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Mandatory documents and records required by ISO 45001:2016

Mandatory documents and records required by ISO 45001:2016

 Here are the documents you need to produce if you want to be compliant with ISO 45001:

Scope of the OH&SMS (clause 4.3)

OH&S Policy (clause 5.2)

Roles and responsibilities (clause 5.3)

OH&S risks and OH&S opportunities (clause 6.1.1)

Processes needed to address risks and opportunities (clause 6.1.1)

Methodology and criteria for assessment of OH&S risks (clause 6.1.2)

OH&S objectives and plans (clause 6.2.2)

Communication (clause 7.4)

Operational controls (clause 8.1.1)

Emergency preparedness and response process (clause 8.6)


And here are the mandatory records:

 Applicable legal and other requirements (clause 6.1.3)

Records of training, skills, experience and qualifications (clause 7.2)

Monitoring and measurement results (clause 9.1)

Calibration and verification of monitoring and measuring equipment (clause 9.1)

Evaluation of compliance obligations (clause 9.1.2)

Internal audit program (clause 9.2.2)

Results of internal audits (clause 9.2.2)

Results of the management review (clause 9.3)

Incidents and nonconformities (clause 10.1)

Results of corrective actions (clause 10.1)


Non-mandatory documents


No system exists using only the mandatory documents. There are numerous non-mandatory documents that can be used for ISO 45001 implementation.

 Procedure for determining context of the organization and interested parties (clauses 4.1 and 4.2)

Procedure for identification and evaluation of OH&S management system risks and opportunities (clauses 6.1.1 and 6.1.2)

Competence, training and awareness procedure (clauses 7.2 and 7.3)

Procedure for communication (clause 7.4)

Procedure for document and record control (clause 7.5)

Procedure for internal audit (clause 9.2)

Procedure for management review (clause 9.3)

Procedure for management of nonconformities and corrective actions (clause 10.2)


The standard went in the same direction as ISO 9001 and ISO 14001 regarding the approach to documents and records, and the requirements are the same for common requirements of those standards. On the other hand, it dropped some theoretical requirements compared to OHSAS 18001, such as documenting OH&SMS Elements & their interaction. In this way the standard emphasizes demonstration of OH&S management system effectiveness rather than writing endless theoretical procedures.

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