ISO 45001 Gap Assessment Checklist: What to Review Before Certification
An ISO 45001 gap assessment helps an organisation understand how far its current occupational health and safety system is from the requirements of ISO 45001. Done properly, it should identify both documentation gaps and weaknesses in day-to-day implementation.
This practical checklist can be used before starting an implementation project, before an internal audit, or as a readiness review prior to certification.
1. Context of the Organisation
- Internal and external issues affecting OH&S performance are identified
- Interested parties and their relevant needs are understood
- The scope of the OH&S management system is clearly defined
2. Leadership and Worker Participation
- Top management responsibilities are defined and demonstrated
- OH&S policy is suitable, communicated and available
- Roles, responsibilities and authorities are assigned
- Workers are consulted and participate in relevant OH&S activities
3. Hazard Identification and Risk Assessment
- Routine and non-routine activities are assessed
- People, equipment, processes and workplace conditions are considered
- Existing controls are evaluated before assigning residual risk
- Opportunities for OH&S improvement are identified
- Changes and new activities trigger fresh risk assessment
4. Legal and Other Requirements
- Applicable legal and other compliance obligations are identified
- A mechanism exists to keep requirements current
- Compliance status is periodically evaluated
- Evidence of statutory inspections, licences or records is maintained where applicable
5. Objectives and Planning
- Measurable OH&S objectives are defined
- Responsibilities, timelines and resources are assigned
- Progress is monitored and reviewed
6. Competence, Awareness and Communication
- Competency requirements are identified for relevant roles
- Training is provided and effectiveness is evaluated
- Workers understand key hazards, controls and emergency arrangements
- Internal and external communication processes are defined
7. Documented Information
- Policies, procedures, registers and records are controlled
- Only current versions are available at points of use
- Records are retained for defined periods
- Obsolete documents are prevented from unintended use
8. Operational Controls
- High-risk activities are controlled through suitable procedures or permits
- Contractor and outsourced-process risks are managed
- Procurement considers OH&S requirements
- Management of change is applied to significant operational changes
9. Emergency Preparedness and Response
- Credible emergency scenarios are identified
- Emergency plans and responsibilities are defined
- Drills are conducted and reviewed
- Lessons from drills and incidents are incorporated into improvements
10. Performance Evaluation
- OH&S performance indicators are defined and monitored
- Internal audits are planned and conducted
- Management review covers the required inputs and actions
- Corrective actions are tracked to effective closure
11. Incident, Nonconformity and Continual Improvement
- Incidents and near misses are reported and investigated
- Root causes are identified
- Corrective actions address system weaknesses, not only immediate causes
- Continual-improvement opportunities are tracked
Frequently Asked Questions
When should an ISO 45001 gap assessment be done?
It is useful before implementation, before internal audit, or when an existing OH&S system needs to be benchmarked against ISO 45001 requirements.
Does Safety Zest issue ISO 45001 certificates?
No. Safety Zest provides consulting and certification-readiness support. Certification is issued by an independent certification body.
Can ISO 45001 be integrated with ISO 14001?
Yes. Common processes such as document control, internal audit, corrective action and management review can be integrated.
How Safety Zest Can Help
Safety Zest provides ISO 45001 Consulting and Certification Support and ISO 45001 consulting in Bangalore, including gap assessment, documentation, implementation support, internal audit and management-review readiness.
If you want a combined ISO 14001 and ISO 45001 approach, explore our Integrated Management System Consulting or contact Safety Zest.
