What is a Pre-Assessment?
Pre-assessment is an option offered by most CBs to help an organization determine its readiness for the certification audit. Other terms for pre-assessment are pre-audit and trial audit. Pre-assessments offer the opportunity for a “no-risk-of-failure” audit and the experience of a third-party audit. During a pre-assessment, the audit team evaluates all applicable management systems elements for approach, implementation, and the amount of evidence available. Audit findings are limited to weak implementation or failure to address an element or requirement. These are described in a written pre-assessment report; formal nonconformance reports may not be issued. Accredited CBs are not permitted to offer advice on how to resolve nonconformances, as this would be considered consulting. ANAB does not allow accredited CBs to offer certification and consulting together. ANAB limits the number and frequency of pre-assessments to prevent the perception of consulting or advice-giving.
A Pre-Assessment is an option that helps a company determine its readiness for the actual Initial Registration Audit. Other terms for Pre-Assessment are Pre-Audit and Trial Audit. Pre-Assessments offer the opportunity to experience a third-party audit with no risk of failure, and may be performed by the Registrar or by an impartial third party. The number and frequency of Registrar Pre-Assessments are limited by ANAB guidance. In most cases, a pre-assessment by your Registrar is preferable to one performed by your consultant, because even though your consulting firm is allowed to recommend specific solutions, the fact remains that they are auditing their own work and may be biased and miss problems. For this reason, firms that want a “second opinion” often hire another independent consultant to perform the pre-assessment, which should include evaluation of the quality system documentation.
