# Working with Audit Checklists (HSE, QMS) QualityOne Vaults provide audit-specific checklist functionality to allow you to create your own audit checklists to conduct an audit. These checklists enable you to identify one (1) or more checklist items as audit findings when performing an audit. When you complete and submit a checklist, QualityOne automatically creates audit finding records along with the finding type, observations, and objective evidence (attachments) for any audit checklist question flagged as an audit finding. Before you can utilize this functionality for your audits , your Admin must configure it for use. For help with general checklist functionality, see Working with Checklists for more details. Depending on your Admin's configuration, object, field, and section labels may appear differently than the labels mentioned in this article. If enabled, you can use QualityOne Audit Checklist Mobile to download and perform an audit checklist on an iPadOS and an Android device for a checklist already configured in Vault. ## About Audits {#about-audits} Conducting internal and supplier audits generally requires checklists as part of standard practice in quality management. An _Audit_ record consists of an audit team responsible for auditing processes based on the scope assigned to them as part of an audit program plan . You may run an action to trigger Vault to automatically [assign][1] each team member an audit checklist to aid them in conducting audits based on the matching fields and metadata. Based on a checklist design, you may also run an action to [assign a specific checklist to a specific user manually][2]. Typically, each user prepares their checklist as part of their preparation before they [conduct the audit remotely on-site][3]. As a result, an _Audit_ record may have one (1) or more checklists assigned to one (1) or more users in the team. When you work with your checklists, you can respond to a series of questions in a form-filling UI. Each question allows you to flag a response with one (1) or more [audit findings][4]. Entering audit findings in a checklist allows the audit team to review each response for additional follow-ups and create necessary action items. ### How to Create Audits {#create-audits} In order for you to start checklists, you need to have all the required _Audit_ records created. You may also include these _Audit_ records as part of your audit program planning to scope the type of checklists required. To create an _Audit_ record: 1. Navigate to _Audits_ and select the audit type required. 2. Click **Create**. 3. Enter a **Title**. 4. Enter a **Description**, **Purpose**, and **Scope**. 5. Select an **Audit Criteria**. 6. Enter the **Audit Criteria Details**. 7. Select a **Facility**. 8. Optional: Enter the **Supplemental Field**. 9. Click **Save**, or to create another _Audit_ type, click **Save + Create**. ## Assigning Audit Checklists {#assigning-checklist} You can assign audit checklists to audit team members in the following ways: * Running an [action][2] that manually assigns a specific checklist to a specific audit team member as the respondent. * Triggering an [action][2] by changing the lifecycle state on an _Audit_ record. * Through a system task on an _Audit_ workflow. * Running an [action][7] to reassign a currently assigned checklist to a different authorized user.
### About Checklist Assignment Actions {#checklist-assignment-actions} You can assign checklists by running an action manually, through a lifecycle state change, or by progressing through a workflow. Checklist assignment actions assign an audit checklist template, also called a _Checklist Design_ record, to a specific Vault user without the use of matching fields . These actions let you assign specific checklists to specific users without the need to add additional metadata. For example, an auditor is preparing for an upcoming internal audit in manufacturing. The auditor creates a _Checklist Design_ record called "Manufacturing Audit" which includes all the questions they want to answer when performing the audit. In the _Audit Preparation_ lifecycle state of the _Audit_ workflow, the auditor adds an audit checklist template to the _Audit_ record in the _Audit Checklist Assignment_ section of the page layout. The auditor then runs the _Manual Checklist Assignment_ action or changes the lifecycle state of the _Audit_ record to trigger a checklist assignment action. This creates a new instance of the checklist design and makes it available for completion in the _Audit Performance_ lifecycle state of the workflow where the audit is conducted. If you use matching fields in the _Checklist Design_ record, you can only have one (1) audit checklist template with the same matching field values. So if you want to create a new version of your checklist for a future audit, you cannot save both checklists in Vault. ### How to Manually Assign a Checklist {#manual-assignment} On an _Audit_ record, selecting a checklist template in the _Audit Checklist Preparation_ section without matching fields leaves an empty _User Responsible_ field. To assign a _User Responsible_ manually: 1. Create an _Audit Checklist Assignment_ record. 2. Select a checklist template from the available checklists. 3. Select the user responsible for completing the checklist. 4. Click **Save**. 5. Run the **Manual Checklist Assignment** action or change the state on the _Audit_ record. Vault then creates a checklist and assigns it to the selected user. ### How to Reassign a Checklist {#reassign-checklist} You can reassign the workflow task to complete an audit checklist to another authorized user. Audit checklists in a _Complete_ state type cannot be reassigned. To reassign a checklist: 1. On an _Audit_ record, select the applicable audit checklist from the _Audit Checklist_ section. 2. From the checklist’s **All Actions** menu, click **Reassign Audit Checklist**. 3. In the resulting dialog, select a value for the **User Responsible (New)**. 4. Click **Continue**. After reassignment, the new user responsible for completing the checklist receives an email and Vault notification. If you reassign a checklist while it’s checked out on the QualityOne Audit Checklist Mobile application, the mobile user can no longer save their progress to Vault or submit the checklist. ## Using Audit Findings {#audit_findings} Depending on your permissions and checklist configurations, you can view, create, and delete audit findings related to an audit checklist question response. Typically, finding types match these descriptions: * **Major Finding**: A major nonconformance observed during the audit that requires corrective action within a specified time frame. This major finding most likely includes a detailed investigation, root cause analysis, and action plan. * **Minor Finding**: A minor nonconformance observed during the audit that requires corrective action. Depending on the audit team's decision, this nonconformance may require resolution by the next audit since it is lower in severity. * **Opportunity for Improvement (OFI)**: A suggestion from another user to help improve a product or process based on observation during the audit. No action is required for these types of findings. Decisions on whether and how to address OFIs are at the discretion of the audit team. To create one (1) or more audit findings, click the **Create** button under _Audit Findings_, then select an _Audit Finding Type_ and click **Continue**. After completing the _Finding Type_ and _Observations_ fields, click **Save**. The saved _Audit Finding_ will appear as a token. To view the audit finding, hover over the token to display the hovercard details. To delete audit findings, click the **X** beside the token to remove it from the question. ## Completing Audit Checklists Remotely {#mobile} Once assigned an audit checklist, you can complete the audit checklists in Vault on your browser or remotely on your device. Completing your checklist remotely on a portable device allows you the freedom to conduct your audit on-site in real-time. See Using QualityOne Audit Checklist Mobile for more details. [1]: #assigning-checklist [2]: #checklist-assignment-actions [3]: #mobile [4]: #audit_findings [5]: #start-checklist [6]: #manual-assignment [7]: #reassign-checklist