How do I get a Document of Compliance (DOC) certificate?
If you want to operate a ship and start a shipping company, you need to get a Document of Compliance (DOC) from the maritime authority of the country under which you want to operate your ship.
The flag can either issue the DOC themselves or authorize an individual or an RO to do it.
An Interim Document of Compliance (Interim DOC) certificate is issued to a new company intending to take over a new vessel or when the company adds a new type of vessel to the existing safety management system.
An interim DOC is issued for a maximum of 12 months
The authorities issue an interim Safety Management System (SMC) to new ships on delivery, when a company takes over the operation of a new vessel, or when a ship changes flag.
A full-term document of compliance (DOC) is issued after reviewing the Safety Management System (SMC) of the company and ensuring that it complies with the requirements of the International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management-ISM CODE).
A full-term document of compliance (DOC) is valid for a period of 5 years.
During a Safety Management Certificate (SMC) audit on board a ship, the authorities may accept a copy of the DOC as evidence that the company's shore-side management structure complies with the provisions of the ISM Code.
Following a successful audit, the authorities issue Safety Management Certificates (SMC) to each vessel if the company holds a valid DOC.
The original SMC should be available onboard, and the company can keep a copy for its official records.
Types of Document of Compliance (DOC)
Getting a Document of Compliance (DOC) is similar to getting a driver's license. Just like you need a specific license to drive a car, truck, or bus, you also need a specific DOC for the type of ship you want to operate. It's not about how many ships you have; it's about what kind they are.
For example, if you want to run 10 chemical tankers, 5 gas carriers, and 10 oil tankers, you only need three DOCs: one for chemical tankers, one for gas carriers, and one for oil tankers.
A DOC certificate is issued for the following types of ships.- Passenger Ship
- Passenger high-speed craft
- Cargo high-speed craft
- Bulk Carrier
- Oil Tanker
- Chemical Tanker
- Gas Carrier
- Mobile offshore drilling unit
- Other Cargo Ships
What are the requirements for obtaining a Document of Compliance (DOC) certificate?
The following are the requirements to apply for a Document of Compliance (DOC)- Company Overview
- List of authorized signatories
- Organizational Structure, including positions, qualifications, and experience
- Designated Person Ashore (DPA) course certificate
- Information about the Types of Ships
- Safety Management System (SMS) Documentation
- Office Address proof (such as a registered rent agreement or sale deed)
- Adequate office space to accommodate staff corresponds to the planned vessel operations, in line with the company's organizational chart.
- Letter from Ship owner for the type of vessel for DOC
- Sufficient staff and office resources to carry out ship management activities
- Company registration documents
- Letter from ship owners if you intend to apply for Indian DOC
What are the manuals required for obtaining a Document of Compliance (DOC) certificate?
The documents listed below need to be provided to the flag or class for examination and kept accessible for inspection at your office.
- SMS manual- Apex Manual
- Company Procedure Manual
- Fleet Procedure Manual
- Office Emergency Manual
- Ship type-specific operational manual & checklist
- Shipboard Operation Manual
Procedure of obtaining Document of Compliance (DOC) certificate:
The procedure to obtain a Document of Compliance (DOC) certificate involves several key steps:- Collect basic information: Start by finding out what type of ship you intend to operate and where it's currently registered. If you have the IMO number, you can also learn about its current flag and class. Discuss with the ship owners what the trading area of the ship will be.
- Engage a Consultant: Hire an experienced consultant. They'll help you work with the maritime authority, prepare all the needed documents, checklists, and statutory manuals, attend the audit, and address the deficiencies if any to make sure the audit goes well for the DOC.
- Appoint a Designated Person Ashore (DPA): Appoint a Designated Person Ashore (DPA) as required by the ISM Code. The DPA is like the link between your company and your ships. They'll watch over the Safety Management System (SMS) and make sure it's working right. He must hold a DPA course training certificate.
- Company IMO no.: Get the IMO identification number of your company for the DOC application
- Set Up a Safety System: Your company must create a good safety management system (SMS) that follows the rules of the ISM Code. This system helps with safe ship operation and preventing pollution.
- Internal Audit: Look at your SMS to see if it's working as it should and follows the ISM Code.
- Apply for DOC: You will then need to contact the relevant maritime authority of the flag state or their authorized representative for a Document of Compliance application. When you apply, you'll need to include the documents mentioned earlier.
- Review of Application: The authority will look at your application and the manuals you sent.
- Office Inspection: The authority will appoint an auditor who coordinates with the company and conducts an inspection at the office.
- Audit Report Submission: If the auditor is happy with the inspection, they'll send a report to the authority. If there are big problems, you'll need to fix them before getting the certificate.
- Review and Issuance: The maritime authority or flag state will look at your application and the audit results. If everything is okay, they'll give you the DOC.
- Validity and Renewal: You may get an interim DOC, which is good for around 6 months, and you can extend it for up to a year. During this time, you need to take over the ship, get it inspected, and follow the ISM rules to get a full-term DOC that lasts for 5 years. An initial audit of a vessel must be carried out within 3 months of taking over a vessel under management.
- Ongoing Compliance: Regular audits and verifications are required to ensure ongoing compliance with the ISM Code. If a major non-conformity is found in the audit, the DOC is withdrawn. The DOC is kept with the company, and a copy is kept on all the ships under that DOC fleet.
It's important to note that the specific requirements and procedures may vary based on the flag state and the maritime authority overseeing the issuance of the DOC. Companies must adhere to the guidelines and regulations established by the respective authority.
What is the fee for obtaining a Document of Compliance (DOC) certificate?
The official fee for obtaining a Document of Compliance (DOC) from a foreign flag ranges from USD 1500 to USD 2500, while the fee for obtaining a DOC from the Indian flag is Rs. 80,000.
FAQS
Have questions about Document of Compliance (DOC) certification?
We have got you covered:
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How long does it take to get a Document of Compliance (DOC) certificate?
Typically, acquiring a DOC for a foreign-flag vessel takes around one month and approximately two months for an Indian-flag vessel.
- Who is DPA?
- What is the role of DPA?
- What is a Safety Management System (SMS)?
- What is a Safety Management Certificate (SMC)?
- What is DDOC?
- What is ship management?
- What are the core functions of ship management?
- Can companies choose to manage ships independently or hire an external ship manager?
- What is a management agreement, and why is it important?
- Is there a standard template for ship management agreements?
- What is involved in the technical management of a ship?
- Why is compliance with the International Safety Management Code crucial for ship management?
- What does the operational management of a ship entail?
- Why is the choice of the flag of registration important in crewing matters?
- Is a ship manager considered an agent or principal in the management contract?
- How does a ship manager ensure efficient fuel management for a vessel?
- What role does insurance play in ship management?
- What should ship owners consider when selecting a ship management company?
