Employer duties

Which documents are mandatory for a management system?

A management system's mandatory outputs come from the clauses of the harmonised structure: scope (4.3), policy (5.2), actions to address risks and opportunities (6.1), compliance obligations (6.1.3), objectives and plans (6.2), competence evidence (7.2), communication records (7.4), control of documented information (7.5), monitoring and measurement results (9.1), internal audit programme and report (9.2), management review outputs (9.3), nonconformity and corrective action records (10.1). On top of these come the documents that arise from law and from the sector.

Two separate sources

The documents an organisation must keep arrive along two paths:

  1. From the standard — the outputs of a voluntarily adopted system standard.
  2. From the law — documents that arise by statute according to activity, hazard class and headcount.

Confusing them produces errors in both directions: treating a standard's output as law creates unnecessary work; treating a statutory document as voluntary leaves work undone.

Outputs of the harmonised structure

The outputs that arise from the shared structure and serve all four ISO standards are held in Optifora's data layer as shared document types:

ClauseOutput
4.3Management system scope
5.2Policy
6.1 · 6.1.3Actions for risks and opportunities · compliance obligations
6.2Objectives and plans
7.2 · 7.4 · 7.5Competence evidence · communication records · control of documented information
9.1 · 9.2 · 9.3Monitoring and measurement · internal audit programme and report · review outputs
10.1Nonconformity and corrective action

The numbers

The data layer currently defines 33 document types and 53 relations binding them to standards. That a document type can bind to more than one standard is what integration looks like in data.

Document count is not a target

"How many documents should I keep" has no single right answer; the right question is "which requirement is met by which evidence". A document that matches no requirement only takes up shelf space.

Manage this in Optifora

Optifora is not a single program but a compliance platform assembled from modules. The catalogue states which module is ready today and which is on the roadmap.

See what Optifora is