The purpose of Stage 1 of the certification audit, called the documentation review is to assess the documented policies and procedures of your organization and check compliance with the requirements of the standard. During the documentation review the auditor also determines and reports any potential non-conformances that must be corrected prior to the Stage 2 certification.
Stage 1 certification audit usually consists of:
If time permits, we will also audit areas such as ‘internal audits’, ‘management review’, management commitment, customer complaints, aspects of purchasing, business goals and objectives, and activities outside the headquarters if such should exist.
On the understanding that the auditor was able to obtain an appropriate sample of the activities during the Stage 1 of the audit, it will not be necessary to re-audit of these areas during the Stage 2 audit.
At the end of Stage 1 a detailed report shall be drawn up by the auditor together with an audit plan for Stage 2. This plan will be discussed with you and will be left at the closing meeting. During the closing meeting the date for Stage 2 audit will be established.
Typically, Stage 1 audit shall take place in your company. This allows you to get to know the auditor and can help reduce the possibility of non-conformances in the next stage of certification. In small organizations with simple structure it may be possible to carry out Stage 1 in our office.