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:
-
Select Add (
) at the documents page, then choose Checklist.
-
Select Edit (
) to start adding content.
A blank checklist opens.
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:
-
Open the document and select Edit (
).
-
Select the Settings icon (
).
The Checklist Settings dialog opens.
Note: This dialog is only available in checklists that you have added in the engagement.
-
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 ( |
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. |
-
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:
-
Open the document and select Edit (
).
-
Go to the group that you want to add a subgroup for.
-
Select More actions (
), then choose Add subgroup.
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:
-
Open the document and select Edit (
).
-
Go to the group or subgroup that you want to add a procedure in.
-
Select More actions (
) | Add Procedure or select + Procedure.
-
Select the default description to change it.
-
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.
A new procedure is added with a default description New Procedure and the default response type (if specified in the document settings).
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. |
| |
| Insert a reference to a visible or hidden document in the engagement file. |
| |
| 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.
To add a sub-level procedure:
-
Open the document and select Edit (
).
-
Select the procedure or sub-procedure that you want to add sub-levels for.
-
Select More actions (
)
-
Select More actions (
) | Settings to review and customize the settings for the newly added sub-procedure.
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.
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:
|
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. |
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. |
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.
-
Open the document and select Edit (
).
-
Go to where you want to add a formula in the text.
-
Select Add Data Link (
) from the toolbar.
-
At the Dynamic Text tab, select the Add Condition drop-down list.
-
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
-
Once you’re done, select Save.
Different setup details display in the Data Link dialog based on the condition you choose:
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.
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 ( |
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 ( Select Edit ( |
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:
-
Open the document and select Edit (
).
-
Select the procedure or subprocedure.
-
Select More actions (
) | Settings, then select the Override the checklist settings check box.
-
Select +Response.
-
Enter the placeholder text.
-
Select a response type.
This is the default text that appears in the response field before the user enters or selects a response.
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. |
-
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
- Job title
- Description
- Home
- phone
- Work
- phone
- Mobile phone
-
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:
-
Open the document and select Edit (
).
-
Select + Authoritative reference link.
-
Enter the link text to be displayed in the procedure at Label.
-
Enter the URL address at URL.
-
Select OK.
Rearrange procedures
You can move procedures in the checklist document to change the order of appearance.
To move a procedure:
-
Open the document and select Edit (
).
-
Select the procedure that you want to move.
-
Select the Move (
).
-
Select the arrow next to the desired target location.
Arrows indicating the possible target locations where you can move the procedure display in the document.
The procedure now displays in the new location.
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