Readiness Score
ISO 9001
ISO 45001
ISO 14001
Overall
Free Resource

ISO Gap
Analysis
Checklist

Assess your readiness for ISO 9001 Quality, ISO 45001 Safety, and ISO 14001 Environmental certification — in under 60 minutes.

How to Use This Checklist

Work through each section with someone who knows your current operations. For each requirement, select whether you currently meet it (Y), partially meet it (P), have a gap (N), or it doesn't apply (—).

As you work through the checklist, your Readiness Score updates live in the bottom-right corner. Any N or P items automatically appear in the Gap Summary at the end — add priorities and actions there.

Y Yes — requirement fully met
P Partial — some evidence but gaps remain
N No — requirement not yet in place
Not applicable to your business

Scoring:

Yes
2
points each
Partial
1
point each
No
0
points (gap)
Readiness
75%+
= ready to proceed
ISO 9001:2015

Quality Management System (QMS)

29 requirements across Clauses 4–10

Clause 4 — Context of the Organisation
RequirementStatusNotes / Evidence
Internal and external issues affecting the QMS have been identified and documented
Interested parties (stakeholders) and their relevant requirements are identified
Scope of the QMS is defined and documented
The QMS and its processes are established, implemented, and maintained
Clause 5 — Leadership
RequirementStatusNotes / Evidence
Top management demonstrates leadership and commitment to the QMS
A documented Quality Policy is in place and communicated to all staff
Quality objectives are established at relevant functions and levels
Roles, responsibilities, and authorities for the QMS are assigned and communicated
Clause 6 — Planning
RequirementStatusNotes / Evidence
Risks and opportunities affecting QMS conformity and customer satisfaction are addressed
Quality objectives are measurable, monitored, communicated, and updated as needed
Plans for achieving quality objectives include actions, responsibilities, and timelines
Clause 7 — Support
RequirementStatusNotes / Evidence
Resources required for the QMS are identified and provided
Personnel competency is assessed; training needs are identified and records maintained
Staff are aware of the Quality Policy, QMS objectives, and their contribution
Internal and external communications relevant to the QMS are defined and managed
QMS documented information is controlled, versioned, and available as required
Clause 8 — Operation
RequirementStatusNotes / Evidence
Operational planning and controls are established for QMS processes
Customer requirements are determined and reviewed before acceptance of orders
Product/service design and development is controlled where applicable
Externally provided processes, products, and services are controlled (supplier evaluation)
Production and service provision is controlled under defined conditions
Nonconforming outputs are identified, controlled, and corrective action taken
Clause 9 — Performance Evaluation
RequirementStatusNotes / Evidence
Customer satisfaction is monitored and methods for obtaining information are defined
QMS performance and effectiveness is analysed and evaluated at planned intervals
Internal audits are conducted to verify QMS conformity and effectiveness
Management review is conducted at planned intervals; outputs are documented
Clause 10 — Improvement
RequirementStatusNotes / Evidence
Nonconformities are identified and corrective actions taken and recorded
Root cause analysis is performed for significant nonconformities
Continual improvement of QMS suitability and effectiveness is pursued
ISO 45001:2018

Occupational Health & Safety (OH&S)

29 requirements across Clauses 4–10

Clause 4 — Context of the Organisation
RequirementStatusNotes / Evidence
Internal and external issues affecting the OH&S system are identified
Workers and other interested parties are identified; their needs and expectations are determined
OH&S scope is defined and documented, including boundaries and applicability
OH&S processes are established, implemented, maintained, and continually improved
Clause 5 — Leadership & Worker Participation
RequirementStatusNotes / Evidence
Top management demonstrates leadership and commitment to OH&S
A documented OH&S Policy is in place, communicated, and available
OH&S roles, responsibilities, and authorities are assigned and communicated
Workers are consulted and participate in OH&S decision-making
Clause 6 — Planning
RequirementStatusNotes / Evidence
Hazard identification is conducted proactively (including routine and non-routine activities)
OH&S risks are assessed using a defined methodology; controls are applied
Legal and other OH&S requirements are identified and maintained
OH&S objectives are documented with targets, responsibilities, and evaluation criteria
Emergency preparedness and response procedures are established
Clause 7 — Support
RequirementStatusNotes / Evidence
Resources for the OH&S system are determined and provided
Worker competency for OH&S tasks is assessed; training records are maintained
Workers are aware of hazards, risks, and their right to remove themselves from danger
Internal and external OH&S communications are defined and managed
OH&S documented information is controlled and retained as required
Clause 8 — Operation
RequirementStatusNotes / Evidence
Operational controls are in place for identified OH&S risks (hierarchy of controls applied)
Management of change process exists to assess OH&S impacts before changes
Contractors and visitors are informed of OH&S requirements and hazards
Procurement controls ensure purchased goods and services meet OH&S requirements
Clause 9 — Performance Evaluation
RequirementStatusNotes / Evidence
OH&S performance is monitored against objectives and legal compliance
Incidents, near-misses, and nonconformities are reported, investigated, and recorded
Internal OH&S audits are conducted at planned intervals
Management review includes OH&S performance and outputs are documented
Clause 10 — Improvement
RequirementStatusNotes / Evidence
Incidents and nonconformities result in documented corrective actions
Root causes of incidents are investigated and addressed
Continual improvement of OH&S performance is actively pursued
ISO 14001:2015

Environmental Management System (EMS)

27 requirements across Clauses 4–10

Clause 4 — Context of the Organisation
RequirementStatusNotes / Evidence
Internal and external issues relevant to environmental management are identified
Interested parties (including community and regulators) are identified; their requirements are documented
EMS scope is defined, considering boundaries and significant environmental aspects
Clause 5 — Leadership
RequirementStatusNotes / Evidence
Top management demonstrates commitment to the EMS and environmental protection
A documented Environmental Policy is in place, communicated, and publicly available
EMS roles, responsibilities, and authorities are assigned and documented
Clause 6 — Planning
RequirementStatusNotes / Evidence
Environmental aspects and impacts are identified across all life-cycle stages
Significant environmental aspects are determined using defined criteria
Compliance obligations (legal and voluntary) are identified and maintained
Environmental risks and opportunities are assessed and addressed
Environmental objectives are set with measurable targets and action plans
Clause 7 — Support
RequirementStatusNotes / Evidence
Resources for the EMS are identified and provided
Personnel with EMS responsibilities are competent; training records are maintained
Staff are aware of significant environmental aspects and their EMS role
Internal and external environmental communications are managed
EMS documented information is controlled, retained, and available as required
Clause 8 — Operation
RequirementStatusNotes / Evidence
Operational controls are in place for significant environmental aspects
Life-cycle perspective is applied to product/service design and procurement
Contractors and suppliers are informed of relevant environmental requirements
Emergency preparedness procedures address potential environmental incidents (spills, releases)
Clause 9 — Performance Evaluation
RequirementStatusNotes / Evidence
Environmental performance is monitored and measured against objectives
Compliance with legal and other environmental obligations is evaluated regularly
Internal EMS audits are conducted at planned intervals
Management review includes EMS performance; outputs are documented and actioned
Clause 10 — Improvement
RequirementStatusNotes / Evidence
Environmental nonconformities are identified; corrective actions are taken and recorded
Root causes of environmental incidents and nonconformities are investigated
Continual improvement of environmental performance is actively pursued

Gap Summary & Prioritisation

Requirements marked N or P appear here automatically. Set a priority and add your action plan for each gap. Focus on High priority items first — these are the most likely audit non-conformities.

# Standard Gap / Missing Requirement Priority Action Required & Owner
No gaps identified yet — mark requirements as N or P to populate this table.

Priority Key:  H = High — likely audit non-conformity; address before certification  |  M = Medium — address within 6 months  |  L = Low — minor gap; monitor

Recommended Next Steps

Step 01

Address High Priority Gaps

Implement or document the procedures and records needed to close your High priority gaps before applying for certification.

Step 02

Get Your Documents

Use ready-made ISO templates to close gaps faster. LotChain packs include all procedures, registers, forms, and clause matrices.

Step 03

Run an Internal Audit

Before your certification audit, conduct an internal audit against each standard to verify all requirements are met.

Ready-Made ISO Documentation Packs

92 documents covering ISO 9001, ISO 45001, and ISO 14001. Customise in hours, not weeks.

From $297 AUD
lotchain.app/products