Two stages answer different questions
Initial management system certification normally includes Stage 1 and Stage 2. Stage 1 considers the system and the organisation's readiness for the next assessment. Stage 2 examines implementation and effectiveness against the applicable requirements.
The stages belong to an assessment process. Completing a meeting or supplying a manual does not establish conformity, and a calendar date does not guarantee that the organisation is ready to progress.
Stage 1 and Stage 2 at a glance
Scroll the table horizontally if any columns are off-screen.
| Compare | Stage 1 | Stage 2 |
|---|---|---|
| Purpose | Review the system and readiness for Stage 2. | Assess implementation and effectiveness against applicable requirements. |
| Evidence to organise | Scope, documented system information, internal audit and management review records. | Normal operating records, interviews and observations across the agreed scope. |
| People and access | People who can explain the scope, processes and responsibilities. | Access to relevant people, locations and operations. |
| What follows | Address concerns and confirm readiness and arrangements for Stage 2. | Respond to findings through the agreed process. The certification decision is separate from the audit report. |
What to organise for Stage 1
Agree the proposed scope, sites, activities and standard edition before the assessment. Make the relevant documented information accessible and explain how the system operates. Internal audit and management review records help show whether the organisation has evaluated its own system.
- Identify the people who can explain the processes and their responsibilities.
- Bring records that match the actual scope, including relevant sites and outsourced activities.
- Record concerns raised by the auditor and agree what must be resolved before Stage 2.
What changes at Stage 2
Stage 2 follows evidence through the work itself: interviews, observations and records are assessed together. An auditor may trace a customer requirement into planning, operations, monitoring and corrective action rather than read each procedure in isolation.
Organise access to relevant people and locations. Keep normal records available in their normal systems. Creating a separate display set for the visit can make it harder to demonstrate how the system works in practice.
From findings to a decision
Read every finding against its stated requirement and evidence. Agree the response process, deadlines and any verification activity with the certification body. The audit team's report or recommendation is distinct from the certification decision.
The interval between the stages depends on readiness, significant changes and applicable scheme arrangements. Confirm it with the certification body instead of assuming that one fixed interval applies to every system.
Your working checklist
Use this list when discussing your requirements. It helps organise questions and does not determine conformity or certification eligibility.
Sources and further reading
These sources explain relevant standards or professional pathways. Their inclusion does not imply accreditation, recognition or endorsement of CORE.