What is the difference between

Stage 1 and Stage 2 Audits?

Resources

The objective of a Stage 1 Audit is to determine an organization’s readiness for their

Stage 2 Certification Audit. During the Stage 1, your Certification Body’s auditor will
review your management system documented information, evaluate your site-specific
conditions, and have discussions with personnel. The auditor will look to see that objectives
and key performance indicators, or significant aspects are in place and understood. They
will review the scope of the management system and obtain information on your processes
and operations, the equipment being used, the levels of control that have been established,
as well as any applicable statutory or regulatory requirements. Internal audits and
management reviews will be evaluated to ensure they are being planned and performed
and the overall level of implementation of your management system will be assessed to
determine if your organization is ready to move forward with the Stage 2 Certification Audit.

Your Certification Body will use the Stage 1 Audit to complete Stage 2 Audit planning,
including a review of the allocation of resources and details for the next phase of the audit.
Documented conclusions will be given to your organization that will outline your readiness
as well as identify any areas of concern that could be classified as a nonconformance
during the Stage 2 Audit.

A Stage 1 Audit is usually carried out over 1 or 2 days and typically occurs onsite. For
organizations with more than 1 location, the audits are usually carried out at your central
function location.

The Stage 2 Audit evaluates the implementation and effectiveness of your

organization’s management system(s). During the Stage 2 audit, your Certification Body
will determine the degree of compliance with the standard’s requirements and report any
non-conformances or potential non-conformances that your organization will have to correct
before the certification can be issued. If the Stage 2 audit is successful, your
organization’s management system(s) will be certified.

The Stage 2 Audit includes:

 All relevant documented information that evidences your management system’s

conformity with all the standard’s requirements;
 Key performance objectives and targets, looking at performance monitoring, measuring
and reporting;
 Evaluation of internal audits, management review and management responsibility for
your organization’s policies;
 All relevant processes, looking at operational control and the ability to carry them out as
planned.

The duration of the Stage 2 Audit is determined in accordance with the relevant IAF

Mandatory Documents.  Depending on the size and complexity of the organization this audit
can range anywhere from 1 to many days.

Every organization undergoing a certification process should maintain open and clear
communication with their Certification Body in order to clarify any questions that may arise
before the audits take place. At TRC, customer service is our top priority, with every facet of
our organization designed with your satisfaction in mind.

Competent means:

7.2 Competence
The organization shall:
a) determine the necessary competence of person(s) doing work under its control that affects its
environmental performance and its ability to fulfil its compliance obligations;
b) ensure that these persons are competent on the basis of appropriate education, training or
experience;
c) determine training needs associated with its environmental aspects and its environmental
management system;
d) where applicable, take actions to acquire the necessary competence, and evaluate the
effectiveness
of the actions taken.
NOTE Applicable actions can include, for example, the provision of training to, the mentoring of, or the
reassignment
of currently employed persons; or the hiring or contracting of competent persons.
The organization shall retain appropriate documented information as evidence of competence.

Difference between ISO 14001:2015 and ISO14004:2016

ISO 14004 is a document that can accompany the ISO 14001 standard for implementing an
environmental management system, commonly called an EMS (see What is ISO
14001? for more details on the ISO 14001 standard and how it works). ISO 14004 is
designed to provide guidance and practical advice to any organization, regardless of size,
on ways to understand the ISO 14001 requirements and make their environmental
management system implementation more successful. It was most recently updates in 2004
to match the 2004 version of ISO 14001.
Unlike ISO 14001, ISO 14004 is not intended for certification, regulatory or contractual use.
This means that you cannot certify your environmental management system to ISO
14004 (for more information on certification see ISO 14001 Certification). It also means
that the use of ISO 14004 is not intended to be mandated as a legal or contract
requirement. The standard is, however, a good reference to turn to for ideas and practical
examples on how to make your implementation of ISO 14001 more effective and
successful.

(A) How can an auditor be diplomatic….give examples

Being diplomatic is also sometimes referred to as keeping your opinions to yourself or

being a people-pleaser , but diplomacy doesn’t necessarily mean not voicing your
opinions or making yourself heard. To be diplomatic means to evaluate a situation
before speaking or acting and to take the best course of action without being overly
brash or bold. It takes the ability to interpret things, a little subtlety, and knowing how
and what to say to be diplomatic. While diplomacy can be difficult in certain situations,
especially in those that personally affect you or that involve something you feel strongly
about, a few basic tips and reminders can make it easy to be diplomatic in everyday life
situations.

a. Think before you act. Even if you’re angry or feeling offended, take a second to
breathe and think things through before you say or do anything. If you have to,
actually think, “Breathe!” in your head to keep yourself calm. It might seem
difficult, but taking that extra second to evaluate the situation will keep you from
seeming hot-headed or presumptuous.
 b. Focus on the facts of the situation. Take a moment to step back and evaluate
the situation objectively and assess the factual information before you without
including your emotions.
c. Use decisive language. Speak clearly in simple language so that the person or
people you’re addressing won’t misunderstand your points.
d. Be non-confrontational. It’s okay to be assertive, and assertiveness can even
help you get your diplomatic points heard, but avoid language that could be
heard as confrontational or overly aggressi
e. Avoid highly emotional situations. If you are involved in a discussion that’s
already emotional charged or argumentative, your attempts to be0diplomatic will
go unheard. Try again later.

(B) If undiplomatic…..

 if the auditor is not diplomatic during audit  he will loss control on the achieving audit
set objective, when the auditor is taking/doing uneven acts without
thinking/evaluating the situation about something related or not related to objective  then
the auditor will not get any positive feedback from the auditee for any
required document information for the purpose of audit 

and when the auditor is not diplomatic then he will taking decision based on emotion,
Ego , which will indirectly effect the recommendation/non-conformity based on the non
facts/evidence and it will effect the implementation of audit plan and effectiveness of the
audit objective.

and when the auditor is not diplomatic then he will  use undeceive language with
auditee and his own audit team during audit stage 1 and stage 2  and asking  question
for required documents information with no clear elaboration and purpose of the
document information etc. it will effect the audit time management