Managing Formulation Questionnaires (Compliance Management)

Compliance Management provides you with the ability to send questionnaires (checklists) to respondents, such as suppliers, targeted to a specific formulation, industry, and location. Recipients can then securely respond to those questionnaires without logging into a Vault, and without requiring individual Vault licenses or the ability to view or access any areas of your Vault. Vault emails respondents with links to questionnaires with questions relevant to a specified formulation, industry, and market, minimizing the amount of time they spend completing questionnaires and standardizing incoming data. You can track completeness and review completed questionnaires within your Vault. You can also import completed questionnaire data into Qualitative Assessments based on Admin-defined mapping.

Depending on your Admin’s configuration, object, field, and section labels may appear differently than the labels mentioned in this article. In addition, the fields to complete may vary based on your Vault.

Formulation Questionnaires Overview

Sending questionnaires involves the following steps:

1. Populate the applicable records to reference in emails to respondents
2. Create Formulation Questionnaires for the appropriate Formulations
3. Send questionnaires to respondents
4. Review completed questionnaires
5. Optional: Import questionnaire attachments
6. Optional: Import questionnaire data

Populating Records for Respondent Emails

When you send questionnaires, Vault emails respondents a link to complete the questionnaire. Vault references several items to determine which respondents receive links to complete a questionnaire for a Formulation and what information that email contains. Ensure you’ve populated the following items with the appropriate information before sending questionnaires:

• On the Formulation records that require questionnaires:
  • Ensure the Title field is populated.
  • Populate the Supplier field with the Organization responsible for completing the questionnaire.
• On the applicable Organization Person records related to the Organization responsible for completing the questionnaire, select Formulation Questionnaire in set the Checklist Respondent Type field for that person to receive emails to complete the questionnaire.
• On the Person records related to the applicable Organization Persons, ensure the Email field is populated with a valid email address so that respondents receive email links to the questionnaire.
• On your own user profile, ensure the Company field is populated.

Creating Formulation Questionnaires

You must create a Formulation Questionnaire record for the Formulation for which you want to send a questionnaire. You can specify the industry and location you want each questionnaire to target. You can create a single Formulation Questionnaire or multiple records in bulk. Depending on your Admin’s configuration, you may have to send questionnaires for the newly-created Formulation Questionnaires manually, or Vault may send them automatically. Vault identifies the appropriate questionnaire for the specified industry and location based on Admin-defined criteria.

Creating a Single Formulation Questionnaire

You can create a single Formulation Questionnaire from a Formulation record or on a custom tab for the Formulation Questionnaire object. To do this:

1. Navigate to a custom tab or directly to the Formulation record that requires a questionnaire.
2. If creating from a custom tab, select the Formulation that requires a questionnaire.
3. Optional: Select an Industry to target a specific industry.
4. Optional: Select a Location to target a specific location.
5. Click Save.

Bulk Creating Multiple Formulation Questionnaires

You can create multiple Formulation Questionnaires targetted the same industry and location for multiple Formulations using a single bulk action. To do this:

1. Navigate to the Formulations tab.
2. Optional: Set additional filters to narrow down the list of Formulations for which you want to create Formulation Questionnaires. You can create Formulation Questionnaires for up to 1,000 records at once.
3. From the All Actions menu, select the option to perform a bulk action.
4. On the Refine Selection page, review the list of selected records and clear the checkboxes for any Formulas for which you do not want to create Formulation Questionnaires.
5. Click Next.
6. On the Choose Action page, select Record Actions in the Manage Records section.
7. Click Next.
8. On the Choose Record Action page, select Bulk Create Formulation Questionnaires.
9. Click Next.
10. Optional: On the Details page, select the Industry and Location. Depending on your Admin’s configuration, these fields may be required.
11. Click Next.
12. On the Confirmation page, review the summary of changes and click Finish.

Vault will not create duplicate records if any active Formulation Questionnaire for a selected Formula targeting to the same industry and location already exists. When Vault finishes generating records, you’ll receive an email and a Vault notification letting you know if the action was successful or if there were any errors.

Sending Questionnaires

When you manually or automatically send a questionnaire for a Formulation Questionnaire record, Vault emails a link to the questionnaire to the Organization Persons associated with the Supplier in the related Formulation record. When configured by your Admin, you can start a questionnaire and pre-populate responses before manually sending it to a respondent.

When you send a questionnaire, Vault does the following:

• Based on Admin-defined criteria, Vault identifies the appropriate questionnaire based on the Industry and Location values on the Formulation Questionnaire.
• Vault identifies the applicable Organization Persons for the Formulation’s specified Supplier and emails them a link to the questionnaire.
• Respondents can access the questionnaire via the emailed link and respond to the questionnaire within Vault. Emailed links are valid for 30 days or until a respondent completes the questionnaire.
• Vault assigns the Checklist Respondent role to the Application Managed User configured by your Admin.

Manually Send a Questionnaire

To manually send a questionnaire:

1. Navigate to the applicable Formulation Questionnaire in either of the following ways:
   • From the Questionnaires Type section of a Formulation record.
   • From a custom tab for the Formulation Questionnaire object.
2. Optional: From the Formulation Questionnaire’s All Actions menu, select Start Checklist to populate it with responses before you send it to the supplier.
3. From the Formulation Questionnaire’s All Actions menu, select Send Questionnaire to email the supplier a link to complete the questionnaire.

If you don’t see the option to send questionnaires in the All Actions menu, the action may be part of an entry action. See Automatically Send Questionnaires for more details.

Automatically Send Questionnaires

Depending on your Admin’s configuration, Vault may automatically send questionnaires to the appropriate respondents when a Formulation Questionnaire record enters a specific lifecycle state rather than, or in addition to, the action being available to you in the All Actions menu.

Ensure that the Industry and Location fields are set appropriately on the Formulation Questionnaire, then change the state of the record from the Workflow Actions menu to trigger the entry action. You can also change the state of multiple records at once using a bulk action.

Resending Questionnaires to Respondents

When configured by your Admin, you can manually resend respondents a link to an incomplete questionnaire. To do this, select the option to send a questionnaire from the Formulation Questionnaire’s All Actions menu. Vault automatically disables the previously generated link when you resend a questionnaire.

Reviewing Questionnaire Responses

Depending on your Admin’s configuration, you may be able to review all questionnaire responses from a related records section of the relevant Formulation or Formulation Questionnaire record.

Importing Formulation Questionnaire Attachments

When configured by your Admin, you can import documents attached to formulation questionnaires directly to your Vault Library. When importing files, Vault assigns document classifications based on your Admin’s configuration. You can review and change the classifications, as well as populate document fields, before importing the attachments.

To import attachments from a completed formulation questionnaire:

1. Navigate to the Questionnaires section of the applicable Formulation or Formulation Questionnaire record.
2. Find the completed questionnaire for which you want to import attachments.
3. From the All Actions menu, select Import Attachments.
4. Review the attachments available uploaded to the questionnaire and unselect any you do not want to import. Any previously-imported attachments are automatically unselected.
   • Click any file name to open the file in another tab or window.
   • Click the caret (<, >) icons to navigate between pages.
   • Click Next.
5. In the Review and confirm [NN] attachments dialog, review the assigned classification, make any necessary changes, and enter applicable details.
   • You can change the automatically generated file Name and Type for each attachment.
   • If your Admin has configured additional document fields to populate, enter all applicable values. You cannot finish uploading until you populate all required fields and all listed attachments display a completed () icon.
6. Click Finish.

If you attempt to import an attachment for a document type with a required field that your Admin has not configured for import, the attachment displays an information () icon in the Review and confirm [NN] attachments dialog and you cannot proceed with the import. Contact your Admin for details.

Notifications

When Vault finishes importing attachments, you’ll receive an email and Vault notification letting you know which imports were successful and if there were any errors. If you imported a previously imported document, Vault generates a new document.

Importing Formulation Questionnaire Data

You can import data from completed formulation questionnaires into Qualitative Assessments. See Importing Formulation Questionnaires for more details.

Inactivating Respondent Questionnaire Access

Vault automatically inactivates the link to a questionnaire when a respondent completes it. You can also manually inactivate the link by selecting the option from the Formulation Questionnaire’s All Actions menu.

Audit Trails

The audit trail for a Formulation Questionnaire includes details about the questionnaire that includes both the checklist respondent (Organization Person) and the Admin-configured Application Managed User. For example, if your Admin configured the Application Manager User email as “questionnaire.respondent@organization.com” and the name of the Organization Person that completes the questionnaires is “Sid Supplier”, the User Name displayed in the audit trail is “questionnaire.respondent@organization.com on behalf of Sid Supplier (sid.supplier@supplier.com)”.

Limitations

The following limitations apply to formulation questionnaires:

• Vault will not send questionnaires if more than five (5) Organization Persons are related to the Supplier defined on the Formulation record.
• Respondents cannot add Vault documents to questionnaire responses.
• You cannot import attachments if the formulation questionnaire includes more than 40 attachments.