ISO 45001 Documents List of Required Policies & Procedures

ISO 45001 documents: List of required policies & procedures https://advisera.com/45001academy/blog/2018/03/28/list-of-mandatory-...
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ISO 45001 Blog
List of mandatory documents according to

ISO 45001
Strahinja Stojanovic  March 28, 2018    
ISO 45001 is finally published, so the experts and the companies that are planning the
transition or implementation are looking into the requirements for documented
information. The new standard introduces a new approach to document and record control,
which replaces the OHSAS 18001 requirements for records and procedures with new
requirements for documented information. For more information, see the article New
approach to ISO 45001 documentation.
There are two phrases that indicate what kind of document is required by the standard. The
phrase “retain documented information as evidence of …” means the record needs to be
produced, while the phrase “maintain as documented information” means that the
document needs to be developed, including the procedures.
Here is the list of mandatory documented information required by ISO 45001, along with
1 of 16 8/31/21, 11:47 AM
the documents most commonly used in the implementation of Occupational Health and
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Here are the documents you need to produce if you want to be compliant with ISO
45001:
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Scope of the OH&S management system (clause 4.3)
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OH&S process for addressing risks and opportunities (clause 6.1.1)
Methodology and criteria for assessment of OH&S risks (clause 6.1.2.2)
OH&S objectives and plans for achieving them (clause 6.2.2)
Emergency preparedness and response process (clause 8.2)
CHECKLIST OF MANDATORY DOCUMENTATION REQUIRED BY

ISO 45001
Free white paper that explains which documents to use and how to structure them
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And, here are the mandatory records:
OH&S risks and opportunities and actions for addressing them (clause 6.1.1)
Legal and other requirements (clause 6.1.3)
Evidence of competence (clause 7.2)
Evidence of communications (clause 7.4.1)
Plans for responding to potential emergency situations (clause 8.2)
Results on monitoring, measurements, analysis and performance evaluation (clause

9.1.1)
Maintenance, calibration or verification of monitoring equipment (clause 9.1.1)
Compliance evaluation results (clause 9.1.2)
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Internal audit program (clause 9.2.2)
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Nature of incidents or nonconformities and any subsequent action taken (clause 10.2)
Results of any action and corrective action, including their effectiveness (clause 10.2)
Evidence of the results of continual improvement (clause 10.3)
Non-mandatory documents
There are numerous non-mandatory documents that can be used for ISO 45001
implementation. However, these are the non-mandatory documents that are most
commonly used:
Procedure for Determining Context of the Organization and Interested Parties (clause
4.1)
OH&S Manual (clause 4)
Procedure for Consultation and Participation of Workers (clause 5.4)
Procedure for Hazard Identification and Assessment (clause 6.1.2.1)
Procedure for Identification of Legal Requirements (clause 6.1.3)
Procedure for Communication (clause 7.4.1)
Procedure for Document and Record Control (clause 7.5)
Procedure for Operational Planning and Control (clause 8.1)
Procedure for Change Management (clause 8.1.3)
Procedure for Monitoring, Measuring and Analysis (clause 9.1.1)
Procedure for Compliance Evaluation (clause 9.1.2)
Procedure for Internal Audit (clause 9.2)
Procedure for Management Review (clause 9.3)
Procedure for Incident Investigation (clause 10.1)
Procedure for Management of Nonconformities and Corrective Actions (clause 10.1)
4 of 16 8/31/21, 11:47 AM
Procedure for Continual Improvement (clause 10.3)
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objective of the documentation requirements is to ensure consistency of the processes and
provide evidence that procedures are applied; and, by meeting the requirements of the
standard regarding the documentation, the organization will most certainly achieve this
objective.
Click here to download a white paper: Checklist of Mandatory Documentation Required

by ISO 45001 with more detailed information on the most common ways for structuring
and implementing mandatory documents and records.
CHECKLIST OF MANDATORY DOCUMENTATION REQUIRED BY

ISO 45001
Free white paper that explains which documents to use and how to structure them
DOWNLOAD NOW
AUT H O R
Strahinja Stojanovic
Strahinja Stojanovic is certified as a lead auditor for ISO 13485, ISO 9001, ISO 14001
5 of 16 8/31/21, 11:47 AM
and OHSAS 18001 standards by RABQSA. He participated in implementation of
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7 of 16 8/31/21, 11:47 AM
Sir,
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Mark Hammar > Ravish • a year ago

The internal audit is the audit that is done by the company of the processes within the
company per clause 9-. of the standard, when this article mentions internal audit
checklists and reports it is talking about these types of audits.
External audits can be a customer or legal entity auditing your organization, or the
certification auditors performing their third-party audit; where someone from outside of
the organisation audits the processes. These external people will come up with their
own checklists and reports for these audit, so they would not be available for you to
use for your internal audit.
ravish agrawal • 2 years ago

Sir,
May i please know how to use RAG rating to show OHSAS compliance requirements at a
glance. Any sample template please.
Mark Hammar > ravish agrawal • 2 years ago

The RAG rating system is a standard system typically used for rating tasks in project
management as Red/Amber/Green (much like a traffic light) as to whether they are on
track, in trouble or no problems.
Keeping in mind that this is not a requirements of OHSAS 18001 or ISO 45001, you
could use this as part of an assessment report by rating if a task was on time, or if a
requirement was not met or partially met, or the status of a risk. How you use it would
be up to you as it is your choice as to how you want to assess something and not a
requirement of the standard.
If you are looking for a simple gap analysis tool you can check out our Free ISO 45001
Gap Analysis Tool, https://advisera.com/45001a...
8 of 16 8/31/21, 11:47 AM
safety profile?
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Please guide me.
Thanks.
Regards,
Ravish Agrawal

Here are the answers to your questions per the ISO 45001 standard requirements:
1. Per clause 5.2 the OH&S policy much be established, implemented and maintained
by top management, but it does not talk about an individual signing the policy. This
same top management must take overall responsibility and accountability for
prevention of work-related injury and ill health as well as providing safe and healthy
workplace activities (per clause 5.1 a), so even though there is no one person signing,
this accountability lies with top management.
2. ISO 45001 does not require a “board-level champion”, but if you are going to assign
someone, they need access to the board level, so if the manager-HSE fulfils this role it
is up to you.
3. Again, the “board-level champion” is not a requirement, but someone reporting to a
board should understand what they are talking about/
4. “Board-level champion” is not a requirement, so it is up to the company to define
this.
5. “Management representative” is also not a requirement of ISO 45001, but clause 5.3
does outline specific roles, responsibilities and authorities of the OHSMS that need to
be assigned within the organization.
6. As these two functions are not specified by ISO 45001 it is up to the organization to
determine.
9 of 16 8/31/21, 11:47 AM
It does sound like you can say this in your situation. Remember, people
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Tamer • 2 years ago

Thanks a lot for your devoted efforts. I found it very useful indeed
Thuvi Vendhan • 3 years ago

Very good info
Guddu Tripathy • 3 years ago

thanks for the details
Hai Dang • 3 years ago

Thanks for the list and I think Evidence of competence is clause 7.2 right?
Strahinja Stojanovic > Hai Dang • 3 years ago

Hi Hai,
You are correct, there is a typo in the article. We will correct it as soon as possible.
Best regards,
10 of 16 8/31/21, 11:47 AM
commonly used documents.
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ravish agrawal > Strahinja Stojanovic • 2 years ago
Dear Mr. Mark,
May i please know supporting OHSAS 18001 clauses for the following"
Is there health and safety leadership from the top of the organisation? Is it
visible?
Is there a health and safety champion/focus at board level?
Is there health and safety leadership at all levels within the organisation? Is it
visible?
What examples do leaders set? Do they talk about health and safety? When
was this last done?
Is the leadership aware of the organisation’s significant risks and how well
they are being controlled?
Are the health and safety implications of business decisions recognised and
addressed?
Is there evidence that the board or leader of the organisation is responsive to
the health and safety information that is reported?
How is health and safety included in the management arrangements for the
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• Clause 4.3.1 g requires hazard identification for changes proposed to
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ravish agrawal > Mark Hammar • 2 years ago
Dear Mr. Mark,
May i please also know supporting OHSAS 18001 clauses for the
following:
What is the nature of the significant risks faced by the organisation?

What is the likelihood of adverse effects occurring and the level of
disruption?
Is there evidence that critical health and safety risks are included in
the overall business risk management of the organisation?
Is there evidence that all of the critical risks have been identified
12 of 16 8/31/21, 11:47 AM
need to have some way of knowing the revision and date is a good way
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The answers to your questions with supporting OHSAS 18001 clauses
are:
• Clause 4.3.1 discusses putting controls in place for risks associated
with hazards, but does not discuss the nature of the significant risks.
13 of 16 8/31/21, 11:47 AM
Therefore use some common sense when addressing documentation required of ISO
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ISO 45001 documents: List of required policies & procedures https://advisera.com/45001academy/blog/2018/03/28/list-of-mandatory-...

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ISO 45001 Blog

List of mandatory documents according to

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Scope of the OH&S management system (clause 4.3)

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Methodology and criteria for assessment of OH&S risks (clause 6.1.2.2)

OH&S objectives and plans for achieving them (clause 6.2.2)

Emergency preparedness and response process (clause 8.2)

CHECKLIST OF MANDATORY DOCUMENTATION REQUIRED BY

And, here are the mandatory records:

Legal and other requirements (clause 6.1.3)

Evidence of competence (clause 7.2)

Evidence of communications (clause 7.4.1)

Plans for responding to potential emergency situations (clause 8.2)

Results on monitoring, measurements, analysis and performance evaluation (clause

Maintenance, calibration or verification of monitoring equipment (clause 9.1.1)

Compliance evaluation results (clause 9.1.2)

Internal audit program (clause 9.2.2)

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Evidence of the results of continual improvement (clause 10.3)

OH&S Manual (clause 4)

Procedure for Consultation and Participation of Workers (clause 5.4)

Procedure for Hazard Identification and Assessment (clause 6.1.2.1)

Procedure for Identification of Legal Requirements (clause 6.1.3)

Procedure for Communication (clause 7.4.1)

Procedure for Document and Record Control (clause 7.5)

Procedure for Operational Planning and Control (clause 8.1)

Procedure for Change Management (clause 8.1.3)

Procedure for Monitoring, Measuring and Analysis (clause 9.1.1)

Procedure for Compliance Evaluation (clause 9.1.2)

Procedure for Internal Audit (clause 9.2)

Procedure for Management Review (clause 9.3)

Procedure for Incident Investigation (clause 10.1)

Procedure for Management of Nonconformities and Corrective Actions (clause 10.1)

Procedure for Continual Improvement (clause 10.3)

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Click here to download a white paper: Checklist of Mandatory Documentation Required

CHECKLIST OF MANDATORY DOCUMENTATION REQUIRED BY

and OHSAS 18001 standards by RABQSA. He participated in implementation of

IMPLEMENT LEARN FREE RESOURCES ABOUT

Tags: #ISO 45001 documents

UPCOMING FREE WEBINAR

How to make the transition from OHSAS 18001 to

 Wednesday – September 8, 2020

What are the new requirements for risks and

Mark Hammar  April 25, 2018

IMPLEMENT LEARN FREE RESOURCES ABOUT

John Nolan  March 16, 2016

How to determine scope of the OH&SMS

Mark Hammar  December 9, 2015

It is an important first step for any management system to define the...

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Mark Hammar > Ravish • a year ago