DURATION OF MANAGEMENT SYSTEMS AUDIT
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1. DEFINITIONS
2. APPLICATION
2.1 General
2.2 Audit duration
2.3 Audit days
2.4 Calculation of the effective number of personnel
3. METHODOLOGY FOR DETERMINING AUDIT TIME
4. INITIAL MANAGEMENT SYSTEMS CERTIFICATION AUDITS (Stage 1 plus Stage 2)
5. SURVEILLANCE
6. RECERTIFICATION
7. FACTORS FOR ADJUSTMENTS OF AUDIT DURATION
8. TEMPORARY SITES
9. MULTI-SITE AUDIT DURATION
10. CONTROL OF EXTERNALLY PROVIDED FUNCTIONS OR PROCESSES (OUTSOURCING)
Annex A - Quality Management Systems (ISO 9001, ISO/TS 29001, Technical Regulation of Customs Union - TR CU 032
2013), EMS and OH&S MS
Annex B – Environmental Management System and Occupational Health and Safety Management System
Annex C – Factors affecting the Management System audit duration
2
1. DEFINITIONS
1.1
Management systems certification scheme
Conformity assessment system related to management systems to which the same specified
requirements, specific rules and processes apply.
1.2
Client organization
Entity or defined part of an entity operating a management system.
1.3
Permanent site
Location (physical or virtual) where a client organization performs work or provides a service on
a continuing basis.
1.4
Temporary site
Location (physical or virtual) where a client organization performs specific work or provides a
service for a finite period of time and which is not intended to become a permanent site.
1.5
Audit time
Time needed to plan and accomplish a complete and effective audit of the client organization’s
management system.
1.6 Duration of management system certification audits
Part of audit time spent conducting audit activities from the opening meeting to the closing
meeting, inclusive.
Note: Audit activities normally include:
 conducting the opening meeting
 performing document review while conducting the audit
 communicating during the audit
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assigning roles and responsibilities of guides and observers
collecting and verifying information
generating audit findings
preparing audit conclusions
conducting the closing meeting
1.7 Audit day
The duration of an audit day is normally 8 hours and may not include a lunch break depending
upon local legislation.
1.8 Effective number of personnel
The effective number of personnel consists of all personnel involved within the scope of
certification including those working on each shift. When included within the scope of
certification, it shall also include non-permanent (e.g. contractors) and part time personnel.
1.9 Risk category (QMS only)
For QMS, the provisions in this document are based on three categories, dependant on the risks
posed by failure of the product or service of the client organization. These categories can be
considered as high, medium or low risk. High risk activities (e.g. nuclear, medical,
pharmaceutical, food, construction) normally require more audit time. Medium risk activities
(e.g. simple manufacturing) are likely to require the average time to carry out an effective audit
and low risk activities less time. (See Annex A, Table 1).
1.10 Complexity category (EMS and OH&S MS only)
For EMS and OH&S MS, the provisions specified in this document are based on five primary
complexity categories of the nature, number and gravity of the environmental aspects and risks
of an organization that fundamentally affect the audit time. (See Annex B, Table 1).
2. APPLICATION
2.1
General
In determining the audit time C-IMS Certification considers among others the following aspects:
a) requirements of the relevant management system standard or requirements based on modules
of CONTSTAND scheme (see document I-07);
b) complexity of the client’s organization and management system;
c) technological and regulatory context;
d) any outsourcing of any activities included in the scope of the management system;
e) results of any prior audits;
f) size and number of sites and multi-site considerations;
g) risks associated with products, processes or activities of the organization;
h) whether the audits are combined, joint or integrated.
C-IMS Certification does not apply specific criteria for a specific certification scheme.
In certification of management systems against standards ISO 9001, ISO/TS 29001, ISO 14001
and OHSAS the time spent by any team member that is not assigned as an auditor (i.e. technical
experts, translators, interpreters, observers and auditors-in-training) is not included into the
established above duration of an audit. In an assessment of a QMS based on modules of
CONTSTAND scheme the time spent by a technical expert is included into the audit time.
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NOTE The use of translators and interpreters can necessitate additional audit time.
2.2
Audit duration
The audit time for all types of audits includes the total time on-site at a client's location and time
spent off-site carrying out planning, document review, interacting with client personnel and
report writing.
The duration of a management system certification audit should typically not be less than 80% of
the audit time calculated following the Table 1 of Annex A (QMS - ISO 9001:2008 and ISO/TS
29001:2010 or a module of CONTSTAND scheme) and Table1, Annex B (EMS and OH&S
MS).This applies to initial, surveillance and recertification audits.
Travel (en-route or between sites) and any breaks are not included in the on-site duration of
management system certification audits.
2.3
Audit days
Tables 1 of Annexes A and B present audit durations calculated in auditor days on the basis of 8
hours per day. To comply with local legislation for lunch breaks and working hours it may be
needed to adjust the number of days, to achieve the same total number of auditing hours
presented in Annexes A and B.
The number of auditor days allocated shall not be reduced at the planning stages by
programming longer hours per working day. Consideration can be made to allow efficient
auditing of shift activities which may require additional hours in a working day.
If after the calculation the result is a decimal number, the number of days should be adjusted to
the nearest half day (e.g. 5.3 audit days becomes 5.5 audit days, 5.2 audit days becomes 5 audit
days).
To help ensure the effectiveness of the audit, C-IMS Certification should also consider the
composition and size of the audit team (e.g. ½ day with 2 auditors may not be as effective as a
one day audit with 1 auditor or 1 audit day with one lead auditor and one technical expert is more
effective than 1 auditor day without the technical expert).
2.4
Calculation of effective number of personnel
The effective number of personnel is used as a basis for the calculation of audit time.
Consideration for determining the effective number of employees include part-time personnel
and employees partially in scope, those working on shifts, administrative and all categories of
office staff, repetitive processes.
2.4.1 Part time personnel and employees partially in scope
Dependent upon the hours worked, part time personnel numbers and employees partially in
scope may be reduced or increased and converted to an equivalent number of full time personnel.
(e.g., 30 part time personnel working 4 hours/day equates to 15 full time personnel.)
2.4.2 Repetitive process within scope
When a high percentage of personnel perform certain activities/positions that are considered
repetitive (e.g. cleaners, security, transport, call centers, etc.) a reduction to the number of
personnel which is coherent and consistently applied on a company to company basis within the
scope of certification is permitted.
2.4.3 Shift work employees
C-IMS Certification determines the duration and timing of the audit which will best assess the
effective implementation of the management system for the full scope of the client activities,
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including the need to audit outside normal working hours and various shift patterns. This shall be
agreed with the client.
3. METHODOLOGY FOR DETERMINING AUDIT TIME
The methodology used as a basis for the calculation of audit time of management systems for an
initial audit (stage 1 + stage 2) involves the utilization of tables presented in Annex A, Annex B
and Annex C for management systems audits. Table 1, Annex A (for QMS) is based solely upon
the effective number of personnel and the level of risk, but does not provide minimum or maxim
audit time. Table 1, Annex B (for EMS and OH&S MS), besides the effective number of
personnel, is based also on the environmental complexity of the organization or on occupational
health and safety risks and does not provide minimum or maximum audit time.
Table 2, Annex B describes complexity categories of environmental aspects and their links with
business sectors.
Table 3, Annex B describes complexity categories of occupational health and safety risks and
their links with business sectors.
Using a suitable multiplier, the same tables may be used as the base for calculating audit duration
for surveillance audits (clause 4) and recertification audits (clause 6).
C-IMS Certification has processes that provide for the allocation of adequate time for auditing of
relevant processes of the client. Experience has shown that apart from the number of personnel,
the time required to carry out an effective audit depends upon other factors for QMS as well as
for EMS and OH&S MS. These factors are described in clause 6. The audit time and justification
for this determination are written down in KF-07 q/e/hs/og/i “Application review”.
This instruction lists the provisions which should be considered when establishing the amount of
time needed to perform an audit. All factors shall be examined by C-IMS Certification during the
contract review process and after Stage 1 and throughout the certification cycle and at
recertification for their potential impact on the audit duration regardless of the audit type.
Therefore the relevant tables for QMS, EMS and OH&S MS which demonstrate the relationship
between effective number of personnel and complexity cannot be used in isolation. These tables
provide the framework for audit planning and therefore required adjustments for the
determination of audit time for all types of audits.
The starting point for determining audit time of management systems shall be identified based on
the effective number of personnel, then adjusted for the significant factors applying to the client
to be audited, and attributing to each factor an additive or subtractive weighting to modify the
base figure. In every situation the basis for the establishment of audit time of management
systems including adjustments made shall be recorded in the form KF-07q/e/hs/i “Application
review sheet” and in the Annex of CF-02 “Audit plan”. C-IMS Certification ensures that any
variation in audit time does not lead to a compromise on the effectiveness of audits. Where
product or service realization processes operate on a shift basis, the extent of auditing of each
shift depends on the processes done on each shift, and the level of control of each shift that is
demonstrated by the client. To audit effective implementation, at least one of the shifts shall be
audited. The justification for not auditing the other shifts is documented in “Application review
sheet” (forms KF-07 q/e/hs) and in the Annex of CF-02 “Audit plan”.
The reduction of audit time of management systems shall not exceed 30% of the times established
from Tables 1of Annexes A and B.
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4. INITIAL MANAGEMENT SYSTEMS CERTIFICATION AUDITS (STAGE 1 PLUS
STAGE 2)
Determination of audit time of management systems involved in combined offsite activities
should not reduce the total on-site duration of management systems audits to less than 80% of
the audit time calculated from the tables following the methodology in Section 3. Where
additional audit time is required for planning and/or report writing, this will not be justification
for reducing the on-site duration of management systems certification audits.
Table 1, Annex A and Table 1, Annex B provide a starting point for estimating the audit time of
an initial audit (Stage 1 + Stage 2) for QMS, EMS and OH&S MS respectively.
The audit time determined by C-IMS Certification and the justification for the determination is
recorded in the form KF-07q/e/hs/I “Application review sheet”. This calculation shall include
details on the time to be allocated to cover the entire scope of certification.
C-IMS Certification shall provide the audit time determination and the justification to the client
organization as part of the contract.
5. SURVEILLANCE
During the initial three year certification cycle, surveillance audit duration for a given 2), with the
total amount of time spent annually on surveillance being about 1/3 of the time spent on the
initial certification audit. C-IMS Certification shall obtain an update of client data related to its
management system as part of each surveillance audit. The planned audit time of a surveillance
audit shall be reviewed at least at every surveillance and recertification audit to take into account
changes in the organization, system maturity, etc. The evidence of review including any
adjustments to the audit time of management systems audits shall be recorded in the Annex of
CF-02 “Audit plan”.
6. RECERTIFICATION
The audit time of the recertification audit should be calculated on the basis of the updated
information of the client and is normally approximately 2/3 of the time that would be required for
an initial certification audit (Stage 1 + Stage 2) of the organization if such an initial audit were to
be carried out at the time of recertification (i.e. not 2/3 of the original time spent on the initial
audit). The audit time shall take account of the outcome of the system performance review. The
review of system performance does not itself form part of the audit time for recertification audits.
7 . FACTORS FOR ADJUSTMENTS OF AUDIT DURATION
The starting point for determining audit duration shall be identified based on the effective number
of personnel, then adjusted for the significant factors applying to the client to be audited, and
attributing to each additive or subtractive factor, which is to modify the base figure.
Factors affecting the audit duration are described in the Annex C. The reduction of the audit
duration shall not exceed 30% of time determined according to Tables 1, Annexes A and B.
Calculation of the audit duration of integrated management systems is conducted in concordance
with requirements of procedure PR/27 “Integrated management system audit”, in this case the
audit duration can be reduced by 20%.
The total reduction of the audit duration taking into account the above-stated factors can be not
more than 50% of the normative figures. In every situation the basis for determination of the
audit duration including adjustments made shall be recorded. The reasons for adjustment of the
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audit duration shall be written down by the certification manager in the application review sheet
KF-07q/e/hs/i and in Appendix to form CF-02 for all audit types.
8. TEMPORARY SITES
In situations where the certification applicant or certified client provides their product(s) or
service(s) at temporary sites, such sites shall be incorporated into the audit programmes.
Temporary sites could range from major project management sites to minor service/installation
sites. The need to visit such sites and the extent of sampling should be based on an evaluation of
the risks of the failure of the QMS to control product or service output or on an evaluation of the
risks of the failure of the EMS and OH&S MS.
Typically audits of temporary sites are performed on-site. However, the following methods could
be considered as alternatives to replace some on-site audits:
- Interviews or progress meetings with the client and/or its customer in person;
- Document review of temporary site activities;
In each case, the method of audit should be fully documented and justified in terms of its
effectiveness.
9. MULTI-SITE AUDIT DURATION
In the case of a management system operated over multiple sites it is necessary to establish if
sampling is permitted or not.
9.1 For certification of multiple sites where sampling is not permitted, the starting point for
calculating audit time of the management system is the total involved on all of the sites, consistent
with Tables 1, Annexes A and B.
The proportion of the total time spent on each site shall take into account situations where certain
management system processes are not relevant to the site.
9.2 For certification of multiple sites where sampling is permitted, requirements to multi-site
audits are described in instruction I-11 “Multi-site certification”. In this case the instruction I-11
shall be used to select sites to be sampled prior to applying the present instruction to each selected
site. The total time should never be less than that which would have been calculated for the size
and complexity of the operation if all the work had been undertaken at a single site.
10. CONTROL OF EXTERNALLY PROVIDED FUNCTIONS OR PROCESSES
(OUTSOURCING)
If an organization outsources part of its functions or processes, it is the responsibility of C-IMS
Certification to obtain evidence that the organization has effectively determined the type and extent
of controls to be applied in order to ensure that the externally provided functions or processes do
not adversely affect the effectiveness of the Management System, including the organization’s
ability to consistently deliver conforming products and services to its customers or to control its
environmental aspects and commitments to compliance with legal requirements.
C-IMS Certification will audit and evaluate the effectiveness of the client's management system in
managing any supplied activity and the risk this poses to the delivery of objectives, customer and
conformity requirements. This may include gathering feedback on the level of effectiveness from
suppliers. However auditing the supplier’s management system is not required, considering that it is
included in the scope of the organization’s management system only the control of the supplied
activity, and not the performance of the activity itself. From this understanding of risk any
additional audit time shall be determined.
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ANNEX A
Table 1 - Quality Management Systems (ISO 9001; ISO/TS 29001, Technical
Regulation of Customs Union - TR CU 032 2013)
Relationship between effective number of personnel and audit duration
(Initial Audit only)
Effective Number of
Personnel
Audit Duration
Stage 1 + Stage 2 (days)
Effective Number of
Personnel
1-5
6-10
11-15
16-25
26-45
46-65
66-85
86-125
126-175
176-275
276-425
426-625
1.5
2
2.5
3
4
5
6
7
8
9
10
11
626-875
876-1175
1176-1550
1551-2025
2026-2675
2676-3450
3451-4350
4351-5450
5451-6800
6801-8500
8501-10700
>10700
Audit Duration
Stage 1 + Stage 2
(days)
12
13
14
15
16
17
18
19
20
21
22
Follow progression above
Risk categories:
High risk
Where failure of the product or service causes economic catastrophe or puts life at risk.
Examples include but are not limited to:
Food; pharmaceuticals; aircraft; shipbuilding; load bearing components and structures;
complex construction activity; electrical and gas equipment; medical and health services;
fishing; nuclear fuel; chemicals, chemical products and fibres.
Medium risk
Where failure of the product or service could cause injury or illness.
Examples include but are not limited to:
Non load bearing components and structures; simple construction activities; basic metals and
fabricated products; non-metallic products; furniture; optical equipment; leisure and
personal services.
Low risk
Where failure of the product or service is unlikely to cause injury or illness.
Examples include but are not limited to:
Textiles and clothing; pulp, paper and paper products; publishing; office services; education;
retailing, hotels and restaurants.
Note 1: It is expected that business activities defined as low risk may require less audit time than the
time calculated using Table 1A, activities defined as medium risk will take the time calculated
using 1A, and activities defined as high risk will take more time.
Note 2: If a company is providing a mixture of business activities (eg: construction company that builds
simple construction – medium risk - and bridges – high risk), it is up to C-IMS Certification to
determine the correct audit time, taking into consideration the number of personnel involved in
each of the activities.
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ANNEX B
Table 1 - Environmental Management Systems and Occupational Health &
Safety Management Systems
Relationship between effective number of personnel, complexity and audit duration
(Initial Audit only)
Effective Number of
Personnel
Audit Duration
Stage 1 + Stage 2
(days)
High
1-5
6-10
11-15
16-25
26-45
46-65
66-85
86-125
126-175
176-275
276-425
426-625
3
3.5
4.5
5.5
7
8
9
11
12
13
15
16
Med
Low
Complexity
2.5
2.5
3
3
3.5
3
4.5
3.5
5.5
4
6
4.5
7
5
8
5.5
9
6
10
7
11
8
12
9
Effective Number of
Personnel
Lim
2.5
3
3
3
3
3.5
3.5
4
4.5
5
5.5
6
Audit Duration
Stage 1 + Stage 2
(days)
High
626-875
876-1175
1176-1550
1551-2025
2026-2675
2676-3450
3451-4350
4351-5450
5451-6800
6801-8500
8501-10700
>10700
17
19
20
21
23
25
27
28
30
32
34
Med
Low
Complexity
13
10
15
11
16
12
17
12
18
13
19
14
20
15
21
16
23
17
25
19
27
20
Follow progression above
Lim
6.5
7
7.5
8
8.5
9
10
11
12
13
14
Complexity categories of environmental aspects
High -environmental aspects with significant nature and gravity (typically manufacturing or
processing type organizations with significant impacts in several of the environmental aspects);
Medium -environmental aspects with medium nature and gravity (typically manufacturing
organizations with significant impacts in some of the environmental aspects);
Low - environmental aspects with low nature and gravity (typically organizations of an assembly
type environment with few significant aspects);
Limited -environmental aspects with limited nature and gravity (typically organizations of an
office type environment);
Special - these require additional and unique consideration at the audit planning stage.
Complexity categories of occupational health and safety risks:
Limited – absence of hazardous production facilities; technological processes of low intensity;
absence of hazardous substances; optimum production environment; no hazardous operations.
Low – singular occurrence of hazardous production facilities, registered in supervisory bodies;
technological processes of low intensity; low quantity of hazardous substances; acceptable
production environment; certain periodic operations of major hazard.
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Medium – several technical devices of one type, applied in hazardous production facilities;
technological processes of medium intensity; medium quantity of hazardous substances;
hazardous production environment; regular operations of major hazard.
High – technical devices, applied in hazardous production facilities, are more than one and of
different types; technological processes of high intensity; high quantity of hazardous substances;
hazardous production environment; regular operations of major hazard.
Very high – technical devices, applied in hazardous production facilities, are more than one and
of different types; complex technological processes of high intensity, high quantity of hazardous
substances of I-II class, hazardous production environment; regular operations of major hazard
and high complexity.
Table 1 of this Annex covers the above four top complexity categories: high, medium, low and
limited, and does not cover “special cases” category. The audit time of management system
audits shall be developed and justified on an individual basis in these special cases.
Tables 2 and 3 provide the link between the five complexity categories above and the industry
sectors that would typically fall into that category.
Table 2 (EMS)
Complexity category
High
Medium
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Business sector
Mining and quarrying
Oil and gas extraction
Tanning of textiles and clothing
Pulping part of paper manufacturing including paper recycling
Oil refining
Chemicals and pharmaceuticals
Primary productions - metals
Non-metallics processing and products covering ceramics and cement.
Coal based electricity generation
Civil construction and demolition
Hazardous and non hazardous waste processing e.g. incineration
Effluent and sewerage processing
Fishing/farming/forestry
Textiles and clothing except for tanning
Manufacturing of boards, treatment/impregnation of wood and wooden
products
Paper production and printing excluding pulping
Nonmetallic processing and products covering glass, clay, lime etc.
Surface and other chemically based treatment for metal fabricated
products excluding primary production
Surface and other chemically based treatment for general mechanical
engineering
Production of bare printed circuit boards for electronics industry
Manufacturing of transport equipment - road, rail, air, ships
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Non coal based electricity generation and distribution
Gas production, storage and distribution (note extraction is graded
high)
Water abstraction, purification and distribution including river
management (note commercial effluent treatment is graded as high)
Fossil fuel whole sale and retail
Food and tobacco - processing
Transport and distribution - by sea, air, land
Commercial estate agency, estate management, industrial cleaning,
hygiene cleaning, dry cleaning normally part of general business
services
Recycling (utilization), composting, landfill (of non hazardous waste)
Technical testing and laboratories
Healthcare/hospitals/veterinary
Leisure services and personal services excludes hotels/restaurants
Low
Hotels/restaurants
Wood and wooden products excluding manufacturing of boards,
treatment and impregnation of wood
Paper products excluding printing, pulping and paper making
Rubber and plastic injection moulding, forming and assembly –
excludes manufacturing of rubber and plastic raw materials which are
part of chemicals
Hot and cold forming and metal fabrication excluding surface treatment
and other chemical based treatments and primary production
General mechanical engineering assembly excluding surface treatment
and other chemical based treatments
Wholesale and retail
Electrical and electronic equipment assembly excluding manufacturing
of bare printed circuit boards
Limited
Corporate activities and management, HQ and management of holding
companies
Transport and distribution - management services with no actual fleet
to manage
Telecommunications
General business services except commercial estate agency, estate
management, industrial cleaning, hygiene cleaning, dry cleaning
Education services
Special cases
Nuclear
Nuclear electricity generation
Storage of large quantities of hazardous material
Public administration
Local authorities
Organizations with environmental sensitive products or services
Financial institutions
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Table 3 (OH&S MS)
Complexity category
Very high
High
Medium
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Business sector
Nuclear
Nuclear electricity generation
Storage of large quantities of hazardous material
Organizations with products or services of very high risk for
occupational health and safety
Extractive industry and quarrying (including oil and gas exploration)
Tanning of textiles and clothing
Production of coke and refined oil products
Chemicals, chemical products and fibers. Pharmaceuticals
Main metals
Shipbuilding
Aerospace industry
Power supply (generation and distribution)
Gas supply (generation and distribution)
Construction
Health care and social activity
Hospitals
Effluent and sewerage processing and waste (garbage) disposal
Farming
Fishing
Food products, beverages and tobacco. Textiles and textile
clothing/laundering and dry cleaning
Wood and wooden products
Cellulose and paper
Paper products
Non metallic mineral products
Rubber and plastic products
Manufacture of non metallic products
Manufacture of metallic products
Machinery and equipment
The above-indicated including surface treatment
Electrical and optical equipment
Electronic and electro-vacuum devices, other (micro) electronic
components
Other transport equipment
Manufacturing Not Elsewhere Classified
Utilization (dismantling and separation)
Water supply (including water abstraction and distribution)
Education
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Publishing Companies
Printing Companies
Maintenance and repair of motor vehicles and motorcycles
Wholesale and Retail Trade
Transport and storage
Sales
Hotels and Restaurants
Post and telecommunications
Financial Intermediation
Information Technology
Engineering Services
Research and development
Public Administration
Leisure services, cultural and sport activity
Real Estate
Renting
Other professional services
Other Social Services
Low
Limited
Not all organizations in a specific sector will always fall in the same complexity category. CIMS Certification allows flexibility in its application review procedure to ensure that the specific
activities of the organization are considered in determining the complexity category. C-IMS
Certification documents all cases where it has lowered the complexity category for an
organization in a specific sector.
ANNEX C
Item
No.
1
Factors affecting the MS audit duration
Magnitude of
the factor in %
3
The organization size:
- the physical size of the client organization (large or small);
- the number of people involved in the activities of the client organization in relation
to the scope of the audit including, when relevant, part-time, seasonal contract and
casual personnel;
- complicated logistics;
- the number of sites to be audited.
2
3
3
The organization location:
the level of central control;
the commonalities of processes and products;
the linked processes;
seasonal and climate conditions.
Complexity of the client’s organization and management system:
3
- accessibility to management system documentation and records;
- structure of the management system, including levels of controls, reporting and
internal communication;
- the number and range of people representing various levels within the client
organization to be interviewed;
- activities that require visiting temporary sites;
- complexity of the interaction between the client organization’s activities;
- prior knowledge about the client organization;
- activities which are repetitive;
- changes to the client organization;
- the control and type of shift work;
- the client organization’s occupational health and safety and security conditions.
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4
Technological and regulatory context:
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3
- the complexity and amount of applicable regulations (e.g. food, pharmaceutical,
aerospace, nuclear power industries);
- the complexity of the technology used in the client organization;
- the complexity of design processes;
- the level of automation.
5
Activities included in the scope of the management system:
3
- the applicable requirements of the management system standard, including
considerations of eligible exclusion of requirements;
- the scope of certification with respect to product, services, activities, processes and
sites, including consideration of their complexity;
- the activities outsourced by the client organization (e.g. extent, level of control,
significance, complexity).
6
Maturity and effectiveness of the management system:
3
- the results and effectiveness of any prior audits performed by the certification body;
- the results and effectiveness of any prior external audits conducted by parties other
than the certification body;
- the effectiveness of the client organization’s internal audit and management review
processes;
- the level of understanding and commitment to the management system within the
client organization;
- existing certified management systems;
- reliable public information (e.g. media reports, customer feedback, regulatory
information or sanctions);
- the period for which the management system has been in operation;
- the capacity of the client organization to achieve its management system objectives.
7
Risks associated with the products, processes or activities of the client
organization:
3
- the existence of hazardous processes, materials or work environment (e.g.
sterilization with radiation, chemicals used in leather treatment process);
- the risk of non-conformities and their impact (e.g. in health service, food production,
air traffic control);
- the level of vulnerability within processes and operations;
- risks of accidents causing serious environmental impacts.
8
3
Culture:
- different cultures;
- the need for interpretation and translation.;
- staff speaking more than one language.
9
3
Composition of the audit team:
- the need for translators or interpreters;
- the need for technical experts.
10
Other factors
Total
11
Audit of IMS (see PR-27)
3
Reduction/increase
not more than 30%
Reduction
not more than 20%
Reduction
not more than 50%
Total
Each factor reduces or increases the initial duration of the audit by 3%.
After considering and summing up all factors affecting the reduction or increase of the audit
duration, the final duration of the audit is calculated. The maximum value can amount to 30% of
the initial man-days established from Table 1, Annex A and Table 1, Annex B.
APPROVED:
01.02.2016
C-IMS Certification
page 13 of 14
DURATION OF MANAGEMENT SYSTEMS AUDIT
I-25cl
When performing an Integrated Management System audit, the calculation of the audit duration
shall be conducted in concordance with requirements of PR/27, where the maximum reduction of
the audit duration can amount to 20%.
Then the quantitative values of factors affecting the audit duration shall be summarized in %
expression and the total value of the audit duration is calculated in %.
The maximum reduction of IMS audit time taking into account all the factors can amount to
50%.
APPROVED:
01.02.2016
C-IMS Certification
page 14 of 14