A Stage 1 assessment is almost like a pre-assessment or sometimes called a gap analysis.  The idea of the stage 1 assessment is to review your current status to see if you are ready for the main assessment, it also helps the auditor prepare for the stage 2 main assessment in case they need to go off and research sometime, or even they may deem they are not technically competent to perform the main assessment.

Stage 1 Objectives

  • Determination of the extent of conformity of the Clients management system and evaluation of the capability of the management system to ensure compliance with statutory, regulatory and contractual requirements.  Evaluation of the effectiveness of the management system in meeting its specified objectives and the identification of areas of potential improvement of the management system.

Stage 1 Audit Criteria

  • To give confidence that the management system and client is prepared for a stage 2 assessment and shall include a review of the client’s management system documentation, an evaluation of the client’s location and site-specific conditions and undertake discussions with the client’s personnel to determine the preparedness for the stage 2 audit.  A review of the client’s status and understanding regarding the requirements of the standard. To collect necessary information regarding the scope, processes, locations, statutory and regulatory aspects and compliance. Review the allocation of resources for stage 2 audit, provide a focus for planning stage 2 audit and evaluate if the internal audits and management review are being planned and performed and that the level of implementation of the management system substantiates that the client is ready for the stage 2 audit.

The stage 1 audit shall be performed:

  • To audit the client’s management system documentation (this can be done off-site, Contract review will specify);
  • To evaluated the client’s location and site-specific conditions and to undertake discussions with the clients personnel to determine the preparedness for stage 2 audit;
  • To evaluate the client’s processes and equipment, applicable statutory / regulatory requirements and to undertake discussions with the client’s personnel to determine the preparedness for stage 2 audit, including the levels of controls established)
  • To review the client’s status and understanding regarding requirements to the standard, in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system;
  • To collect necessary information regarding the scope of the management systems, processes and location(s) of the client, and related statutory and regulatory aspects and compliance (e.g. quality, environmental, legal aspects of the client’s operation, associated risks, etc.);
  • To review the allocation of resources for stage 2 and agree with the client on the details of the stage 2 audit;
  • To provide a focus for planning the stage 2 audit by gaining a sufficient understanding of the client’s management system and site operations in the context of possible significant aspects;To evaluate if the internal audits and management review are being planned and performance, and that the level of implementation of the management system substantiates that the client is ready for the stage 2 audit