Prepare for your certification with a pre-audit/gap analysis by Kiwa

Prepare for your certification with a pre-audit/gap analysis by Kiwa

Are you planning to certify your organization according to a specific standard but unsure where to start? Or have you already implemented a management system in line with, for example, ISO 9001, ISO 27001, or ISO 14001, but you're uncertain if it fully meets the certification requirements? Then a pre-audit/gap analysis by Kiwa is exactly what you need.

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Gap analysis = determining what needs to be done, pre-audit = checking whether you are ready

Both the gap analysis and the pre-audit provide organizations with insight into their current position in relation to a standard and help with thorough preparation for certification. In practice, an organization typically starts with a gap analysis. This is substantive and strategic in nature and identifies what is still lacking compared to the standard and why, so that targeted improvement measures can be taken. Once these improvements have largely been implemented, a pre-audit often follows. This is a limited, audit-like assessment focusing on the presence and structure of documentation and systems, with the aim of evaluating whether the organization is, in broad terms, ready for the initial certification audit.

Characteristics of gap analysis and pre-audit

A pre-audit and a gap analysis look similar, but each has a different focus, approach, and outcome. Below, we have listed the main characteristics of both:

Aspect

Gap analysis

Pre-audit

Purpose

Determine what is missing to comply with a standard, law, or desired situation

Gain insight into the level of readiness for an initial certification audit

Key Question

What do we still lack to meet the standard?

Are we ready for the certification audit?

Point in Process

Can be carried out at any stage of the improvement or preparation process

Prior to the initial certification audit

Character

Substantive, strategic, and analytical

Limited, exploratory, and evaluative

Formality

Less formal than an audit; mainly an analysis tool

Less formal than a certification audit, but still ‘audit-like’

Assessment framework

The complete desired situation (standard, law, or objective)

Selected standard requirements within a defined scope

Focus

Content differences: missing processes, roles, documents, and controls

Presence of mandatory documentation, records, and technical provisions

Depth

Deeper: analysis of current performance versus desired situation

Limited: presence and general organisation of documentation and systems

Topics

Entirely focused on the difference between current and desired situation

Determined by the organisation itself, for example a standard

Working method

Comparative analysis of current and desired situation

Documentation-driven and technology-driven assessment

Result

Overview of gaps as input for drawing up an action plan

Insight into readiness for certification

Added value

Provides direction and priorities for improvement and preparation

Reduces risks and surprises during the initial audit

How does it work?

Both the pre-audit and gap analysis are carried out in collaboration with the employees within the organization who are responsible for setting up and/or maintaining the management system. Through interviews, document review, system inspection, and site tours, the auditor assesses to what extent the organization complies with the established audit framework. If any points for attention are identified, they are aligned with the organization.

No advice, but insight

As an independent certification body, Kiwa does not provide advice regarding the design or improvement of your management system. However, a pre-audit or gap analysis performed by Kiwa offers objective insight into where your organization stands in relation to the standard and which areas need optimization to achieve the desired certification status. As such, a pre-audit or gap analysis by Kiwa forms a solid first step towards successful certification. It thoroughly prepares your organization, prevents unnecessary obstacles, and enables you to approach the certification audit well-informed and with confidence.

Why Kiwa?

Kiwa is a leading and independent specialist in the field of certification and auditing, with many years of experience in objectively assessing organizations across various sectors. Our auditors possess in-depth knowledge of standards and daily practice, allowing them to review management systems carefully and reliably against the applicable standard requirements. They also pay attention to the specific context and challenges of different organizations.

Organizations choose Kiwa because of our objective working methods, clear reporting, and flexible approach. We tailor our services to the size and needs of your organization and provide insight that help you structure and efficiently navigate the certification process. This makes Kiwa a reliable partner for organizations wishing to achieve their certification goals with confidence.