What is DOC?

 

DOC stands for Document of Compliance, which is a key certification under the International Safety Management (ISM) Code. The DOC certifies that a shipping company’s Safety Management System (SMS) complies with the requirements of the ISM Code, ensuring safe ship operations and pollution prevention.

Key Points About the DOC:

1. Purpose:

   • The Document of Compliance (DOC) confirms that a shipping company has implemented a functional Safety Management System (SMS) across its fleet and shore-based operations. The SMS must meet the safety and environmental standards outlined by the ISM Code.
   • The DOC is issued to the company, not to individual ships.

2. Issuing Authority:

   • The DOC is issued by the flag state (the country under whose flag the ship is registered) or by a recognized organization (such as a classification society) authorized by the flag state.
   • To receive a DOC, the company undergoes an audit of its entire safety management system to ensure compliance with the ISM Code.

3. Validity and Scope:

   • The DOC is valid for five years, but it is subject to annual audits to verify that the company is maintaining its SMS in compliance with the ISM Code.
   • The DOC applies to the types of ships managed by the company. For example, the DOC will specify whether the company is certified to manage cargo ships, tankers, passenger ships, etc.
   • It must be renewed through a renewal audit at the end of the five-year period.

4. Conditions for Issuance:

   • To obtain a DOC, the company must demonstrate that it has an effective safety management system (SMS) in place, which addresses:
     • Safe operation of ships.
     • Pollution prevention measures.
     • Emergency preparedness.
     • Compliance with national and international regulations.

5. Connection to the Safety Management Certificate (SMC):

   • The DOC is issued to the company, while individual ships under the company’s management must have a corresponding Safety Management Certificate (SMC).
   • The SMC is issued to each ship after an audit confirms that the ship operates in accordance with the company’s SMS.
   • Both the DOC and SMC are essential for ensuring the company and its ships are fully compliant with the ISM Code.

6. Audits and Inspections:

   • A company’s SMS is subject to periodic audits. These include:
     • Initial audit: Before the DOC is issued.
     • Annual audits: To ensure continued compliance with the ISM Code.
     • Renewal audit: Every five years to renew the DOC.
   • Non-compliance with safety standards or failure to pass audits can result in the DOC being suspended or withdrawn, potentially preventing the company from operating its ships internationally.

Importance of the DOC:

• Proof of Compliance: The DOC demonstrates that a shipping company is compliant with international maritime safety and pollution prevention standards.
• Operational Requirement: Without a valid DOC, a company cannot operate ships on international voyages, as it is a mandatory certification under SOLAS and the ISM Code.
• Enhanced Safety and Environmental Performance: The DOC ensures that the company has the necessary systems and processes to manage risks, protect the environment, and ensure the safety of its fleet and crew.

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Summary:

The Document of Compliance (DOC) is a crucial certification for shipping companies, verifying that their Safety Management System (SMS) meets the standards of the ISM Code. It applies to the company as a whole, ensuring that their ships are operated safely and in an environmentally responsible manner. The DOC is essential for international shipping operations, as it is required for ships to obtain their individual Safety Management Certificates (SMC).