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Initial Certification Process

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All initial certification audits conducted by Assurco are carried out in two stages: Stage 1 and Stage 2.
This two‑stage approach ensures that your organisation is properly prepared and that the certification decision is based on robust and reliable evidence.

Overview of the Two‑Stage Audit

  • Stage 1 focuses on readiness and planning
  • Stage 2 evaluates implementation and effectiveness

Both stages are required before a certification decision can be made.

Stage 1 Audit – Readiness Review

What is the purpose of Stage 1?

The Stage 1 audit is designed to confirm that your organisation is ready for Stage 2. It allows us to understand your management system, your operations, and any factors that may affect the effectiveness or planning of the main certification audit.

Stage 1 may include on‑site or remote activities. Where any on‑site activities are planned, you will be informed in advance.

While a formal audit plan is not mandatory for Stage 1, Assurco provides as much advance information as possible so you understand what to expect.

What we review during Stage 1

During Stage 1, the audit team will:

  • Review your documented management system information
  • Assess your site‑specific conditions and discuss readiness with key personnel
  • Confirm your understanding of the applicable standard, including:
    • Key processes
    • Performance objectives
    • Significant aspects or risks (where applicable)
  • Gather information about the scope of your management system, including:
    • Sites and locations
    • Processes, activities and equipment
    • Levels of control (particularly for multi‑site organisations)
    • Applicable statutory and regulatory requirements
  • Review the resources and arrangements planned for Stage 2
  • Confirm the details and timing of Stage 2
  • Evaluate whether:
    • Internal audits are planned and carried out
    • Management reviews are taking place
    • The management system is sufficiently implemented to proceed to Stage 2

This stage also helps ensure that Stage 2 is planned efficiently and proportionately.

Stage 1 outcomes and reporting

At the end of Stage 1, we provide you with documented conclusions covering:

  • Whether the Stage 1 objectives have been met
  • Your readiness for Stage 2
  • Any areas of concern that could potentially become nonconformities during Stage 2

Formal nonconformities are not usually raised at Stage 1. However, the Stage 1 report clearly highlights any issues that may lead to nonconformities at Stage 2 if not addressed.

Time between Stage 1 and Stage 2

When agreeing the interval between Stage 1 and Stage 2, we consider:

  • The time you may need to address any areas of concern
  • Whether any changes are required to the Stage 2 audit arrangements

If significant changes occur that could affect your management system, we may need to repeat part or all of Stage 1.
You will always be informed if the Stage 1 results may lead to the postponement or cancellation of Stage 2.

Stage 2 Audit – Implementation and Effectiveness

What is the purpose of Stage 2?

Stage 2 evaluates the implementation and effectiveness of your management system against all requirements of the applicable standard(s).

Stage 2 normally takes place at your site(s), although remote auditing methods may be used where appropriate and agreed.

What we audit during Stage 2

Stage 2 includes the assessment of:

  • Conformity to all requirements of the applicable management system standard or other normative documents
  • Performance monitoring, measurement, analysis and review against objectives and targets
  • Your organisation’s ability to meet statutory, regulatory and contractual requirements
  • Operational control of processes
  • Internal audit and management review activities
  • Leadership and management responsibility for policies and objectives

The audit findings are documented in the Stage 2 Audit Report, which forms a key input into the certification decision.

Audit Conclusions and Certification Decision Input

After Stage 1 and Stage 2 are completed, the audit team:

  • Reviews all audit evidence gathered across both stages
  • Analyses audit findings
  • Agrees clear and justified audit conclusions

These conclusions are used as an input to the independent certification decision process, in line with accreditation requirements.