List of Mandatory Documents According to ISO 45001
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List of Mandatory Documents According to ISO 45001
ISO 45001 is now published. For those planning to transition or implement the new standard, understanding the requirements for documented information is essential. ISO 45001 introduces a new approach to document and record control, replacing the old OHSAS 18001 requirements. Here’s a breakdown of the required documents and records, along with some commonly used non-mandatory documents.
Mandatory Documents Required by ISO 45001:2018
To comply with ISO 45001, you need to produce the following documents:
Scope of the OH&S Management System (Clause 4.3): Clearly define the boundaries and applicability of your OH&S management system.
- OH&S Policy (Clause 5.2): Develop a policy that outlines your organization’s commitment to OH&S.
Responsibilities and Authorities within OH&SMS (Clause 5.3): Specify who is responsible for various aspects of the OH&S management system.
OH&S Process for Addressing Risks and Opportunities (Clause 6.1.1): Document processes for identifying and managing OH&S risks and opportunities.
Methodology and Criteria for Assessment of OH&S Risks (Clause 6.1.2.2): Establish criteria for evaluating OH&S risks.
OH&S Objectives and Plans for Achieving Them (Clause 6.2.2): Set clear OH&S objectives and outline how to achieve them.
Emergency Preparedness and Response Process (Clause 8.2): Prepare for emergencies and define response procedures.
Mandatory Records Required by ISO 45001:2018
ISO 45001 requires the following records:
OH&S Risks and Opportunities and Actions for Addressing Them (Clause 6.1.1):
Record identified risks and opportunities, along with actions taken.Legal and Other Requirements (Clause 6.1.3)
Keep records of legal and other requirements applicable to OH&S.Evidence of Competence (Clause 7.2)
Maintain records that demonstrate the competence of individuals performing OH&S roles.Evidence of Communications (Clause 7.4.1)
Document all communications related to OH&S.Plans for Responding to Potential Emergency Situations (Clause 8.2)
Record plans for emergency responses.Results on Monitoring, Measurements, Analysis, and Performance Evaluation (Clause 9.1.1)
Keep records of monitoring and measurement results.Maintenance, Calibration, or Verification of Monitoring Equipment (Clause 9.1.1)
Document maintenance and calibration activities.Compliance Evaluation Results (Clause 9.1.2)
Record the results of compliance evaluations.Internal Audit Program (Clause 9.2.2)
Document the internal audit program and its findings.Internal Audit Report (Clause 9.2.2)
Keep records of internal audit reports.Results of Management Review (Clause 9.3)
Document the outcomes of management reviews.Nature of Incidents or Nonconformities and Any Subsequent Action Taken (Clause 10.2)
Record incidents, nonconformities, and the actions taken.Results of Any Action and Corrective Action, Including Their Effectiveness (Clause 10.2)
Maintain records of corrective actions and their effectiveness.Evidence of the Results of Continual Improvement (Clause 10.3)
Document continual improvement efforts.
Non-Mandatory Documents
Although not required, these documents are commonly used for ISO 45001 implementation:
Procedure for Determining Context of the Organization and Interested Parties (Clause 4.1):
Define the context of the organization and identify interested parties.OH&S Manual (Clause 4)
Develop a manual that outlines your OH&S management system.Procedure for Consultation and Participation of Workers (Clause 5.4)
Establish procedures for worker consultation and participation.Procedure for Hazard Identification and Assessment (Clause 6.1.2.1)
Define how hazards will be identified and assessed.Procedure for Identification of Legal Requirements (Clause 6.1.3)
Establish a procedure for identifying applicable legal requirements.Procedure for Communication (Clause 7.4.1)
Develop a procedure for OH&S-related communications.Procedure for Document and Record Control (Clause 7.5)
Define how documents and records will be controlled.Procedure for Operational Planning and Control (Clause 8.1)
Outline procedures for operational planning and control.Procedure for Change Management (Clause 8.1.3)
Establish a process for managing changes.Procedure for Monitoring, Measuring, and Analysis (Clause 9.1.1)
Define procedures for monitoring, measuring, and analysis.Procedure for Compliance Evaluation (Clause 9.1.2)
Establish a procedure for compliance evaluation.Procedure for Internal Audit (Clause 9.2)
Define the internal audit process.Procedure for Management Review (Clause 9.3)
Outline the process for management review.Procedure for Incident Investigation (Clause 10.2)
Establish procedures for investigating incidents.Procedure for Management of Nonconformities and Corrective Actions (Clause 10.2)
Define how nonconformities and corrective actions will be managed.Procedure for Continual Improvement (Clause 10.3)
Outline procedures for continual improvement.
Following these documentation requirements ensures consistency in processes and provides necessary evidence of applied procedures. Adhering to these standards helps your organization meet the objectives of ISO 45001 and fosters a safer workplace.
