Managing Auditor Profiles & Qualifications (HSE, QMS)

QualityOne Vaults enable you to simplify the process of identifying which personnel are authorized to perform specific roles on an audit. Auditor Profile & Qualification Management lets you capture key demographic information about Auditors, track and manage auditor qualifications and roles, ensure qualified auditors are assigned to Auditor roles, and automatically assign Auditors to team roles in an audit once they qualify.

With this feature fully configured, your organization can manage a pool of qualified Auditors to improve the efficiency and security of the Auditor role assignment process.

Depending on your Admin’s configuration, object, field, and section labels may appear differently than the labels mentioned in this article.

Defining Auditor Roles

Auditor Roles represent the roles that an auditor may need to perform in various types of audits (for instance, Lead Auditor). Roles are generally defined with a Name and a Description. Auditor Roles are intended for use with one or more Role Qualification Criteria, which represent the requirements an Auditor must complete to qualify for a given role.

Creating Auditor Roles

To create an Auditor Role:

  1. Navigate to an Auditor Role custom object tab or to Business Admin > Auditor Role.
  2. Click Create.
  3. Fill in the required details. This should include any fields used to grant Auditors appropriate Vault access and permissions.
  4. Select an Application Role to associate with the Auditor Role. This will be used to ensure Auditors with this role gain the appropriate rights throughout Vault.
  5. Click Save.

With the role defined, you should next associate Role Qualification Criteria.

Defining Role Qualification Criteria

Role Qualification Criteria define the specific requirements to be satisfied for an Auditor to qualify for a specific Auditor Role. Role Qualification Criteria may be unique to an Auditor Role, or may be required for multiple Auditor Roles in Vault.

An Auditor only needs to satisfy a Role Qualification Criteria once, regardless of how many Auditor Roles to which it is associated.

Creating Role Qualification Criteria

To create a new Role Qualification Criteria:

  1. Navigate to the Auditor Role custom tab or to Business Admin > Auditor Role.
  2. Select the applicable Auditor Role.
  3. In the Role Qualification Criteria section, Click Add.
  4. In the dialog, click Create.
  5. Fill in the required details.
  6. Optional: Indicate if the role requires requalification by selecting the Requires Requalification? checkbox.
  7. Click Save.
  8. Optional: Select the newly created Role Qualification Criteria to associate it with the role.
  9. Optional: Click OK.

Once created, you can associate a Role Qualification Criteria with any Auditor Role from that record’s detail page.

Creating Auditor Profiles

An Auditor Profile captures information to determine if a potential auditor is qualified for a role on an audit team. Depending on your Admin’s configuration, Auditor Profiles may have additional configured fields beyond those described in this article.

To create an Auditor Profile:

  1. Navigate to an Auditor Profile custom tab or to Business Admin > Auditor Profile.
  2. Click Create.
  3. Fill in the required details.
  4. Select a User to associate with the Auditor Profile. You can only associate an Auditor Profile with a single user.
  5. Click Save.

Adding Auditor Roles using the Auditor Qualification Status Section

After you create an Auditor Profile, you can add roles to the profile using the Auditor Qualification Status section. The Auditor Qualification Status section on the Auditor Profile object detail page is the central repository and primary point of interaction for information related to an auditor’s readiness to be assigned on Audit records. The Auditor Qualification Status section holds details of the various roles for which the Auditor is eligible, and the auditor’s progress towards qualifying for each role.

To add Auditor Roles to an Auditor Profile directly from the Auditor Profile record detail page, click the Auditor Roles button in the Auditor Qualification Status section and select an Auditor Role. If there are no roles available in your Vault, you or your Admin may need to define Auditor Roles.

Managing Auditor Role Qualification & Requalification

Auditor Managers can manage auditor role qualification by indicating satisfaction of individual Auditor Role Qualifications in the Auditor Qualification Status section of an Auditor Profile.

If configured by your Admin, Vault sends a workflow task for each qualification to the authorized user, prompting them to indicate that the Auditor satisfies that criteria. Vault may start role qualification workflows automatically or require you to start them manually.

Managing Requalification

As part of the qualification process, Vault may automatically set requalification dates or prompts authorized users to set requalification dates. Vault may or may not automatically revoke access for Auditors when one (1) or more of their qualifications enters a Requalification state.

If an Auditor loses access due to qualification entering a Requalification state, Vault does the following:

  • Keeps the Auditor assigned to any in-progress or already-assigned Audits.
  • Prevents users from selecting the Auditor for new Audit assignments until the Auditor requalifies.
  • Prevents users from creating any new audits via Audit Programs until the Auditor requalifies.