Appendix offer calculation for ISO 9001, ISO 14001

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1 Notes on the auditor time table

TGA / TUV CERT / TRCert
Theaccreditation
following information to the offer calculation supplements the basic requirements for the creating
Brigittein
offers the process instruction „Preparing an offer – Explanations“.
Bader
1.1approvedBy
Reasons for the reduction / increase of the auditor time
TUV Auditors
1.1.1 ISO 9001 or ISO 29990
disclosed
F-MD-CALC-UV-G-QEM-TRC
From the man’s day list may be deviated with appropriate the reasons for reduction are to be proved
docIndex
in writing understandably.
7
docType
Form 1: possible reasons for the reduction:
Tab.
docTypelong Reasons for reduction ISO 9001 Reasonable
Karin Strehle reduction
issuedBy max
German
Insignificant production depth and/or scope of services provided 15 %
language
Exclusion of standard chapter 7.3 (ISO 9001:2008) or chapter 8.3 (ISO 9001:2015) (Design and devel- 20 %
05.12.2007
opment)
MFvalidFrom
General: The reason for the reduction „Products carry no or only little risks“ was due to the MD 5:2013 delet-
01.01.2099
ed and may no longer be used for calculations as of 15.05.2013
MFvalidUntil
Few product groups 15 %
Global
Prior knowledge of certifier / audit team regarding the client management system (e.g. already certified by 20 %
the region
same Certification Body for a different management standard) (applicable only for certification audit)
No
Good client preparedness for certification (e.g. already certified by another standard) (applicable only for 10 %
regSuppl audit)
certification
Regulation and supervision by competent external bodies (e.g. public authorities and experts) increases 10%
releaseDate
confidence in the consistent assurance of legal conformity.
2.3 15 %
Very small location compared to the number of employees (e.g. call center, office complex)
revision
Processes only contain a single general activity 10 %
TRCert - ISO 9001:2000; TRCert - ISO 14001:2004; 14001:2004 10 %
High level of confidence in the effectiveness of internal audits, corrective and preventive action and the com-
pany’s management review process (not applicable to certification audits)
standard
Maturity of the management system (the last three audits were without deviations) 15%
Significant proportion of staff caries out a similar simple function
stateofValidity 10 %

Angebotskalkulation
Identical activities performed in all shifts (only if für ISO 9001
shift working occurs) und ISO 14001 - Audits 15 %

Reductions
title about more than 30% are not allowed.
4.2; 4.3.1; 4.3.2; 4.3.3; 4.3.4; 4.3.5; 4.3.6; 4.3.7; 4.4.1
workflPos
Tab. 2: Possible reasons for a rise
Reasonable
Reason for a rise ISO 9001 rise up to
The client has complicated logist with many or widely disperse with processes to be audited. 30 %
Very large location compared to the number of employees 30 %
Company personnel with varying native languages (e.g. because of this the auditors cannot work inde- 10 %
pendently and will require an interpreter)
Highly regulated activities (food and drugs, aerospace, nuclear energy, etc.). 15 %
Very complex procedures or a relatively large number of one-time activities. 20 %
Low level of confidence in the effectiveness of internal audits, corrective and preventive action and the com- 10 %
pany’s management review process (not applicable to certification audits)
Large number of internal or external nonconformities with QM-system 20 %

Reductions about more than 30% are not allowed

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Tab 2a
Reduzierungsgrund ISO 29990 Reasonable
Reduzierung:
max
Prior knowledge of certifier / audit team regarding the management system of the client (e.g. already certi- 10 %
fied by the same Certification Body for a different management standard) (applicable only for certification
audit)
The regulation and control by competent external bodies (e.g. school supervision at approved schools) 20%
increases confidence in the continuous assurance of legal conformity.
High level of confidence in the effectiveness of internal audits, corrective and preventive action and the 10 %
company’s management review process (not applicable to certification audits)
Advanced state of the management system (the last three audits were without deviations) 10%

Site-specific adjustments for multi site organizations (Tab. 3 and 4):

For multi site organizations the specific multi site structure at individual locations (not at the headquar-
ters) can mean additional adjustments to the number of auditor days are appropriate, if, for example,
the following site situations apply

Tab. 3: Potential reasons for the reduction owing to a site-specific multi site situation:
Site-specific reason for reduction ISO 9001 (not applicable to the headquarters) Reasonable
reduction:
max
- The following processes relating to Management responsibility are being audited at another location:
- Customer focus (see chap. 5.2 (ISO 9001:2008); chap. 5.1.2 (ISO 9001:2015))
- Quality policy (chap. 5.3 (ISO 9001:2008); chap. 5.2 (ISO 9001:2015)) 2%
- Quality management system planning (chap. 5.4 (ISO 9001:2008); chap. 6 (ISO9001:2015)) 2%
- Responsibility, authority and communication (chap. 5.5 (ISO 9001:2008); chap. 5 (ISO 9001:2015)) 2%
- Management review (chap. 5.6 (ISO 9001:2008); chap. 9.3 (ISO 9001:2015)) 2%
- internal audits (chapt.8.2.2 (ISO 9001:2008); chap. 9.2 (ISO 9001:2015)) 5%
5%
- Document control (chap. 4.2 (ISO 9001:2008); chap. 7.5 (ISO 9001:2015)) largely takes place from a 5%
central location that is not located at the site
- Human resources (chap. 6.2 (ISO 9001:2008); chap. 7.2 (ISO 9001:2015)) are not managed from this 5%
location (e.g. central human resources department)
- Planning of product realization (chap. 7.1 (ISO 9001:2008); chap. 8.1 (ISO 9001:2015)) takes place at a 5%
different (central) location
- Design and development (chap. 7.3 (ISO 9001:2008); chap. 8.3 (ISO 9001:2015)) take place at a differ- 20 %
ent (central) locations
- Purchasing (chap. 7.4 (ISO 9001:2008); chap. 8.4 (ISO 9001:2015)) is carried out for other (central) 10 %
locations (e.g. central purchasing department)
- Control of production and service provision (chap. 7.5.1 (ISO 9001:2008); chap. 8.5.1 and 8.5.5 (ISO 5%
9001:2015)) is largely not organized at the location (e.g. centralized process planning, centralized pro-
duction planning)
- The validation of the control of production and service provision processes (chap. 7.5.2 (ISO 9001:2008); 8%
chap. 8.5.1 (ISO 9001:2015)) takes place in an organizational unit that is not situated at the location.
(validation by a testing laboratory at a different, central location)
- The Identification and traceability (chap. 7.5.3 (ISO 9001:2008); chap. 8.5.2 (ISO 9001:2015))of products 5%
and services is not relevant at this location.. (e.g. only purchases/sales)
- Customer property (chap. 7.5.4 (ISO 9001:2008); chap. 8.5.3 (ISO 9001:2015)) is not handled at this 5%
location.
- Control of monitoring and measuring devices (chap. 7.6 (ISO 9001:2008); chap. 7.1.5 (ISO 9001:2015)) 5%
takes place at a different (central) location

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- The determination of customer satisfaction (chap. 8.2.1 (ISO 9001:2008); chap. 9.1.2 (ISO 9001:2015)) 2%
takes place centrally (at a different location)
- Monitoring and measurement of products (Chap.. 8.2.4 (ISO 9001:2008); chap. 8.6 (ISO 9001:2015)) 3%
takes place in an organizational unit that is not situated at the location (e.g. a central laboratory)

Tab. 3a
Site-specific reason for reduction ISO 29990 (not applicable to the headquarters) Reasonable
reduction:
max
- The following processes relating to Management responsibility are being audited at another
location:
- Customer focus 2%
- Quality policy 2%
2%
- Quality target and quality management system planning
2%
- Communication 5%
- Management review 5%
- Internal audits 5%
- Risk- and financial management 5%
- Personnel- and competence management 5%
- Evaluation of learning service 8%
- Development of learning service 8%

In total, an additional reduction of more than 30 % at each location cannot be made in accordance
with this table. However, the number of on-site auditor days must always be assessed in terms of
appropriateness and increased where relevant.

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Tab. 4: Potential reasons for the increase owning to a site-specific multi site situation.
Reasonable
Site-specific reason for increase ISO 9001 (not applicable to the headquarters increase up
to
- The following processes relating to Management responsibility (chap. 5.1) are also being audited at this
site for other locations:
- Customer focus (chap. 5.2 (ISO 9001:2008); chap. 5.1.2 (ISO 9001:2015)) 2%
- Quality policy (chap. 5.3 (ISO 9001:2008); chap. 5.2 (ISO 9001:2015)) 2%
- Quality targets and the QMS planning (chap. 5.4 (ISO 9001:2008); chap. 6 (ISO 9001:2015)) 2%
- Responsibility, authority and communication (chap. 5.5 (ISO 9001:2008); chap. 5 (ISO 9001:2015)) 2%
- Management review (chap. 5.6 (ISO 9001:2008); chap. 9.3 (ISO 9001:2015)) 5%
Internal audits (chap. 8.2.2 (ISO 9001:2008); chap. 9.2 (ISO 9001:2015)) 5%

- Document control (chap. 4.2 (ISO 9001:2008); chap. 7.5 (ISO 9001:2015)) takes place centrally from this 5%
site
- Human resources (chap. 6.2 (ISO 9001:2008); chap. 7.2 (ISO 9001:2015)) are also managed for other 5%
locations (e.g. central human resources department).
- Planning of product realization (chap. 7.1 (ISO 9001:2008); chap. 8.1 (ISO 9001:2015)) also takes place 10 %
for other locations
- Customer communication (chap. 7.2.3 (ISO 9001:2008); chap. 8.2.1 (ISO 9001:2015)) in the narrower 5%
sense also takes place for the other locations from the (central) location
- Design and development (chap. 7.3 (ISO 9001:2008); chap. 8.3 (ISO 9001:2015)) are carried out for 20 %
other locations
- Purchasing (chap. 7.4 (ISO 9001:2008); chap. 8.4 (ISO 9001:2015)) is carried out for other locations (e.g. 10 %
central purchasing department.
- Control of production and service provision (chap. 7.5.1 (ISO 9001:2008); chap. 8.5.1 and 8.5.5 (ISO 5%
9001:2015)) is largely organized for other locations (e.g. centralized process planning, centralized pro-
duction planning.
- The validation of the control of production and service provision processes (chap. 7.5.2 (ISO 9001:2008); 5%
chap. 8.5.1 (ISO 9001:2015) takes place for other organizational units that are not located at the site.
(e.g. validation by a testing laboratory at the location being audited)
- Control of monitoring and measuring devices (chap. 7.6 (ISO 9001:2008); chap. 7.1.5 (ISO 9001:2015)) 5%
takes place for other locations (centrally)
- The determination of customer satisfaction (chap.8.2.1 (ISO 9001:2008); chap. 9.1.2 (ISO 9001:2015)) 2%
also takes place for other locations.
- Monitoring and measurement of products (chap. 8.2.4 (ISO 9001:2008); chap. 8.6 (ISO 9001:2015)) 3%
takes place for products produced at other locations (e.g. central laboratory).

Bond site-specific increases of more than 30 % are not permitted as a rule.

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1.1.2 ISO 14001 / OHSAS 18001

Please observe that for ISO 14001 / OHSAS 18001 offers (normally for CA, RA as well as extensions
audits and take over audits), the environmental relevance / risk level of the organization must have
been determined on the basis of the form „"Questionnaire for the Offer Preparation ISO 14001" /
„Questionnaire for the Offer Preparation OSHAS 18001“ or a customer self-declaration that is identi-
cal in terms of content must have been made. In order to allocate the environmental relevance / risk
level to the respective EA-codes (by bond per location) the procedural instruction, explanations in
chap. 5 and chap. 6 as well as the table in Annex 1 are to be used.
It is only allowed to deviate from the auditor time tables in chapter 4 with corresponding justifications.
The reasons for a reduction and increase of the number of auditor days for the audit must be stated in
writing and must be verifiable.

Tab. 1 Potential reasons for a reduction:

Reason for reduction ISO 14001 / OHSAS 18001 Reasonable
reduction up
to
A high percentage of employees perform simple production processes / service processes with little envi- 15 %
ronmental relevance / little risks
Prior knowledge of certifier / audit team regarding the organizational system (e.g. already certified by the 20 %
same Certification Body for a different management standard) (applicable only for certification audit)
Good client preparedness for certification (already certified by another standard) (applicable only for certifica- 10 %
tion audit).
High level of confidence in the effectiveness of internal audits, corrective and preventive action and the com- 10 %
pany’s management review process (not applicable to certification audits)
Very small location compared to the number of employees (e.g. office complex only) 15 %
Advanced state of the management system (the last three audits were without deviations) 15 %
Simple organization structure with few decision-making levels. 10 %
Very little complexity of relevant upstream and downstream processes under consideration of the life cycle 10 %
perspective (ISO 14001:2015), for example, contract assembly.

Note: The reduction reason „Environmental relevance / Risk of the product (or service) is very small com-
pared to the category allocated (e.g. textile or paper industry)” is deleted because of MD 5:2013. This reason
shall not be used in calculations created/updated after 15.05.2013
Regulation and supervision by competent external bodies (e.g. public authorities, experts) increases confi- 10 %
dence in the continuous assurance of legal conformity.
Identical activities performed in all shifts (only if shift working occurs) 15 %

Reductions of more than 30 % are not permitted.

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Tab. 2 Potential reasons for an increase:

Reasonable
Reason for increase ISO 14001 / OHSAS 18001 increase:
up to
The customer has complicated logistics with many or widely dispersed buildings with processes to be audited. 20 %
Very large location compared to the number of employees. 20 %
Company personnel with varying native languages (e.g. because of this the auditors cannot work inde- 10 %
pendently and will require an interpreter).
Systems cover very complex procedures or a large number of one-time activities. 20 %
Large number of environmental / health and safety regulations (several plants required authorization or su- 20 %
pervision), high impact of external interested parties.
Many and very varied production processes. 10 %
Extraordinary complexity of relevant upstream and/or downstream processes under consideration of the live 10 %
cycle perspective (ISO 14001:2015), i.e., design responsibility, relevant environmental aspects to product use
and disposal, possibility to influence suppliers.
Low level of confidence in the effectiveness of internal audits, corrective and preventive action as well as the 10 %
company’s management review process (not applicable to certification audits)
Additional unusual e.g. indirect environmental / health and safety aspects or more sensitive environmental / 10 %
health and safety conditions than usually found in the assigned industry.
Increases of more than 30 % are generally not permitted.

Site-specific adjustments for multi-site organizations (Tab. 3 and 4):

For multi site organizations the specific multi-site structure at individual locations (not at the headquar-
ters) can mean additional adjustments to the number of auditor days are appropriate beyond the max-
imum stipulated in the auditor time table in chapter 4, where the following site situations apply:

Tab. 3 Potential reasons for a reduction owing to a site-specific multi-site situation

Site-specific reason for reduction ISO 14001 / OHSAS 18001 (not applicable to the headquarters) Reasonable
reduction up
to
- The following processes relating to Management responsibility are being audited at another location:
- Environmental / health and safety policy (chap. 4.2 ISO 14001:2004/OHSAS, chap. 5.2 ISO
14001:2015) 5%
- Evaluation and validation of environmental aspects / or rather risk assessment(chap. 4.3.1 ISO 5%
14001:2004/OHSAS, chap 6.1.2 ISO 14001:2015)
- Evaluation and validation of legal and other requirements (chap. 4.3.2 ISO 14001:2004/OHSAS, 5%
chap. 6.1.3 ISO 14001:2015)
- Implementation, realization and maintenance of environmental / health and safety objectives, targets 5%
and programs (chap. 4.3.3 ISO 14001:2004/OHSAS, chap. 6.2 ISO 14001:2015)
- Internal audit (chap. 4.5.5 ISO 14001:2004/OHSAS, chap. 9.2 ISO 14001:2015) 5%
- Management review (chap. 4.6 ISO 14001:2004/OHSAS, chap. 9.3 ISO 14001:2015) 5%
Human resources (chap. 4.4.1 ISO 14001:2004/OHSAS, chap. 7.1 a.2 ISO 14001:2015) are not managed 5%
from this location (e.g. central human resources department)
Documentation and Control of documents (chap. 4.4.4, 4.4.5 ISO 14001:2004/OHSAS, chap. 7.5 ISO 5%
14001:2015) largely takes place from a central location that is not located at the site
Purchasing (chap. 4.4.6 ISO 14001:2004/OHSAS, chap. 8.1 ISO 14001:2015) is carried out at a different 10 %
(central purchasing department)
Evaluation of compliance(chap. 4.5.2 ISO 14001:2004/OHSAS, chap. 9.1.2 ISO 14001:2015) largely takes 15 %
place from a central location that is not located at the site

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In total, an additional reduction of more than 30 % at each location cannot be made in accordance
with this table. However, the number of on-site auditor days must always be assessed in terms of
appropriateness and increased where relevant.

Tab. 4 Potential reasons for the increase owing to a site-specific multi site situation:
Site-specific reason for increase ISO 14001/DIN EN 16001/OHSAS 18001 (not applicable to the head- Reasonable
quarters) increase up
to
- The following processes relating to Management responsibility are being audited at this site and not at
the headquarters:
- Environmental / health and safety policy (chap. 4.2 ISO 14001:2004/OHSAS, chap. 5.2 ISO 5%
14001:2015)
- Evaluation and validation of environmental aspects / or rather risk assessment (chap. 4.3.1 ISO 5%
14001:2004/OHSAS, chap 6.1.2 ISO 14001:2015)
- Evaluation and validation of legal and other requirements (chap. 4.3.2 ISO 14001:2004/OHSAS, 5%
chap. 6.1.3 ISO 14001:2015)
- Implementation, realization and maintenance of environmental / health and safety objectives, targets 5%
and programs (chap. 4.3.3 ISO 14001:2004/OHSAS, chap. 6.2 ISO 14001:2015)
- Internal audit (chap. 4.5.5 ISO 14001:2004/OHSAS, chap. 9.2 ISO 14001:2015) 5%
- Management review (chap. 4.6 ISO 14001:2004/OHSAS, chap. 9.3 ISO 14001:2015) 5%
Human resources (chap. 4.4.1 1 ISO 14001:2004/OHSAS, chap. 7.1 a.2 ISO 14001:2015) are managed 5%
centrally from this location
Documentation and Document control (chap. 4.4.4, 4.4.5 ISO 14001:2004/OHSAS, chap. 7.5 ISO 5%
14001:2015) largely takes place from a central location that is not located at this site
Purchasing (chap. 4.4.6 ISO 14001:2004/OHSAS, chap. 8.1 ISO 14001:2015) is carried out centrally at this 10 %
location (e.g. central purchasing department)
Evaluation of compliance (chap. 4.5.2 ISO 14001:2004/OHSAS, chap. 9.1.2 ISO 14001:2015) largely takes 15 %
place from a central location located at this site
In total, an additional increase of more than 30 % at each location cannot generally be made in
accordance with this table.

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1.1.3 Reductions in audit duration for ISO 9001, ISO 14001 and OHSAS on the grounds of
combined procedures (for combined audits of the above standards or of the above
standards with SCC*, SCC **, SCP, ISO/TS 16949, DIN EN 16001)
To calculate the number of auditor days required for a combined audit which covers at least two (or
more) of the above standards (e.g. ISO 9001 and ISO 14001), the number of auditor days required
must first be calculated separately for each standard as outlined above and in accordance with the
values quoted in the tables of Sections 3 and 4.
Due to the special scope of ISO 29990 – only for learning service providers – are combinations with
other standards only in individual cases and in compliance with the possible overlap degrees possible
and individually to calculate. For this, the product manager is on.

The reduction (%) to be deducted from the number of auditor days determined for each stand-
ard is calculated in steps A. to C. as outlined below. It is a precondition that a combined audit
of the relevant standards is conducted predominantly at the same time. This also applies for
two stage audits (e.g. certification audit) for each stage separately.

A. The audit team’s ability to perform a combined audit

The extent (%) to which the respective audit team and/or its members are qualified for more than one
of the relevant standards covered by the combined audit is calculated with the help of the following
formula:
100 ((X1-1) + (X2-1) + (X3-1) + (Xn-1))
Z(Y-1)

Where:
X1,2,3…n is the number of standards for which auditor n is qualified relevant for the scope of the
combined audit;
Y is the number of management system standards to be covered by combined audit;
Z is the number of auditors in the audit team

Example: 2 standards (ISO 9001 and ISO 14001), 3 auditors, of which 2 qualified for two standards
100 ((21-1) + (22-1) + (13-1)) = 66,67 %
3(2-1)

The table below includes examples of audit-team constellations for which the extent of this ability (%)
is at least 50 %:,
Number of Number of Of whom qualified Of whom qualified Extent of ability %
Standards auditors for two standards for three stand-
ards
2 1 1 - 100
2 2 1 - 50
2 2 2 - 100
2 3 2 - 67
3 2 2 - 50

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3 2 - 1 50
3 3 3 - 50
3 3 1 1 50

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B. The level of integration of the relevant standards in the audited organization

An integrated management system means that an organization uses one single management system
to manage various aspects of organizational performance (e.g. quality, environment, occupational
health and safety). An organization with an integrated management system is then characterized by:
1. Management Reviews, that consider the overall business plan and strategy
2. An integrated approach to internal audits
3. An integrated approach to Policy and objectives
4. An integrated approach to system processes
5. A set of system documentation including work instructions which is as integrated as pos-
sible
6. An integrated approach to improvement measures
7. An integrated approach to planning including risk management measures
8. A unified representative function (management system representative) and unified re-
sponsibilities

Each of the above criteria accounts for 12,5 % in the total level of integration.

Example: If an organization fulfils at least criteria 1, 2, 3 and 5 for the combined Standards (e.g. EM,
QM, OHSM): its has a central process for management review, coordinates internal audits centrally,
defines policies and objectives applicable to all management systems and maintains as uniform and
integrated a set of system documentation as possible; the level of integration is then calculated as 4
times 12.5 % and thus amounts to 50%.
C. The reduction (%) per standard is calculated with the help of the following matrix

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The extent (%) of the audit team’s ability to perform a combined audit which is calculated in ac-
cordance with step A. above is entered on the horizontal (x) axis, while the level of integration
calculated in accordance with step B. is entered on the vertical (y) axis. The values in the boxes of
the matrix indicate the extent of combined reduction (%) which can be deducted for the respective
standard.

Example: The audit team’s ability to perform the combined audit calculated in accordance with A. is
50%; the organization’s level of integration determined in accordance with B. is also 50 % >> in the
matrix, the two values intersect in the box indicating a 10 % reduction.

Consequently, the following applies: if the values calculated for both the audit team’s
ability to perform a combined audit and the organization’s level of integration amount
to at least 50 % each (see examples above), a combined reduction of 10 per cent can
be assumed per standard covered in the combined audit.

If the values determined in accordance with A. and B. amount to 60 % each, a com-

bined reduction of 15 % can be applied. The maximum combined reduction of 20 % is
only possible if the values determined in accordance with A. and B. amount to over 80
% each.

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2 Sample size for multi-site / corporate scheme certifications

In the number of locations (x), the headquarters is not included (the headquarters must be visited eve-
ry year)
The auditor days for the headquarters must be calculated with the auditor time table for the number of employees in the central location. No
reductions are allowed for the central location.

Sampling for certification audits (√x)

Number of 1 2-4 5-9 10-16 17-26 27-37 38-50 51-65 66-82 83-102
locations
Sample 1 2 3 4 5 6 7 8 9 10
size

Sampling for surveillance audits (0,6*√x)

Number of 1-3 4-12 13-26 27-46 47-72 73-103 104-140 141-182 183-230 231-283
locations
Sample 1 2 3 4 5 6 7 8 9 10
size

Sampling for repeat audits (0,8*√x)

Number of 1 2-6 7-15 16-26 27-40 41-58 59-78 79-102 103-129 130-159
locations
Sample 1 2 3 4 5 6 7 8 9 10
size

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3 Auditor time ISO 9001 or ISO 29990 (auditor days on-site)

The values in the table shows the „on site time“. This time meets 80 % of the values in the IAF-table.
The IAF times contains: time for planning and preparation; document review; interfacing with organi-
zation; personal; records, documentation and processes; report writing. It does not include travel time.
Auditor days on-site
Number of Certification
employees Audit stage 1+ Surveillance Repeat
stage 2 Audit Audit
1-5 1,2 * 0,5 * 1,0 *
6 - 10 1,6 0,5 * 1,1 **
11 - 15 2,0 0,7 1,3
16 - 25 2,4 0,8 1,6
26 - 45 3,2 1,1 2,1
46 - 65 4,0 1,3 2,7
66 - 85 4,8 1,6 3,2
86 - 125 5,6 1,9 3,7
126 - 175 6,4 2,1 4,3
176 - 275 7,2 2,4 4,8
276 - 425 8,0 2,7 5,3
426 - 625 8,8 2,9 5,9
626 - 875 9,6 3,2 6,4
876 - 1175 10,4 3,5 6,9
1176 - 1550 11,2 3,7 7,5
1551 - 2025 12,0 4,0 8,0
2026 - 2675 12,8 4,3 8,5
2676 - 3450 13,6 4,5 9,1
3451 - 4350 14,4 4,8 9,6
4351 - 5450 15,2 5,1 10,1
5451 - 6800 16,0 5,3 10,7
6801 - 8500 16,8 5,6 11,2
8501 – 10700 17,6 5,9 11,7
10701 – 13375 18,4 6,1 12,3
13376 – 16718 19,2 6,4 12,8
16719 – 20897 20,0 6,7 13,3
20898 – 26121 20,8 6,9 13,9
26122 – 32651 21,6 7,2 14,4
32652 – 40813 22,4 7,5 14,9
40814 – 51016 23,2 7,7 15,5
51017 – 63770 24,0 8,0 16,0
63771 – 79712 24,8 8,3 16,5
79713 – 99640 25,6 8,5 17,1
99641 - 124550 26,4 8,8 17,6
124551 – 156687 27,2 9,1 18,1
> 156687 In analogy to the progression above
* = It is not allowed to reduce this mandays in case of a single site certification, that means that table 1 in chapter 1.2.1
is not allowed to use. This restriction is not relevant for multi site certification as well as for combined audit reductions.
** = same as *, but reduction down to 1,0 manday is allowed
Hint:
A stage 2 audit should usually last minimum 1 day on site (exception: initial certification audits with total mandays on
site (stage1 + stage 2) less than 1,5 mandays.

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4 Auditor time ISO 14001 and OHSAS 18001 (auditor days on-site)

The values in the table shows the „on site time“. This time meets 80 % of the values in the IAF-table.
The IAF times contains: time for planning and preparation; document review; interfacing with organi-
zation, personal; records, documentation and processes; report writing.
It does not include auditor travel time.

The auditor time for repeat audits is two thirds of the table values.
The auditor time for surveillance audits is one third of the table values.

Number of Auditor days on site

employees Certification audit (stage 1+stage 2)
Environmental / risk Environmental / risk Environmental / risk Environmental / risk
class class class class
high medium low limited
1–5 2,4 2,0 2,0 2,0

6 – 10 2,8 2,4 2,4 2,4

11 – 15 3,6 2,8 2,4 2,4

16 – 25 4,4 3,6 2,8 2,4

26 – 45 5,6 4,4 3,2 2,4

46 – 65 6,4 4,8 3,6 2,8

66 – 85 7,2 5,6 4,0 2,8

86 - 125 8,8 6,4 4,4 3,2

126 – 175 9,6 7,2 4,8 3,6

176 – 275 10,4 8,0 5,6 4,0

276 – 425 12,0 8,8 6,4 4,4

426 – 625 12,8 9,6 7,2 4,8

626 – 875 13,6 10,4 8,0 5,2

876 - 1175 15,2 12,0 8,8 5,6

1176 - 1550 16,0 12,8 9,6 6,0

1551 - 2025 16,8 13,6 9,6 6,4

2026 - 2675 18,4 14,4 10,4 6,8

2676 - 3450 20,0 15,2 11,2 7,2

3451 - 4350 21,6 16,0 12,0 8,0

4351 - 5450 22,4 16,8 12,8 8,8

5451 - 6800 24,0 18,4 13,6 9,6

6801 - 8500 25,6 20,0 15,2 10,4

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Number of Auditor days on site

employees Certification audit (stage 1+stage 2)
Environmental / risk Environmental / risk Environmental / risk Environmental / risk
class class class class
high medium low limited
8501 – 10700 27,2 21,6 16,0 11,2

10701 – 13375 28,8 23,2 16,8 12

13376 – 16718 30,4 24,8 17,6 12,8

16719 – 20897 32,0 26,4 18,4 13,6

20898 – 26121 33,6 28,0 19,2 14,4

26122 – 32651 35,2 29,6 20,0 15,2

32652 – 40813 36,8 31,2 20,8 16,0

40814 – 51016 38,4 32,8 21,6 16,8

51017 – 63770 40,0 34,4 22,4 17,6
63771 – 79712 41,6 36,0 23,2 18,4
79713 – 99640 43,2 37,6 24,0 19,2
99641 – 124550 44,8 39,2 24,8 20,0
124551– 156687 46,4 40,8 25,6 20,8
> 156687 In analogy to the progression above

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5 Classification of the organizations into risk classes for ISO 14001

According to the environmental complexity of organizations, five risk classes (RC) were defined which
cover type, number and significance of the environmental aspects of the organization:
High (RC 1 and 2):
Organizations with a large number of significant and serious environmental aspects
(typically organizations of the producing and processing industry with significant impact on the environment in several of the
environmental aspects).
Medium (RC 3):
Organizations with an average number of environmental aspects of average significance
(typically organizations of the producing industry with significant impact on the environment in some of the environmental
aspects).
Low (RC 4):
Organizations with a small number of environmental aspects of low significance
(typically organizations of the assembling industry with only few significant environmental aspects).
Limited (RK 5):
Organizations with a very small number of limited environmental aspects
(typically organizations with pure office character).

Allocation of risk classes to specific industrial branches and technical areas can be done based on the
actual issue of the document „Technical Areas and Business Sectors (EA-Branchen und Branchen-
gruppen / EA Scope Keys and Scope Groups).

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6 Classification of the organizations into risk classes for OHSAS 18001

The risk classes are based of the TGA document UP 711 part 3.

If the organization has more than 85 employees a alternate classification can be used in stead of the
table of annex 1 as follows.

Risk classes:

IR > 45 high
IR > 30-45 medium
IR > 15-30 low
IR < 15 limited

Incident rates IR = (number of accidents with more than one day absence x 1,000,000)/annual total
number of hours worked a year.

7 Determination of expenses for ISO 15378

The auditor time for ISO 15378 is determined in accordance with offer calculation for ISO 9001 and
multiplying the result by a factor 1.2.

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Annex 1: Table of OHSAS risk classes

EAC Scope OHSAS-Risk

Class

1 Agriculture and forestry, fishing medium

2 Mining and quarrying high
3 Food products, beverages and tobacco medium
4/1 Textiles and textile products (including coloring and bleaching !) medium
4/2 Textiles and textile products (except coloring and bleaching !) medium
5/1 Leather industry (including coloring and tanning !) high
5/2 Leather industry (without coloring and tanning !) high
6 Production of planks, treatment / impregnation of wood and wood products medium
6 Wood and wood products (not: production of planks, treatment / impregna- medium
tion of wood and wood products)
7/1 Paper industry with pulp production, paper recycling process medium
7/2 Paper production (without pulp production!) medium
7/2 Paper products (without paper and pulp production or printing)) medium
8 Publishing (without printing as in EAC 9 ) low
9 Printing(without pulp production !); duplication of taped sound-,picture- and low
printing carriers
10 Extraction of oil and gas high
10 Oil refineries, coking plants high
11 Processing of fertile and fissible material (e.g. nuclear fuel), Nuclear power high
generation
12 Chemical industry (large scale paintshops for unspecific materials = EAC 35 high
& 12)
13 Pharmaceutical industry high
14 Rubber and plastic die-casting, molding and assembly (without: production medium
of rubber and plastic raw materials; classification chemical industry Sc. 12)
15/1 Production and processing of ceramic products medium
15/2 Production and processing of glass, stones and earths medium
16/1 Production and processing of cement medium
16/2 Processing of limestones, gypsum and their products medium
17/1 Metallurgy, production of basic metals medium
17/2 Surface treatment and other processing of metal products based on chemi- medium
cal processes (without metallurgy, see Sc. 17/1 !)
17/2 Warm and cold molding and metal processing (without surface treatment medium
and other processing of metal products based on chemical processes or
metallurgy !)
18 Surface treatment and other processing based on chemical processes for medium
general machine construction
18 General assembly in machine construction (without: surface treatment and medium
other processing based on chemical processes for the general machine
construction !); Sondermaschinenbau
19 Production of unpopulated printed circuit boards and other elements (e.g. medium
switches, cables, batteries and lights) for the electronic industry; Halbleiter-
hersteller
19 Assembly of electric and electronic devices (without: production of unpopu- medium
lated printed circuit boards and other elements)
20 Shipbuilding high
21 Aerospace high
22 Other transport equipment (automobiles, rail vehicles, motor cycles, bicy- medium
cles)
23/1 Manufacture of furniture, jewelry, musical instruments, sports goods, games medium
23/2 and toys, and other products from wood/metal/plastic
24/1 Treatment of esp. hazardous waste, e.g. combustion medium
24/1 Handling of wastewater medium
24/2 Recycling, waste landfill, composting (without hazardous waste) medium
25/1 Electricity generation based on carbon fuel high
25/2 Electricity generation and supply (not based on carbon fuel!); nuclear power high
stations = EAC 11
26 Production, storage and supply of gas (not: generation!; see Sc. 10) high

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Class
27 Extraction, clarification and supply of water including river management medium
28/1 Deconstruction, demolition high
28/2 Civil and underground engineering, road construction high
28/2 Other construction industry (buildings, bridges, roads, industrial construction, high
subconstruction work)
29/1 Fuel retail and wholesale trade low
29/1 Wholesale and retail trade, general (incl. drug stores) low
29/2 Maintenance and repair of motor vehicles (incl. Sales of motor vehicles) and low
other products / consumer durables
30 Leisure services and related personnel services (without hotels and restau- low
rants)
30 Hotels and restaurants low
31/1 Transport and logistics sea / air / road low
31/1 Transport and logistics management services with no real motor pool to be low
managed
31/2 Telecommunication low
32/1 Credit business and insurance industry low
32/2 Real estate and housing, renting of movable goods, limited
Commercial estate agency, estate management
33 Data processing, information systems low
34/1 Research and development low
34/2 Engineering services (pure office/planning activities) low
35 Facility Management (in the broadest sense) -
Industrial cleanings, hygienic cleaning, dry cleaning, chemical cleaning(EAC
35 & 12); small paintshops for unspecific materials (EAC 35 & 12)
35 Other cleaning services, which can not be allocated to the above mentioned -
categories (e.g. usual commercial cleaning)
35 Technical examination procedures and laboratories -
35 All other general services (mainly pure administrative activities) limited
Security Services
36 Public and communal administration, military defense, social insurance low
37 Education medium
38/1 Health care-human medicine high
38/4 Health care-dentists
38/5 Health care-hospitals
38/2 Veterinarian services high
38/3 Social welfare matters high
39 Provision of other public and personal services limited

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