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How to Schedule and Record Internal Audits

This guide explains how to plan, conduct, and record internal quality audits — required by ISO 9001:2015 §9.2.

Why Internal Audits Are Required

Internal audits verify that the quality management system (QMS) is:

  • Conforming to the organization's own requirements
  • Conforming to ISO 9001:2015 requirements
  • Effectively implemented and maintained

Audits must be planned at defined intervals, conducted by an objective (ideally independent) auditor, and findings must be recorded and acted upon.

Prerequisites

  • Only a superuser (admin) can create or edit audit records
  • Any user can view the audit schedule

Navigating to Audits

Click Audits in the navigation bar, or go to /audits.

The table shows the audit log sorted by audit date, with status badges:

Status Meaning
Scheduled Planned, not yet conducted
In Progress Audit is underway
Completed Conducted; findings documented
Closed All findings addressed and verified

Scheduling an Audit

  1. Click Schedule Audit
  2. Fill in the fields:
Field Description Required
Audit Date Planned date for the audit Yes
Lead Auditor Name or ID of the lead auditor Yes
Other Auditors Additional auditors (comma-separated)
Scope Areas, processes, or clauses to be audited (e.g. "Production, §8.5, §8.6") Yes
Next Audit Date When this audit area should next be audited
  1. Click Save

Tip: ISO 9001 requires that the audit program "take into account the importance of the processes concerned and the results of previous audits" (§9.2.2). Schedule higher-risk areas more frequently.

Recording Audit Findings

During or after the audit:

  1. Open the audit and click Edit
  2. Update the findings fields:
Field Description
Major Findings Count of Major nonconformances found
Minor Findings Count of Minor nonconformances found
Observations Count of observations or opportunities for improvement
Findings Summary Narrative description of what was found
Follow-up Required Toggle on if action items must be completed before closing
  1. Update Status to In Progress or Completed
  2. Click Save

Closing an Audit

Once all findings have been addressed (CAPAs raised as needed, evidence reviewed):

  1. Open the audit and click Edit
  2. Set Status to Closed
  3. Add a brief note to Findings Summary confirming follow-up completion
  4. Click Save

Note: Each Major or Minor finding should have a corresponding CAPA record. Link them by referencing the audit date and scope in the CAPA's Problem Description. See the How to Manage Corrective & Preventive Actions guide.

Auditor Independence

ISO 9001 §9.2.2(c) requires that "auditors shall not audit their own work." Assign audits such that no one audits a process they are solely responsible for. For a small team, consider cross-training a second person to audit each area, or use an external auditor for sections where independence cannot be achieved internally.

Building an Audit Schedule

A typical annual audit program covers all ISO 9001 clauses across the year:

Quarter Scope
Q1 Production (§8.5), Inspection (§8.6), Nonconforming Product (§8.7)
Q2 Customer Communication (§8.2), Design/Planning (§8.1), Purchasing (§8.4)
Q3 Calibration (§7.1.5), Training Records (§7.2), Documents (§7.5)
Q4 CAPA effectiveness (§10.2), Internal Audits themselves (§9.2), Management Review prep (§9.3)

⚠️ Warning: Failing to conduct audits at planned intervals is an automatic Major nonconformance in a third-party audit. Keep the audit schedule up to date and close any overdue audits with documented justification.