This article explains how to schedule an audit in Logiqc, a process that helps your organisation systematically review and improve its operations.
What is an Audit?
An audit is a structured review process within an organization. Its purpose is to evaluate and enhance performance, internal controls, risk management, and governance practices.
Why Schedule Audits?
Scheduling audits provides crucial insights into how effectively and efficiently your organization operates. They help ensure that proper internal controls are in place to manage risks, prevent fraud, and protect organizational assets.
Audit Workflow
The Audit workflow comprises three stages:
Audit Details: Define the audit, its instructions, tools, schedule, and assignees. This information is set once and automatically applies to future audits.
Action Stage: The auditor performs the audit, noting any issues or improvements. They can also add notes and attach records.
Close Stage: The Approval Officer closes the audit or delegates further steps.
Once an audit is scheduled in Logiqc, it appears in the Audit schedule tab. When it's time for the audit to begin, a task is assigned to the responsible person, and the audit then becomes visible in the In progress tab within the Audit register.
How to Schedule an Audit
To schedule an audit, you need to complete each section of the Audit details form. Click the links below for detailed instructions on completing each section:
- Audit details
Describes the audit, creates links to audit tools, and defines the instructions. - Schedule
Where you schedule the frequency and recurrence pattern for the audit. - Assign
Where you assign the users to complete and close the audit. - Access control
Set who can view the audit. - Attach records
Where you can attach files relevant to the audit. - System event history
A chronological list maintained by the system of most entries, changes, and linkages made in the system in relation to this audit.
Form tabs
The Details page comprises two tabs - the Description tab contains the details of the task and the associated schedule and the Series tab displays past and future scheduled occurrences of the task.
Audit details
In this component you'll describe the audit and set the instructions for how it should be carried out.
In this section, you'll describe the audit and provide instructions on how it should be conducted.
- Audit name: Enter the name of the audit. This name will automatically be used for recurring audits in the schedule.
- Audit type: Select either 'Performance audit' or 'Compliance audit'.
- Compliance audits assess whether processes adhere to the organization's procedures.
- Performance audits measure the effectiveness of a process or program.
- Audit source: Choose whether the audit is internal or external. If external, an additional field will appear for you to enter the name of the auditing agency.
- Audit tool (optional): You can search for and link documents from the Documents register to add the audit tool that will be used. This creates a hyperlink to the audit tool at the Action stage.
- Related agreement (optional): Select or search the list of contracts in the Contracts register to link to a relevant contract. This is useful if the contract contains information pertinent to the audit, such as funding contracts outlining requirements for a financial audit.
- Instruction type: If this optional feature is enabled on your platform, select the relevant audit from the list to populate pre-programmed instructions. [Learn more]
- Instructions: Define the steps for conducting the audit. Clear and sequential instructions can greatly assist the Action officer.
Audit Schedule
Click Schedule audit to open the scheduler. In this section, you'll set the audit's frequency and the due dates for its completion and approval.
- Approval due date: Select the final date by which the entire audit process (completion and approval) must be finished. The "Action days" and "Approval days" you set below will count back from this date. For example, if the approval due date is August 31st and "Action days" is 3, the action deadline will be August 28th.
- Action days: The number of days the Action officer has to complete the audit.
- Approval days: The number of days the Approval officer has to approve the audit.
- Note: Based on the Approval due date, the scheduler will automatically calculate and display when reminder emails will be sent (Start date) and the deadline for the Action officer (Action deadline).
- Frequency: If the audit needs to be completed more than once, select the desired frequency (e.g., 'Monthly'). If it's a one-time audit, select 'Once off'.
In the Recurrence and End sections, you'll set the recurrence pattern.
- Use the Repeat every setting to specify how often the audit should repeat. For example, if you selected a monthly frequency, you can set it to repeat every 6 months.
- The schedule defaults to 'No end', meaning new audit tasks will continue to be created automatically. Alternatively, you can set an end to the recurrence with these options:
- No end: Select this option if the audit is to repeat continuously.
- End after: Choose this option if the audit should stop after a specified number of occurrences.
- End by: Choose this option if the audit should stop after a certain date.
- Halt schedule: Select this option if you want to stop future recurring audits from being created after the current one is completed.
Click OK to save the schedule.
Assign
This component allows you to designate who will complete the audit (Action officer) and who will close it (Approval officer). These selections should align with your organisation's delegations for audit management.
- Action officer: Select the user responsible for conducting the audit. Note: If you select multiple action officers, a separate, duplicate audit item will be created for each person, and each will need to be closed separately. If you only need one audit but multiple staff are involved, select one Action officer (the lead auditor) and use the instructions to guide how they should involve other staff.
- Approval officer: Select the staff member accountable for closing the audit.
- Related business area: Select the business area the audit pertains to.
- Related meeting: Select the meeting that has oversight responsibility for managing this audit task. This promotes transparency and accountability.
Access control
Set which users can view the audit item. You can grant access to all users, specific teams, or individual users.
- All users can access: Select this option if you want all users to be able to view the item.
- Specify who can access: Choose this option to control which users can view this item.
- Teams: Select the team(s) that need to view the item.
- Individual users: Select specific users (if they are not already included in the selected team(s)) who need to view the item.
- Who can view?: Click this button to see a list of users who can view the item based on your selections. This list will also include users assigned to the item in the workflow.
- Note: Users with system-level permissions to view all items will also be included.
Attach records
This component allows you to attach additional records, such as checklists or instructions, to the audit.
Records attached here will automatically appear on the Records register (in the 'Attached records' tab) once the audit is completed and closed. By default, these records inherit the same viewing permissions as those set for the audit.
Click Attach to add records.
Click Attach to add records.
- Record name: Provide a meaningful description for the record name.
- File or Link:
- Click Choose file to navigate to and select a record from your computer.
- If links are enabled, toggle the control to add a URL for the record. The URL must be in a web format (e.g.,
https://) or Microsoft SharePoint format (e.g.,https://<company>.sharepoint.com/...).
Submit
The green Submit button will save the form and create the first audit as a future action.
- Select Create a related item if you wish to create a separate, linked item on another register when you save the form. A link between the two items will then appear in each item's System event history.
- Depending on your permissions, you may choose to save the audit as a draft. If you select this option, you can complete all sections of the form except for assigning the Action officer and Approval officer, and you can return later to complete the schedule. Draft audits appear in the Draft tab on the Audit register.
System event history
The System event history is a chronological record maintained by the system detailing entries and changes made to the form including links to any related items created by users.
Click the '+' control on the right to expand the line item to see more information.
