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