Checklist Types of Regulation Based and Regulation Based (with evidence) are set up slightly differently. These checklists use the regulation as the checklist question.
1. Ensure that you are on the Checklists schedule area
2. Click on the ‘+ New Checklist’ button
3. Select the audit type from the dropdown menu
4. Enter a Checklist Number (auto populated but can be overtyped)
5. Enter a Checklist Name
6. Under the Checklist Style select from Regulation Based, or Regulation Based with evidence
7. Continue to select the Possible Answers, Audit Editability, enter in a Description although this is optional
8. Click on the month tick boxes to select your audit schedule
9. Click on the ‘Save’ button.
Upon saving additional areas are displayed, scroll to the area Sections and Contents.
10. Click on the ‘+ Add New section’ button
11. Enter in a section Number followed by a section Name, a description area is available but is optional
12. Click on the ‘Save’ button
Under the contents section there is only one option available, Add item
13. Click on the ‘Add item’ button.
A new checklist box appears where the regulation reference can be entered (box titled Reference), alongside boxes for the Desired outcome, the Suitability criteria, and any Guidance notes for the auditor
14. Start typing the regulation reference in the reference box and select from the dropdown
15. If required enter in the Desired Outcome, the Suitability Criteria alongside any Guidance for the audit team
16. Click on the ‘Save’ button.
If you only wanted to check against only certain areas of a regulation item you are able to highlight these areas to demonstrate those items were being checked against.
1. Click on the ‘Edit’ button of the added regulation
2. Double click any highlighted regulation item that is required for this checklist
3. Click on the ‘Save’ button
To remove an audit item.
1. Click on the ‘Edit’ button.
2. Within the pop out box click on the ‘Dustbin / Delete’ button
Checklist Attachments
The ability to add an attachment for this checklist.