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ISO 9001 Gap Analysis Checklist

ISO implementation

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843 views4 pages

ISO 9001 Gap Analysis Checklist

ISO implementation

Uploaded by

mukundiso
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
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ISO 9001:2008 Gap Analysis Checklist

Summary
The gap analysis checklist compares your quality management system to ISO 9001, and tells you where you
need to make the appropriate changes in your organization to meet ISO 9001.
Read: what is an ISO 9001 Gap analysis for more information
This checklist covers all the ISO 9001 requirements to help you identify and understand them
This list is a tool to help you organize your gap analysis, and to evaluate results of the gap.
Each question will determine if you:
o Already comply to ISO 9001
You do not need to change anything
o Have a similar process, but dont fully comply
Revise process, training people on changes, audit to ensure compliance
o Do not have this requirement addresses
Create a process based upon ISO 9001 requirement
Use a copy of the ISO 9001:2008 Standard along with this checklist and you will be able to
understand what the standard requires of your organization and better evaluate your system
against the actual requirements.
Throughout this document, you will find the following helpful tools:
Links to supporting information are underlined blue text
Links to buy Standards directly from the source (TechStreet) are Underlined Bold Red text

Learn about ISO 9001:2008


Here are links to helpful information to help you understand ISO 9001:
ISO 9001 FAQ
Who is ISO?
What is ISO 9001?
o Buy ISO 9001:2008
o Review the Requirements of ISO 9001:2008
o Learn changes from ISO 9001:2000 to ISO 9001:2008
What is a Process Approach?
What is a Quality Management System?
ISO 9000 (2005) Fundamentals & Vocabulary for ISO 9000 Standards
o Learn about the ISO 9000 Standard
o Buy ISO 9000:2005
ISO 9000 Supporting Standards (Auditing, Industry Specific Guidance, etc.)

2010 http://www.the9000store.com
Page 1 of 38

Steps to perform Gap Analysis


1.
2.
3.
4.

Prepared your audit schedule,


Assigned responsibility to your auditors for different areas or processes to audit
Copy each section of the checklist for the auditors working with that section.
As you work through the checklist
a. Identify the areas that need to be developed for the I.
b. Make reference procedures or other documents that you have and that will provide information
for the new QMS.
c. Take notes on the status of the documents:
i. will they need to be revised for the new system?
ii. Or can they be used as is?
iii. Also note where processes are in place, but documentation is needed.

Focus on what is in place, and what needs to be developed. While you do want to know if procedures and
processes are being complied with, compliance is not your main objective for this audit. Remember
that the final outcome of this audit should be a list of things that your organization needs to do to
comply with ISO 9001:2008.

Help Preparing for ISO 9001 Certification


We offer several other tools to help your organization transition to ISO 9001: 2008.
ISO 9001 QMS
o Complete Quality Manual, Procedures, Forms and Flowcharts
ISO 9001 Project Implementation Training
o
Employee Training PC based training which can be taken via the web.
o It can be customized to give you better record keeping and automated deployment.
PowerPoints - reviewing clause by clause review of ISO 9001
Audit Checklist - to help you audit to the Standard
Internal Auditor Training which includes the materials to train your auditors on the standard.
Problem Solving Training
o Root Cause Analysis with Corrective Action
o Mapping Work Flows
o 6 Sigma, Lean & More.
ISO 9001 All in One Documentation and Training Package has everything you need to prepare for certification.

2010 http://www.the9000store.com
Page 2 of 38

4 QUALITY MANAGEMENT SYSTEM


REQUIREMENTS

CURRENTLY IN PLACE
(List documents or evidence)

COMPLIANT
Y/N?

ITEMS NEEDED

Estimated %
Complete
4.1

General Requirements

This clause asks you to identify how management applies the process approach to achieve the effective and efficient control of
processes, resulting in performance improvement. Specifically this section is looking for an overall process evaluation of all quality
related processes and their interrelationships. Look to see that your organizational processes are defined and that consideration is
given to those items described in a) through f).
a) Look for documentation of the
processes included in the QMS
b) Look for information on the
relationship and sequence of the
QMS processes.
c) Ask Management if operation
and control of processes is
effective. How do they know if it
is effective?
d) Ask how they are able to know if
resources and information
needed to support processes
have been provided.
e) Is there any information on the
effectiveness of processes?
f) How are improvements made to
processes?
What processes does your
organization outsource? How is
the process controlled?

2010 http://www.the9000store.com

Page 3 of 38

4.2

Documentation Requirements
This section addresses how you use documents and records to support effective and efficient operation of your organization. A review
of your procedures, work instructions, and records will determine if the standard requirements are met.
General
Does your quality system
documentation include the
documentation required by the
standard?
a) Is there a list or other means of
identifying other documentation
required by your QMS? Are the
required documents available?
b) Does the QMS documentation
include Quality Records?

4.2.2

Quality Manual
Review the Quality Manual if
available.
a) What is the scope of your QMS?
b) What processes have been
excluded? Is this appropriate?
c) Is a description or illustration of
the interrelation of the processes
included?

2010 http://www.the9000store.com

Page 4 of 38

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