After the company obtained the"documents of compliance ", the original edition should be safe kept by designed personnel or his precatory SMS office and send the copy edition to the vessel which in the company system, the captain was responsible for preservation in order to competent authorities inspection; the effective valid time of "documents of compliance " is five years, such effectiveness submitted to annual audit. The company should ensure SMS continue effectiveness working and apply for the annual audit and exchange certificate audit, when obtain "documents of compliance ", the designed personnel or his precatory SMS office is responsible for sending the annual audit endorsement to the vessel, after received it the vessel should put the annual audit endorsements and will prove "copy" meet together deposit for future reference.
5.1.3.审核配合Audit cooperation
5.1.3.1.指定人员接到审核机构审核通知后，保持与审核组的联系，了解审核计划；
Designated personnel after received audit notification from the audit instruction,keep in touch with the audit group to realize the audit plan.
5.1.6.临时审核Temporary audit
若公司增加或管理了新船种的船舶，现有的“符合证明”不再适用于该船种的船舶，指定人员应按《体系文件控制》的规定修改公司SMS文件，并按主管机关审核发证规则规定，申请新船种公司SMS临时审核，以取得“临时符合证明”。“临时符合证明”有效期不超过12个月。指定人员应在临时符合证明到期前的规定时间和要求申请初次审核。
5.1.3.2.岸基相关部门和代表船（如有）按审核计划要求配合审核组完成审核工作；
Shore-based related departments and representative vessel (if any) should cooperate with audit group to complete the audit work according to the audit plan.
Audit application report should be drafted and submitted by designated personnel, which should be according to the provisions of Shipping Company Safety Management System Audit Issuing Rules.
5.1.5.公司在取得“符合证明”后，正本由指定人员或其委托SMS办保管，并将副本寄送给公司体系内船舶，由船长负责保存，以备主管机关查验，“符合证明”证书的有效期五年，其有效性服从于年度审核。公司确保SMS持续有效运行，按规定期限申请年度审核和换证审核，获得“符合证明”年度审核签注后，指定人员或其委托SMS办负责将年度审核签注寄送船舶，船舶收到后将年度审核签注与“符合证明”副本一起存放备查。
4.职责Responsibilities
指定人员负责SMS外审及向审核机构报告SMS情况。
Designate personnel to take charge of SMS external audit and report the SMS situation to audit authorities.
If the company increase or management of a new vessel type, the existing "documents of compliance " no longer applies to this type of vessel, designated personnel should according to <Control of systemdocuments > regulation modification company SMS documents, and according to the competent authority audit certification rules, apply for a new ship corporate SMS interim audit to achieve " interim documents of compliance".
公司与船舶的SMS外部审核。
The SMS external audit of company and vessel.
3.定义Definition
SMS外部审核（简称SMS外审）指主管机关或其授权机构对公司SMS是否符合ISM/NSM规则和国内外强制性规定以及公司和船舶的安全和防污染运行是否符合公司SMS文件规定的审核，包括公司“符合证明”和船舶“安全管理证书”的初次审核、换证审核、年度审核/中间审核和临时审核等。
5.1.4.审核中发现的不符合规定情况，岸基相关部门和船舶应在规定的纠正期限内完成纠正，纠正材料报指定人员，指定人员汇总并上报审核机构验证认可。
TheN.C.which were found in audit working, shore-based related departments and vessels should finish the corrective action in regulation deadline; the corrective material should be reported to designated personnel whom collect and report to audit institutions for validation recognition.
5.2.1.2.备妥审核可能需要的材料。
Prepare material which may need in audit.
5.2.2.审核申请Audit application
审核申请由指定人员按主管机关《航运公司安全管理体系审核发证规则》规定，向主管机关提交；
The audit application should be submitted to the competent authority according to “Shipping Company Safety Management System Audit Issuing Certificate Rules”.
5.2.船舶“安全管理证书”的审核和管理
Audit and management of vessel “safety management certificate”
5.2.1.审核准备Audit preparation
5.2.1.1.完成船舶内审，对内审中发现的不符合规定的情况船舶已纠正完毕；
Completing the internal audit, the relevant department should finish the correct ofN.C.in internal得和保持“符合证明”和“安全管理证书”的有效性。
To obtain and maintain the effectiveness of"documents of compliance "and "safety management certificate".
2.适用范围Scope
Complete company internal audit, theN.C.during the internalauditing have already corrected;
5.1.1.2.已召开SMS有效性评价会并已发出会议决议；
Already held SMS validity evaluation meeting and has issued a conferenceresolution;
SMS external audits refers to the competent authority or its authorized organization to company SMS whether to conform to the rules and NSM ISM/mandatory provisions and the domestic and foreign company and ship safety and pollution prevention operation compliance with company SMS documents prescribed audit, including the initial audit, repeat audit, annual audit/intermediate audit and temporary audit etc. of company “documents of compliance” and ship" safety management certificate ".