Planning and completing internal audits in Effivity

Posted By Effivity Team

on Jul 23, 2026

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Planning and Completing Internal Audits in Effivity

Internal Audit Planning, Scheduling, Checklist, Findings, and Closure

ABSTRACT

This guide explains how to plan and complete internal audits in Effivity. It covers creating an audit programme, scheduling audits, assigning auditors and auditees, preparing checklists, recording findings, raising non-conformities, tracking actions, and closing the audit.

NOTE: Available menus and actions may vary based on the user access permissions and configuration.

OVERVIEW

An internal audit in Effivity is normally completed through the following flow:

• Create the audit programme in Master Internal Audit Plan.

• Schedule the audit in Internal Audit Schedule and assign auditors or auditees.

• Prepare the audit checklist in Internal Audit CheckList Master.

• Record audit findings in Internal Audit Report.

• Raise or reference non-conformities where required.

• Track the non-conformance status and submit the report to close the audit.

SECTION 1: CREATING AN AUDIT PROGRAMME

Step 1: Open Master Internal Audit Plan

Start from the left navigation panel after logging in to Effivity.

1. From the left navigation panel, Navigate to IMS > QMS > Internal Audit.

2. Click Master Internal Audit Plan to open the audit programme list screen.

Figure 1: Master Internal Audit Plan selected under the Internal Audit menu

Step 2: Create a New Audit Programme

1. On the Master Internal Audit Plan list screen, click Add New.

2. Enter all requested details for the audit programme.

3. Click Submit to create the audit programme successfully.

Figure 2: Add New button used to create a new audit programme

Figure 3: Master Internal Audit Plan form with completed data and the Submit button highlighted.

SECTION 2: SCHEDULING AUDITS

Step 3: Open Internal Audit Schedule

1. Navigate to IMS > QMS > Internal Audit.

2. Click Internal Audit Schedule.

Figure 4: Internal Audit Schedule screen selected from the left navigation panel

Step 4: Add a New Audit Schedule

1. Click Add New on the Internal Audit Schedule list screen.

2. The Internal Audit Schedule form opens.

3. Enter the required schedule details and click Submit to save the schedule.

Figure 5: Add New button available on the Internal Audit Schedule screen

Figure 6: Internal Audit Schedule form with Submit option

SECTION 3: ASSIGNING AUDITORS AND AUDITEES

Step 5: Add Audit Plan Rows and Assign Users

Auditors and auditees are assigned inside the Internal Audit Plans section of the schedule form.

1. In the Internal Audit Schedule form, fill in the main schedule details such as Internal Audit Name and Master Internal Audit Name.

2. Click Add More under Internal Audit Plans to add plan rows.

3. Select the Department, Auditor, Additional Auditor, Auditee, Additional Auditee, Scheduled Date, and related checklist details as required.

4. Click Submit after completing the required schedule data.

Figure 7: Add More option used to assign auditors and auditees in the schedule form

SECTION 4: PREPARING CHECKLISTS

Step 6: Open Internal Audit CheckList Master

1. Navigate to IMS > QMS > Internal Audit.

2. Click Internal Audit Checklist Master.

Figure 8: Internal Audit CheckList Master screen selected from the left navigation panel

Step 7: Create a New Checklist

1. Click Add New on the Internal Audit CheckList Master list screen.

2. Enter the Check List Name and any required remarks.

3. Use Add More under Internal Audit CheckList Master Questions to add checklist questions.

4. Click Add More again to add additional checklist questions as required.

5. Click Submit to create the checklist successfully.

Figure 9: Add New button used to create a new internal audit checklist

Figure 10: Checklist creation form with Check List Name and Add More option

Figure 11: Multiple checklist questions added before submitting the checklist

SECTION 5: RECORDING FINDINGS

Step 8: Open Internal Audit Report

1. Navigate to IMS > QMS > Internal Audit.

2. Click Internal Audit Report.

3. Click Add New to start recording the audit report and findings.

Figure 12: Internal Audit Report screen with Add New option

Step 9: Select the Audit and Checklist

1. In the Internal Audit Report form, select the respective Internal Audit.

2. Select the required Check List Name.

3. Review the checklist questions displayed in the Internal Audit CheckLists section.

4. Enter the Observation and select the Audit Finding value for each applicable checklist question.

Figure 13: Internal Audit Report form showing Internal Audit, Check List Name, checklist questions, and Audit Finding

SECTION 6: RAISING NON-CONFORMITIES

Step 10: Add or Reference a Non-Conformance

If an audit finding needs to be tracked as a non-conformance, it can be created or referenced from the Non Conformances section of the Internal Audit Report.

1. After entering the audit report details, scroll to the Non Conformances section.

2. Click Add New to raise a new non-conformance from the audit report.

3. Click Add Reference if an existing non-conformance needs to be attached to the audit report.

4. Enter the required non-conformance details and continue with the report.

Figure 14: Non Conformances section showing Add New and Add Reference options

NOTE: Use Add Reference when the non-conformance is already available in the system. Use Add New when the audit finding needs a new non-conformance record.

SECTION 7: TRACKING ACTIONS

Step 11: Track the Non-Conformance Status

1. After a non-conformance is raised or referenced, track the status Non Conformance Status field.

2. Use this field to understand the current stage of the linked non-conformance.

Figure 15: Non-conformance details entered from the audit report

SECTION 8: CLOSING THE AUDIT

Step 12: Submit the Internal Audit Report

1. Complete all required fields in the Internal Audit Report.

2. Ensure audit findings, observations, and non-conformance details are updated where applicable.

3. Click Submit to save and close the audit report.

Figure 16: Submit button used to save and close the internal audit report

SUMMARY

Effivity supports the complete internal audit lifecycle from audit programme creation to audit closure. Users can create audit programmes, schedule audits, assign auditors and auditees, prepare checklists, record audit findings, raise or reference non-conformities, track the non-conformance status, and submit the internal audit report to close the audit process.

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