What is the difference between an audit and a survey, and how does an RO handle ISM certificates for non-conformities, extensions, revisions and invalidation?
Short answer
| Survey | Audit | |
|---|---|---|
| Object | the ship’s hardware and condition | the safety management system |
| Standard | prescriptive: SOLAS, Load Lines, MARPOL | goal-based: the ISM Code |
| Method | inspection, measurement, tests | sampled evidence, interviews, observation |
| By | a surveyor | an auditor |
| Output | statutory certificates | the DOC and SMC |
- Survey versus audit: a survey examines structure, machinery and equipment against prescriptive standards (statutory certificates); an audit examines the management system against the goal-based ISM Code by sampled evidence and interviews (DOC and SMC).
- Major non-conformity: a serious threat or no effective implementation; at an initial or renewal audit no certificate until downgraded; at a periodical verification withdrawn (ISM §13.5, §13.9).
- Minor non-conformities: corrected within an agreed time (typically 3 months) and verified; the certificate stands on an accepted plan; an unclosed one escalates to major.
- Extension: up to about 5 months only to reach the audit port, the renewal running from the original expiry; an interim SMC by not more than 6 months (§14.3).
- Revision of an entry: a changed name, address or ship type is verified and the certificate re-issued; a significant change needs an additional audit.
- Invalidation: DOC: missed annual verification, major NC, ship types dropped, identity changed (§13.5); SMC: missed intermediate verification, major NC, DOC lost, flag or company changed, SMS not maintained (§13.9).
Full answer
The full answer explains each point step by step, with the regulations and figures behind it and the discussion from other candidates. It is in the MEO Class I section of the Marine One forum, open to members enrolled for the MEO Class I exam.