Gap Analysis ISO 9001 Checklist Sample Report PDF

Gap Analysis ISO 9001
Checklist
conducted for
Box Farm
Conducted on (Date and Time)

03 Aug 2018 03:51 PM
Inspected by
Jon August
Location
3200 S Kilbourn Ave
Chicago, IL 60623
United States
(41.83384837849648, -87.73768907015585)
Completed on
03 Aug 2018 06:08 PM
Score
46/49.0 - 93.88%
Failed Responses
This section lists responses that were set as "failed responses" in the template used for this
audit
Question Response Details
Have the policy and objectives for the There are managers who can’t confirm
QMS, which are compatible with the knowledge of the QMS.
strategic direction of the organization, No
been established and communicated?
Have the objectives been established at There are department heads who are
relevant departmental and individual No currently unaware of the objectives.
levels with the business?
Are any nonconforming process outputs This still needs to be verified.

managed so as to prevent their No
unintended use?
Box Farm / 03 Aug 2018 / Jon August -2-

Audit - 46/49 93.88%
Context of the Organization Score (7/7) 100.00%
Have all external and internal issues that

are relevant to your organization’s
purpose and the achievement of
customer satisfaction and the Yes
organization’s strategic direction been
determined?
Are these issues reviewed and monitored

on a regular basis? Yes
Have the needs and expectations of

interested parties that are relevant to the Yes
QMS been determined?
Was the scope of your QMS determined

whilst taking into account all the external
and internal issues, the needs of Yes
interested parties and the scope your
products and services?
Is your QMS established, and does it

include a description of the processes
required and their sequence and Yes
interaction?
Have the criteria for managing these

processes and their interaction been Yes
established?
Have all responsibilities, methods,

measurements and related performance
indicators, needed to ensure the effective Yes
operation and control, been established?
Leadership Score (5/7) 71.43%
Has top management taken

accountability for the effectiveness of the Yes
QMS?
Have the policy and objectives for the There are managers who can’t confirm
QMS, which are compatible with the knowledge of the QMS.
strategic direction of the organization, No
been established and communicated?
Box Farm / 03 Aug 2018 / Jon August

Score (46/49) 93.88% -3-
Have the objectives been established at There are department heads who are
relevant departmental and individual No currently unaware of the objectives.
levels with the business?
Have the requirements for the QMS been Awareness was promoted but it appears
integrated into the business processes it is not enough because of the unaware
and have management promoted Yes individuals.
awareness of the process approach?
Have customer requirements and

applicable statutory and regulatory
requirements been determined, met and Yes
communicated throughout the
organization?
Have the risks and opportunities that are

relevant to the QMS been established? Yes
Has the organization established and

communicated the responsibilities and
authorities for the effective operation of Yes
the QMS?
Planning Score (3/3) 100.00%
Have the risks and opportunities that

need to be addressed to give assurance
that the QMS can achieve its intended Yes
result(s) been established?
Has the organization planned actions to

address these risks and opportunities
and integrated them into the system Yes
processes?
Is there a defined process for the

determining the need for changes to the
QMS and managing their Yes
implementation?
Support Score (6/6) 100.00%
Has the organization determined and There are managers who are concerned
provided the resources needed for the and feel they are yet to have the needed
establishment, implementation, resources.
maintenance and continual improvement Yes
of the QMS (including people,
environmental and infrastructure
requirements)?

Score (46/49) 93.88% -4-
Is monitoring or measuring is used for

evidence of conformity of products and Yes
services to specified requirements?
Has the organization determined the

resources needed to ensure valid and
reliable monitoring and measuring of Yes
results?
Has the organization determined the

knowledge necessary for the operation of
its processes and the achievement of Yes
conformity of products and services and
implemented a lessons learned process?
Has the organization ensured that those

persons who can affect the performance
of the QMS are competent on the basis of
appropriate education, training, or Yes
experience or taken action to ensure that
those persons can acquire the necessary
competence?
Has the documented information

required by the standard and necessary
for the effective implementation and Yes
operation of the QMS been established?
Operation Score (16/17) 94.12%
Is there a defined process for the

provision of products and services that
meet the requirements defined by the Yes
customer?
Are there any changes planned? Yes
Are they carried out in a controlled way

and actions taken to mitigate any adverse Yes
effects?
Are any outsourced processes managed

and controlled? Yes
Is there a defined process for reviewing

and communicating with customers in
relation to information relating to Yes
products and services, enquiries,
contracts or order handling?

Score (46/49) 93.88% -5-
Is this review conducted prior to the

organisation’s commitment to supply Yes
products and services?
Do you design and develop products or

services? Yes
Are these processes established and

implemented in line with the Yes
requirements of the standard?
Do you ensure that externally provided

processes, products, and services Yes
conform to specified requirements?
Do you have criteria for the evaluation,

selection, monitoring of performance and Yes
re-evaluation of external providers?
Is the provision of products and services

carried out in controlled conditions which
include:
• the availability of documented
information that defines the
characteristics of the products and
services?
• the availability of documented
information that defines the activities to
be performed and the results to be Yes
achieved?
• monitoring and measurement activities
at appropriate stages to verify that
criteria for control of processes and
process outputs, and acceptance criteria
for products and services, have been
met?
• the people carrying out the tasks are
competent?
Do you have effective methods of

ensuring traceability during the Yes
operation process?
Is property belonging to customers or

external providers used in the provision Yes
of the product or service?
Is this controlled effectively? Yes

Score (46/49) 93.88% -6-
Is there a requirement for post-delivery

activities associated with the products
and services such as warranty, Yes
maintenance services, recycling or final
disposal?
Are these defined and managed? Yes
Are any nonconforming process outputs This still needs to be verified.

managed so as to prevent their No
unintended use?
Performance Evaluation Score (6/6) 100.00%
Has the organisation determined what

needs to be monitored and measured
and the methods for monitoring, Yes
measurement, analysis and evaluation, to
ensure valid results?
Has it established when the results from

monitoring and measurement shall be Yes
analyzed and evaluated?
Have methods of monitoring customer

perceptions of the provision of products Yes
and services been established?
Has it determined the need or

opportunities for improvements within
the QMS and how these will be fed into Yes
management reviews?
Has the organisation established a

process for an internal audit of the QMS? Yes
Has an approach to perform

management reviews been established Yes
and implemented?
Improvement Score (3/3) 100.00%
Has the organisation determined and

selected opportunities for improvement
and implemented the necessary actions Yes
to meet customer requirements and
enhance customer satisfaction?
Does the organisation operate

appropriate processes for managing
nonconformities and the related Yes
corrective actions?

Score (46/49) 93.88% -7-
Has the organisation decided on how it

will address the requirement to
continually improve the suitability, Yes
adequacy, and effectiveness of the QMS?
Completion
Recommendations The managers need to meet to address concerns about

support.
Inspector's Full Name Jon August 03 Aug 2018 06:08 PM

and Signature

Score (46/49) 93.88% -8-

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Gap Analysis ISO 9001

Conducted on (Date and Time)

Question Response Details

Are any nonconforming process outputs This still needs to be verified.

Box Farm / 03 Aug 2018 / Jon August -2-

Question Response Details

Context of the Organization Score (7/7) 100.00%

Have all external and internal issues that

Are these issues reviewed and monitored

Have the needs and expectations of

Was the scope of your QMS determined

Is your QMS established, and does it

Have the criteria for managing these

Have all responsibilities, methods,

Leadership Score (5/7) 71.43%

Has top management taken

Box Farm / 03 Aug 2018 / Jon August

Have customer requirements and

Have the risks and opportunities that are

Has the organization established and

Planning Score (3/3) 100.00%

Have the risks and opportunities that

Has the organization planned actions to

Is there a defined process for the

Support Score (6/6) 100.00%

Box Farm / 03 Aug 2018 / Jon August

Is monitoring or measuring is used for

Has the organization determined the

Has the organization determined the

Has the organization ensured that those

Has the documented information

Operation Score (16/17) 94.12%

Is there a defined process for the

Are there any changes planned? Yes

Are they carried out in a controlled way

Are any outsourced processes managed

Is there a defined process for reviewing

Box Farm / 03 Aug 2018 / Jon August

Is this review conducted prior to the

Do you design and develop products or

Are these processes established and

Do you ensure that externally provided

Do you have criteria for the evaluation,

Is the provision of products and services

Do you have effective methods of

Is property belonging to customers or

Is this controlled effectively? Yes

Box Farm / 03 Aug 2018 / Jon August

Is there a requirement for post-delivery

Are these defined and managed? Yes

Are any nonconforming process outputs This still needs to be verified.

Performance Evaluation Score (6/6) 100.00%

Has the organisation determined what

Has it established when the results from

Have methods of monitoring customer

Has it determined the need or

Has the organisation established a

Has an approach to perform

Improvement Score (3/3) 100.00%