Exploring Stage 1 and Stage 2 Audits

A Certification Audit is the first step for those organizations that have decided to undergo an assessment process with a Certification Body (CB) or Registrar to determine if their management system complies with the requirements of a given standard (ISO 9001, ISO 14001, OHSAS 18001, etc). This Certification Audit is divided into two stages: Stage 1 Audit and Stage 2 Audit.

These audits differ in many ways: their purpose, duration, information reviewed and sometimes even in the location where it will take place.

Purpose
The Stage 1 Audit purpose is to determine if an organization is ready or not for a certification audit. Here the Registrar will confirm that the standard’s key requirements are met, it will confirm legal compliance, implementation status and the scope of certification. The output of this audit will be a report identifying any non-conformances or potential non-conformances that the organization will have to correct before Stage 2 audit. If Stage 1 audit is successful, the next audit will be scheduled.

The Stage 2 Audit evaluates the implementation and effectiveness of the organization’s management system(s). During this audit, the Registrar will determine the degree of compliance with the standard’s requirements, and report any non-conformances or potential non-conformances that the organization will have to correct before the compliance certificate can be issued. If Stage 2 audit is successful, the organization’s management system(s) will be certified.

Information assessed
In the Stage 1 Audit the Registrar will normally review the following information:

Policies and procedures.
Legal and technical requirements.

During Stage 2 Audit the information assessed will be:

All relevant documentation (records, procedures and policies) that evidences the management system’s compliance with all the standard’s requirements.
Evaluation of internal audits, management review and objectives.
Audits of all relevant processes.

Duration
Stage 1 Audit usually will be carried out in one day. During this audit, the Registrar can do an on-site visit to the organization’s premises and interview the ISO management representative, all of which will be done in one day.

Stage 2 Audit can be performed in approximately three or four days. This will depend on the complexity and size of the organization being audited.

Location
Both audits take place in the premises of the organization being audited. Only in some cases, Stage 1 Audit can be performed off-site; this will be done if the Registrar doesn’t consider necessary an on-site visit (usually for small and simple organizations). Stage 2 Audit is always performed on-site.

These are the main differences between Stage 1 and Stage 2 Audit. Nonetheless, every organization undergoing a certification process should maintain an open and clear communication with their Registrar in order to clarify any doubts that may arise before the audits take place.