Initial certification under ISO/IEC 17021-1:2015 is carried out in two stages (clause 9.3.1). They are not a rehearsal and a final exam; they answer two different questions.
Stage 1: is the system ready to be audited?
Stage 1 reviews the documented information, the site-specific conditions and the organization’s understanding of the standard’s requirements. It confirms the scope, the processes and locations, the applicable legal requirements, and whether internal audits and a management review have been planned and performed. Its output is a decision on readiness and a plan for Stage 2 (clause 9.3.1.2).
Stage 2: does the system work?
Stage 2 evaluates implementation and effectiveness on site: interviews, records and observation of work across the scope, including performance monitoring, internal audit, management review and the link between policy, objectives and results (clause 9.3.1.3).
How findings are graded
A major nonconformity affects the capability of the system to achieve its intended results; a minor one does not. Corrections and corrective actions for major nonconformities must be verified before a certification decision can be taken.
Who decides
The audit team recommends; it does not decide. The certification decision is taken by a competent person who was not involved in the audit (clause 9.5). The certificate is then issued and listed in the public register.
