The Document of Compliance (DOC) is a statutory certificate issued under the International Safety Management (ISM) Code, made mandatory by SOLAS Chapter IX. It certifies that a shipping company (the company responsible for ship operation) has an effective Safety Management System (SMS) that meets IMO requirements.
What is the DOC?
The DOC is issued to a company, not to an individual ship. It proves that the company has:
A functioning Safety Management System (SMS).
Procedures to ensure safe ship operations.
Systems to prevent human injury, loss of life, and damage to the marine environment.
Who Issues the DOC?
Issued by the Flag State Administration of the company’s ships.
Often delegated to a Recognized Organization (RO) such as a classification society.
Scope of the DOC
A company’s DOC will specify:
The types of ships it is permitted to operate (e.g., Bulk Carriers, Oil Tankers, Gas Carriers, Passenger Ships, etc.).
The office address and details of the company responsible for managing safety.
Each company must hold at least one valid DOC covering all ship types it manages.
Validity and Surveys
The DOC is valid for 5 years, subject to annual verification.
Annual audits confirm continued compliance with the ISM Code.
Renewal audits must be completed before expiry.
Display and Certification Onboard
Ships operated by the company must carry a copy of the DOC onboard.
This copy must be certified and indicate the ship type covered.
Why the DOC is Important
- Regulatory Compliance – Mandatory under SOLAS and ISM Code.
- Safety Culture – Demonstrates that the company has robust safety and environmental procedures.
- Port State Control (PSC) Requirement – Ships without a DOC may be detained.
- Commercial Requirement – Charterers and insurers expect DOC compliance.
Conclusion
The Document of Compliance (DOC) is the cornerstone of the ISM Code, certifying that a shipping company has a functioning, auditable Safety Management System. It connects the shore-based office with the ships it manages, ensuring that safety and environmental protection are prioritized in every operation.
