Configuring Audit Checklists (QualityOne)

QualityOne Vaults provide audit-specific checklist functionality to allow Auditors to create their own audit checklists. These checklists allow Auditors to identify one or more checklist items as audit findings when performing an audit. When an Auditor 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.

Audit checklist configuration applies to QualityOne Mobile for iPadOS. QualityOne Mobile for iPadOS allows users to download and perform an audit checklist on an iPad® for a checklist already configured in Vault. There is some configuration specific to QualityOne Mobile for iPadOS.

Configuring Manual Checklist Assignment

To enable checklist assignment:

  1. Add the user action Manual Checklist Assignment to the appropriate state of the Audit lifecycle. Typically, you would add this user action to an Audit Preparation lifecycle state, before the Auditor performs the audit.
  2. Create or edit an Audit page layout for the audit object type. For example, the Internal Audit Detail Page Layout.
  3. If present, remove the Audit Checklists section that relates to document records.
  4. Create a section for a related object and select the Audit Checklist Assignment object. Only make this object available in audit-planning and preparation-related lifecycle states.
  5. Create a section for a related object and select the Audit Checklist object. Only make this object available in all lifecycle states after the audit planning and preparation related lifecycle states. For example, this section might only be visible in the In Audit Performance, In Audit Report, In Audit Follow-Ups, and Closed lifecycle states.

Configuring Audit Findings

Configuration for Audit Findings are available for Audit Checklist Responses and include the following options:

Enabling Audit Finding Button

To enable the +Create audit finding button, select the Create permission of the Audit Finding object within Admin > Users & Groups > Permission Sets > Objects tab. Once enabled, the +Create button will appear on the checklist.

Configuring the Audit Accepted Workflow

To 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 hide the Audit Finding +Create button so that users see and interact appropriately with your Vault’s configuration.

To hide functionality at the object level, clear the Create permissions of the Audit Finding object and/or object types as needed within Admin > Users & Groups > Permission Sets > Objects tab.

To hide functionality 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 View

Users can view hovercards by hovering over an audit finding token. You can modify what displays on the hovercard. By default, the hovercard displays the shortened values of Record ID, Observations, and Finding Type for display purposes.

To modify the hovercard display, navigate to Admin > Configuration > Objects > Audit Finding (audit_finding__v) object and click on the Object Types tab. Under Actions, select Edit Object Type Fields, locate the specific object type you want to modify, clear or select the appropriate object type field (Observations or Finding Type), and then click Save.

Audit Checklist Assignment

When you delete or add an Audit checklist type from Configuration > Checklist Types, Vault automatically updates the VQL criteria in the Checklist Design field of the Audit Checklist Assignment object. This is to restrict a user to select related Audit Checklist Design records based on the object type of the audit being created. 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 QualityOne Mobile for iPadOS

The field Checked out on Mobile? on the Audit Checklist (audit_checklist__sys) object is set to Yes for the appropriate record when a user downloads an audit checklist on QualityOne Mobile for iPadOS. This field sets the checklist to read-only in Vault after a user downloads a checklist to an iPad so that the user on the iPad can complete the checklist without a conflict.

Manual Reassignment

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 appropriate audit checklist object.

Workflow Reassignment

To reset the Checked out on Mobile? field to No and reassign 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 task, and in the Custom Actions section, add Actions for Mobile Audit Checklists, then save your changes. The action label may be different depending on your Vault’s configuration.

Auditors should have a security profile that includes following permissions:

Type Permission Controls
Security Profile Objects: Audit (all applicable object types): Create, Edit, Delete Ability to create, edit, and delete Audit records.
Security Profile Objects: Audit Checklist (all object types): Edit only Ability to edit Audit Checklist records.
Security Profile Objects: Audit Dependency (all object types): Edit only Ability to edit Audit Dependency records.
Security Profile Objects: Audit Finding (all applicable object types): Read, Create, Edit, Delete Ability to read, create, edit, and delete Audit Finding records.
Security Profile Objects: Audit Response (all object types): Edit only Ability to edit Audit Response records.
Security Profile Objects: Audit Section (all object types): Edit only Ability to edit Audit Section records.
Security Profile Objects: Checklist Design (audit related object types): Create, Edit, Delete Ability to create, edit, and delete Checklist Design records.

Mobile for iPadOS Permissions

For Auditors to access and work with audit checklists on QualityOne Mobile for iPadOS, they should have a security profile that includes the following permissions in addition to the permissions above:

Type Permission Controls
Permission Set Application: Client Applications: Mobile Audit Checklist: Enable Ability to access QualityOne Mobile for iPadOS.
Security Profile Application: Vault Actions: API: Access API Ability to communicate with Vault.