ISO 9001 gap analysis

Many organisations do not know what to trim, fix, expand or change in their business to help it reach the next level. A gap analysis removes the guesswork from the business analysis, helping organisations reach their potential using facts instead of assumptions.

A gap analysis is a process that allows organisations to determine the best method to achieve their business goals in a smooth, hassle-free and sustainable manner. It compares the organisation’s current state with an idealised state, where shortcomings and opportunities for improvement are highlighted.

To analyse the current state of an organisation, it is necessary to choose a specific area of the business that requires attention. For example, if an organisation wishes to improve its customer satisfaction, it can integrate the recommendations of ISO 9001, a standard that outlines quality management principles that focus on customer requirements.

However, to achieve the ideal management system stipulated in ISO 9001, an organisation must begin by understanding how the customers currently feel about their products/services.

This is where a gap analysis becomes beneficial, as it allows you to dig deep, gather data and scrutinise your Key Performing Indexes (KPI). Gap analysis also allows organisations to make sense of the information collected, visualise the current state, and utilise a gap analysis tool to chalk out a customer journey map, empathy map, service blueprint of process flow depending on the individualised requirements.

Taking the example of customer satisfaction, a gap analysis would also allow you to find out the other causes of customer frustration by collecting quantitative information. So, quantitative information can include the analysis of the score of number of negative calls handled each week.

Alternatively, the flexible nature of gap analysis would also allow you to identify qualitative information like customer comments or feedback from support representatives on the call process. In this article, we will discuss how a gap analysis in ISO 9001 helps to identify the ideal future state of your Quality Management System (QMS).

For more information, see the Internal audit article

What is an ISO 9001 gap analysis?

An ISO 9001 gap analysis is essentially an objective evaluation of your organisation’s current arrangements against the requirements stipulated in ISO 9001. This process is ideal for business owners who are just beginning to implement the standard within the organisation.

Starting with a gap analysis before integrating recommendations into the daily practice can be very beneficial as it often saves time and money. The gap analysis will identify deficiencies, allowing you to produce a more accurate project plan for filling in these deficits and achieving ISO 9001 certification.

Steps recommended before conducting the ISO 9001 gap analysis

Before conducting the gap analysis, it is essential to identify and appoint individuals within your organisation that have some quality system experience or audit experience. In addition to appointing individuals to conduct the gap analysis, you may also want to consider having assistance from a consultant.

Here, an ISO consultant would be beneficial as they have the required experience to conduct a successful gap analysis while ensuring that no important areas are overlooked. Lastly, before commencing the analysis, it is helpful to create or purchase a gap checklist.

ISO 9001 gap checklist

The gap checklist is the most important tool for the successful conduction of a gap analysis. In this checklist, the requirements of the standard are described in a question format. This increases the usability and allows auditors to compare the QMS that is in place with the requirements outlined in the ISO 9001 standard.

Whenever a deficiency is discovered, it is called “a gap”. Moreover, the checklist provides the auditor with the recommendations of what documents to look for, by including examples of what will meet the requirements and other guidance for auditing the standard. The checklist also serves as a document to record all the observations of the analysis. The checklist provides specific areas to note the adequacies and deficiencies of the current QMS.

For more information, see the iso 9001 certification article.

How does a gap analysis differ from an audit

The difference between a gap analysis and an audit is their purpose for conduction. During an audit, the goal is to compare an organisation’s policies and procedures to the requirements of the standard, going on to look for evidence that these requirements are being followed within the business. During a gap analysis, the organisation’s current status is compared to the recommendations outlined in the standard. The auditor does not look for evidence of these recommendations being integrated into the operations, but focuses on finding deficiencies that need to be filled with actionable steps.

The three main components to completing an ISO 9001 gap analysis is to schedule the gap analysis, conduct the gap analysis and create a report by using the findings that were identified during the analysis. In comparison, the audit process in ISO begins by planning, going on to notify the process owners of the upcoming audit. This is followed by an opening meeting, field work, report drafting, management response, closing meeting and the final audit report distribution.