Precertification Audit

So what is a precertification review / audit?  Didn’t I just do a document review?  Perhaps you did.  But as usual, the document review and precertification review are two different phases in the certification process.  It is just that some certification bodies(CB) conduct them separately, some conduct them concurrently, some even ask the client what they would like to do.  It makes no difference just as long as your know the rules and expectations of your chosen CB.

So a fortnight ago we touched on document reviews and once you have successfully met your CB’s document review requirements they then turn their attention to precertification.  Dependent on what they found or what they were shown during the document review, and in particular records generated by the system, they will deem the timing of the precertification review. 

The timing is based on two main factors; 1) enough evidence (records) to enable a judgement on effective implementation and 2) sufficient time between precertification and the proposed certification review / audit.
Some of the above factors include; at least 3 months of operational records in sales, purchasing, manufacturing, inventory management, at least two management reviews, a substantial if not all internal audits completed (very much CB dependent), at least 2 full cycle corrective action plans, competency / resourcing records and sufficient document, data and record control.

Should any nonconformances be raised during the document or precertification reviews, don’t expect to have your certification review / audit within 3 months.  If any other classification of finding is raised, you will need to demonstrate the lead times needed to correct or modify them before a CB will allow the planning of the certification review / audit.  Just remember, just because you have a time line within a project plan, doesn’t always mean you can keep it if it doesn’t match the CB requirements.  And of course, please remember that some CBs won’t even allow any forward planning of certification  dates without the first two reviews having even taken place.

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