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.
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 Code. 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.
DOC and SMC are linked but distinct. Section 13.1 requires the Company to hold a DOC or Interim DOC relevant to the ship. Check the covered ship type, Company identity and ordinary or Interim regime together: a certificate for another ship type is insufficient.
Regulatory Reference
ISM Code, Part B (§§13–14), introduced by MSC.104(73) and subsequently amended, and SOLAS IX. The DOC concerns the Company and authorised ship types; the SMC concerns the individual ship.
DOC validity is subject to annual verification within three months before or after the anniversary date (§13.4). The SMC is subject to at least one intermediate verification: if only one is scheduled for a five-year certificate, it takes place between the second and third anniversaries (§13.8).
Omitted verifications and major NCs may lead to withdrawal under §§13.5 and 13.9; DOC withdrawal also entails withdrawal of associated SMCs/Interim SMCs (§13.5.1). Do not assume that a certificate remains usable pending a decision. Contact the Administration/RO promptly; PSC assessment follows Procedures A.1206(34).
For amendments and certification: IMO index, MSC.273(85) and A.1188(33).
Interim cases (14.1–14.2): DOC for a newly established Company or additional ship types; SMC for a new ship on delivery, a ship newly taken into the Company’s operation or a change of flag. Required verifications still apply: Interim certificates are not an automatic remedy for expired ordinary certificates.
Scope of Application
Every Company and every ship subject to SOLAS Chapter IX, which distinguishes the categories instead of flattening them: passenger ships, including passenger high-speed craft; oil tankers, chemical tankers, gas carriers, bulk carriers and cargo high-speed craft of 500 gross tonnage and above; other cargo ships and mobile offshore drilling units (MODUs) of 500 gross tonnage and above. Government-operated ships used only on non-commercial service fall outside the chapter. Extensions are possible under flag State regulations.
Procedure / How to Complete It
- Keep separate DOC and SMC entries: annual DOC checks within ±3 months; at least one SMC intermediate verification under the certificate’s regime and authority requirements.
- Prepare renewals and verifications with evidence of SMS implementation, audits, reviews and corrective actions.
- Agree findings and deadlines with the Administration/RO; operating conditions cannot be decided unilaterally by the Company.
- Carry an updated DOC copy with endorsements and the ship’s valid SMC, or applicable Interim certificates. The DOC copy need not be authenticated (§13.6); electronic certificates follow flag acceptance.
- If a certificate expires or verification is missed, establish its status and required actions promptly without assuming validity or permission to continue.
Practical Example
The DOC is not “subject to an intermediate audit between the second and third year”: that window belongs to the SMC alone.
Example: five-year DOC and SMC, with only one SMC intermediate verification scheduled. DOC: four annual verifications, each within ±3 months; SMC: intermediate between the second and third anniversaries. Renewals before expiry under the applicable regime. Add any further verifications required by the authority: the example does not exclude them.
What Typically Goes Wrong
Common Mistakes Mistake Library
| Mistake | Consequence | How to avoid it |
|---|---|---|
| Confusing DOC annual and SMC intermediate checks | Missed verifications and validity not assured; possible enforcement | Separate schedules, certificate conditions and Administration/RO coordination |
| Outdated DOC copy or SMC on board | Incomplete documentary evidence | DOC copy with endorsements; valid ship SMC |
| Deferring a major NC without risk control | Danger and possible withdrawal/detention | Immediate action and conditions agreed with the competent authority |
What the PSCO Checks
Operational Tips
- Coordinate the shore calendar with documents actually available on board.
- Check the ship type covered by the DOC, endorsements and SMC status.
- Keep validity, withdrawal, rectification and permission to proceed distinct.
- Check CAPA implementation and effectiveness at assigned deadlines.
Preparation checklist
Educational checklist. This summary supports learning and preparation only. It does not replace the vessel’s approved procedures, manuals, statutory documents, company SMS, or applicable official requirements. Completing it demonstrates neither compliance nor readiness for an inspection: it shows that a list has been read, not that the ship is in order. Always verify the current documents carried on board.
- DOC consistent with Company/ship type and updated copy on board
- Valid ship SMC on board with applicable endorsements
- DOC annual verifications within ±3 months of the anniversary
- At least one SMC intermediate; between second and third anniversaries if the only one on a five-year certificate
- Corrective actions and authority conditions met
- Interim prerequisites and limits checked, if applicable
FAQ
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Last substantive revision of this page: 15 September 2026 · page fingerprint 929218149aa5