Stage 1 is the first of the two audits that make up initial certification. It is a readiness review rather than a full assessment.
What the auditor is doing
- Reviewing your documented information against the standard
- Understanding your scope, sites, processes and any exclusions
- Checking that internal audits and a management review have actually taken place
- Evaluating whether you understand the requirements and are ready for Stage 2
- Planning the Stage 2 audit and confirming the resources it needs
It is often shorter than Stage 2 and may be conducted partly or wholly remotely, depending on the certification body and the sector.
The most common Stage 1 failure
No completed internal audit cycle, or no management review. Both are explicit requirements of the standard, and both need to have genuinely happened — with records — before Stage 2 can proceed. Organisations frequently arrive with a complete, well-written management system that has never actually been run through a full cycle.
If findings are raised
Stage 1 findings are normally areas of concern rather than formal nonconformities, and they are a useful gift: they tell you exactly what Stage 2 will examine. Time between the two stages exists specifically so you can address them.
If Stage 1 shows you are not ready, the sensible response is to delay Stage 2 rather than proceed. A failed Stage 2 costs more than a postponed one.