QMS GAP ASSESSMENT (DELTA) CHECKLIST

auD ate

CLIENT STANDARD AUDIT TYPE

Dreambuilders Pro, Inc. ISO 45001:2018 Certification Audit

LOCATION ASSESSOR(S) DATE

Filinvest, Alabang, Muntinlupa

Remarks for using this checklist:

- This checklist is created to check the essential requirements of ISO 45001:2018 and is applicable for
already certified companies with conformity to BS OHSAS 18001:2007 or those not yet certified.
- The reference to chapter / subchapter of the standard should make it easy to have a quick link to the
complete text of the requirement.
- Requirements concerning documented information are listed at the end of the checklist. These are all
the clauses where “documented information” are required explicitly.
- The left column “Requirement” should not be used for input by the user. Just accomplished the right
column.
- The column “Notes / Documents” can be used by the organization for preparation as well as by the
assessor/consultant during the gap assessment or audit. It is intended for documentation check and
must ensure evidences for conformity or nonconformity of the respective requirement.

Chapter 4:
Y/N Notes / Remarks
Context of the organization
4.1 Understanding the organization and
its context
The organization shall determine:
- external issues
- internal issues,
that are relevant to its purpose and its
strategic direction and that affect its ability
to achieve the intended result(s) of its
quality management system.

The organization shall monitor and review

the information about these external and
internal issues.

MyPolaris Philippines Inc. | Penthouse, 7884 Makati Ave. Makati City | +632 515 8870
|https://www.mypolaristrainingphilippines.com
4.2 Understanding the needs and
expectations of interested parties

Widening the view from client to interested

parties

The organization shall determine:

a) the interested parties that are
relevant to the quality management
system;
b) the requirements of these
interested parties, which are
relevant to the QMS

The organization shall monitor and review

the information about these interested
parties and their relevant requirements.

4.3 Determining the scope of the OHS

management system

The scope must be:

• determined and maintained
• documented

Clarification of the basic ideas for

“exclusions”:

If a requirement of this international

standard within the agreed range of
application can be applied, it must be
applied by the organization.

If a requirement of this international

standard cannot be applied, then consider
it as not applicable.

4.4 OHS management system

The organization shall establish,

implement, maintain and continually
improve an OHS management system,
including the process needed and their
interactions, in accordance with the
requirements of the standard.

MyPolaris Philippines Inc. | Penthouse, 7884 Makati Ave. Makati City | +632 515 8870
|https://www.mypolaristrainingphilippines.com
Chapter 5: Leadership Y/N Notes / Remarks
Additional requirements regarding
leadership commitment

- protecting workers from reprisals

- process for consultation and
participation of workers
- establishment of safety and health
committee

Top management shall establish,

implement, and maintain an OHS Policy
that follows the six (6) characteristics
stated in the standard.

Chapter 6: Planning Y/N Notes / Remarks

Risks shall be determined to
- ensure that the OHS management
system can achieve its intended
results
- enhance desirable effects
- prevent or reduce undesired effects
- achieve continual improvement
Must consider:
- Hazard
- OHS Risk and other risks
- OHS Opportunities & other
Opportunities
- Legal requirements and other
requirements

Planning is required regarding

- which actions will address these
risks and opportunities
- how these actions will be integrated
into OSHMS and processes
- how the effectiveness of these
actions will be evaluated
OSH objectives shall be defined more
precisely

When planning the actions to achieve these

objectives the organization shall determine:
- what will be done
- which resources are required
- who is responsible
- when an action is completed
- how the results will be evaluated
MyPolaris Philippines Inc. | Penthouse, 7884 Makati Ave. Makati City | +632 515 8870
|https://www.mypolaristrainingphilippines.com
Chapter 7: Support Y/N Notes / Remarks

- Resources needed for OHSMS

- Competence – including ability to
identify hazards
- Awareness on OHSMS

The organization shall determine relevant

internal and external communications
.
The organization shall determine:
- what is communicated
- when it is communicated
- to whom it is communicated
- how it is communicated
- who will communicate

Chapter 8: Operation Y/N Notes / Remarks

The organization shall plan, implement,

control, and maintain the processes needed
to meet the requirements of the OHSMS
and to implement actions determined in:
- adapting work to workers

The organization shall establish,

implement, and maintain a process for the
elimination of hazards and reduction of
OHS risks using the following hierarchy of
controls:
- elimination
- substitution
- engineering
- administrative
- adequate PPE
The organization shall establish a process
for the implementation and control of
planned temporary and permanent
changes that impact OHS performance.
(Management of Change)

Control of contractors or outsourced

process in terms of OHS.
- Includes OSH criteria or
requirements

The organization shall have criteria for the

evaluation, selection, monitoring of

MyPolaris Philippines Inc. | Penthouse, 7884 Makati Ave. Makati City | +632 515 8870
|https://www.mypolaristrainingphilippines.com
performance and re-evaluation of external
providers.
Emergency preparedness and response
- Plan including first aid
- Training
- Testing and exercise (drills)
- Evaluation of performance
- Communication and participation
(workers and other interested
parties)

Chapter 9:
Y/N Notes / Remarks
Performance evaluation
Monitoring, measurement, analysis, and
performance evaluation (OHS related)
- What needs to be monitored and
measured (OHS performance,
calibration of equipment, legal
compliance, etc)
- Method
- Criteria
- When to monitor and measure
(frequency/schedule)
- When to analyze, evaluated, and
communicated

Internal Audit Report

Management Review Outputs (Report)

Chapter 10:
Y/N Notes / Remarks
Improvement

Incident, nonconformity, and corrective

action.

Continual improvement of the OHSMS is

required.

- Enhancing OHS performance

- Promoting OSHMS Culture
- Promoting participation of workers
- Communication of relevant results
to workers

MyPolaris Philippines Inc. | Penthouse, 7884 Makati Ave. Makati City | +632 515 8870
|https://www.mypolaristrainingphilippines.com
Documented information: Y/N Notes / Remarks
(1) The scope of the OHSMS (Clause
4.3 - Determining the scope of the
OHSMS available and be
maintained as documented
management system)
(maintain documented information)
(2) The organization shall maintain
and retain documented information
to the extent necessary to support
the operation of processes
(Clause 4.4 – OHSMS)
(maintain and retain documented
information)
(3) OSH policy (Clause 5.2 – OHS
policy)
(maintain documented information)
(4) Roles, responsibilities and
authorities – assigned and
communicated (Clause 5.3)
(maintain documented information)
(5) Risk and opportunities and actions
to address them, including HIRAC
(Clause 6.1)
(maintain and retain documented
information)
(6) OHS KPIs or KRAs (chapter. 6.2 –
OHS objectives and planning to
achieve them)
(maintain and retain documented
information)
(7) Evidences of competence of the
personnel (chapter. 7.2 -
Competence)
(retain documented information)
(8) Evidence of communication as
appropriate (Clause 7.4 -
Communication)
(retain documented information)
(9) Documented information to the
extent necessary to have
confidence that the processes
have been carried out as planned
(Clause 8.1.1 - Operational
planning and control)
(maintain & retain documented
information)

MyPolaris Philippines Inc. | Penthouse, 7884 Makati Ave. Makati City | +632 515 8870
|https://www.mypolaristrainingphilippines.com
(10) Emergency preparedness and
response, i.e. plans, drills, ERT,
OHScom, trainings, OHS reports,
etc. (Clause 8.2)
(maintain and retain documented
information)
(11) Evidence of the result of
monitoring, measurement,
analysis, and performance
evaluation; maintenance,
calibration or verification of
measuring equipment; evaluation
of compliance (Clause 9.1)
(retain documented information)
(12) The organization shall retain
documented information as
evidence of the implementation of
the audit programme and the audit
results (Clause 9.2.2 - Internal
audit)
(retain documented information)
(13) The organization shall retain
documented information as
evidence of the results of
management reviews. (Clause 9.3
- Management review)
(retain documented information)
(14) The organization shall retain
documented information as
evidence of the nature of the
incidents or nonconformities and
the results of actions taken.
(Clause 10.2. Incident,
nonconformity and corrective
action)
(retain documented information)
(15) Evidence of continual
improvement (Clause 10.3)
(maintain and retain documented
information)

MyPolaris Philippines Inc. | Penthouse, 7884 Makati Ave. Makati City | +632 515 8870
|https://www.mypolaristrainingphilippines.com