ISO 9001 Requirements (2023)

What are the ISO 9001:2015 requirements?

To attain ISO certification, a company or organization must submit documents that report its internal processes, procedures and standards. These documents (or Quality Management System) determines that a company is able to provide quality products and services consistently.


  • What is ISO 9001:2015?
  • What are the ISO 9001 Requirements?
  • Mandatory Requirements — Documents and Records
  • Non-Mandatory Requirements — But Often Included
  • ISO Quality Management Systems (QMS)
  • ISO 9001 Clauses

Are you aiming to achieve ISO certification? Looking to find the latest ISO 9001 requirements? Well, they have changed considerably since the last version of ISO 9001. Everything you need to know about the latest requirements — monitoring, documents and records is right here.

There are mandatory and non-mandatory requirements; to find out which of the requirements you should document, please see below.

ISO 9001 Requirements (1)

What is ISO 9001:2015?

Creating, implementing and maintaining your Quality Management Systems (QMS) is an important documentary requirement for any company. It formalizes the procedures and policies that promote the quality of products and services that a company provides.

One way to do this is to follow the ISO standard and gain ISO 9001:2015 certification.

The international standard that is known as the ISO 9001:2015 gives a list of requirements for a system that determines that a company is able to provide international-quality products and services consistently.

ISO 9001 Requirements (2)

ISO 9001:2015

  • Newest edition published in 2015
  • International quality standard used world wide
  • Improves customer experience and satisfaction
  • Ten clauses of requirements

Through the implementation of the standard, ISO 9001:2015 aims to improve customer experience and satisfaction.


It also aims to improve the internal system of a company so that it is able to produce quality services and products while promoting a culture that is aimed towards growth and continuous improvement.

The ISO stipulates quality management principles, which, when complied with by certified companies, reassures clients that the company has established a proper Quality Management System.

To put it simply, ISO certification shows that your company can be trusted.

Moreover, it means that the products and services delivered by a company is of international-quality; aligned with different companies from countries all over the world.

ISO 9001 Requirements (3)

What are the ISO 9001 Requirements?

All the ISO 9001 requirements are set out by ISO in ten clauses.

Mandatory requirements need to be complied with, while non-mandatory requirements may be submitted for documentation purposes. To be certified compliant with ISO 9001:2015, the following documents must be submitted.

ISO 9001 Mandatory Requirements — Documents and Records

  1. Monitoring and measuring equipment calibration records
  2. Records of training, skills, experience and qualifications
  3. Product/service requirements review records
  4. Record about design and development outputs review
  5. Record about design and development inputs
  6. Records of design and development controls
  7. Records of design and development outputs
  8. Design and development changes records
  9. Characteristics of product to be produced and service to be provided
  10. Records about customer property
  11. Production/service provision change control records
  12. Record of conformity of product/service with acceptance criteria
  13. Record of nonconforming outputs
  14. Monitoring measurement results
  15. Internal audit program
  16. Results of internal audits
  17. Results of the management review
  18. Results of corrective actions
Don’t Try to Manage It All Alone!

All of the ISO 9001 requirements are fully-documented and explained in our Quality Manual Template.

Non-Mandatory Requirements — But Often Included

  1. Procedure for determining context of the organization and interested parties
  2. Procedure for addressing risks and opportunities
  3. Procedure for competence, training and awareness
  4. Procedure of equipment maintenance and measuring equipment
  5. Procedure for document and record control
  6. Sales procedure
  7. Procedure for design and development
  8. Procedure for production and service provision
  9. Warehousing procedure
  10. Procedure for management of nonconformities and corrective actions
  11. Procedure for monitoring customer satisfaction
  12. Procedure for internal audit
  13. Procedure for management review

After reading through the lists above, you might be thinking that his must include a lot of paper work!

(Video) Understanding ISO 9001:2015 - Quality Management

However, do note that because each company is unique and is run differently, having this certification lets other companies and people know that what your company does and produces passed an international standard of quality.

Not only does the ISO certificate benefit your consumers, it also benefits your company itself.

ISO 9001 Requirements (4)

ISO 9001 Clauses - PLAN

ISO 9001 Clauses - DO

ISO 9001 Clauses - CHECK

ISO 9001 Clauses - ACT

How many Requirements are there in ISO 9001?

There are over 350 individual ISO 9001 requirement clauses that businesses can use to implement a quality management system as a formal stepping-stone to begin to continually improve performance and enhance customer satisfaction.

Formal ISO certification to international standard ISO 9001:2015 follows after successful QMS implementation, operation and certification body assessment.

What are the Documents Required by ISO 9001?

Within ISO 9001 2015, there are 25 occurrences of the requirement to retain and maintain documented information.

What is an ISO Audit Checklist?

We define an ISO audit checklist as an elemental internal audit checklist that comprises a tabulated list of ISO 9001 requirements that is used monitor the compliance status of each clause against an organization's processes when implementing and assessing a new quality management practices.

What are Mandatory Documents?

For ISO 9001 certification, the mandatory quality management documentation requirements includes documented information such as the quality policy, quality objectives, scope of the quality management system, a description of the organization's processes, management review minutes, internal audit reports,

How can I Prepare ISO 9001:2015?

Effective processes are at the core of ISO 9001:2015. You should begin by reviewing and updating your quality manual, QMS documentation, and undertaking a thorough gap analysis of your existing processes to determine the extent to which quality management systems meet the ISO 9001 requirements.

What are the 3 Key Components of ISO?

Successful quality management and ISO 9001 certification requires risk based thinking, customer focus, process approach

(Video) What Are The ISO 9001 Requirements?

What are the Most Popular ISO standards?

Whilst there are many international standards that specify requirements, ISO 9001 remains the most widely adopted quality management system standards in the world. Other popular standards include ISO 14001 - environmental management, ISO 45001 - occupational health and safety, and ISO 27001 - IT security and data management systems.

How many Requirements does the ISO 9001:2015 have?

There are over 350 individual ISO 9001 requirements that businesses should adopt and integrate into their business processes when implementing an effective quality management system. However, business must also consider and adopt any relevant contractual or customer requirements, and relevant statutory and regulatory requirements that affect the functionality of products and services.

What are the 7 Key Principles of Quality?

There are 7 key principles of quality management that form the foundation of ISO 9001:2015 and are relevant to the entire organization.

  1. Customer focus - is about how you meet customer and regulatory requirements, assessing customer satisfaction and exceeding their expectations by the quality of your products and services

  2. Leadership - is about establishing strategic direction and operational purpose

  3. Engagement of people - is about providing sufficient training, knowledge, competence, and empowerment to improve quality

  4. Process approach - is about the Plan, Do, Check, Act (PDCA) cycle and the sequence and interaction of inputs, activities and outputs

  5. Continual improvement - is about innovation, identifying customer needs, opportunities, root cause analysis, and ability to react to change to ensure continuous improvement

  6. Evidence‐based decision making - is about analyzing process data, levels of customer satisfaction, process performance assessment, and risk-based thinking

  7. Relationship management - is about maintaining relationships with relevant interested parties and providers in the supply chain

    (Video) ISO Certification Requirements | ISO 9001 Explained

Why do I need ISO 9001?

Conformity assessment to ISO 9001 certification is carried out by an independent certification body who must be accredited to ISO 17025 . The requirement for attaining ISO 9001 certification is driven by the need for commercial competitiveness.

What means QMS?

QMS is an anacronym for Quality Management System.

What is the full form of TQM?

What is ISO 9000 quality management system?

ISO 9000 is a family of quality management standards. ISO 9001:2015 specifies requirements, while ISO 9000 clarifies the fundamental terms and definitions of successful quality management.

What are Quality management principles

The ISO 9000 quality management principles are embodied with in the individual requirements of ISO 9001:2015. Apply the principles in the context of your business's own particular operations by reviewing and documenting its activities in the context of each principle.

Who is Responsible for Quality?

As stated in the ISO 9001 requirements, top management are clearly responsible for the quality management system, whilst all employees are responsible for delivering quality to their individual aspects of work. Depending on company culture, Top management usually delegate, by appointing quality professionals to upper level management teams.

A Quality Manager is often responsible for analyzing quality management system data and performance evaluation by monitoring and measuring the achievement of the quality objectives, quality policies, undertaking internal audits and for improving the quality of products and services.

Video — Introduction to ISO 9001:2015 Quality Management System Requirements

Save Time and Money — Proven to Work

All of the ISO 9001 requirements are fully-documented and explained in our Quality Manual Template.

We have procedures, templates, checklists, process maps, forms and gap analysis tools to help your documentation without missing a single input or output.

(Video) ISO Standard Explained | What is ISO | Benefits of getting ISO certified | How to get ISO certified?

Before you invest all the hours reinventing the wheel, before you spend countless dollars outsourcing the task — try our templates.


What are the mandatory requirements of ISO 9001? ›

What are the 6 Mandatory Procedures for ISO 9001
  • Control of Documents. It's essential to maintain efficient communication for a seamless business operation. ...
  • Control of Records. ...
  • Internal Audit. ...
  • Control of Non-conforming Products. ...
  • Corrective Action. ...
  • Preventive Action.
Nov 22, 2021

Can you fail an ISO audit? ›

If you fail an ISO audit, you may face the risk of certified status removal. External audits reveal major non-conformances that the organisation needs to address. Sometimes it may detect issues with the quality management system you were unaware of.

What are the five important components focused in ISO 9001 documents? ›

5 Essential Elements of the ISO 9001 Standard
  • Scope. The first three clauses of ISO 9001:2015 are scope, normative references and terms. ...
  • Terms and Definitions. The terms and definitions section outlines the rudimentary vocabulary and definitions from ISO 9001:2015. ...
  • Leadership. ...
  • Planning. ...
  • Enforcement.
Dec 17, 2020

Are organizations still allowed to exclude requirements of ISO 9001? ›

organization chooses to outsource (either permanently or temporarily) a process that affects product conformity with requirements (see ISO 9001:2008 clause 7.2. 1), it can not simply ignore this process, nor exclude it from the quality management system.”

What is the weakest audit evidence? ›

Testimonial evidence is usually the weakest form of evidence and generally not used to support key audit findings. Testimonial representations may be included in report, but must be attributed.

What should you not say in an audit? ›

10 Things Not to Say in an Audit Report
  • Don't say, “Ma​​​​​nagement should consider . . .” ...
  • Don't us​​e weasel words. ...
  • Use i​ntensifiers sparingly. ...
  • The problem i​​s rarely universal. ...
  • Avoid the bl​​ame game. ...
  • Don't say “m​​anagement failed.” ...
  • 7. “ ...
  • Avoid u​unnecessary technical jargon.
May 30, 2017

What happens if an audit finds a mistake? ›

What happens if an audit finds a mistake? If you get audited and there's a mistake, you will either owe additional tax or get a refund. Making a mistake is not a crime. Although you may incur some penalties if the mistake is significant, you won't face criminal charges.

What are the 7 principles of ISO 9001? ›

The seven principles of quality management are:
  • Engagement of people.
  • Customer focus.
  • Leadership.
  • Process approach.
  • Improvement.
  • Evidence-based decision making.
  • Relationship management.

What clauses can be excluded from ISO 9001? ›

“permissible exclusions” as was discussed in clause 1.2 of ISO 9001:2008, where it stated: “Where any requirement of this International Standard cannot be applied due to the nature of an organization and its product, this can be considered for exclusion.”

What are the 8 principles of ISO 9001? ›

At the center of the ISO 9001 are eight fundamental principles of quality management.
  • Customer Focus. ...
  • Leadership. ...
  • Involvement of People. ...
  • Process Approach. ...
  • System Approach to Management. ...
  • Continual Improvement. ...
  • Factual Approach to Decision-Making. ...
  • Relationship Management.
Mar 21, 2022

What are the 3 C's of iso? ›

The customer-supplier core must be surrounded by the 3 C's, commitment to quality, communication of the quality message, and recognition of the need to change the culture of the organisation to create total quality.

What are the 2 main elements to a QMS? ›

Elements and requirements of a QMS

The organization's quality policy and quality objectives. Quality manual. Procedures, instructions, and records.

What are the three major principles of ISO? ›

ISO 27001, the international standard for information security, works on three principles; confidentiality, integrity, and availability of data.

What are the 20 requirements of ISO 9001? ›

ISO 9001 Mandatory Requirements — Documents and Records
  • Monitoring and measuring equipment calibration records.
  • Records of training, skills, experience and qualifications.
  • Product/service requirements review records.
  • Record about design and development outputs review.
  • Record about design and development inputs.
Mar 3, 2022

What are the four important points of documentation? ›

The four kinds of documentation are:
  • learning-oriented tutorials.
  • goal-oriented how-to guides.
  • understanding-oriented discussions.
  • information-oriented reference material.

What are the 10 clauses of ISO 9001? ›

Top 10 Clauses in ISO 9001:2015
  • Clause 0-3 – Introduction and scope of the standard.
  • Clause 4 – Context of the organization.
  • Clause 5 – Leadership.
  • Clause 6 – Planning.
  • Clause 7 – Support.
  • Clause 8 – Operation.
  • Clause 9 – Performance evaluation.
  • Clause 10 – Improvement.
Nov 14, 2016

How do I fail ISO 9001? ›

Common reasons for failing an ISO 9001 audit
  1. Loss of key personnel. ...
  2. Changes to the ISO 9001 standard. ...
  3. Lack of objectives and targets. ...
  4. Incomplete training or qualification records. ...
  5. Failed internal audits. ...
  6. Management reviews.
Jul 14, 2020

Is the failure to meet one or more of the existing requirements in ISO 9001? ›

Nonconformity is the failure to meet one or more of the existing requirements in ISO 9001. When an organization finds itself outside of regulatory boundaries, it must get the problem under control before continuing business.

Do companies have to follow ISO standards? ›

Following ISO standards is not required by any law; however, ISO standards are recognized in many industries. Furthemore, ISO certification conjures up an image that the business adheres to certain quality measures when developing and producing products and services.

What is the strongest audit evidence? ›

The strongest form of confirmation is the blank positive confirm. A blank positive confirm asks the third-party to report the client's asset balance back to the auditor without the prompt of the company's recorded balance. This guards against the third-party agreeing with the reported balance out of convenience.

What is the hardest part of an audit? ›

Revenue Recognition. “One of the biggest audit challenges that comes up is revenue recognition,” says Marcin Stryjecki, SEO project manager at Booksy. He notes that auditing is a methodical, complex job that requires incredibly close attention to detail. But clients often don't operate with the same rigor.

What is the strongest type of audit evidence? ›

Evidence provided by original documents is more reliable than evidence provided by photocopies or facsimiles, or documents that have been filmed, digitized, or otherwise converted into electronic form, the reliability of which depends on the controls over the conversion and maintenance of those documents.

What raises a red flag for an audit? ›

Overvaluing home office expenses and donated goods are red flags to auditors. Simple math mistakes and failing to sign your tax return can also trigger audits. The odds of an audit increase with six-figure incomes, but under-reporting your earnings is ill-advised.

What is the golden rule of auditing? ›

1st Golden Rule : Keep your ears open and be sharp to hear an information that will be useful during the course of assignment. There maybe some information we may conclude that it is misleading or confusing but it is better to test everything during an assignment instead of not testing it and later regret for it.

How do you impress an auditor? ›

Here are six tips to impress the auditor and obtain your ISO certification on the first try.
  1. Be well-prepared. ...
  2. Take internal audits seriously. ...
  3. Implement corrective actions. ...
  4. Don't forget your management review. ...
  5. Correctly monitor objectives. ...
  6. Ensure that everything is clean.

Should I be worried if I get audited? ›

Audits can be bad and can result in a significant tax bill. But remember – you shouldn't panic. There are different kinds of audits, some minor and some extensive, and they all follow a set of defined rules. If you know what to expect and follow a few best practices, your audit may turn out to be “not so bad.”

What auditors should not do? ›

Auditors are not a part of management, which means the auditor will not:
  • Authorize, execute, or consummate transactions on behalf of a client;
  • Prepare or make changes to source documents;
  • Assume custody of client assets, including maintenance of bank accounts;
Nov 17, 2022

What is ISO 9001 in a nutshell? ›

ISO 9001 Meaning

In a nutshell, ISO 9001 is the standard outlining the requirements an organization's quality management system must meet or exceed to be certified. To give you a bigger picture, the ISO 9001 standard is one part of the group (or “family”) of ISO 9000 standards.

What are the 5 main principles? ›

The Five Principles are: quality, responsibility, mutuality, efficiency and freedom.

What are the four 4 basic components of the ISO 9001 quality management system? ›

When broken down, quality control management can be segmented into four key components to be effective: quality planning, quality control, quality assurance, and quality improvement.

What does clause 7.3 in ISO 9001 relate to? ›

Clause 7.3: Awareness. As outlined in the sister standard ISO 9000 Quality Management Systems - Fundamentals and Vocabulary, “awareness is attained when people understand their responsibilities and how their actions contribute to the achievement of the organization's objectives.”

What ISO clause is violated if criteria for processes is not followed? ›

The clause to use for not following procedures in ISO 9001 is clause 4.1f which states that the organisation shall “implement actions necessary to achieve planned results”.

What are the 6 sectors covered by ISO 9001? ›

Who needs ISO certification? 7 industries in need of ISO 9001 certification
  • Construction. ...
  • Engineering. ...
  • Technology services. ...
  • Manufacturing. ...
  • Hotels & Hospitality. ...
  • Community services. ...
  • Health.

Which is a core concept of ISO 9001? ›

The core concept of ISO 9001 is providing quality products and services to guarantee customer satisfaction. Many organizations struggle with maintaining their quality management system to fit the requirements of ISO 9001. This is why the expertise of the ISO 9001 Auditor is critical.

What are the 2 important objectives of ISO 9001 2008? ›

Continual improvement: Continual improvement of the organization's overall performance should be a permanent objective of the organization. Factual approach to decision making: Effective decisions are based on the analysis of data and information.

What are the two types of ISO standards? ›

But out of these, the three main types of ISO are: ISO 9001:2015, a standard for general organizational quality management systems (QMS), including vendor management. ISO comprises QMS standards for specific industries, too. ISO 27001:2013, a standard for Information Security Management Systems (ISMS)

What is QMS in ISO? ›

Quality Glossary Definition: ISO 9001. ISO 9001 is defined as the international standard that specifies requirements for a quality management system (QMS). Organizations use the standard to demonstrate the ability to consistently provide products and services that meet customer and regulatory requirements.

What are 5 pillars of Total quality system? ›

Product, process, organization, leadership, and commitment--those are the five pillars of TQM.

What are the four P's of total quality management? ›

The TQM model has four hard components – four P's – processes, people, planning and performance, which are the keys to delivering quality products and services to customers and continuously improving overall performance.

What is the main goal of ISO? ›

ISO (International Organization for Standardization) is an independent, non-governmental organization that develops standards to ensure the quality, safety and efficiency of products, services and systems.

What are the three essential principles of quality control? ›

The following three quality principles must be in place for quality to happen: Management is responsible for quality.
The action that must be taken by management to make quality happen is as simple as 1-2-3:
  • Define quality.
  • Control quality.
  • Assure quality.
Nov 18, 2009

What is the difference between ISO 9000 and 9001? ›

ISO 9000 vs ISO 9001: Key Differences

ISO 9000 is essentially a collection of vocabulary and definitions for the entire quality management series, whereas the main purpose of ISO 9001 is for the business owner to take action toward more quality procedures.

What are the mandatory clauses in ISO 9001:2015? ›

The mandatory records needed for ISO 9001 include: Monitoring and measuring resources (7.1. 5.1) Monitoring and measuring equipment calibration records* (clause 7.1.

What are the mandatory requirements for establishing a quality policy as per ISO 9001:2015? ›

A quality policy is a brief statement that aligns with your organization's purpose and strategic direction, provides a framework for quality objectives, and includes a commitment to meet applicable requirements (ISO 9001, customer, statutory or regulatory) as well as to continualy improve.

How many mandatory procedures are required in ISO 9001:2015? ›

The 2015 revision of the ISO 9001 standard only lists 4 mandatory documents as opposed to the six mandatory procedures required in the 2008 version. ISO 9001 does however also require many records that have to be maintained. These records are generated by the QMS processes.

Is ISO 9001 mandatory? ›

ISO 9001 is not a legal requirement. Although recognized as important in many industries, companies may operate without the certification. ISO 9000 is a series of standards to ensure that a business is upholding and working towards improved quality in every aspect of their business.

Which clause ISO 9001:2015 can be excluded? ›

ISO 9001:2015 no longer refers to “exclusions” in relation to the applicability of its requirements to the organization's quality management system. However, an organization can determine the applicability of requirements. All requirements in the new standard are intended to apply.

What are the requirements for quality policy? ›

The quality policy should build on corporate objectives and values and be appropriate to the purpose and context of the organization. The policy should demonstrate a commitment to continual improvement. The quality policy must be communicated, understood and applied throughout the organization.

What are the requirements of quality standards? ›

Quality management standards are details of requirements, specifications, guidelines and characteristics that products, services and processes should consistently meet in order to ensure:
  • their quality matches expectations.
  • they are fit for purpose.
  • they meet the needs of their users.

How many shall requirements in ISO 9001? ›

The ISO 9001 standard requires your organisation address seven key areas – also known as clauses – in order to achieve continual improvement within your Quality Management System: Context of the organisation. Leadership.

What happens if you are not ISO certified? ›

Reputational damage: not achieving or losing ISO certification can damage a business' reputation. Clients may be reluctant to do business, talent may be harder to recruit and internal morale may be affected.

Is ISO compliance required by law? ›

The International Standards Organization, or ISO, develops standards for businesses around the world so that they may operate using a uniform set of best practices. These standards are not enforceable laws, but companies who choose to follow them stand to gain international credibility from their compliance.

Does my company need ISO 9001? ›

This certification is not a requirement, and organizations can still implement principles of ISO 9001 informally, without getting certified. Technically, only organizations can “get certified”. However, individuals can become Certified Lead Auditors, or Registrars, in order to perform audits on organizations.


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