How often should a QMS audit be conducted?

Internal audits should be conducted at least annually to maintain system effectiveness. For ISO 9001 certification, initial audits occur every 3 years with annual surveillance audits scheduled between certification cycles

What standard is used for QMS audits?

ISO 9001 is the most widely adopted international standard for quality management systems. It applies across all industries and organization sizes.

What happens if nonconformities are found?

Nonconformities must be formally documented and addressed through corrective actions. Root causes must be investigated and resolved before closure is verified.

Who can perform a QMS audit?

QMS audits can be performed by trained internal auditors from your organization, external consultants with QMS expertise, or accredited certification bodies.

What documentation is needed to prepare for a QMS audit?

Key documentation includes quality policies, procedures, and work instructions, training records, calibration certificates, inspection and test results, nonconformance reports, and corrective action records.

FAQs About QMS Audits

Related QMS Audit Checklists

ISO 9001:2015 Audit Checklist

This ISO 9001 audit checklist can be used to assess your quality management system against ISO 9001:2015 standards, with over 16,000 downloads. It helps verify that your quality management processes meet all ISO requirements in a structured, digital format.

View template in library

ISO 13485 Audit Checklist

Designed for quality managers in medical device organizations, this ISO 13485 audit checklist evaluates whether the QMS aligns with ISO 13485:2016. It's particularly useful for assessing readiness ahead of a third-party certification audit.

View template in library

ISO 9001:2015 QMS Risk Management Audit Guide

This focused audit template covers ISO 9001:2015 risk management requirements, including management review guidelines and documentation compliance checks. This ready-to-use template is a good complement to a standard QMS audit when risk assessment is a key area of focus.

View template in library

What Is a QMS Audit?

A Quality Management System (QMS) audit is a systematic, independent, and documented process for obtaining evidence and evaluating it objectively to determine the extent to which quality management criteria are fulfilled.

QMS audits serve multiple objectives:

Ensuring compliance with standards (e.g., ISO 9001)
Identifying process inefficiencies and risks
Verifying effectiveness of controls
Supporting continuous improvement initiatives
Strengthening customer satisfaction and trust

What a QMS Audit Covers

Area	What is Assessed
Leadership & Context	Quality Policy, Objectives, Organizational Context, Leadership commitment
Documented Information	Control of documents and records, version control, accessibility
Risk & Opportunity Management	Risk Identification, mitigation actions, opportunity planning
Operational Processes	Process consistency, controls, KPIs, work instructions
Competence & Training	Employee qualifications, training records, awareness
Supplier & External Providers	Supplier evaluation, monitoring, performance
Customer Focus	Feedback handling, complaints, satisfaction metrics
Internal Audits	Audit program, frequency, effectiveness
Nonconformance & CAPA	Issue tracking, root cause analysis, corrective actions
Continuous Improvement	Improvement initiatives, performance trends

Types of QMS Audits

Audits play a critical role in identifying gaps, driving improvement, and maintaining compliance. Depending on the purpose and who conducts them, QMS audits are generally categorized into three types:

First-Party (Internal Audit) - Conducted by the organization itself to assess internal compliance and readiness. This is best for continuous improvement and ISO compliance preparation.
Second-Party (Supplier Audit) - Conducted on suppliers or external providers and best used for ensuring supplier quality and risk control.
Third-Party (Certification Audit) - Conducted by an accredited certification body and best used to achieve or maintain ISO 9001 certification.

What to Include in a QMS Audit Checklist

A QMS Audit template should ideally include essential administrative information. Here are the important items you need in the audit template:

Audit Title: Clear identification of what is being audited (e.g., "2024 Q1 Internal QMS Audit")
Audit Date(s): Start and end dates of the audit period
Audit Location(s): Physical location(s) where the audit is conducted
Audit Type: Identify whether it's:
- 1st Party (Internal) - conducted by the organization itself
- 2nd Party (Supplier) - conducted by customers or stakeholders
- 3rd Party (Certification) - conducted by accredited certification bodies
Auditor Information: Names, titles, qualifications, and expertise of all auditors involved
Audit Team Members: Lead auditor, scribe, document retrievers, SME coordinators
Department/Process Being Audited: Specific area(s) under review
Scope and Objectives: What is being evaluated and why

For a full scope of items, check out the QMS Audit template by Mitti (by SafetyCulture).

How to Conduct a QMS Audit

Conducting a QMS audit involves four sequential phases: Planning & Preparation (4-8 weeks before), Execution (on-site audit), Reporting & Analysis (post-audit), and Corrective Action & Follow-up.

Begin by defining clear audit objectives and scope, then develop a comprehensive audit plan that includes timeline, resource allocation, and audit criteria. Select qualified, independent auditors and customize audit checklists specific to your standards (e.g., ISO 9001:2015). Request all relevant documentation in advance, conduct a gap assessment, communicate the audit plan to auditees, and prepare audit tools.

During On-Site Execution:

Conduct pre-audit opening meeting to establish rapport and clarify expectations
Review documentation systematically (SOPs, quality records, compliance evidence, version control)
Observe actual operations to verify procedures are followed (production floor, QC areas, document handling, training)
Interview key personnel (Quality Manager, Supervisors, Line Staff, Training Coordinator) using open-ended questions to assess QMS understanding
Collect evidence methodically (photographs, document samples, interview notes, measurement data)
Classify findings as: Conformity (meets all requirements), Major Non-Conformity (systemic failure), Minor Non-Conformity (isolated issue), or Observation (improvement suggestion)
Document each finding with specific description, evidence, standard reference, location, responsible person, and priority
Hold daily wrap-up meetings (if multi-day audit) to review progress and discuss preliminary findings
Conduct closing meeting with auditees to present findings, acknowledge strengths, explain next steps, and answer questions

Post-Audit Reporting:

Organize and verify all findings; conduct root cause analysis for significant issues
Develop comprehensive audit report with sections covering: Executive Summary, Audit Details, QMS Assessment against standards, Detailed Findings (Major/Minor Non-Conformities and Observations), Positive Findings, Recommendations, and Appendices
Review report for accuracy, professional tone, and clarity before finalizing

Corrective Action & Follow-up:

Present findings to management and discuss root causes and impact
Develop detailed CAPA (Corrective and Preventive Action) plans for each non-conformity, including responsible parties, target dates, and verification methods
Implement corrective actions while monitoring progress
Verify effectiveness by reviewing implementation, checking procedures are followed, monitoring metrics, and confirming non-conformities are resolved
Conduct follow-up audits for significant findings to confirm effectiveness
Document lessons learned and trends across multiple audits to inform future audit planning
Maintain comprehensive audit records, findings register, and CAPA status tracking

Free QMS Audit Checklists

With this guide, discover what a QMS audit is, what it covers, and how to perform one with a digital QMS audit checklist

QMS Audit

Built for quality managers, internal auditors, compliance officers, and management representatives, this ready-to-use ISO 9001:2015 QMS Audit checklist gives you a structured, repeatable framework for evaluating your quality management system against the full scope of ISO 9001:2015 requirements — so you can focus on findings, not paperwork.

Use it in Mitti (by SafetyCulture) to:

Systematically assess compliance across all ISO 9001:2015 clauses, from organizational context and leadership commitment to performance evaluation and continual improvement
Conduct department-level evaluations with consistent scoring to pinpoint gaps and non-conformances across your QMS
Record objective evidence, attach supporting documents, and capture on-site observations directly in the audit workflow
Track non-conformances and raise corrective actions with assigned owners and due dates to close out findings on time
Schedule recurring internal audits to maintain certification readiness and demonstrate ongoing compliance to external auditors

Use QMS Audit Checklist