What is the difference between the Stage 1 and Stage 2 audits?

First timers to the world of management systems and certification will most probably find the certification audit a daunting prospect, and possibly a little confusing. To achieve certification, two external audits need to be conducted, the Stage 1 and the Stage 2. The audits differ in many ways, from purpose, duration, evidence reviewed and sometimes location.

These audits take place after the initial work on your management system is complete, and their purpose is to assess if you are ready for certification (Stage 1) and to award certification (Stage 2).

The Stage 1 audit – are the foundations in place?

A Stage 1 audit typically takes a few days, although for a smaller company can be as little as a single day. It’s performed at the main location for the organisation or, if feasible, may be conducted remotely.

The objective of a Stage 1 audit is to determine whether an organisation has completed the foundations of their management system.

The Certification Body (CB) will:

• ensure you understand the Standard, what it requires, and the overall operation of your management system
• review the scope of the management system
• audit the management system documented information
• evaluate the site conditions
• verify internal audit and management review processes
• investigate to see if the objectives and key performance indicators are in place and have been understood

They will obtain information about the processes and operations, equipment used, and the levels of control established. Additionally, they review the statutory and regulatory requirements to ensure the organisation is compliant.

The overall implementation will be assessed to determine if the organisation is ready to move to Stage 2.

This assessment is written up in a report with conclusions outlining readiness for the Stage 2 audit.  The auditor will discuss and summarise the findings – this is a normal part of the process and should not worry you. However these findings must be reviewed before Stage 2, and any gaps addressed.

The Stage 2 audit – are you ready for certification?

The Stage 2 audit confirms your management system is fully aligned to the Standard and is entirely operational within your organisation.  The auditor will evaluate the implementation and its effectiveness, and at the end of the audit, make a recommendation for your formal certification. 

The Stage 2 audit will:

• evaluate the operational controls of your processes and the overall effectiveness of your management system
• gather evidence of your alignment to the requirements of the Standard - this may be through observation, discussions and interviews with employees
• check that your management system complies with all appropriate regulatory and statutory requirements
• evaluate how your management system is performing against your objectives
• ensure that internal audits and management reviews have been undertaken and are sufficient

The duration of the audits is determined in accordance with the relevant IAF Mandatory Documentation. The certification body will be able to advise on the time required, which can range from two to several days. If there are multiple locations, a sample will be audited, and the process will be a little longer.

Working with your Certification Body

Every organisation undergoing a certification process should maintain open, clear and honest communication with their CB.

What does associating your company with a recognised and trusted certification body show your customers? It demonstrates that you hold their satisfaction and expectations above all, and this brings true value. 

Certification can be a lengthy process, and you will be working with your CB and auditor over years to come. Ensure you pick the Certification Body that is the right fit for your business. If you are not sure which certification body to choose, you might find my article Common Challenges When Selecting an ISO Certification Body helpful.

Brookfields Consultancy is proud to be recommended by the major United Kingdom Accreditation Service (UKAS) certification bodies and will only recommend UKAS Accredited Certification Bodies to their clients.