Configuring Audit Program Planning (QMS)

QualityOne Vaults allow you to determine and conduct audits in a given period under a specified scope by creating audit program plans. Using the Audit Program object, audit planners can initiate, propose, and approve audit programs for execution for a determined period. Once the Audit Program record enters a specified state, Vault automatically creates Audit object records based on Proposed Audit record data within the Audit Program. Users can then conduct, update, and track the execution of Audits and related Proposed Audits (while the Audit record moves through its lifecycle) on the Audit Program record.

Audit Program Planning Objects

QualityOne uses the following core objects and object types to support Audit Program Planning:

  • 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.
  • Audit Program (audit_program__v): This object represents audit programs and their associated proposed audits where they’re initiated, reviewed, and approved.
  • Proposed Audit (proposed_audit__v): This object represents the proposed audits planned as part of an audit program.
    • Internal Audit (internal_audit__v): This Proposed Audit object type represents internal proposed audits.
    • Supplier Audit (supplier_audit__v): This Proposed Audit object type represents external supplier proposed audits.

Configuration Overview

Configuring your Vault to use Audit Program Planning involves the following steps:

  1. Configure the audit program planning objects
  2. Configure the audit program planning object page layouts
  3. Configure entry actions for audit program planning object lifecycles
  4. Create workflows for audit program planning objects
  5. Configure Teams for Proposed Audits
  6. Configure user permissions

Configuring Audit Program Planning Objects

Perform the following object configuration changes on the Audit and Proposed Audit objects.

Audit & Proposed Audit Fields

For Vault to transfer field data from source Proposed Audit records to Audit records, you must add the field to the Proposed Audit object with an identical field Name. Object type names must also match exactly. For example, to transfer the Executive Summary (executive_summary__c) field value, a field with an identical Name value (executive_summary__c) must exist on both objects.

Ensure you enable the Related Audit Program and Related Proposed Audit fields on the required Audit object types.

Audit & Proposed Audit Object Types

If your processes include any custom object types in addition to Supplier Audit and Internal Audit, you must configure those object types for both Audit and Proposed Audit objects. The Name of the object type must match exactly between the Audit and Proposed Audit object types.

Configuring Object Page Layouts

We recommend updating object page layouts for the following objects:

  • For the Audit Program object:
    • Related Object Section: Add the Audit (audit__qdm) object for the related unplanned Audits. We recommend using the section label “Unplanned Audits”.
    • Related Object Section: Add the Proposed Audit (proposed_audit__v) object.
  • For the Proposed Audit object:
    • Related Object Section: Add the Audit (audit__qdm) object. We recommend using the section label “Related Audits”.

Configuring Entry Actions for Audit Program Planning

Perform the entry action configurations on the Audit and Proposed Audit object lifecycles for the Create Audit Record and Change related object lifecycle state entry actions.

Configuring the Create Audit Record Action

You must configure the Create Audit Record entry action for Vault to automatically create an Audit record when the Proposed Audit enters a specific lifecycle state. Determine the Proposed Audit object lifecycle state needed to trigger Audit record creation and add the Create Audit Record entry action. We recommend an approved lifecycle state. The optional field-mapping selection boxes allow you to map the Auditee, Planned Start Date, and Planned End Date standard fields to corresponding fields on the created Audit record. The drop-downs only display fields with the appropriate field type, for example Organization or Date. If you leave the drop-downs blank, data for those fields will not transfer from the Proposed Audit record to the Audit record.

You may use the Change related object lifecycle state entry action within the Audit Program and Audit object lifecycles to ensure that Proposed Audit records move through their lifecycle. You can:

  • Add the Change related object lifecycle state entry action on an Audit Program object lifecycle state to change the state of related Proposed Audits to the triggering state for the Create Audit Record entry action.
  • Add the Change related object lifecycle state entry action on an Audit object lifecycle state to change the state of related Proposed Audits, ensuring that the Proposed Audit records move along their lifecycle in parallel with their related Audits.

Creating Audit Program Planning Workflow

If you want to include a review and approval workflow as part of your Audit Program Planning process, you must create and configure one (1) workflow for each process.

Additionally, to manage the review and approval process on a Proposed Audit record, you can configure a separate workflow. Using separate workflows may help in situations where you require an additional proposed audit in your Audit Program after approval. Alternatively, you can create an unplanned Audit record from the Audit Program record detail page to avoid managing a separate review and approval process for Proposed Audits.

Configuring Teams for Proposed Audits

While you can create custom user fields to define roles, we recommend that you enable Teams for the Proposed Audit object to define role assignments for the related Audit records. Using Teams allow Vault to generate the defined users, corresponding to the Team Role when creating Audits from Proposed Audits for the Audit Program record.

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 Program object: Read, Create, and Edit permission
  • For the Proposed Audit object and its object types: Read, Create, and Edit permission

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.