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List of mandatory documents required by DIS ISO 45001:2016

The draft of ISO 45001 provides us with some insight into what documents will be required by this new standard. Compared to OHSAS 18001 there are not too many changes, but the requirements for documentation are simpler and less demanding, following the logic of new versions of other ISO standards.

Of course, the standard does not explicitly mention documents and records, but uses the term “documented information.”

Mandatory documents and records required by DIS/ISO 45001:2016

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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. However, I find these non-mandatory documents to be most commonly used:

The good thing is that 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.

To find out more about the differences between OHSAS 18001 and ISO 45001, download this  ISO/DIS 45001:2016 vs. OHSAS 18001:2007 matrix.

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