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Modify or add a checklist

Checklist documents help you create dynamic workflows to facilitate the engagement process for users. It’s like a questionnaire that consists of items intended to gather information about the client and the engagement. When used with visibility settings, a checklist document simplifies the initial engagement file.

As users respond to the checklist, related documents and content become available (or visible) in the engagement file. This way, only documents that users need are available on the Documents page, while other documents remain hidden.

You can add or modify checklists in the engagement file or your firm template.

Note: If you want to modify or add a checklist in the firm template, you must have the Settings Admin role or similar to access the firm template. To learn more, see Built-in roles and Assign security roles. See also, Manage the firm template for information on how to open and edit the firm template.

Checklist components

The following components are available in checklist documents:

  • Procedures - The checklist items that users need to go through and provide responses for.

  • Groups and subgroups - To group related procedures.

  • Sub-level Procedures - To add sub-procedures to a procedure and create a multilevel structure.

  • Response Types - To specify the expected user response. The following table describes the available response types:

    Response type

    Expected user response

    Manual

    Enter the requested information.

    Picklist

    Select one item from the drop-down list.

    Multi-Picklist

    Select one or more items from the drop-down list.

    Date

    Select a date from the calendar.

    Entity Information

    View and verify client data.

    The displayed information links to CaseWare Cloud. The user can edit any incorrect information if needed.

    Contact Information

    View and verify client contact data.

    The displayed information links to CaseWare Cloud. The user can edit any incorrect information if needed.

  • Guidance - To provide guidance information for the users. For example, to state which document will be available in the engagement file if user answers Yes in this procedure.

Add a checklist

You can modify existing checklist documents or add new ones.

To add a checklist:

  1. Select Add () at the documents page, then choose Checklist.

  2. A blank checklist opens.

  3. Select Edit () to start adding content.

To modify an existing checklist, open the document and select Edit ().

Note: You can make limited modifications to the default content that comes with your product. You also can’t delete the default content that comes with you product. However, if you have access to the firm template, you can suppress it so it doesn’t show for end users.

Review and modify the checklist default settings

Once you've added a checklist, you need to review the default settings and make changes as necessary.

To review and modify the checklist settings:

  1. Open the document and select Edit ().

  2. Select the Settings icon ().

  3. The Checklist Settings dialog opens.

    Note: This dialog is only available in checklists that you have added in the engagement.

  1. Review and modify the following settings as needed.

Setting

Description

Guidance title

This is the title for the document guidance information. You can enter a guidance title to change the default title.

Sign-off procedures and conclusion

Select this check box to add a signoff option in all procedures and the conclusion rather than having one signoff for the whole document.

Conclusion available

Select this check box to add a conclusion section to the document. Once you select it, a text field displays so you can add a title to the conclusion section.

Enable assertions

Select this check box to add assertions in the document, if a procedure addresses any of them. Once selected, the assertions icon () displays at each procedure.

Use non-consolidated data

Select this check box to determine whether or not non-consolidated data can be used in the document.

Allow input notes in procedures

Select this check box to insert the Add note button below each response in the document which allows users to enter a note related to the response or procedure. You can also use this button to add a note placeholder.

Response

Select + Response to define the default response each procedure in this checklist. If you don’t define a default response, you’ll have to define a response every time you add a procedure in the document.

For information on how to add a response type, see Add a response type to a procedure.

Show responses beneath procedure

Select this check box to display responses below their respective procedures.

Analysis

Enable data analysis by selecting the desired chart option from the drop-down list. The data used for analysis is sourced from the trial balance.

Once you enable this option, the Analysis page is added in the document. The tab displays the selected charts for specific a group or as an Analysis document for an overall financial analysis. For information on how to use the Analysis page, see View account analysis in checklists.

Show risk information

Select this check box to enable the risks tab. You need to also define the data source for this tab using the Financial groups section.

Financial groups

Select one or more financial groupings to associate with the checklist. If you enabled the Risks tab, risks that apply to the selected financial groupings are displayed in the tab.

  1. Once you're done, select Save.

    Modifications immediately apply in the document.

Add a group or a subgroup

Groups are sections of the checklist document where you can add procedures. You can organize your procedures by adding them to groups and subgroups.

To add a group, Open the document and select Edit (), then select + Group at the top of the document. The default title of the new group is New Group with a black font color. You can select the default title to change it.

If you want to hide procedure numbering in the group, select More actions () and choose Hide procedure numbers within group.

To add a subgroup in a group:

  1. Open the document and select Edit ().

  2. Go to the group that you want to add a subgroup for.

  3. Select More actions (), then choose Add subgroup.

  4. A new subgroup is added with a default title New Group with a blue font color. You can select the default title to change it.

If you want to hide procedure numbering in the subgroup, select More actions () and choose Hide procedure numbers within group.

Add a procedure

Procedures are the checklist items that users need to go through and provide responses for. You can only add procedures in groups or subgroups.

To add a procedure:

  1. Open the document and select Edit ().

  2. Go to the group or subgroup that you want to add a procedure in.

  3. Select More actions () | Add Procedure or select + Procedure.

  4. A new procedure is added with a default description New Procedure and the default response type (if specified in the document settings).

  5. Select the default description to change it.

  6. Once you select the text field, the formatting toolbar displays. Use the toolbar to make the following changes:

    Toolbar icon

    Description

    Bold, italicize or underline selected text.

    Add a bullet or number list.

    Indent selected text or paragraph.

    Align selected text or paragraph.

    Add a table.

    Add or remove a link.

    Insert a reference to a visible or hidden document in the engagement file.

    Add data links.

    Remove all formatting for a selected text or a paragraph and revert to the default.

    You can also select the Summary field above the description to enter a short name for the procedure.

  7. Select More actions () | Settings to review and customize the procedure settings.

    You can also add a sub-level procedure to create a multilevel structure in the procedure.

To add a sub-level procedure:

  1. Open the document and select Edit ().

  2. Select the procedure or sub-procedure that you want to add sub-levels for.

  3. Select More actions ()

  4. If you selected a main procedure in Step 1, select More actions () | 2nd Level Procedure. A second level list is added with the new procedure and alphabetic numbering.

    If you selected a 2nd level procedure in Step 1, select More actions () | 3rd Level Procedure. A third level list is added with the new procedure and roman numerals numbering.

  5. Select More actions () | Settings to review and customize the settings for the newly added sub-procedure.

To hide the numbering for the sub-procedure, select More actions () | Hide sub-procedure numbers.

Add or remove a link in the procedure description

You can add links to a URL, an email or a phone number.

To add a link:

Select Add link () and enter the following information in the Link Info tab:

  • Display Text - the selected text is the default Display text for the link. If you haven’t selected text, enter the Display Text in this field.

  • Link Type - select a type from the drop-down list. Based on your selection, the dialog displays different sets of fields that you need to specify:

    Link type

    Fields

    URL

    Protocol - select the link protocol (http, https, ftp, news or other)

    URL - enter the URL

    Link to anchor in the text

    This feature is currently not functional

    Email

    E-mail address - enter the email address

    Message Subject - enter a subject for the email message

    Message Body - enter the email message body

    Phone

    Phone number - enter the phone number

In the Target tab, select where you want the link target to open. The default is in a new browser window.

You can also enter more information in the Advanced tab. Note that if you add a link to a file download, you can select the Force Download check box in this tab so the file download starts once the user selects the link.

Once you’re done, select OK.

To remove a link, select the link text then select Remove Link ().

Add a data link in the procedure description

Data links () allow you to have already existing information in the engagement or in Cloud automatically retrieved and inserted in text sections.

The following data links are available:

Engagement properties

(from Cloud)

Engagement properties as defined in Cloud, such as:

  • Operating name
  • Legal name
  • Year end date
  • Year start date
  • Current Year
  • Website
  • Prior Year
  • Entity address

Trial balance

(from the engagement)

Items in the trial balance such as, account name, grouping name, or values from the current or prior year.

Firm properties

(from Cloud)

Firm name

Firm address

Responses

(from the engagement)

Responses to procedures from checklists. Once you select a checklist document from the list, select the response you want to retrieve and insert in the text section.

Materiality

(from the engagement)

Defined values in the Materiality document.

Dynamic text

Dynamic text is conditional text. It’s a field where different text displays based on a condition or a set of conditions.

See Add dynamic text.

Forms Value

Insert the value of a specific form field. Once you select a form and a field, the value of the selected field is inserted in the text field.

Note: This option is only available in the Data Link dialog if custom forms are available in your product, such as Tax forms.

To add dynamic text:

Note: You can only add dynamic text if you are customizing the firm template. To access the firm template, you must have the Settings Admin role or similar. See Manage the firm template for information on how to open and edit the firm template.

  1. Open the document and select Edit ().

  2. Go to where you want to add a formula in the text.

  3. Select Add Data Link () from the toolbar.

  4. At the Dynamic Text tab, select the Add Condition drop-down list.

  5. Different setup details display in the Data Link dialog based on the condition you choose:

  6. Condition type

    Condition setup

    Response

    Document - select the source document for the response

    Procedure -  select the procedure for which the response is provided

    Condition - select the value of the response

    Output - select the text to be displayed when the condition is met

    Trial balance

    Financial Group - select the trial balance account or account group

    Condition - select how the name of the Income Statement displays based on the value of Net Income in the trial balance

    • Consistent → name displays as "Statement of Income"
    • Contrary → name displays as "Statement of Loss"
    • Inconsistent → name displays as "Statement of Income (Loss)"

    Output - select the text to be displayed when the condition is met

    Consolidation

    Condition - select the consolidation situation (Consolidated, Non-consolidated)

    Output - select the text to be displayed when the condition is met

    Reporting period

    Condition - select the value of the reporting period (Monthly, Quarterly, Semi-Annual, Annual)

    Output - select the text to be displayed when the condition is met

    Organization type

    Condition - select a country

    Output - select the text to be displayed when the condition is met

    Form Value

    Condition - select a form and a field in the selected form

    Output - select the text to be displayed when the condition is met

    Note: This condition is only functional if custom forms are available in your product, such as Tax forms.

    Group of conditions

    Select this option if you want to add a group of conditions, where the text output is based on how the conditions in the group are collectively evaluated

    Group Condition - select one of the following values:

    When all conditions below are met -> all conditions must be true for the Group Condition to be met

    When any condition below is met -> any condition must be true for the Group Condition to be met

    Output - select the text to be displayed when the Group Condition is met

  7. You can add more than one condition type to trigger additional text outputs. To add another condition, select Add Condition.

    You can also optionally specify an alternate output for the text if no conditions are met.

  8. Once you’re done, select Save.

  9. If a condition (or conditions) is met, the corresponding output text you specified for that condition displays.

    If no condition is met, the alternate text output (the one you specified for when none of the conditions are met) displays. Otherwise, #ValueEmpty# displays.

Review and customize procedure settings

If you want to view or customize the settings for a specific procedure or sub-procedure in the checklist, open the document and select Edit (). Select More actions () | Settings, then select the Override the checklist settings check box.

The following options are available in the Procedure Settings dialog:

Setting

Description

Allow sign offs

Select this option to add a signoff () to the procedure.

Allow input notes in procedures

Select this option to  add a text box below the response where users can enter notes. You can add a note placeholder in the displayed field.

Allow multiple rows

Select this option to allow users to provide more than one response for the procedure. This option enables the +Row button in the procedure.

Note: If your procedure has more than one response, selecting this setting will automatically display your responses in a table beneath the procedure. The response placeholder labels are displayed in the header row.

Response sets

Select +Response to add a response type.

Select Remove () to remove a response.

Select Edit () to edit a response.

Show responses beneath procedure

Select this option to display the responses below the procedure.

Once you’re done, select Save.

Add a response type to a procedure

You can modify the options for the default response type or remove it and add a different one.

To add a response in a procedure:

  1. Open the document and select Edit ().

  2. Select the procedure or subprocedure.

  3. Select More actions () | Settings, then select the Override the checklist settings check box.

  4. Select +Response.

  5. Enter the placeholder text.

  6. This is the default text that appears in the response field before the user enters or selects a response.

  7. Select a response type.

  8. The following types are available:

Response type

Description

Manual

An input text field where users can enter a custom response.

Picklist

A drop-down list where users can select one response from a list of responses. You can customize the list of responses to meet your needs. The default responses are Yes, No, and Not applicable.

Multi-Picklist

A drop-down box where users can select multiple responses from a list of responses. The default responses include Yes, No, and Not applicable.

Date

A date picker field with an inline calendar icon where users can select a date.

Entity Information

A field that displays information about the client entity. Entity information is linked directly to the client’s profile on CaseWareCloud.

Contact Information

A field that displays information about one of the client contacts. Contact information is linked directly to the client’s user profile on CaseWareCloud.

  1. Specify the response options for the following response types:

    Response type

    Options

    Picklist and Multi-Picklist

    Select the Edit icon () to modify the response options for lists. The following settings are available:

    Edit the existing options in the text fields or select Delete () to remove the response from the list.

    Select + Option to add a new option to the list.

    Select Other to add a text input field where users can enter a text response within the drop-down list.  

    Select Display inline to display the responses next to each other in the procedure rather than in a drop-down list.

    You can use the arrow up () and arrow down () to rearrange the order of appearance of the response options.

    Once you’re done, select the Checkmark () to save your changes.

    Note: You can use the responses you’ve added to this procedure in other procedures in the checklist document.

    Entity Information

    Link one or more of the following fields to your procedure:

    • Legal name
    • Operating name
    • Year end date
    • Year start date
    • Current year
    • Prior year
    • Address
    • Website
    • Entity number
    • Business number
    • Organization type
    • Business phone
    • Business fax
    • Mobile phone
    • Home phone
    • Industry codes
    • Client since
    • Date of incorporation

    Contact Information

    Link one or more of the following fields to your procedure:

    • First name
    • Last name
    • Initials
    • Email
    • Job title
    • Description
    • Home
    • phone
    • Work
    • phone
    • Mobile phone
  2. Once you’re done, select Save.

Add authoritative references in a procedure

You can add a link to an authoritative resource in the procedure. For example, you can add a reference to AU-C 570 The Auditor's Consideration of an Entity's Ability to Continue as a Going Concern.

Note: You can only add authoritative reference in a procedure in the firm template. You must have the Settings Admin role or similar to access the firm template. For more information, see Built-in roles and Assign security roles.

To add an authoritative reference:

  1. Open the document and select Edit ().

  2. Select + Authoritative reference link.

  3. Enter the link text to be displayed in the procedure at Label.

  4. Enter the URL address at URL.

  5. Select OK.

Rearrange procedures

You can move procedures in the checklist document to change the order of appearance.

To move a procedure:

  1. Open the document and select Edit ().

  2. Select the procedure that you want to move.

  3. Select the Move ().

  4. Arrows indicating the possible target locations where you can move the procedure display in the document.

  5. Select the arrow next to the desired target location.

  6. The procedure now displays in the new location.

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