Checklist
Checklist — Overview
Click on the checklist name in the audit file to open a particular checklist.
Note: Only the Creator and Reviewer can delete a checklist.
Checklist Header
Note:
- The Checklist Creator can change the Target Date, Reviewer, and Preparer fields.
- The Reviewer can change the Target Date and Preparer fields.
- The Preparer cannot change any Checklist Header fields.
Header Permissions
| Feature / Field | Checklist Creator | Checklist Reviewer | Checklist Preparer | Notes |
|---|---|---|---|---|
| CHKL Status | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Seq Code | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Title | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Audit File | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Client | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Checklist Type | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| CHKL Created By | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Audit Type | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| CHKL Preparer | Enabled | Enabled | Disabled(Read-Only) | |
| CHKL Reviewer | Enabled | Disabled(Read-Only) | Disabled(Read-Only) | |
| CHK Target Date | Disabled(Read-Only) | Enabled | Disabled(Read-Only) | |
| Checklist Category | Disabled(Read-Only) | Enabled | Disabled(Read-Only) | |
| Audit Period From | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Audit Period To | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | |
| Reason For Rejection | Disabled(Read-Only) | Disabled(Read-Only) | Disabled(Read-Only) | Hidden If CHKL Status is Not Rejected |
Questionnaire
In the Questionnaire section, the Reviewer can add questions related to the checklist.
Note: A Checklist Issue can be created if the "Add Audit Issue" option is checked in the response type.
Note: Only the Reviewer can add, update, or delete questions in the questionnaire.
Questionnaire Permissions
| Feature / Field | Checklist Creator | Checklist Reviewer | Checklist Preparer | Notes |
|---|---|---|---|---|
| Questionnaire Mark as NA Button | Disabled(Read-Only) | Enabled | Enabled | Also Disabled If No Rows are Selected |
| Questionnaire Mark as Yes Button | Disabled(Read-Only) | Enabled | Enabled | Also Disabled If No Rows are Selected |
| Questionnaire Add Row Button | Disabled(Read-Only) | Enabled | Disabled(Read-Only) | Also Enabled for Audit File Engagement Partner |
| Questionnaire Filter Button | Enabled | Enabled | Enabled | |
| Questionnaire Seq No Edit | Disabled(Read-Only) | Enabled | Disabled(Read-Only) | Also Enabled for Audit File Engagement Partner |
| Questionnaire Response Edit | Disabled(Read-Only) | Enabled | Enabled | Issue should not be marked as complete |
| Questionnaire Remark Edit | Disabled(Read-Only) | Enabled | Enabled | |
| Questionnaire Edit Row Button | Hidden | Visible | Hidden | Issue should not be marked as complete |
| Questionnaire Delete Row Button | Hidden | Visible | Hidden | Issue should not be marked as complete |
| Questionnaire Heading Popup | Hidden | Visible | Visible | Also Enabled for Audit File Engagement Partner |
| Questionnaire Sub-heading Popup | Hidden | Visible | Visible | Also Enabled for Audit File Engagement Partner |
| Questionnaire Question Popup | Hidden | Visible | Visible | Also Enabled for Audit File Engagement Partner |
| Questionnaire Remark Popup | Hidden | Visible | Visible |
Linked Audit Task
In the Linked Audit Task section, the Preparer or Reviewer can add audit tasks that are linked to the checklist and can view their status (e.g., Task Done, Task Reviewed).
Linked Audit Task Permissions
| Feature / Field | Checklist Creator | Checklist Reviewer | Checklist Preparer | Notes |
|---|---|---|---|---|
| Link Audit Task Add Row Button | Hidden | Visible | Visible | |
| Link Audit Task Delete Row Button | Hidden | Visible | Visible |
Checklist Queries
In this section, the Preparer and Reviewer can add queries related to the checklist.
Note: Make Sure to enable it from audit firm settings
Queries Permissions
| Feature / Field | Checklist Creator | Checklist Reviewer | Checklist Preparer | Notes |
|---|---|---|---|---|
| Checklist Queries Add Row Button | Disabled(Read-Only) | Enabled | Enabled | |
| Checklist Queries Filter Button | Enabled | Enabled | Enabled | |
| Checklist Queries Custom Name Edit | Hidden | Visible | Visible | |
| Checklist Queries Edit Row Button | Hidden | Visible | Visible |
Checklist Issues
In this section, the Preparer and Reviewer can add issues related to the checklist.
Note: Make Sure to enable it from audit firm settings
Issues Permissions
| Feature / Field | Checklist Creator | Checklist Reviewer | Checklist Preparer | Notes |
|---|---|---|---|---|
| Checklist Issues Add Row Button | Disabled(Read-Only) | Enabled | Enabled | |
| Checklist Issues Filter Button | Enabled | Enabled | Enabled | |
| Checklist Issue Custom Name Edit | Hidden | Visible | Visible | |
| Checklist Issue Edit Row Button | Hidden | Visible | Visible |
Buttons and Their Purposes
| Button | Purpose |
|---|---|
| Close Checklist | Close the current checklist. |
| Send for Review | Send the current checklist for review. |
| Approve | Approve the checklist. |
| Reject | Reject the checklist. |
| Questionnaire — Mark as NA | Mark selected question responses as N/A. |
| Questionnaire — Mark as YES | Mark selected question responses as Yes. |
Global Actions & Checklist Operations
Permissions regarding the overall management of the Checklist.
| Feature / Field | Checklist Creator | Checklist Reviewer | Checklist Preparer | Notes |
|---|---|---|---|---|
| Delete Checklist Button | Hidden | Visible | Hidden | |
| Save Checklist Button | Visible | Visible | Visible | Checklist Should not be Closed/Approved/Cancelled. Also Hidden For Audit Staff |
| Send For Review Button | Hidden | Hidden | Visible | Only Visible if Checklist Status is Open Or Rework |
| Approve Button | Hidden | Visible | Hidden | Only Visible If Checklist Status is Under Review and Reviewer is Audit Partner |
| Reject Button | Hidden | Visible | Hidden | Only Visible If Checklist Status is Under Review. |
| Close Checklist Button | Visible | Visible | Visible | Only Visible If Checklist Is Open. |
| Checklist Header Redirects | Visible | Visible | Visible | Hidden for everyone else. |
Possible Error Messages and Remedies
| Error Message | Remedial Action |
|---|---|
| Questionnaire table should not be empty | Ensure the questionnaire table is populated before proceeding. |
| Reviewer should be Audit Manager or Audit Partner in checklist | Assign an Audit Manager or Audit Partner as the Reviewer for the checklist. |
| Checklist already exists for audit file with title | Confirm that the checklist title is unique for the specified audit file. |
| Target date of checklist should be before target date of audit file | Set the checklist's target date to be earlier than the audit file's target date. |
| Audit area selected does not exist in audit file or is completed already | Choose an active audit area that is linked to the audit file. |
| Preparer and Reviewer cannot be the same | Assign different users as the Preparer and Reviewer to avoid conflicts. |
| At least one field in Audit Procedures tab should be checked | Select at least one field in the Audit Procedures tab to proceed. |
| Checklist cannot be closed if response to questions is "To Be Determined" | Finalize responses for all questions before attempting to close the checklist. |
| Checklist cannot be closed because related audit queries are not closed | Ensure all audit queries associated with the checklist are closed before proceeding. |
| Only Reviewer or Creator can change Preparer | Contact the Reviewer or Creator if you need to change the Preparer. |
| Please provide a reason for the rejection | Enter a reason for the rejection to proceed. |
| Only Reviewer can approve | Contact the assigned Reviewer to approve the checklist. |
| Only Preparer can submit for review | Ensure that the Preparer submits the checklist for review. |
| File URL must start with 'https://' for storage platforms other than LAN | Update the file URL to start with "https://" if the storage platform is not LAN. |
| Checklist cannot be deleted as it has a query linked | Resolve or unlink the query before attempting to delete the checklist. |
| Checklist cannot be deleted as it has an issue linked | Resolve or unlink the issue before attempting to delete the checklist. |