Checklists for Audits (QMS)

Vault QMS includes an enhanced checklist type to support the execution of an Audit. If enabled by an Admin, users can use the Audit Checklist with Findings type of checklist to define reusable, structured questionnaires which allow the capture of detailed responses, attachments, and support direct filing of findings or observations. Responses to the questions and findings related to those responses will be automatically linked up to the Audit through the checklist or directly as findings.

Admin configuration and setup of Audit Checklists consists of enabling creation of the appropriate type of Checklists, and authoring those checklists. Familiarity with the platform Checklists feature set is required before proceeding with Audit Checklist setup and use.

Enabling Audit Checklists with Findings

To enable Audit Checklists with Findings for use in your Vault:

  • If not yet activated in your Vault, you must activate the External Audit Checklist Design or Internal Audit Checklist Design object types on the Checklist Design object.
  • Activate the standard Audit Checklists with Findings picklist value in the Checklist Types picklist to enable it for use.

You may also update the page layouts of your checklists, audits, or findings to ensure appropriate visibility of the linkages between them, as well (for example, listing related findings and the questions they came from). This can support behaviors such as users hovering over a finding which has been added to a checklist question, and having Vault display the field data as determined by the List Layout of the object type.

Authoring Audit Checklists with Findings

Once activated, checklist administrators can select this checklist type when creating a Checklist Design record, then author the checklist via the Visual Checklist Designer.

Adding Findings to Audit Checklists

Users can click the Create button under Findings in each checklist question to add a finding. When clicked, Vault displays a record creation dialog with all required fields.

The Create button for findings only appears when the checklist is in the In Progress state.

Users who may need to create findings while completing audit checklists require the following permissions via a security profile or role:

  • Create permission for at least one object type of the Finding object; or
  • Create permission for the the following objects and object types:
    • Quality Event (External Finding)
    • Quality Event (Internal Finding)

Users who may need to delete findings require Delete permissions for the same objects and object types.