Document of Compliance (DOC) & SMC Certification
ISM Code | Safety Management Systems | Maritime Certification
Achieve global maritime safety standards with expert ISM Code compliance for your shipping company and vessels. Lawful Journey specializes in guiding organizations through the entire process of obtaining Document of Compliance (DOC) and Safety Management Certificate (SMC) under the International Safety Management (ISM) Code.
The Document of Compliance (DOC) is a statutory certificate issued to shipping companies by recognized authorities, confirming that their Safety Management System (SMS) meets the requirements of the International Safety Management (ISM) Code. The Safety Management Certificate (SMC) is issued to individual vessels, verifying the effective implementation of the SMS onboard. Both certifications are mandatory for safe and lawful maritime operations, ensuring environmental protection, safety of life at sea, and regulatory conformity.
- Comprehensive SMS development, implementation, and maintenance
- Expert guidance through DOC & SMC audits and certification process
- Gap analysis, internal audits, and audit-ready documentation
- Global compliance for international and domestic shipping operations
Why Choose Document of Compliance (DOC) & SMC Certification?
Obtaining and maintaining a valid DOC and SMC are not just legal requirements—they are critical to safe, efficient, and reputable maritime operations. Non-compliance can lead to detention, penalties, insurance issues, and loss of business. Lawful Journey’s maritime compliance experts offer turnkey solutions, from gap assessment to post-certification support, ensuring your fleet meets the highest safety standards and regulatory obligations.
ISM Code Experts
Our team includes master mariners, ex-flag surveyors, and ISM auditors with 15+ years of experience in maritime safety management and regulatory compliance.
End-to-End SMS Support
We develop, implement, and optimize Safety Management Systems tailored to your fleet type, operations, and trading areas. Includes policy manuals, checklists, and operational procedures.
Comprehensive Documentation
Full suite of ISM-required documents: safety policy, shipboard operations procedures, emergency plans, reporting formats, and records for effective compliance and audit readiness.
Crew & Office Training
Onsite and remote training for shore staff and vessel crews on ISM Code requirements, SMS operation, non-conformity reporting, and emergency preparedness.
Internal Audits & Gap Analysis
Independent gap analysis, mock audits, and internal audit programs to identify and close compliance gaps before the official DOC/SMC audit.
International Standards Compliance
Ensure compliance with IMO, flag state, port state control, and classification society requirements for global trading and reduced risk of port detentions.
What is DOC & SMC? Who Needs It?
The International Safety Management (ISM) Code under SOLAS Chapter IX requires every company operating ships to implement an approved Safety Management System (SMS). The Document of Compliance (DOC) is issued to the company after a successful audit of its shore-based operations. The Safety Management Certificate (SMC) is issued to each vessel after verifying the SMS implementation onboard.
Shipping Companies & Operators
- International ship owners and operators (cargo, tanker, passenger, offshore)
- Domestic shipping companies operating ISM-applicable vessels
- Third-party ship management firms and technical managers
- Fleet operators with mixed ship types and flag states
Applicable Vessels
- Cargo ships of 500 GT and above
- Oil tankers and chemical tankers
- Passenger vessels
- Mobile offshore drilling units
- Special purpose vessels as defined by flag authorities
Compliance Scope
- Initial DOC & SMC certification for new companies/vessels
- Renewal and annual verification audits
- Transfer of flag or management documentation
- Expansion to new vessel types under company SMS
Step-by-Step DOC & SMC Certification Process
Step 1: Safety Management System (SMS) Development
Design and document a customized Safety Management System meeting ISM Code requirements. Develop manuals, procedures, reporting forms, and emergency plans specific to your fleet and operations.
Step 2: Training & Awareness
Train shore staff and shipboard personnel on SMS elements, safety responsibilities, reporting, drills, and compliance procedures. Ensure understanding and competency at all levels.
Step 3: Internal Audit & Gap Analysis
Conduct thorough gap analysis and internal audit against ISM Code requirements. Identify and close compliance gaps, address non-conformities, and ensure readiness for external audit.
Step 4: Certification Audit (DOC Audit)
Coordinate with a Recognized Organization (RO) or Flag State for DOC audit. Demonstrate SMS implementation, documentation, and compliance at company level.
Step 5: SMC Audit for Vessels
Each ship undergoes an SMC audit to verify SMS implementation onboard. Address vessel-specific operational controls, records, and safety drills in compliance with the company’s DOC.
Step 6: Issuance of DOC & SMC
Upon successful audit, the company receives the Document of Compliance (DOC), and each compliant vessel receives a Safety Management Certificate (SMC), valid for up to five years with annual verification.
Step 7: Ongoing Maintenance & Annual Audits
Maintain compliance through annual audits, periodic reviews, continuous crew training, and updates to the SMS as regulations and operations evolve. Lawful Journey provides ongoing support for DOC/SMC renewal and amendments.
Key Documents Required for DOC & SMC Certification
Company & SMS Documentation
- Safety Management Manual (SMM): Comprehensive manual outlining the company’s safety policies, procedures, and ISM Code compliance.
- Company Safety & Environmental Policy: Signed policy statement from top management on safety and environmental protection.
- Responsibility Matrix: Defined roles, authority, and responsibilities for shore and shipboard personnel.
- Procedures for Reporting Non-Conformities: Documented process for identifying, reporting, and correcting safety issues.
- Internal Audit Program: Schedule and methodology for regular internal audits of the SMS.
- Management Review Records: Minutes and actions from periodic management reviews of SMS performance.
Vessel Documentation
- Vessel-Specific SMS Procedures: Operational and safety procedures tailored to each vessel’s type and trade.
- Emergency Preparedness Plans: Plans for shipboard emergencies including fire, pollution, and abandonment.
- Drill & Training Records: Logs and records of safety drills and onboard training activities.
- Maintenance & Inspection Records: Schedules and records of preventive maintenance and equipment inspections.
- Muster Lists & Crew Certificates: Updated muster lists and proof of crew qualifications, medicals, and certificates.
- Incident & Accident Reports: Records of onboard incidents, investigations, corrective and preventive actions.
Legal & Regulatory Compliance
- Company Registration & Licenses: Valid business registration, licenses, and flag state authorizations.
- Classification Society Certificates: Class certificates for company and each vessel, as applicable.
- Statutory Certificates: All mandatory statutory and regulatory certificates for fleet operations.
- Previous Audit Reports: Reports from past ISM, PSC, or class audits and evidence of corrective actions.
Why Choose Lawful Journey?
Certified Maritime Experts
Our consultants are ISM Code specialists, ex-flag auditors, and master mariners with global experience in DOC/SMC certification for all vessel types.
Full Certification Lifecycle Support
From SMS creation to audit preparation, we support you through initial certification, annual verifications, renewals, and any required amendments.
Crew & Office Training
Practical, up-to-date training for management and seafarers on ISM requirements, audit expectations, and incident management.
Fast-Track DOC/SMC Certification
Streamlined process management enables timely completion, with typical initial certification within 60-90 days (depending on readiness).
Risk Mitigation & Audit Readiness
Robust compliance systems and audit support to reduce risk of port state detention, legal penalties, or operational interruptions.
Frequently Asked Questions
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The Document of Compliance (DOC) is a certificate issued to a shipping company by an authorized body, confirming that its Safety Management System (SMS) complies with the International Safety Management (ISM) Code. It is a mandatory requirement for companies operating ships of 500 GT and above engaged in international voyages.
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The Safety Management Certificate (SMC) is issued to an individual ship, confirming that the SMS has been implemented onboard and complies with the ISM Code. Each vessel must have a valid SMC to operate legally.
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All companies and ships subject to the ISM Code, including cargo ships, tankers, passenger vessels, and offshore units of 500 GT and above, are required to hold a valid DOC (for the company) and SMC (for each vessel).
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The DOC and SMC are valid for up to five years, with annual verification audits required. Renewal audits must be completed before expiry to maintain compliance.
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Lawful Journey offers complete end-to-end services including SMS development, documentation, internal audits, training, pre-audit preparation, and post-certification support to ensure seamless DOC and SMC certification for your fleet.
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Non-compliance can lead to DOC/SMC suspension or withdrawal, vessel detention, regulatory fines, insurance issues, reputational damage, and even criminal liability in case of incidents.
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The SMS covers company safety and environmental policies, operational procedures, emergency preparedness, reporting protocols, crew training, and continuous improvement mechanisms—all required by the ISM Code.
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Typical certification takes 60-90 days depending on company readiness, fleet size, and prior compliance status. Lawful Journey expedites the process with proven methodologies and close coordination with recognized authorities.
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Yes, we provide continuous support for annual DOC/SMC audits, corrective action closure, and smooth recertification, ensuring uninterrupted compliance for your shipping operations.
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