BS EN ISO 9001:2015

BS EN ISO 14001:2015
Management System
Gap Analysis Review

Assessor:
Date:
Area Assessed: Integrated Management System

PLAN Clause Value

Organisation determines, monitor and review external and internal issues as well as needs and expectations of 4.1
interested parties specially those that translate to compliance obligations & this is considered in determining and
defining the scope
The scope incl products/services covered by the QMS and processes covered by the EMS and any portions 4.3
declared not applicable for the QMS with adequate justification as well as boundary and applicability of the EMS
Scope is defined and documented
The QMS and the EMS is established,implemented, maintained and continually improved, with all processes 4.3
identified, inputs required and outputs for each identified process identified and known, sequence and
interactions identified and known, responsibilities and authorities identified and known and risks and
opportunities determined and process performance evaluated.
Top management leadership & commitment is demonstrated 5.1
Top management carries out a to j of QMS and a to i of EMS 5.1
Quality & Environmental Policy is appropriate, provides a framework for objectives, and is documented 5.2
There is a mechanism for policy communication, available to interested parties 5.2

©BSI
Policy has a commitment to satisfy applicable requirements & Continual Improvement 5.2
Policy is subject to periodic review 5.2
Roles, Responsibilities, Authorities assigned, understood & communicated; include reporting of environmental 5.3
performance
Actions to address risk & opportunity have been considered ieven in the QMS and including those related to 6.1
environmental aspects, compliance obligations and other requirements and shall determine potential
emergency situations, including those that can have an environmental impact
Evaluate the effectiveness of actions to address risks and opportunities 6.1
A programme is established to achieving objectives 6.2
Objectives are documented and measurable and relevant to conformity of products/services towards 6.2
enhancement of customer satisfaction, monitored, communicated, updated
Objectives are consistent with the Policy and applicable requirements 6.2
Objectives are planned as per determining the 5 requirements of the standard (a-e) 6.2
Objectives are relevant to product/service, and are monitored and communicated 6.2
A method is in place for planning of changes to the QMS & EMS 6.3
Planning of changes considers resources, purpose, integrity of management sytem, allocation or reallocation of 6.3
responsibilities & authorities
Resources established for the effectiveness of the QMS, EMS and its processes 7.1
Determine, maintain infrastructure e.g. buildings, equipment's, hardware, software, IT 7.1
Environmental capabilities determined and provided e.g. social, physical, psychological, environmental 7.1
Equipments used for monitoring and measuring has valid & reliable monitoring and measuring results determined 7.1
e.g. calibration, testing of equipment, safeguarded
Documentation of calibration & maintenance are retained 7.1
Organizational knowledge determined, & maintained neccessary to achieve conformity of products & services 7.1
e.g. (learning from internal sources: successful projects, failed projects and external sources e.g. standards,
conferences etc.
Competence & Training of person(s) under the organisations control are identified including competence that 7.2
affects its environmental performance and its ability to fulfil its compliance obligations
Appropriate documentatied information as evidence of competenceis maintained 7.2
A method is in place to evaluate the effectiveness of training/competence provision 7.2
Person(s) awareness of the QMS and EMS incl Policy, Objectives, contribution, implications, significant 7.3
environmentl aspects and potential impact to environment
Communication of QMS/EMS is clear and concise and take into account its compliance obligations and 7.4
environmental information is consistent and reliable
Creation & Updating of documentation shall ensure a-c of ISO 9001:2015 7.5

©BSI
A method is in place for document control; documentation shall demonstrate fulfilment of its compliance 7.5
obligations and access is identified and specified
The method includes 7.5.3.1 a-b of ISO 9001:2015 and ISO 14001:2015 standard 7.5
The method includes 7.5.3.2 a-d of ISO 9001:2015 7.5
Documented information of external origin required where applicable is acquired and controlled 7.5
DO Clause Column1
Operations needing controls have been determined 8.1
Establish, implement, control and maintain the processes needed to meet 8.1
environmental management system requirements; Controls include the management of change
Requirements a to e (of 8.1 ISO 9001:2015) have been implemented & maintained and approach to addressing 8.1
those aspects related to the EMS is consistent with the life cycle approach.
A process for Customer communication has been established includes a-e (of ISO 9001:2015) 8.2
A process to determine & maintain requirements relating to products/services 8.2
A process to review requirements relating to products / services; A process to establish, implement and maintain 8.2
the process(es) needed to prepare for and respond to potential emergency situations (emergency preparedness
and reponse)
Documented information describing the results of the review of requirements for products/services and 8.2
emergency preparedness and response
A process to determine the stages for design & development 8.3
To include Planning a-g (of ISO 9001:2015) 8.3
To include Inputs a-f (of ISO 9001:2015) 8.3
To include Controls a-d (of ISO 9001:2015) 8.3
To include Outputs a-d (of ISO 9001:2015) 8.3
Process to include design & development changes 8.3
Documented information to confirm design & development requirements have been met 8.3
Operations that have been outsourced are controlled 8.4
A process for evaluation, selection, monitoring, re evaluation of external providers 8.4
Process to include review of competence and qualification of person(s) 8.4
A process for communication to external providers to meet requirements of product/service 8.4
Documented information of the results of evaluation, monitoring performance and re evaluations 8.4
A process for control of production/service provision, e.g. Determining the things you need to do and how you 8.5
are going to ensure these are communicated
Documented information to control of production/service provision 8.5
Identification & traceability to ensure conformity 8.5

©BSI
Identify, verify, protect, safeguard customer property provided for use 8.5
Ensure preservation of product during production/service provision 8.5
A process for post delivery activities e.g. warranty provisions, contractual obligations, recycling services, final 8.5
disposal
Documentation on results of changes, reviews of changes, personnel authorizing changes shall be kept 8.5
Documented information for release of products/services 8.6
A process is in place for control of non conforming process outputs, product/ service that do not conform 8.7
Documented information kept on actions taken 8.7
CHECK and ACT Clause Value
A process is in place for monitoring & measuring of QMS and monitor, measure, analyse and evaluate its 9.1
environmental performance
Process determines a-d of ISO 9001:2015 and a-e of ISO 14001:2015
Documented information of results shall be kept
Customer Satisfaction is monitored and Evaluation of Compliance under ISO 14001:2015 done
A process is in place for analysis & evaluation
Results of analysis & evaluation is kept and used at Management review
Audits are carried out at planned intervals 9.2
Audit programme considers objectives, status, importance, prev audit results
Audit results are provided to relevant Management
Documented information of audit results kept & maintained
CA & opportunities to avoid potential risk shall be taken without undue delay
Auditors are impartial & objective
Top management review of QMS and EMS at defined intervals 9.3
Documented information of management review are maintained
Requirements a to e of ISO 9001:2015 & a to g of the ISO 14001:2015 are included as input to the review
Requirements a to b of ISO 9001:2015 are included as output from review
A process to determine and select opportunities for improvement to improve the QMS and EMS, product/ 10
services to customer
A process to ensure appropriate CA has been taken based on the nature of the N/C 10.2
N/C evaluated in order not to recur
CA to be reviewed for effectiveness
Documented information kept and maintained
Continual Improvement from outputs of analysis & evaluation and Management review 10.3
Considers opportunities for improvement of QMS as well as EMS to enhance QMS and environmental
performance

©BSI
 Complete findings below identifying areas of compliance and areas where
gaps appear. Use the Key to identify a point score for each applicable
section; where necessary, provide comments to explain findings. The
data entered will populate the graphs (tab 2) to identify compliance/gaps
against each element of BS EN ISO 9001:2015 and BS EN ISO 14001:2015

Comments

©BSI
©BSI
Comments

©BSI
Comments

©BSI
 Plan
Context

2
Support Leadership

Objectives Planning

Check/Act
Monitor/Measure

2
Continual Improvement Internal Audit
1

N/C, CA Management Review

 0

N/C, CA Management Review

 Do

Operation Planning & Control

5
Control of N/C Process, Product, Service 4 Determination of Requirements

3
Leadership 2
1
0

Release of Products & Services Design & Development

Product & Service provision Control

ng

Internal Audit

nagement Review
nagement Review
 Determination of Requirements

Design & Development

ol