Complete audit before assessment?



Could someone tell me if it is necessary to complete an audit of your entire system before a pre-assessment. We are having our first ever pre-assessment very soon and I'm not sure if we can complete the entire system before it happens.

ISO Confused!:frust:



We are very comfortable with many areas of our system and feel it might be o.k. to not audit these ourselves this time.

What do you think?



If you are as comfortable with your system as you say, go for the pre-assessment. It should result in findings that you can correct in a relatively short time. Some Registrars give you a break on the price of the actual audit if you correct deficiencies within a time frame. Like 30 days. After that, you pay full fare. Good Luck.:ko: :smokin:


Thanks for the advice.......I'm pretty green at the process for registration.

Also, the way I read the standard.....You only need to audit the areas you feel necessary as long as you define the criteria, scope, frequency and methods.

Any thoughts????


Registrar requirements

I know several registrars that require a 'complete cycle of audits' prior to the registration audit. They seem to be less clear as to whether 'complete cycle of audits' means the entire system is audited, or if it means performing an audit, making corrective actions and reporting the results in management review. My advice is to check with your registrar to see what their requirements are.


Thanks for the feedback. It's nice to have seasoned veterans that can guide the way for the lost! :confused:



I have found it acceptable to have a schedule (I use an annual audit schedule) showing that all remaining areas are scheduled. Together with the results of audits performed this has always flown for initial registration audits.

Aaron Lupo

I think it is pretty much standard with most registrars that you complete a full cycle of audits- which means your whole system is audited, for a Certification audit. I don't think they require it for a pre-assessment, however, best thing to do is call your registrar.


Our registrar required a full audit cycle and a management review prior to registration. We didn't have a pre-assessment so I don't know if it was needed before that as well.




Clause 8.2.2 states:

"The organization shall conduct internal audits at planned intervals to determine whether the quality management system

a) conforms to the planned arrangements (see 7.1), to the requirements of this International Standard and to the quality management system requirements established by the organization, and
b) is effectively implemented and maintained"

I think the safest way to prove that you have determined that your QMS meets ALL the requirements of ISO 9001:2000 is to have audited all the elements.

If I were auditing a QMS & found that a part was not "effectively implemented and maintained" I would cite it as a nonconformity against the particular clause. My impression of the standard now is nonconformities found in clauses 4, 5 & 6 are normally more serious (system-wide) than those in 7 & 8 (usually more department-specific).

For the pre-assessment, don't worry too much if the auditors find that not all elements are implemented, that's part of what the pre-assessment is all about (though by now over 90% of the requirements should be met).

Incidentally, is the Registrar doing the pre-assessment or is it some other party?

Good Luck,

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