Essential Documents Required by ISO 45001: Ensuring Compliance 

26/10/2023by admin0Read: 6 minutes

While Australia maintains a strong health and safety culture, it’s crucial to acknowledge that workplace accidents, unfortunately, continue to happen, resulting in severe injuries and, tragically, fatalities. According to a report from Safe Work Australia (SWA), 169 Australians lost their lives in work-related incidents in 2021.

ISO 45001 Standard

ISO 45001 is an Occupational Health and Safety Management Systems (OH&S) standard that offers a comprehensive framework for businesses to recognise, control, and reduce workplace hazards, fostering a healthier and safer work environment. This standard encapsulates the most effective practices in the realm of occupational health and safety.

Documents Required by ISO 45001:2018

The ISO 45001 standard provides us with some insight into what documents are required. Compared to OHSAS 18001, there are not too many changes, but the documentation requirements are easier to manage, following the logic of the new versions of other ISO standards. Of course, the standard does not explicitly mention documents and records, but uses the term “documented information.”

While an effective ISO 45001 change management is essential for ensuring workplace safety and compliance, successfully implementing is crucial to understand the essential documents required by ISO 45001, as they form the foundation for ensuring compliance.

Below we have given the list of documents that organisations need to maintain to comply with ISO 45001. We have explained each in brief:

1) Scope of the OH&S Management System (Clause 4.3)

Clause 4.3 delineates the extent of the Occupational Health and Safety (OH&S) management system, defining its parameters and relevance. This encompasses the organisation’s products, services, operational facets, and external activities that may influence the system’s efficacy.

2) OH&S Management System (Clause 4.4)

The OH&S Management System, as outlined in Clause 4.4 of the ISO 45001 Management System, centers on establishing, implementing, maintaining, and continually enhancing processes to effectively address occupational health and safety risks.

3) Leadership and Commitment (Clause 5.1)

ISO 45001’s Clause 5.1, Leadership and Commitment, emphasises top management’s crucial role in establishing, sustaining, and continually improving the Occupational Health and Safety (OH&S) management system. It involves leadership’s commitment to OH&S, policy development, role assignments, integration with business processes, consultation and participation of employees, and ongoing performance evaluation.

This clause ensures that leadership actively drives safety, allocates resources, fosters collaboration, and pursues continual OH&S improvement.

4) OH&S Policy (Clause 5.2)

The OH&S document outlines the prerequisites for ensuring the well-being of workplace health and safety. It necessitates that business proprietors guarantee the workplace’s safety and the absence of perilous conditions.

Furthermore, it emphasises the importance of regular workplace inspections to promptly identify and rectify potential risks.

5) Organisational Roles, Responsibilities and Authorities (Clause 5.3)

Clause 5.3 of the ISO 45001 Management System provides a structured approach to delineating and delegating organizational roles, duties, and authorizations pertaining to occupational health and safety (OH&S).

This clause sets the foundation for precise accountability, designating particular individuals or positions with OH&S responsibilities, encompassing policy adherence, procedural compliance, and legal obligations. Its primary purpose is to uphold efficient communication, risk mitigation, and the holistic effectiveness of the OH&S management system.

6) Actions to Address Risks and Opportunities (Clause 6.1)

The OH&S process for managing risks and opportunities is a critical document that mandates an organisation to recognise, evaluate, control, and tackle the risks and opportunities linked to its operations.

7) Assessment of OH&S Risks and other Risks to the OH&S Management System (Clause

Clause outlines the methodology and approach for evaluating occupational health and safety risks. This involves systematically assessing risks, identifying potential hazards, and determining their associated risk levels.

8) Determination of Legal and other Requirements (Clause 6.1.3)

Clause 6.1.3 in the ISO 45001 Management System pertains to the systematic process of recognizing and evaluating legal and other stipulations concerning occupational health and safety (OH&S).

This clause requires a structured approach to comprehend and adhere to diverse regulations, standards, and commitments that influence OH&S within a company. It also necessitates the continuous monitoring of alterations in these requisites to uphold a secure and legally compliant workplace.

9) Planning to Achieve OH&S Objectives (Clause 6.2.2)

This clause delineates the responsibilities of the team leader in formulating occupational health and safety objectives and crafting effective plans to achieve them. These plans should clearly outline the intended results, performance metrics, necessary resources, and actionable steps to meet the objectives. Additionally, the plan should incorporate a schedule for implementation, a communication strategy, and a mechanism for tracking and assessing progress. Regular reviews and updates of OH&S objectives and plans are also essential.

10) Competence (Clause 7.2)

ISO 45001 Management System Competence (Clause 7.2) pertains to the guidelines in the standard concerning how organizations should guarantee that their workforce possesses the essential skills, knowledge, and qualifications to execute their job responsibilities in a secure and proficient manner.

This clause underscores the significance of evaluating employee competence, delivering suitable training, and consistently evaluating and enhancing their abilities to uphold a secure and regulation-compliant workplace.

11) Communication (Clause 7.4)

ISO 45001 Management System Communication (Clause 7.4) involves the systematic approach an organization employs to ensure efficient internal and external communication regarding occupational health and safety (OH&S) issues.

This clause encompasses identifying pertinent communication requirements, establishing communication procedures, and sharing information with stakeholders. It emphasizes the importance of transparent, timely, and precise OH&S communication for sustaining a secure and well-informed work environment.

12) Operational Planning and Control (Clause 8.1)

Clause 8.1 of the ISO 45001 Management System pertains to Operational Planning and Control, encompassing an organization’s systematic approach to orchestrating, overseeing, and executing its operational endeavours while upholding compliance with occupational health and safety (OH&S) stipulations.

This clause encompasses the meticulous identification of hazards, the evaluation of associated risks, and the formulation of controls aimed at mitigating or eradicating OH&S hazards. It underscores the imperative nature of well-defined procedures, delineated responsibilities, and effective communication channels to uphold a secure and conducive working milieu.

13) Contractors (Clause

Clause within the ISO 45001 Management System pertains to the management of contractors within the occupational health and safety (OH&S) framework. This clause outlines guidelines for organizations to evaluate, choose, and supervise contractors, ensuring their adherence to OH&S regulations and safety protocols during projects or on-site work.

Furthermore, it underscores the significance of clearly defining contractor roles and seamlessly integrating them into the broader OH&S structure to uphold a secure work environment.

14) Emergency Preparedness and Response (Clause 8.2)

This entails an emergency preparedness and response strategy that illustrates your company’s approach to handling emergencies. It typically encompasses strategies for recognising potential emergencies, formulating response strategies, and providing employee training on emergency protocols.

Additionally, it may outline how your organization will collaborate with stakeholders and external partners to ensure a coordinated and efficient response.

15) Monitoring, Measurement, Analysis and Performance Evaluation (Clause 9.1)

ISO 45001 Monitoring, Measurement, Analysis, and Performance Evaluation (Clause 9.1) entails the structured procedures outlined in the standard for systematically monitoring, assessing, and analysing an organisation’s occupational health and safety (OH&S) performance.

This clause incorporates regular data collection, performance metrics, and in-depth analysis to ensure the achievement of OH&S objectives and the effective management of risks. It underscores the significance of data-informed decision-making, ongoing enhancement, and adherence to legal and regulatory requirements to uphold a safe and healthful workplace.

16) Evaluation of Compliance (Clause 9.1.2)

ISO 45001 Compliance Evaluation (Clause 9.1.2) outlines the structured procedure within the standard for appraising an organisation’s adherence to applicable occupational health and safety (OH&S) legal and other obligations.

This clause involves periodic assessments to verify the organization’s commitment to meeting its OH&S mandates. It underscores the significance of documenting compliance assessments, promptly addressing any non-compliances, and continuously enhancing the OH&S management system to maintain a safe and legally compliant workplace.

17) Internal Audit (Clause 9.2)

ISO 45001 Internal Audit (Clause 9.2) encompasses a methodical and autonomous evaluation of the organization’s occupational health and safety (OH&S) management system carried out by internal auditors. Its purpose is to confirm adherence to OH&S policies, procedures, and legal mandates.

This process aids in pinpointing opportunities for enhancement, gauging the efficiency of controls, and validating the achievement of OH&S objectives. Internal audits are pivotal in upholding a secure and healthful work environment and fostering ongoing enhancements in the OH&S management system.

18) Management Review (Clause 9.3)

ISO 45001 Management Review (Clause 9.3) encompasses a systematic assessment conducted by top management to evaluate the efficiency and effectiveness of the organization’s occupational health and safety (OH&S) management system.

This clause highlights the significance of conducting regular reviews to confirm the achievement of OH&S objectives, effective risk management, and consistent compliance. It also underscores the value of making informed decisions based on data, pursuing ongoing enhancement, and engaging relevant stakeholders throughout the management review process.

19) Incident, Nonconformity and Corrective Action (Clause 10.2)

ISO 45001 Incident, Nonconformity, and Corrective Action (Clause 10.2) encompass a structured approach to managing incidents and non-conformities and executing corrective actions within an organisation’s occupational health and safety (OH&S) management system.

This clause delineates the protocols for reporting, investigating, and resolving incidents and nonconformities to prevent their reoccurrence. It underscores the significance of pinpointing root causes, implementing effective corrective actions, and systematically monitoring their impact to drive continuous improvement in OH&S performance, thereby ensuring a secure work environment.

20) Continual Improvement (Clause 10.2)

ISO 45001 Continual Improvement (Clause 10.2) is a key aspect of the standard that highlights the organisation’s unwavering dedication to consistently improving its occupational health and safety (OH&S) management system. This involves actively seeking opportunities for enhancement, establishing clear objectives, executing action plans to attain those objectives, and diligently tracking progress.

This clause underscores the significance of a methodical approach in driving continuous improvement in OH&S performance, demonstrating the organization’s firm commitment to maintaining a secure and health-conscious workplace.

Anitech’s experienced consultants can assist organisations in getting the essential documents for ISO 45001 Compliance right. We also provide assistance in strategising, implementing and internal auditing the ISO 45001 management system.


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