QualityOne Vaults provide audit-specific checklist functionality to allow users to create their own audit checklists. These checklists allow users to identify one (1) or more checklist items as audit findings when performing an audit. When a user completes and submits a checklist, QualityOne automatically creates audit finding records along with the finding type, observations, and objective evidence (attachments) for any audit checklist question that is flagged as an audit finding.
You must configure this functionality before users can start working with audit checklists in their audits. For more information about configuring and designing general checklist functionality, see Configuring Checklists and Designing Checklists.
Audit checklist configuration also applies to QualityOne Audit Checklist Mobile with some additional configuration specific to the application. QualityOne Audit Checklist Mobile allows users to download and perform an audit checklist on an iPad or Android device for a checklist already configured in Vault.
Audit Checklist Objects
QualityOne uses the following core objects and object types to support Audit Checklist:
- Audit (
audit__qdm): This object represents audits.- Internal Audit (
internal_audit__qdm): This Audit object type represents internal audits. - Supplier Audit (
supplier_audit__qdm): This Audit object type represents supplier audits.
- Internal Audit (
- Audit Finding (
audit_finding__v): This object represents audit findings identified through the Audit Checklist and can also be added independent of the checklist response for a particular audit.
Configuration Overview
Configuring your Vault to use Audit Checklists involves the following steps:
- Enable Checklists in your Vault
- Configure the Audit Checklist workflow
- Configure your Audit Checklist design
- Configure Checklist Assignment actions
- Configure Audit Findings
- Configure the QualityOne Audit Checklist Mobile
- Configure user permissions
Note: Depending on your Vault’s creation date and which features are currently enabled and configured, some of the steps described in this article may be unavailable or already complete in your Vault.
Enabling Checklists
You can configure your Vault to allow you to submit data in a checklist format. To enable this feature, navigate to Admin > Settings > General Settings and click Edit. In the Checklist section, select the Enable Checklists checkbox and click Save.
Once enabled, you can create a Checklist Type for the Audit object types. See Configuring Checklists for more details.
Important: Once enabled, you cannot disable Enable Checklists.
Configuring Audit Checklist Workflows
By default, the Audit Accepted and Audit Pending Acceptance object workflows are active and do not contain steps. If your organization plans to use workflows to initiate checklists, we recommend you use these because they have specialized system actions that are not available with other workflows:
- Set Respondent, which sets the Respondent field.
- Ensure Completeness, which verifies that all sections of the checklist are completed.
To configure the Audit Accepted and Audit Pending Acceptance object workflows, see Configuring Checklist Workflows for more details. Replace the Accepted workflow with the Audit Accepted workflow and Pending Acceptance workflow with the Audit Pending Acceptance workflow for the purposes of the Audit Checklist configuration.
You can also optionally configure the Audit Checklist Assignment system action on any single-object workflow that uses the Audit Lifecycle. See Configuring the Audit Checklist Assignment System Action for more details.
Configuring the Audit Checklist Design
Once you have enabled Checklists and configured the workflow, you can design and configure your audit checklist to allow users to submit data in a question-and-answer format. You can build checklist designs by creating records for the various checklist-enabled objects within your Checklist Design for Audit object types, or you can use the Visual Checklist Designer to design and manage your checklist from a single page. For help designing your checklists, see Designing Checklists.
Once you have created and finalized your checklist design, configure the Audit Checklist Design by completing the steps listed in the Configuration Overview of Configuring Checklists. Ensure you configure the Manual Audit Checklist Assignment user action, the Audit Checklist Assignment entry action, or the Audit Checklist Assignment system action instead of the Start checklist action. See Configuring Checklist Assignment Actions for more details.
Configuring Checklist Assignment Actions
There are three (3) checklist assignment actions available; you must configure at least one (1) before users can assign checklists to respondents in an audit:
- Audit Checklist Assignment entry action
- Manual Checklist Assignment user action
- Audit Checklist Assignment system action
Note: The Start checklist action has similar functionality to the Manual Audit Checklist Assignment and Audit Checklist Assignment actions and is available on each state of the Audit Lifecycle. However, we recommend you use the Manual Audit Checklist Assignment and Audit Checklist Assignment actions instead because they are designed for use with QualityOne Audit Management features. We do not recommend configuring the Start checklist action together with the Audit Checklist Assignment and Manual Checklist Assignment actions.
Configuring the Audit Checklist Assignment Entry Action
The Audit Checklist Assignment entry action automatically assigns a specific checklist to a particular audit team member as the respondent through a state change. To configure the Audit Checklist Assignment entry action, do the following:
- Add the Audit Checklist Assignment entry action to the appropriate state of the Audit Lifecycle. Typically, you would add this entry action to an In Audit Performance lifecycle state.
- Remove any entry criteria configured to validate that at least one (1) Checklist record exists before users can move to an In Audit Performance lifecycle state of the audit.
- Create or edit the layout for a particular Audit object type, such as the Internal Audit Detail Page Layout.
- If applicable, remove the Audit Checklists section related to document records.
- Insert a Related Object section and select the Audit Checklist Assignment object. Make this object available only in audit planning and preparation-related lifecycle states.
- Insert a Related Object section and select the Audit Checklist object. Make this object available in all lifecycle states after the audit planning and preparation-related lifecycle states. For example, this section might be visible only in the In Audit Performance, In Audit Report, In Audit Follow-Ups, and Closed lifecycle states.
Configuring the Manual Checklist Assignment User Action
The Manual Checklist Assignment user action allows users to manually assign a specific checklist to a particular audit team member as the respondent. To configure the Manual Checklist Assignment user action, you must do the following:
- Add the Manual Checklist Assignment user action to the appropriate state of the Audit Lifecycle. Typically, you would add this user action to an Audit Preparation lifecycle state. This state occurs before the user starts to perform the audit.
- Create or edit the layout for a particular Audit object type. For example, the Internal Audit Detail Page Layout.
- If applicable, remove the Audit Checklists section related to document records.
- Insert a Related Object section and select the Audit Checklist Assignment object. Make this object available only in audit planning and preparation-related lifecycle states.
- Insert a Related Object section and select the Audit Checklist object. Make this object available in all lifecycle states after the audit planning and preparation-related lifecycle states. For example, this section might be visible only in the In Audit Performance, In Audit Report, In Audit Follow-Ups, and Closed lifecycle states.
Configuring the Audit Checklist Assignment System Action
You can also optionally configure the Audit Checklist Assignment system action on any single-object workflow that uses the Audit Lifecycle. This action executes during a step in a workflow to create and assign checklists to users. If you configure the Audit Checklist Assignment as a system action, do not also configure it as an entry action.
About the Audit Checklist Assignment Object
When you add or delete an Audit checklist type from Admin > Configuration > Checklist Types, Vault automatically updates the VQL criteria in the Checklist Design field of the Audit Checklist Assignment object. The VQL criteria restricts a user to only select related Audit Checklist Design records based on the created Audit object type. If you change the VQL statement, Vault automatically overwrites it with the intended VQL the next time a Checklist Type is added or deleted.
Configuring Audit Findings
Configuration for Audit Findings are available for Audit Checklist Responses and include the following steps:
- Including Audit Finding in the Audit Accepted workflow
- Modifying the visibility of the Audit Finding button
- Modifying the hovercard display
Configuring the Audit Accepted Workflow
To include Audit Finding, configure the Audit Accepted Workflow using MDL or a configuration migration package; click here for an example MDL configuration. Click here to download a VPK to deploy the workflow configuration.
Modifying Audit Finding Button Visibility
You can control the visibility of the Audit Finding Create button so that users see and interact appropriately with your Vault’s configuration.
To hide the button at the object level, clear the Create permissions of the Audit Finding object and object types as needed within Admin > Users & Groups > Permission Sets > Objects tab.
To hide the button in the particular Audit Checklist Lifecycle state, ensure the user role does not have edit permissions for the Audit Finding-Audit Checklist relationship within Admin > Configuration > Object Lifecycles.
Modifying Hovercard Display
Users can view hovercards by mousing over an Audit Finding token. You can adjust what displays on the hovercard. By default, the hovercard displays the shortened values of the Record ID, Observations, and Finding Type fields.
To modify the hovercard display, navigate to Admin > Configuration > Objects > Audit Finding object and select the Object Types tab. Under Actions, select Edit Object Type Fields and locate the specific object type you want to modify. Clear or select the appropriate object type field (Observations or Finding Type), then click Save.
Configuring QualityOne Audit Checklist Mobile
Ensure the Checked out on Mobile? field on the Audit Checklist object is set to “Yes” for the appropriate record when a user downloads an audit checklist on QualityOne Audit Checklist Mobile. This field sets the checklist to read-only in Vault after a user downloads a checklist to a device so that the user can complete the checklist on the device without causing a conflict.
Device Support
Before you start using QualityOne Audit Checklist Mobile, review the list of supported mobile versions to ensure your device is compatible.
Configuring SSO SAML
Configuring QualityOne Audit Checklist Mobile to allow users to log in using your organization’s SSO (Single-Sign-on) method requires the following steps:
- Configure a SAML Profile for your Vault. See Configuring SAML Profiles for more details.
- Configure an SSO Security Policy and provision users to use SSO. See Configuring Single Sign-on for more details.
Modifying Checklist Card Information
You can control the displayed information on the checklist cards in the mobile application to help users easily read and differentiate between the checklists listed by using formula expressions. To control the information on the checklist cards, configure the formula expression for the Mobile Display field:
- Navigate to Admin > Configuration > Objects > Audit Checklist > Fields > Mobile Display.
- Click Edit.
- Enter a Formula Expression. See Creating Formulas in Vault for more details on writing the formula expression.
- For example, to display the Audit Checklist object Name field whenever the Audit object Title field is blank, enter
if(isBlank(target_object__vr.title__c), name__v, target_object__vr.title__c)as the formula expression. This expression displays the Audit object Title field if it isn’t blank by default.
- For example, to display the Audit Checklist object Name field whenever the Audit object Title field is blank, enter
- Click Check Syntax to ensure that your expression is valid.
- Click Save.
After modifying the Mobile Display field’s formula expression, users can view the new changes by refreshing their card list. If you do not modify the checklist card, Vault defaults to displaying the Audit Checklist object label instead.
Reassigning Manually
If you need to reassign the checklist to a different user, you can reassign the workflow task and then change the value of the Checked out on Mobile? field to “No” in your Vault for the Audit Checklist object.
Resetting Workflow Assignment
To reset the Checked out on Mobile? field to “No” and assign the checklist to a different user through a workflow task, you need to add a custom action on the Audit Accepted Workflow in the Complete Workflow task. To do so, navigate to the Complete Workflow > Custom Actions section. Add Actions for Mobile Audit Checklists, then save your changes.
Configuring User Permissions
You must ensure users have the appropriate read and create permissions to access the appropriate objects and object fields in addition to the permissions outlined below:
- For the Audit object and its object types: Create, Edit, and Delete permission.
- For the Audit Finding object: Create, Edit, and Delete permission. Once Create is enabled, the Audit Finding Create button will be visible in the checklist response section.
- For the Checklist Design object: Create, Edit, and Delete permission.
- For the Audit Response object and its object types: Create, Edit, and Delete permission. Once permissions are enabled for the Text Response object type, users can make changes to ad hoc questions.
Configuring QualityOne Audit Checklist Mobile User Permissions
You must ensure users have the appropriate application permissions to access the QualityOne Audit Checklist Mobile application in addition to the related permissions outlined:
| Type | Permission | Controls |
|---|---|---|
| Security Profile | Application: Vault Actions: API: Access API | Ability to communicate with Vault. |
| Permission Set | Application: Client Applications: Mobile Audit Checklist: Enable | Ability to access QualityOne Audit Checklist Mobile. |
Related Permissions
You can complete all the steps in this article with the standard System Administrator or Vault Owner security profile. If your Vault uses custom security profiles, your profile must grant the following permissions:
| Type | Permission | Controls |
|---|---|---|
| Security Profile | Admin: Configuration: Object Lifecycles: Create, Edit | Ability to create and modify object lifecycles. |
| Security Profile | Admin: Configuration: Objects: Create, Edit | Ability to create and modify Vault objects. |
| Security Profile | Admin: Security: Permission Sets: Edit | Ability to modify permission sets for users. |
| Security Profile | Admin: Settings: General Information: Edit | Ability to modify settings in the Vault General Settings page. |