InternationalOrganizationforStandardization 
BIBCII,ChemindeBlandonnet8,CP401,1214Vernier,Geneva,Switzerland
Tel:+41227490111,Web:www.iso.org




GuidanceontherequirementsforDocumentedInformation
ofISO9001:2015


1 Introduction

TwoofthemostimportantobjectivesintherevisionoftheISO9000seriesofstandardshavebeen:

D todevelopasimplifiedsetofstandardsthatwillbeequallyapplicabletosmallaswellas
mediumandlargeorganizations,and

E fortheamountanddetailofdocumentationrequiredtobemorerelevanttothedesired
resultsoftheorganizationsprocessactivities.

ISO9001:2015QualitymanagementsystemsRequirementshasachievedtheseobjectives,andthe
purposeofthisadditionalguidanceistoexplaintheintentofthenewstandardwithspecificregard
todocumentedinformation.

ISO9001:2015allowsanorganizationflexibilityinthewayitchoosestodocumentitsquality
managementsystem(QMS).Thisenableseachindividualorganizationtodeterminethecorrect
amountofdocumentedinformationneededinordertodemonstratetheeffectiveplanning,
operationandcontrolofitsprocessesandtheimplementationandcontinualimprovementofthe
effectivenessofitsQMS.

ItisstressedthatISO9001requires(andalwayshasrequired)aDocumentedquality
managementsystem,andnotasystemofdocuments.

2 Whatisdocumentedinformation?Definitionsandreferences

ThetermDocumentedinformationwasintroducedaspartofthecommonHighLevelStructure(HLS)
andcommontermsforManagementSystemStandards(MSS).

ThedefinitionofdocumentedinformationcanbefoundinISO9000clause3.8.

Documentedinformationcanbeusedtocommunicateamessage,provideevidenceofwhatwas
plannedhasactuallybeendone,orknowledgesharing.

Thefollowingaresomeofthemainobjectivesofanorganizationsdocumentedinformation
independentofwhetherornotithasimplementedaformalQMS;

D CommunicationofInformation
 Asatoolforinformationtransmissionandcommunication.Thetypeandextentofthe
documentedinformationwilldependonthenatureoftheorganizationsproductsand
processes,thedegreeofformalityofcommunicationsystemsandthelevelof
communicationskillswithintheorganization,andtheorganizationalculture.
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E Evidenceofconformity
 Provisionofevidencethatwhatwasplannedhasactuallybeendone.

c) Knowledgesharing

d) Todisseminateandpreservetheorganizationsexperiences.Atypicalexamplewouldbea
technicalspecification,whichcanbeusedasabasefordesignanddevelopmentofanew
productorservice.

Alistofcommonlyusedtermsanddefinitionsrelatingtodocumentedinformationispresentedin
ISO9001:2015AnnexA.

Itmustbestressedthat,accordingtoISO9001:2015clause7.5.3Controlofdocumentedinformation
requirements,documentsmaybeinanyformortypeofmedium,andthedefinitionofdocument
inISO9000:2015clause3.8.5givesthefollowingexamples:
 paper
 magnetic
 electronicoropticalcomputerdisc
 photograph
 mastersample

3 ISO9001:2015DocumentationRequirements

ISO9001:2015clause4.4Qualitymanagementsystemsanditsprocessesrequiresanorganizationto
maintaindocumentedinformationtotheextentnecessarytosupporttheoperationofprocessesand
retaindocumentedinformationtotheextentnecessarytohaveconfidentthattheprocessesare
beingcarriedoutasplanned.


Clause7.5.1Generalexplainsthatthequalitymanagementsystemdocumentationshallinclude:

D documentedinformationrequiredbythisInternationalstandard;
E documentedinformationdeterminedbytheorganizationasbeingnecessaryforthe
effectivenessofthequalitymanagementsystem

ThenoteafterthisClausemakeitclearthattheextentoftheQMSdocumentedinformationcan
differfromoneorganizationtoanotherduetothe:
a)sizeoforganizationanditstypeofactivities,processes,productsandservices;
b)complexityofprocessesandtheirinteractions,
c)competenceofpersons.

AllthedocumentedinformationthatformspartoftheQMShastobecontrolledinaccordancewith
clause7.5Documentedinformation.
 
4 GuidanceonClause7.5ofISO9001:2015

ThefollowingcommentsareintendedtoassistusersofISO9001:2015inunderstandingtheintentof
thegeneraldocumentedinformationrequirementsoftheInternationalStandard.Documented
informationcanreferto:


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 a)Documentedinformationneededtobemaintainedbytheorganizationforthepurposesof
establishingaQMS(highleveltransversaldocuments).Theseinclude:
 Thescopeofthequalitymanagementsystem(clause4.3).
 Documentedinformationnecessarytosupporttheoperationofprocesses(clause4.4).
 Thequalitypolicy(clause5.).
 Thequalityobjectives(clause6.2).
 Thisdocumentedinformationissubjecttotherequirementsofclause7.5.

b)Documentedinformationmaintainedbytheorganizationforthepurposeofcommunicating
theinformationnecessaryfortheorganizationtooperate(lowlevel,specificdocuments).See
4.4.AlthoughISO9001:2015doesnotspecificallyrequiresanyofthem,examplesofdocuments
thatcanaddvaluetoaQMSmayinclude:
 Organizationcharts
 Processmaps,processflowchartsand/orprocessdescriptions
 Procedures
 Workand/ortestinstructions
 Specifications
 Documentscontaininginternalcommunications
 Productionschedules
 Approvedsupplierlists
 Testandinspectionplans
 Qualityplans
 Qualitymanuals
 Strategicplans
 Forms
Whereitexists,allsuchdocumentedinformation,isalsosubjecttotherequirementsclause
7.5.

c)Documentedinformationneededtoberetainedbytheorganizationforthepurposeof
providingevidenceofresultachieved(records).Theseinclude:
 Documentedinformationtotheextentnecessarytohaveconfidencethatthe
processesarebeingcarriedoutasplanned(clause4.4).
 Evidenceoffitnessforpurposeofmonitoringandmeasuringresources(clause7.1.5.1).
 Evidenceofthebasisusedforcalibrationofthemonitoringandmeasurement
resources(whennointernationalornationalstandardsexist)(clause7.1.5.2).
 Evidenceofcompetenceofperson(s)doingworkunderthecontroloftheorganization
thataffectstheperformanceandeffectivenessoftheQMS(clause7.2).
 Resultsofthereviewandnewrequirementsfortheproductsandservices(clause
8.2.3).
 Recordsneededtodemonstratethatdesignanddevelopmentrequirementshavebeen
met(clause8.3.2)
 Recordsondesignanddevelopmentinputs(clause8.3.3).
 Recordsoftheactivitiesofdesignanddevelopmentcontrols(clause8.3.4).
 Recordsofdesignanddevelopmentoutputs(clause8.3.5).
 Designanddevelopmentchanges,includingtheresultsofthereviewandthe
authorizationofthechangesandnecessaryactions(clause8.3.6).
 Recordsoftheevaluation,selection,monitoringofperformanceandreevaluationof
externalprovidersandanyandactionsarisingfromtheseactivities(clause8.4.1)

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  Evidenceoftheuniqueidentificationoftheoutputswhentraceabilityisarequirement
(clause8.5.2).
 Recordsofpropertyofthecustomerorexternalproviderthatislost,damagedor
otherwisefoundtobeunsuitableforuseandofitscommunicationtotheowner
(clause8.5.3).
 Resultsofthereviewofchangesforproductionorserviceprovision,thepersons
authorizingthechange,andnecessaryactionstaken(clause8.5.6).
 Recordsoftheauthorizedreleaseofproductsandservicesfordeliverytothecustomer
includingacceptancecriteriaandtraceabilitytotheauthorizingperson(s)(clause8.6).
 Recordsofnonconformities,theactionstaken,concessionsobtainedandthe
identificationoftheauthoritydecidingtheactioninrespectofthenonconformity
(clause8.7).
 ResultsoftheevaluationoftheperformanceandtheeffectivenessoftheQMS(clause
911)
 Evidenceoftheimplementationoftheauditprogrammeandtheauditresults(clause
9.2.2).
 Evidenceoftheresultsofmanagementreviews(clause9.3.3).
 Evidenceofthenatureofthenonconformitiesandanysubsequentactionstaken
(clause10.2.2).;
 Resultsofanycorrectiveaction(clause10.2.2).

Organizationsarefreetodevelopotherrecordsthatmaybeneededtodemonstrate
conformityoftheirprocesses,productsandservicesandqualitymanagementsystem.
Wheretheyexists,allsuchrecordsarealsosubjecttotherequirementsclause7.5.

5 OrganizationspreparingtoimplementaQMS
 
FororganizationsthatareintheprocessofimplementingaQMS,andwishtomeettherequirements
ofISO9001:2015,thefollowingcommentsmaybeuseful.

 Fororganizationsthatareintheprocessofimplementingorhaveyettoimplementa
QMS,ISO9001:2015emphasizesaprocessapproach.Thisincludes:
 determiningtheprocessesnecessaryfortheeffectiveimplementationofthe
qualitymanagementsystem
 determiningtheinteractionsbetweentheseprocesses.
documentingtheprocessestotheextentnecessarytoassuretheireffective
operationandcontrol.(Itmaybeappropriatetodocumenttheprocessesusing
processmappingtools.Itisemphasized,however,thatdocumentedprocess
mappingtoolsarenotarequirementofISO9001:2015).
 Analysisoftheprocessesshouldbethedrivingforcefordefiningtheamountof
documentedinformationneededforthequalitymanagementsystem,takinginto
accounttherequirementsofISO9001:2015.Itshouldnotbethedocumented
informationthatdrivestheprocesses.


6 OrganizationswishingtoadaptanexistingQMS

FororganizationsthatcurrentlyhaveaQMSthefollowingcommentsareintendedtoassistin
understandingthechangestodocumentedinformationthatmayberequiredorfacilitatedbythe
transitiontoISO9001:2015:

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  AnorganizationwithanexistingQMSshouldnotneedtorewriteallofitsdocumented
informationinordertomeettherequirementsofISO9001:2015.Thisisparticularly
trueifanorganizationhasstructureditsQMSbasedonthewayiteffectivelyoperates,
usingaprocessapproach.
 Anorganizationmaybeabletocarryoutsomesimplificationand/orconsolidationof
existingdocumentedinformationinordertosimplifyitsQMS.


7 DemonstratingconformitywithISO9001:2015

FororganizationswishingtodemonstrateconformitywiththerequirementsofISO9001:2015,for
thepurposesofcertification/registration,contractual,orotherreasons,itisimportanttoremember
theneedtoprovideevidenceoftheeffectiveimplementationoftheQMS.

 Organizationsmaybeabletodemonstrateconformitywithouttheneedforextensive
documentedinformation
 ToclaimconformitywithISO9001:2015,theorganizationhastobeabletoprovide
objectiveevidenceoftheeffectivenessofitsprocessesanditsqualitymanagement
system.Clause3.8.3ofISO9000:2015definesobjectiveevidenceasdatasupporting
theexistenceorverityofsomethingaandnotesthatobjectiveevidencemaybe
obtainedthroughobservation,measurement,test,orothermeans.
 Objectiveevidencedoesnotnecessarilydependontheexistenceofdocumented
information,exceptwherespecificallymentionedinISO9001:2015.Insomecases,(for
example,inclause8.1(e)Operationalplanningandcontrol,itisuptotheorganization
todeterminewhatdocumentedinformationisnecessaryinordertoprovidethis
objectiveevidence.
 Wheretheorganizationhasnospecificdocumentedinformationforaparticular
activity,andthisisnotrequiredbythestandard,itisacceptableforthisactivitytobe
conductedusingasabasistherelevantclauseofISO9001:2015.Inthesesituations,
bothinternalandexternalauditsmayusethetextofISO9001:2015forconformity
assessmentpurposes.



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