ISM Code Certification and Verification Requirements for Document of Compliance (DOC), Interim DOC, Safety Management Certificate (SMC) & Interim SMC
International Safety Management Code (ISM Code) is the International Management Code for the Safe Operation of Ships and Pollution Prevention, as adopted by the IMO assembly. Adopted in November 1993, the ISM Code came into force in July 1998. It is part of the SOLAS Chapter IX - Management for the Safe Operation of Ships. The latest amended version came into force on January 1, 2015.
According to the provisions of the ISM code, the respective maritime administrations issue a Document of compliance (DOC) to the company. They can also issue Safety Management Certificates (SMC) after ensuring that the company operates a Safety Management System (SMS) in compliance with the ISM Code.
A Document of Compliance (DOC) is issued when the companies are compliant with the shore-side aspects of the SMS and the ISM Code. The DOC is specific to the ship type(s) for which the SMS is implemented at the time of audit process.
An Interim Document of Compliance (Interim DOC) certificate is issued to help set up a company’s safety management system when a company is new or when the company adds a new vessel type to the existing safety management system and the DOC.
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 an SMC to each vessel if the company holds a valid DOC. Original SMC should be available onboard, and the company can keep a copy for its official records.
The authorities can issue an interim SMC to new ships on delivery, when a company takes on responsibility for the operation of a new vessel, or when a ship changes flag.
Contents - Part B
- Section 13 - Certification and Periodical Verification
- Section 14 - Interim Certification
- Section 15 - Verification
- Section 16 - Forms of Certificates
Also Check Training Programs:
- ISM-ISPC-MLC Internal Auditor Training Online
- ISM Lead Internal Auditor Online Certification
- DPA Designated Person Ashore (DNV Certified) Training Online
- UK MCA Ship Security Officer (SSO) Training Online
- Cyprus (EU) Ship Security Officer (SSO) Training Online
- Company Security Officer (CSO) Training Online
- Port Pacility Security Officer (PFSO) Training Online
- STCW Courses Online
- Classroom CSO Training in UK
- Classroom PFSO & PFSO Refresher Training in UK
- ISM Awareness Course Online (ABS Approved)
ISM Code Certification and Verification
Part B (Section 13) Certification and Periodical Verification
13. Certification and Periodical Verification
ISM Code Section regarding requirements for Document of Compliance (DOC) and Safety Management Certificate (SMC)
13.1 The ship should be operated by a Company which has been issued with a Document of Compliance or with an Interim Document of Compliance in accordance with paragraph 14.1, relevant to that ship.
13.2 The Document of Compliance should be issued by the Administration, by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government to the Convention to any Company complying with the requirements of this Code for a period specified by the Administration which should not exceed five years. Such a document should be accepted as evidence that the Company is capable of complying with the requirements of this Code.
13.3 The Document of Compliance is only valid for the ship types explicitly indicated in the document. Such indication should be based on the types of ships on which the initial verification was based. Other ship types should only be added after verification of the Company’s capability to comply with the requirements of this Code applicable to such ship types. In this context, ship types are those referred to in regulation IX/1 of the Convention.
13.4 The validity of a Document of Compliance should be subject to annual verification by the Administration or by an organization recognized by the Administration or, at the request of the Administration by another Contracting Government within three months before or after the anniversary date.
13.5 The Document of Compliance should be withdrawn by the Administration or, at its request, by the Contracting Government which issued the document, when the annual verification required in paragraph 13.4 is not requested or if there is evidence of major non-conformities with this Code.
13.5.1 All associated Safety Management Certificates and/or Interim Safety Management Certificates should also be withdrawn if the Document of Compliance is withdrawn.
13.6 A copy of the Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the document is not required to be authenticated or certified.
13.7 The Safety Management Certificate should be issued to a ship for a period which should not exceed five years by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. The Safety Management Certificate should be issued after verifying that the Company and its shipboard management operate in accordance with the approved safety management system. Such a certificate should be accepted as evidence that the ship is complying with the requirements of this Code.
13.8 The validity of the Safety Management Certificate should be subject to at least one intermediate verification by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. If only one intermediate verification is to be carried out and the period of validity of the Safety Management Certificate is five years, it should take place between the second and third anniversary date of the Safety Management Certificate.
13.9 In addition to the requirements of paragraph 13.5.1, the Safety Management Certificate should be withdrawn by the Administration or, at the request of the Administration, by the Contracting Government which has issued it when the intermediate verification required in paragraph 13.8 is not requested or if there is evidence of major non-conformities with this Code.
13.10 Notwithstanding the requirements of paragraphs 13.2 and 13.7, when the renewal verification is completed within three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of expiry of the existing Document of Compliance or Safety Management Certificate.
13.11 When the renewal verification is completed more than three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of completion the renewal verification.
13.12 When the renewal verification is completed after the expiry date of the existing Safety Management Certificate, the new Safety Management Certificate should be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing Safety Management Certificate.
13.13 If a renewal verification has been completed and a new Safety Management Certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate, the Administration or organization recognized by the Administration may endorse the existing certificate and such a certificate should be accepted as valid for a further period which should not exceed five months from the expiry date.
13.14 If a ship at the time when a Safety Management Certificate expires is not in a port in which it is to be verified, the Administration may extend the period of validity of the Safety Management Certificate but this extension should be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so. No Safety Management Certificate should be extended for a period of longer than three months, and the ship to which an extension is granted should not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new Safety Management Certificate. When the renewal verification is completed, the new Safety Management Certificate should be valid to a date not exceeding five years from the expiry date of the existing Safety Management Certificate before the extension was granted.
Part B (Section 14) Interim Certification
Section regarding requirements for Interim DOC and Interim SMC
14.1 An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:
.1 a Company is newly established; or
.2 new ship types are to be added to an existing Document of Compliance,
following verification that the Company has a safety management system that meets the objectives of paragraph 1.2.3 of this Code, provided the Company demonstrates plans to implement a safety management system meeting the full requirements of this Code within the period of validity of the Interim Document of Compliance. Such an Interim Document of Compliance should be issued for a period not exceeding 12 months by the Administration or by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. A copy of the Interim Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the document is not required to be authenticated or certified.
14.2 An Interim Safety Management Certificate may be issued:
.1 to new ships on delivery;
.2 when a Company takes on responsibility for the operation of a ship which is new to the Company; or
.3 when a ship changes flag.
Such an Interim Safety Management Certificate should be issued for a period not exceeding 6 months by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government.
14.3 An Administration or, at the request of the Administration, another Contracting Government may, in special cases, extend the validity of an Interim Safety Management Certificate for a further period which should not exceed 6 months from the date of expiry.
14.4 An Interim Safety Management Certificate may be issued following verification that:
.1 the Document of Compliance, or the Interim Document of Compliance, is relevant to the ship concerned;
.2 the safety management system provided by the Company for the ship concerned includes key elements of this Code and has been assessed during the audit for issuance of the Document of Compliance or demonstrated for issuance of the Interim Document of Compliance;
.3 the Company has planned the internal audit of the ship within three months;
.4 the master and officers are familiar with the safety management system and the planned arrangements for its implementation;
.5 instructions, which have been identified as being essential, are provided prior to sailing; and
.6 relevant information on the safety management system has been given in a working language or languages understood by the ship’s personnel.
ISM Code Part B (Section 15) Verification
Section regarding the verification process
15.1 All verifications required by the provisions of this Code should be carried out in accordance with procedures acceptable to the Administration, taking into account the guidelines developed by the Organization*.
* Refer to the Revised Guidelines on implementation of the International Safety Management (ISM) Code by Administrations adopted by the Organization by resolution A.1071 (28)
ISM Code Part B (Section 16) Forms of Certificates
ISM Code section regarding the certificate formats and any limitations
16.1 The Document of Compliance, the Safety Management Certificate, the Interim Document of Compliance and the Interim Safety Management Certificate should be drawn up in a form corresponding to the models given in the appendix to this Code. If the language used is neither English nor French, the text should include a translation into one of these languages.
16.2 In addition to the requirements of paragraph 13.3 the ship types indicated on the Document of Compliance and the Interim Document of Compliance may be endorsed to reflect any limitations in the operations of the ships described in the safety managing system.
Disclaimer: For general information purpose only - please check IMO ISM Code & SOLAS Convention for the latest requirements and accurate info
LAST UPDATED ON Sep 28, 2022