What documents are required for ISO 45001 certification?

The latest version of ISO 45001 shifts focus to document and record control, replacing its predecessor OHSAS 18001 and its requirements for retaining documented evidence. Nowadays, many business owners need clarification on these two phrases. Let us begin by clarifying that the phrase “retaining documented information as evidence of,” refers to creating records that serve as a channel to store all results of evaluations. In contrast, the phrase “maintaining as documented information,” refers to documents that need to be developed to achieve compliance. Like the other versions of ISO that have been recently updated, ISO 45001 also focuses on documentation to gauge a business’s compliance.

Essentially, both documents and records are essential in ISO certification audits as it introduces the auditor to how an organization operates without being physically present at its location. Hence, the importance of documents cannot be understated. Here in this Edarasystems article, is a list of mandatory documents required for ISO 45001 certification and the most commonly utilised documents in implementing an Occupational Health and Safety Management System (OHSMS).

Mandatory documents required by ISO 45001:2018

Here are the documents required for ISO 45001 certification that you need to produce if you wish to be compliant with the certification:

• Scope of OHSMS as per clause 4.3.
• Occupational Health and Safety (OHS) policy as per clause 5.2.
• OHS processes for addressing risks and opportunities presented to the management system, as per clause 6.1.1.
• All responsibilities and authorities within the OHSMS, as per clause 5.3.
• A methodology utilised and criteria for assessing OHS risks, as per clause 6.1.2.2.
• OHS objectives and plans for achieving them, as per clause 6.2.2.
• Emergency preparedness and response process, as per clause 8.2.

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Mandatory records required by ISO 45001:2018

After understanding documents required for ISO 45001 certification, here is the list of mandatory records you need to provide if you wish to be ISO 45001 compliant. Again, the difference between a document and a record is their purpose. A record is a document where the results of evaluation or steps taken by the organisation are stored, whereas documents are utilised for planning and implementing procedures.

• OHS risks and opportunities identified, as well as actions utilised for addressing them, as per clause 6.1.1.
• Legal and other requirements, as per clause 6.1.3.
• Evidence of competence, as per clause 7.2.
• Evidence of communication channels utilised in the organisation, as per clause 7.4.1.
• Plans for responding to potential emergency situations, as per clause 8.2.
• Results of monitoring, measuring, analysis and performance evaluation, as per clause 9.1.1.
• Compliance evaluation results, as per clause 9.1.2.
• Internal audit program, as per clause 9.2.2.
• Internal audit report, as per clause 9.2.2.
• Results of management review, as per clause 9.3.
• Nature of incidents or nonconformities, as well as any subsequent action taken to mitigate these incidents, as per clause 10.2.
• Results of any action or corrective actions, including how their effectiveness was measured, as per clause 10.2.
• Evidence of the results of the continual improvement cycle, as per clause 10.3.

These are documents required for ISO 45001 and every company should meet these requirements.

Non-mandatory documents for ISO 45001

Like achieving an ISO 45001 audit, a variety of non-mandatory documents are not needed to achieve compliance with but help achieve ISO 45001 implementation. The most common non-mandatory documents are:

• Procedure for determining the context of the organisation and the interested parties, as per clause 4.1.
• OHS manual, as per clause 4.
• Procedure for consultation and participation of workers, as per clause 5.4.
• Procedure for hazard identification assessment, as per clause 6.1.2.1.
• Procedure for identification of legal requirements, as per clause 6.1.3.
• Procedure for implementing communication channels, as per clause 7.4.1.
• Procedure for document and record control, as per clause 7.5.
• Procedure for operational planning and control, as per clause 8.1.
• Procedure for change management, as per clause 8.1.3.
• Procedure for monitoring, measuring and analysis, as per clause 9.1.1.
• Procedure for a compliance evaluation, as per clause 9.1.2.
• Procedure for internal audit, as per clause 9.2.
• Procedure for management review, as per clause 9.3.
• Procedure for incident investigation, as per clause 10.1.
• Procedure for management of nonconformities and corrective actions, as per clause 10.1.
• Procedure for continual improvement, as per clause 10.3.

By reviewing the above information, you must have concluded that the same approach utilised for other management system standards in ISO has been applied to ISO 45001. The main objective of documentation is to ensure consistency in the ISO 45001 process and the evidence, thereby standardising how organisations operate.

Benefits of meeting ISO 45001 requirements

By meeting the ISO 45001 requirements regarding documentation, organisations will be able to achieve the objective of consistency. An added benefit of having the same format for documentation for every management system is that it allows for easier integration. This means that if you already have an ISO management system in your organisation, for example, ISO 9001, that focuses on quality management, your documents would already be in alignment, and it would be easier for you to implement ISO 45001 or, for that matter, ISO 14001.

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Ask questions about ISO 45001 from Edara Systems consultants

In this article we have talked about documents required for ISO 45001 certification. The new update in ISO 45001 has removed the distinction between documents and records. Now, they are both termed as “documented information.” By adhering to the list provided above, you can achieve compliance. Maybe you are wondering what is occupational health and safety management system? Or you need some information about obtaining ISO 45001 and its cost; Don’t worry! You can count on Edara Systems help. Just fill out the pop-up form on this page to contact our expert consultants.