DOC年度审核与SMC中间审核按不同时钟运转的地方（ISM规则第13章，MSC.104(73)）
ISM规则把证书分成两张。公司持有符合证明（DOC），船舶持有安全管理证书（SMC）。两张证书的持有人不同，周年日不同，审核窗口打开的时间也不同。
本文讨论决议MSC.104(73)写入ISM规则的B部分第13章。该决议于2002年7月1日生效，把原第13章改为B部分的发证与审核章节，并把证书有效期和审核周期写进了规则正文。后来由MSC.273(85)增加的13.12至13.14也一并讨论。
把两张证书的时钟混在一起读，就会漏掉窗口。不申请DOC年度审核，DOC会被撤销；DOC一旦撤销，该公司的全部SMC随之撤销。只盯着一条船的中间审核日期，公司这边的时钟停了也察觉不到。
DOC签发给公司，船上只放副本
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.
13.2规定DOC的签发主体和期限。签发主体是主管机关、经主管机关认可的组织，或应主管机关请求的另一缔约国政府。期限由主管机关确定，不得超过5年。按13.3，DOC只对证明上注明的船型有效，增加船型须先核实公司对该船型的能力。
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.
13.6写明放在船上的是副本。船长应要求出示副本，供主管机关或认可组织核验，或供SOLAS规则IX/6.2所指的监督使用。副本不需要公证或认证。
DOC年度审核在周年日前后3个月内进行
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.
年度审核窗口以周年日为中心，前后各开3个月。依据是周年日，不是签发日。这个窗口每年回来一次，附录中的DOC格式在换证前留有4次年度审核的签注栏。
主管机关在年度审核中看什么，决议A.1118(30)的指南有写。
4.4.1 Annual safety management audits are to be carried out to maintain the validity of the Document of Compliance and should include examining and verifying the correctness of the statutory and classification records presented for at least one ship of each type to which the Document of Compliance applies.
年度审核会就DOC覆盖的每一种船型至少调取一条船的法定与船级记录。这是公司一侧的审核，但船上的记录作为证据进来。同一指南的4.4.4还要求在年度审核中确认公司是否仍在实际营运DOC上所列的全部船型。
SMC签发给船舶，中间审核在第2个与第3个周年日之间进行
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.
SMC的上限同样是5年。不同的是签发前核实的内容。要先确认公司及其船上管理按经批准的安全管理体系运作，然后才签发。SMC格式上附有DOC适用于该船型的确认，并且只有在DOC有效期间SMC才有效。
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.
中间审核至少一次。只做一次、且SMC有效期为5年时，窗口是第2个周年日与第3个周年日之间。不像年度审核那样围绕周年日前后，而是两个周年日之间整整1年都是窗口。A.1118(30)的4.5.1写明，主管机关可以根据初期运作阶段或不符合项的性质增加中间审核的次数。
把两个时钟并排放在一起是这样的。
| DOC | SMC | |
|---|---|---|
| 签发对象 | 公司 | 船舶 |
| 有效期上限 | 5年 | 5年 |
| 定期审核 | 年度审核，周年日前后3个月 | 中间审核，第2个与第3个周年日之间 |
| 撤销事由 | 未申请年度审核、重大不符合 | 未申请中间审核、重大不符合、DOC被撤销 |
换证审核完成之日决定新证书的到期日
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 of the renewal verification.
这两款同时适用于DOC和SMC。判断标准是换证审核完成之日是否落在原到期日前3个月以内。落在其中，新证书自完成之日起有效，上限为原到期日起5年。早于到期前3个月完成，上限按完成之日起5年计算。完成得越早，下一个到期日越提前。
MSC.273(85)把到期后才完成的情形加为13.12。
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.
即使在到期后完成换证审核，上限仍是原到期日起5年。这一款只写了SMC。
假设现有SMC的到期日是2028年3月31日，把三种情形并排放在一起是这样的。
| 换证审核完成日期 | 适用款 | 新SMC有效起始 | 新SMC到期日上限 |
|---|---|---|---|
| 2028年2月15日（到期前3个月以内） | 13.10 | 完成之日 | 2033年3月31日 |
| 2027年11月20日（早于到期前3个月） | 13.11 | 完成之日 | 2032年11月20日 |
| 2028年4月20日（到期之后） | 13.12 | 完成之日 | 2033年3月31日 |
日期是按条文算出的虚构示例，实际到期日以签发机构写的为准。
也有新证书无法立即放到船上的情形。
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.
换证审核已经完成，但新SMC在到期前没能送到船上，可以在原证书上签注，自到期日起不超过5个月视为有效。13.14针对的是不在预定审核港口的船。只为让船完成驶往该港口的航程，允许不超过3个月的展期，展期后新SMC的上限是展期前的到期日起5年。
不申请审核证书就会被撤销，DOC没了SMC也跟着没了
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-conformity 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.
撤销事由有两项。未申请13.4的年度审核，以及存在对本规则重大不符合的证据。不只是审核不通过，不申请本身就是事由。13.5.1要求DOC被撤销时，相关的SMC和临时SMC全部撤销。公司这边的时钟一停，该公司所有的船一起停。
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-conformity with this Code.
SMC一侧的事由是同样的结构。未申请13.8的中间审核，或存在重大不符合的证据，就撤销。再加上13.5.1，SMC可能从三条路径失效。
需要确认的事
本文只讨论MSC.104(73)的第13章正文和MSC.273(85)增加的13.12至13.14。此后对ISM规则的修正不在讨论范围内。A.1118(30)是给主管机关的指南，不是规则正文。那条船的DOC与SMC上写的到期日、年度审核签注已经盖到第几次、SMC上是否已有中间审核签注，才是实际判断的起点。
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DOC与SMC的周年日不同，审核窗口也各自打开。Bellbook在船舶证书台账里把签发机构、到期日和年度、中间、换证审核日期放在同一行，哪个窗口先关可以直接按到期日读出来。
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