is a necessary condition for the Company to manage ships subject to the ISM Annex. The Safety Management Certificate (SMC) is issued to each ship and attests that it operates in compliance with the approved SMS of the Company holding the DOC.

The two certificates are linked but distinct: a ship cannot hold a valid SMC if the Company managing it does not have a valid DOC for that ship type.

## Regulatory Reference

ISM Code, par. 13 (Certification, Verification and Control) and SOLAS Chapter IX: the DOC is issued by the Flag Administration (or a recognised organisation) to the Company after an external audit; the SMC is issued to the individual ship after verification of compliance with the Company's SMS.

## Scope of Application

Every Company and every ship subject to SOLAS Chapter IX (cargo ships ≥500 GT and passenger ships on international voyages, with extensions under flag State regulations).

## Procedure / How to Complete It

1. Verify the validity and expiry dates of the DOC (Company) and SMC (ship), including the mandatory intermediate audits.
2. Schedule the external renewal audit with sufficient lead time, including a review of internal audit results and the Management Review.
3. Prepare documentary evidence: the NC/CAPA register, Management Review minutes, the internal audit programme, crew training.
4. Address any NCs identified during the external audit with prompt CAPAs, to avoid suspension of the certificate.
5. Keep a copy of the DOC and SMC (or Interim DOC/SMC, if applicable) on board and at the Company's offices.

## Practical Example

Example schedule: DOC issued with 5-year validity, subject to an intermediate audit between the second and third year; SMC issued to the ship with 5-year validity, subject to an intermediate audit between the second and third year of validity — both to be tracked in the ship's survey calendar together with the statutory certificates (IOPP, IAPP, etc.).

## Real Cases

Failure to present a valid DOC or SMC, or the discovery of unresolved major NCs during an external audit, can lead to suspension of the certificate: a ship with a suspended or expired SMC is typically regarded by PSCOs as a very high-risk factor, with a high probability of immediate detention.

## Common Mistakes Mistake Library

Mistake | Consequence | How to avoid it
--- | --- | ---
DOC/SMC intermediate audit forgotten or scheduled late | The certificate is automatically invalidated if the intermediate audit is not conducted within the required window | Track intermediate audit windows in the general survey calendar, not just renewal deadlines
On-board copy of the DOC/SMC not updated after a renewal | PSC deficiency for inconsistent documentation | Verify that the on-board copy is always the latest valid version, replaced immediately after every renewal
Major NCs identified in an external audit not addressed within the required timeframe | Risk of certificate suspension | Treat NCs from external audits with the highest priority and verify CAPAs quickly

## PSC Observations

PSCOs always verify the validity of the DOC and SMC (or their copies/Interim versions on board) as part of basic documentary checks; an expired, suspended or missing certificate is among the most direct causes of detention.

## Operational Tips

- Include DOC/SMC intermediate audit windows in the same calendar used for statutory certificates, not in a separate register.
- Update the on-board copy of the DOC/SMC immediately after every renewal or external audit.
- Give absolute priority to CAPAs linked to NCs identified during an external certification audit.

## Checklist

- Company DOC valid and consistent with the ship types managed
- Ship SMC valid, with an up-to-date copy on board
- DOC/SMC intermediate audits scheduled within the required window
- NCs from the external audit addressed with prompt CAPAs
- Interim DOC/SMC (if applicable) managed under the flag procedure

## FAQ

What is the difference between DOC and SMC?
The DOC is issued to the Company and attests to the compliance of its SMS with the ISM Code; the SMC is issued to the individual ship and attests that it operates according to the approved SMS of the Company holding the DOC.
What happens if the DOC/SMC intermediate audit is not conducted in time?
The certificate can be automatically invalidated if the intermediate audit is not conducted within the required window (typically between the second and third year of validity), requiring a fresh verification for reinstatement.
What is an Interim SMC and when is it used?
It is a provisional certificate, of limited validity (typically up to 6 months), issued to a new ship or one changing management/flag, pending full verification for the full SMC.
🎬 Additional photos, videos and interactive diagrams for this topic will be available in a future version of the platform.

## Related Topics

Internal SMS Audit Designated Person Ashore (DPA)PSC Knowledge Base (IT)

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