Internal Audit: ISO 9001 and ISO 14001

The clause 9.2 internal audit requirements for ISO 9001:2015 and ISO 14001:2015 are very similar, because they both incorporate the common Annex SL internal audit requirements.

Internal Audit Requirements

In the requirements summary below, Annex SL appears in blue italics, ISO 9001:2015 is shown in black font, and ISO 14001 text is distinguished by green font.

9.2.1 General

Conduct internal audits at planned intervals to provide information on whether the quality (environmental) management system
 
a) conforms to:

1. organization’s own requirements for its quality (environmental) management system;
2. requirements of the standard;

b) is effectively implemented and maintained.

9.2.2  Internal Audit Program  

The organization must:
 
a) plan, establish, implement, and maintain an audit program that includes:

  • frequency, methods, and responsibilities
  • planning requirements and reporting

and considers:

  • environmental importance of processes
  • changes affecting the organization (both QMS and EMS)
  • results of previous audits

b) a) define audit criteria and scope for each audit;
c) b) select auditors and conduct audits for objective and impartial audit process;
d) c) ensure results of audits are reported to relevant management;
e) take appropriate correction and corrective actions without undue delay;
f) retain documented information as evidence of audit program implementation and audit results.

NOTE: See ISO 19011 for guidance.

Changes for Both Standards

  • Replaces old clause 8.2.2 (4.5.5) on internal audits
  • Considers changes affecting organization (both QMS and EMS)
  • Clarifies audit frequency and audit methods are planned for “audit program”
  • Clarifies audit criteria and audit scope are defined for “each audit”
  • Adds need for documented information as evidence of audit program implementation

Changes Only for ISO 9001:2015

  • Drops reference to a follow-up audit(see 10.2.1.d for review of effective corrective action)
  • Drops need for documented procedure
  • No mention of not auditing own work(still requires impartial and objective audits)

Changes Only for ISO 14001:2015

  • Revised from determining if EMS “properly” implemented to “effectively” implemented

On-site Requirements and Internal Auditor Courses

ISO 9001:2015 Requirements (1.5 days)
ISO 9001:2015 Requirements and Transition Guidance (2.0 days)
ISO 9001:2015 Internal Auditor (2.5 or 3.0 days)
ISO 14001:2015 Requirements (1.0 day)
ISO 14001:2015 Requirements and Transition Guidance (1.5 days)
ISO 14001:2015 Internal Auditor (2.0 or 2.5 days)