DOC Consultant | Apply Document of Compliance

Overview
Documents
Requirements
Procedure
FAQs

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
Details of the Designated Person Ashore (DPA)
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.
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

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Have questions about Document of Compliance (DOC) certification?

We have got you covered:

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?

According to the International Safety Management (ISM) Code of the International Maritime Organization (IMO), every company operating commercial vessels that are over 500 GRT should appoint one or more individuals ashore who have direct access to the highest management level. Usually, a Master Mariner or CE with DPA and ISM Internal Auditor courses as approved by the flag is required.
What is the role of DPA?

The Designated Person Ashore (DPA) plays a crucial role in establishing and maintaining a well-organized and successful Safety Management System (SMS) on a ship. The DPA's main responsibility is to make sure that the company's maritime fleet follows all the relevant maritime rules and regulations, with a focus on safety. Their specific role is to act as a bridge between the company and the ship's crew, overseeing the safe operation of the vessel.
What is a Safety Management System (SMS)?

Safety Management System (SMS) is a set of safety and quality documents that are used for the safe and effective running & maintenance of a ship.
What is a Safety Management Certificate (SMC)?

Safety Management Certificate (SMC) is certificate issued to a ship after the successful completion of an ISM audit.
What is DDOC?

This is similar to DOC but issued to companies with ships in coastal movement or inland waterways. Domestic Documents of Compliance (DDOC) is issued by DG Shipping under the Domestic Safety Management (DSM) Code to type 3 & 4 river-sea vessels for 500 GT or more.
What is ship management?

Ship management involves overseeing various aspects of ship ownership.
What are the core functions of ship management?

Ship management includes tasks like registration, crewing, insurance, maintenance, and compliance with international regulations.
Can companies choose to manage ships independently or hire an external ship manager?

Yes, companies have the flexibility to operate with an independent ship manager or manage specific functions in-house, depending on their needs and size.
What is a management agreement, and why is it important?

A management agreement is a contract between the shipowner and the independent management company to prevent disputes and misunderstandings regarding ship management.
Is there a standard template for ship management agreements?

Yes, BIMCO has created a template called the Standard Ship Management Agreement (SHIPMAN) that is widely used by shipping companies.
What is involved in the technical management of a ship?

Technical management ensures the ship's structure is well-maintained, and it complies with international regulations like SOLAS and MARPOL.
Why is compliance with the International Safety Management Code crucial for ship management?

Compliance with the ISM Code is essential to avoid potential sanctions resulting from non-compliance.
What does the operational management of a ship entail?

Operational management includes tasks such as bunkering, crewing, appointing port agents, and managing accounting matters.
Why is the choice of the flag of registration important in crewing matters?

The flag of registration affects the minimum safe manning levels, and different countries have varying crewing costs.
Is a ship manager considered an agent or principal in the management contract?

A ship manager is still an agent, while the ship owner remains the principal in the management contract.
How does a ship manager ensure efficient fuel management for a vessel?

A ship manager is responsible for arranging and managing fuel for the ship, considering quantity, quality, and cost factors favorable to the ship owner.
What role does insurance play in ship management?

Insurance is a significant expense, and ship managers must ensure that ships are adequately covered against necessary risks.
What should ship owners consider when selecting a ship management company?

Ship owners should look for management companies or managers with a reputable track record in the maritime industry.

Get a Document of Compliance (DOC) certificate to become a Ship manager

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