Using the Audit Program object, audit planners can initiate, plan, and approve audit programs for execution for a determined time 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.
Configuration Overview
Complete the following configuration steps to take full advantage of Audit Program Planning in your Vault:
- Configure the Audit and Proposed Audit objects
- Configure the Audit Program and Proposed Audit object page layouts
- Add the Create Audit Record entry action to the Proposed Audit object lifecycle
- Configure Change State of Related Record entry actions on the Audit object lifecycle to track execution in Proposed Audits
- Create workflows for Audit Programs and Proposed Audits
- Configure Teams for Proposed Audits.
Configuring Audit Program Planning Objects
Perform the following object configuration changes on the Audit and Proposed Audit objects.
Audit & Proposed Audit Fields
In order 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 that the Related Audit Program and Related Proposed Audit fields on the Audit object are enabled for any Audit object types you wish to use.
Audit & Proposed Audit Object Types
If your processes include any custom object types in addition to External 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 Audit Program Planning Object Page Layouts
We recommend adding object page layouts for the following objects:
- For the Audit Program object, do the following:
- Include a Related Object Record section for the related unplanned Audits object and another Related Object Record section for the Proposed Audits object.
- For the Proposed Audit object, do the following:
- Include a Related Object Record section for the related Audits object.
Adding Entry Action: Create Audit Record
Determine the Proposed Audit object lifecycle state that you wish to trigger Audit record creation and add the Create Audit Record entry action. 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 be transferred from the Proposed Audit record to the Audit record.
Configuring Audit Program Planning Object Lifecycles
Using the Change State of Related Record entry action within the Audit Program and Audit object lifecycles, you can ensure that Proposed Audit records move through their lifecycle:
- Add a Change State of Related Record entry action on the “In-Execution” 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 State of Related Record entry action on states in the Audit object lifecycle 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 workflow for each process.
Additionally, if you also want to manage the review and approval process on a Proposed Audit record, you can configure a separate workflow. This may be useful in situations where you want to include 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 if you do not want to manage a separate review and approval process for Proposed Audits.
Configuring Teams for Proposed Audits
While you can create custom user fields to define roles, it is recommended that you configure QualityOne Teams to define role assignments. This will allow Vault to generate the defined users, corresponding to the Team Role when creating Audits, from Proposed Audits.
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 | Objects: Audit Program: Read, Create, Edit | Ability to view, create, edit, and delete Audit Programs. |
| Security Profile | Objects: Proposed Audit (all object types): Read, Create, Edit | Ability to view, create, edit, and delete Proposed Audits. |