Why two certification bodies quote different audit days

Two proposals for the same organization can show different audit days and both follow the rules. Global ACI TECH-3-004 (formerly IAF MD 5), which sets audit time for ISO 9001, ISO 14001 and ISO 45001, leaves room for judgement at defined points and requires each judgement to be recorded. Those points are where to look.

The complexity category

For ISO 14001 and ISO 45001, the starting figure depends on the category assigned. In the ISO 45001 table (TECH-3-004 Annex C, Table OH&SMS 1), the same number of effective personnel starts at a higher figure for the initial audit when the OH&S risks are classed high than when they are classed medium or low. For 26 to 45 effective personnel it gives 7 audit days for high, 5.5 for medium and 4 for low, stage 1 and stage 2 together. The sector lists are examples, and a body may place an organization in a lower category than its sector if it documents why. For ISO 9001, high or low risk is applied as an adjustment to a single column.

Adjustments

Each body adjusts the starting figure for factors such as several buildings, more than one language, regulation, outsourcing, system maturity or a very small site. Two bodies can weigh the same facts differently. Each decision is justified and recorded, and each subtractive factor may be used only once.

Integrated audits

Where several standards are audited together, Global ACI TECH-3-008 (formerly IAF MD 11) applies. Time is calculated for each standard and added; the sum is then adjusted for factors such as how far the system is integrated. A reduction may not exceed 20% of the sum, and the time can also increase. The declared level of integration is confirmed at stage 1 and later audits.

Sampling and facts

For several sites, the sampling rules of Global ACI TECH-3-001 (formerly IAF MD 1) decide how many sites are visited, and temporary sites are sampled on risk. A different sample gives a different total. Sometimes the bodies simply had different facts: a headcount without shift workers or the seasonal peak gives a different starting figure.

A reduction shall not exceed 30% of the table figure. The on-site part should typically not be less than 80% of the calculated audit time, and days may not be cut by scheduling longer hours. Outside multi-site sampling and the integration rule, a proposal well below the table for your effective number of personnel and category is a reason to ask for the calculation.

What to ask for

The certification body gives its audit time determination and justification to the client as part of the contract. Ask for:

• the effective number of personnel used;
• the category, and the reason for it;
• each adjustment, with its reason;
• any integration reduction, and the sites sampled;
• the time for stage 1, stage 2, each surveillance and recertification.

Two calculations side by side usually show where the difference sits. CAS includes its calculation in every written proposal.

CAS — An EGAC accredited MS certification body No. 012418. Accredited scope: ISO 9001, ISO 14001, ISO 45001, ISO 22000, ISO 50001 and ISO 22301. Certificates accredited for ISO 9001, 14001, 45001, 22000 and 50001 fall within EGAC's IAF MLA scope; ISO 22301 is accredited by EGAC and sits outside that scope.

Verify any certificate: cas.com.eg/certsearch