"General Guidance Values for EMS Audit Time and Explanation of Related Business Environment Complexity"
I. Overview of the General Audit Time Guidance Values for EMS
This set of guidance values (normative appendix) is specifically applicable to the initial certification audit work. It mainly focuses on the number of effective employees and different levels of environmental complexity, providing general guidance values for audit time for the audit work, which are specifically reflected in 1 + the number of audit person - days.
II. Corresponding relationship between the number of effective employees and the number of auditor days
1. Small - scale employee quantity range
When the number of effective employees is between 1 - 5, under the high - level environmental complexity, the general guidance value for audit time is 3 person - days; for the medium, low, and limited - level environmental complexity, it is 2.5 person - days. As the number of employees increases to 6 - 10, the high - level corresponds to 3.5 person - days, and the medium, low, and limited - level correspond to 3 person - days. When the number of employees is between 11 - 15, the high - level is 4.5 person - days, the medium - level is 3.5 person - days, and the low and limited - level are 3 person - days. In the range of 16 - 25 employees, the high - level corresponds to 5.5 person - days, the medium - level is 4.5 person - days, the low - level is 3.5 person - days, and the limited - level is 3 person - days. When there are 26 - 45 employees, the high - level is 7 person - days, the medium - level is 5.5 person - days, the low - level is 4 person - days, and the limited - level is 3 person - days. For 46 - 65 employees, the high - level is 8 person - days, the medium - level is 6 person - days, the low - level is 4.5 person - days, and the limited - level is 3.5 person - days. For 66 - 85 employees, the high - level is 9 person - days, the medium - level is 7 person - days, the low - level is 5 person - days, and the limited - level is 3.5 person - days.
2. Medium-range employee number intervals
When the number of employees reaches 86 - 125, the number of audit person - days for the high - level is 11 person - days, 8 person - days for the medium - level, 5.5 person - days for the low - level, and 4 person - days for the limited - level. When the number of employees is 126 - 175, it is 12 person - days for the high - level, 9 person - days for the medium - level, 6 person - days for the low - level, and 4.5 person - days for the limited - level. When the number is 176 - 275, it is 13 person - days for the high - level, 10 person - days for the medium - level, 7 person - days for the low - level, and 5 person - days for the limited - level. When the number is 276 - 425, it is 15 person - days for the high - level, 11 person - days for the medium - level, 8 person - days for the low - level, and 5.5 person - days for the limited - level. When the number is 426 - 625, it is 16 person - days for the high - level, 12 person - days for the medium - level, 9 person - days for the low - level, and 6 person - days for the limited - level.
3. A relatively large range of employee numbers
For 626 - 875 people, there are 17 person - days for high - level, 13 person - days for medium - level, 10 person - days for low - level, and 6.5 person - days for limited - level. For 876 - 1175 people, there are 19 person - days for high - level, 15 person - days for medium - level, 11 person - days for low - level, and 7 person - days for limited - level. For 1176 - 1550 people, there are 20 person - days for high - level, 16 person - days for medium - level, 12 person - days for low - level, and 7.5 person - days for limited - level. For 1551 - 2025 people, there are 21 person - days for high - level, 17 person - days for medium - level, 12 person - days for low - level, and 8 person - days for limited - level. For 2026 - 2675 people, there are 23 person - days for high - level, 18 person - days for medium - level, 13 person - days for low - level, and 8.5 person - days for limited - level. For 2676 - 3450 people, there are 25 person - days for high - level, 19 person - days for medium - level, 14 person - days for low - level, and 9 person - days for limited - level. For 3451 - 4350 people, there are 27 person - days for high - level, 20 person - days for medium - level, 15 person - days for low - level, and 10 person - days for limited - level. For 4351 - 5450 people, there are 28 person - days for high - level, 21 person - days for medium - level, 16 person - days for low - level, and 11 person - days for limited - level. For 5451 - 6800 people, there are 30 person - days for high - level, 23 person - days for medium - level, 17 person - days for low - level, and 12 person - days for limited - level. For 6801 - 8500 people, there are 32 person - days for high - level, 25 person - days for medium - level, 19 person - days for low - level, and 13 person - days for limited - level. For 8501 - 10700 people, there are 34 person - days for high - level, 27 person - days for medium - level, 20 person - days for low - level, and 14 person - days for limited - level. When the number of effective employees is more than 10,700, the number of audit person - days shall be determined by analogy.
III. Explanations regarding the reference values for the review time
1. Scope of application and special circumstances
This table provides general guidance values for the initial certification audit time for high, medium, low, and limited environmental complexity levels. However, corresponding guidance values are not provided for special environmental complexity situations. When dealing with specific certification projects, certification bodies need to comprehensively consider all influencing factors such as the characteristics of the management system, processes, and products/services, and then determine the appropriate number of audit person - days. The classification of environmental complexity levels can refer to Table A2 - 1 "Correlation between business categories and environmental complexity levels (example)".
2. Characteristics of the number of effective employees
The number of effective employees in the table should be continuously changing and dynamic. This means that in the actual review process, this guiding value should be reasonably applied based on the real-time changes in the number of employees in the enterprise.
3. Work requirements for the number of auditor days
The auditor - days in the table are determined based on an 8 - hour workday. In actual operation, it is necessary to strictly comply with local laws regarding the number of daily working hours, travel, and lunch breaks, and at the same time, ensure that the total number of audit hours specified in this table is met.
4. Setting and adjustment of guidance values
The general audit time guidance values in the table are excerpted from CNAS - CC15. Certification bodies can also set the general audit time guidance values based on the experience accumulated from their own audit practices, and make corresponding adjustments to the guidance values by monitoring a certain number of audit activities or soliciting feedback from audit team members on the evaluation results of the sufficiency and rationality of the single - audit time.
IV. Correlation between business categories and environmental complexity levels
1. Businesses with a high level of environmental complexity
It includes businesses such as mining and quarrying, and oil and gas extraction. For example, in mining and quarrying, the process involves complex geological conditions, a large amount of mechanical equipment operation, and potential impacts on the surrounding environment. In the case of oil and gas extraction, not only does one have to face the complex underground structure of oil and gas reservoirs, but also deal with the environmental pollution risks during the extraction process, such as wastewater discharge and gas leakage.In the production, processing, and preservation of meat and meat products, fish and fish products, strict control of food hygiene and safety is required to prevent situations such as microbial contamination.The dyeing of textiles and clothing produces a large amount of wastewater containing various chemical dyes. Improper treatment can cause serious pollution to the water environment.A large amount of chemical agents are used in the tanning and processing of leather, which has a relatively large impact on the environment.In the pulping part of paper production and the recycled paper process, the pulping process generates high - concentration wastewater, and the recycled paper process also requires the treatment of various impurities and pollutants.Oil refining and coking emit a large amount of waste gas and slag, which are seriously harmful to the atmosphere and soil environment.The production process of chemicals (except lacquers and glues) and pharmaceuticals (except preparations) involves various chemical reactions, which may produce toxic and harmful substances.The smelting and processing of metals, which are basic products, consume a large amount of energy and produce slag and waste gas.The non - metallic processing processes and products including ceramics and cement generate dust and waste gas during the production process.The manufacture of pyrotechnics is highly dangerous. Once an accident occurs, it will cause huge losses to the environment and personnel.The manufacture of storage batteries and batteries causes heavy metal pollution.Generating electricity with coal emits a large amount of pollutants such as sulfur dioxide and nitrogen oxides.A large amount of construction waste and dust are generated during the construction (excluding equipment installation and decoration projects) and demolition of civil buildings.In the treatment procedures for both hazardous and non - hazardous waste, such as incineration and industrial cleaning, the incineration process produces harmful substances such as dioxins, and industrial cleaning generates wastewater.Wastewater treatment requires dealing with various complex pollutants.The medical and veterinary fields generate medical waste and wastewater, which require special treatment.
2. Businesses with a medium level of environmental complexity
Fishing/agriculture/forestry, although having relatively less impact on the business environment at a higher level, still involves the use of pesticides and fertilizers and has a certain impact on the ecological environment. Service activities related to oil and gas extraction, except for trial exploration, also need to pay attention to the protection of the surrounding environment during the service process. The excavation of rocks, sand, and clay will damage surface vegetation and affect the ecological balance. The salt-making industry may have a certain impact on the surrounding soil and water resources. For textiles and clothing except for dyeing, there will also be a certain amount of water pollution and energy consumption during the production process. The manufacturing of boards, the treatment, and filling of wood and wood products will generate a certain amount of waste and dust. In the paper production and printing industry except for pulping, chemical substances such as ink are used during the printing process, posing a certain pollution risk. The production of paints, varnishes, inks, adhesives, gelatin, and pharmaceutical preparations will emit waste gas and wastewater. The non-metallic processing processes and products including glass, clay, lime, etc. will generate dust and waste gas during the production process. The manufacturing of metal products, their surface treatment, and other chemical treatments, excluding the production of primary products, will use chemical agents for surface treatment and generate wastewater. The general machinery industry, including surface treatment and other chemical treatments, will have a certain amount of noise and wastewater discharge. The manufacturing of electrical and optical equipment and the production of printed circuits for the electronics industry will generate electronic waste and chemical wastewater. The manufacturing of transportation equipment - roads, railways, air transport, and ships will consume a large amount of energy and raw materials during the production process. Non-coal power generation, power transmission, and distribution, although having less environmental impact than coal-fired power generation, still have certain problems such as electromagnetic radiation. For the production, storage, and transportation of gas (note that gas extraction is of high risk), gas leakage should be prevented during the production and transportation process. The extraction, purification, and transportation of water, including river management (note that commercial sewage treatment is of high risk), require ensuring the rational use of water resources and water quality safety. For the wholesale and retail of fossil fuels, attention should be paid to preventing the pollution of soil and groundwater caused by fuel leakage. The processing of food and tobacco will generate a certain amount of wastewater and waste residue. During the installation of building equipment and decoration projects, construction waste and noise will be generated during the construction process. Transportation - sea, air, and road - will consume energy and generate exhaust emissions during the transportation process. The automobile and motorcycle repair industry will generate waste such as used engine oil and waste parts. For commercial real - estate agency and management, as part of general services, industrial cleaning, cleaning, and dry - cleaning, chemical agents are used during the cleaning and dry - cleaning process, posing a certain pollution risk. For the utilization, composting, and landfilling of (harmless waste), secondary pollution should be prevented during the treatment process. Technical tests and laboratories will generate chemical waste and experimental wastewater. Healthcare/hospitals/veterinary services will generate medical waste and wastewater. For leisure services and personal services except for hotels/restaurants, there will also be a certain amount of energy consumption and waste generation. The recycling industry may cause secondary pollution during the recycling process.
3. Businesses with a low level of environmental complexity
Services related to agriculture and animal husbandry (excluding veterinary services), mainly providing support for agricultural production, have relatively little impact on the environment. The production of knitted and crocheted products and leather products has a relatively simple production process and less pollution. Hotels/restaurants mainly discharge domestic sewage and food waste. For wood and wood products other than the manufacture of boards, the treatment and filling of wood and wood products, less waste is generated during the processing. The processing of paper products other than printing, pulping and paper production has a relatively low degree of pollution. The publishing industry and the reproduction of recording media mainly involve the use of paper and ink, and the pollution is relatively not serious. The injection molding, forming and assembly of rubber and plastics - excluding the manufacture of rubber and plastic raw materials, which are chemicals, the pollution during the production process is relatively controllable. Cold and hot forming and metal manufacturing other than surface treatment, other chemical treatments and primary production have less pollution. General machining and assembly other than surface treatment and other chemical treatments generate less noise and waste. Wholesale and retail mainly involve the circulation of goods and have little impact on the environment. The assembly of electronic and electrical equipment other than the production of printed circuits generates relatively less electronic waste. Real estate and leasing mainly involve the trading and leasing of real estate and have little impact on the environment. Engineering services, such as research and design in natural and social sciences, mainly involve the output of knowledge and technology and have a very weak impact on the environment.
4. Business with limited environmental complexity levels
Club activities and management, as well as the management of the headquarters and joint-stock companies, mainly involve administrative office activities, which have minimal impact on the environment. Transportation and shipping - excluding the management services of equipment, mainly involve services such as information management and basically do not cause environmental pollution. Telecommunications, postal services; information technology mainly involve the operation of electronic devices, with relatively low energy consumption and environmental impact. General commercial services other than commercial real estate agency and management, industrial cleaning, cleaning, and dry cleaning, such as ordinary business consulting, have limited impact on the environment. General social service industries, such as law, accounting, brokerage intermediaries, advertising, etc., mainly provide knowledge and services and have little impact on the environment. Educational services mainly involve teaching activities, producing less waste and pollution.
5. Special environment complexity level business
Nuclear and nuclear power production involve serious environmental risks such as nuclear radiation. Once an accident occurs, the consequences will be unimaginable. The storage of a large amount of highly toxic materials requires strict safety measures to prevent the leakage of highly toxic substances. Although public administration and local governments themselves have relatively little direct impact on the environment, they will have an indirect impact on the environment during the policy - making and management process. Organizations that provide environmentally sensitive products or services have products or services with special requirements or impacts on the environment. Financial institutions are mainly involved in the circulation of funds and financial services, and have relatively little impact on the environment. However, they may indirectly affect environmental - related projects in aspects such as investment decisions.
This table is extracted from Table EMS 2 of CNAS - CC15 "Management System Audit Time (QMS, EMS, OHSMS)" and supplemented with reference to the "Environmental Factor Complexity Level" in the appendix of "Implementation Guide for the Management of Certification Business Scope of Environmental Management System Certification Bodies" of CNAS - GC31. It provides an important reference for certification bodies when assessing the environmental complexity of different businesses and determining the audit time.