Stage 1 Audit

The Stage 1 audit is the first part of initial certification. It confirms that your management system is ready for the Stage 2 certification audit and gives the auditor what they need to plan it.

What the Auditor Checks

• Scope: that the scope statement matches your activities, sites and any exclusions.
• Documented information: that the documents and records the standard requires exist and are controlled.
• Planning elements: risks and opportunities, objectives, and standard-specific items such as environmental aspects, hazard assessments or the Statement of Applicability.
• Legal requirements: how relevant legal and regulatory requirements are identified.
• Internal audit and management review: that both have been planned and completed.
• Site conditions: an understanding of your premises, processes and resources, which shapes the Stage 2 plan.

Where It Takes Place

Stage 1 is usually carried out at least partly on site so the auditor can understand your operations. Some document review may be done remotely, depending on the standard and the risk.

Outcome

The auditor issues a Stage 1 report. Instead of grading nonconformities, Stage 1 records areas of concern: issues that could become nonconformities at Stage 2 if they are not addressed. If key elements are missing, Stage 2 may be postponed until you are ready.

How to Prepare

1. Confirm your scope statement and any justified exclusions.
2. Make sure required documents are approved, current and easy to find.
3. Complete an internal audit covering the whole scope, and a management review.
4. Have records available that show the system has been operating.
5. Nominate a coordinator to support the auditor.

How Long After Stage 1 Is Stage 2?

Usually a few weeks, which is long enough to resolve the areas of concern. If too much time passes, part of Stage 1 may need to be repeated.

FAQs