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
- Click Schedule Audit
- 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 |
- 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:
- Open the audit and click Edit
- 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 |
- Update Status to
In ProgressorCompleted - Click Save
Closing an Audit
Once all findings have been addressed (CAPAs raised as needed, evidence reviewed):
- Open the audit and click Edit
- Set Status to
Closed - Add a brief note to Findings Summary confirming follow-up completion
- 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.