ISO Stage 1 Audit | Key Aspects to Learn

Internal audits play a critical role in the entire accreditation process. It adds value by determining the progress of your current system after it goes through strategic improvement programs. The internal audit is vital before registering your system for the final supervision by the third-party audit team. An internal audit is generally conducted in two stages. The ISO stage 1 audit is the preliminary stage that cannot be compromised. It is the initial phase of the two-stage certification audit process conducted for ISO management system standards. This is a preparatory step before the actual certification audit and is primarily focused on examining the organization’s readiness for the full certification process.

The fundamental purpose of the phase 1 audit is to effectively make an evaluation of the management process especially after it has gone through modifications. The readiness of the entire certification process is monitored by reviewing the documents on the management process.

The following blog will emphasize key aspects and processes of the stage 1 audit for business organizations that register for ISO certifications. The blog has pointed out the prime facets that small to large-size companies must consider before conducting the assessment with the help of professional auditors or in-house specialists.

What are the key focuses of the ISO stage 1 audit?

We can divide the focus into three areas, which are:

1. Review of the documentation – The audit specialists assess, evaluate, and measure the management system that has been documented from the time of improvement. They evaluate the process, objectives, all the manuals and past records.

2. Evaluation of Readiness: Evaluate the organization’s preparedness for the stage 2 audit (full certification audit) and identify any major issues that need resolution before the next stage.

3. Gap analysis – The gap between system performance and the expected outcome is on the focus list as well. The areas that further need immediate attention according to the requirements/clauses of the individual standard are measured.

The 3-step process of ISO stage 1 audit

Step 1 – Document review – To ensure that the process has efficiently met all the clauses for compliance, the documentation of the implementation process is reviewed. The audit specialists check the records and analyze them based on the guidelines and objectives for compliance.

Step 2 – On-site visit – If applicable, the auditors will visit companies to check and verify details. It helps them to earn a better understanding of the process, objectives, and practices of the management.

Step 3 – Interviews and discussions – The auditors then move on to discussing the practices with the management team and other stakeholders via interviews. They engage with key personnel to discuss the management system, its implementation, and any potential areas of concern.

What are the major outcomes companies can expect?

Identification of any non-conformities with the clauses

Strengths and weaknesses of the present system after modifications

To address the non-conformities, proper recommendations and highlighting the key resources (financial, human, infrastructure, and technical) To find top professional support for attaining the requirements of the ISO business management system standards and the internal audit, contact us at Compliancehelp Consulting LLC. We are a premier site for achieving any ISO certification in the US. Our bespoke solutions for ISO and other global certifications are ready to make the seemingly exhausting process of accreditation, comfortable and completed on-time. From basic consultation to audit and analysis, we will cover everything. Get help to clear your concepts regarding the clauses of any management system standard you require.