What is an audit?
An audit is a systematic examination process conducted within an organisation to evaluate and improve its performance, internal controls, risk management practices, and governance processes.
Why schedule audits?
Audits provide insights regarding the effectiveness and efficiency of the organisation’s operations. This helps ensure that internal controls are in place to mitigate risks, prevent fraud, and safeguard the organisation’s assets.
The audit workflow in Logiqc
Once an audit is scheduled, it will appear in the Audit schedule tab. When it's time to begin the audit, a task will be assigned to the responsible person and the audit can then be viewed in the In progress tab within the Audit register. Learn more about workflows
How to schedule an audit
Complete each section of the Audit details form highlighted below. Click the links to learn how to complete 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.
- Audit name
Type the name of the audit. This name will also be used automatically in recurring audits in the schedule. - Audit type
Select either 'Performance audit' or 'Compliance audit'. Compliance audits are for assessing whether processes are being complied with as per the organisation's procedures. Performance audits are for measuring the effectiveness of a process or program. - Audit source
Select whether the audit is an internal or external audit. If external, an additional field will display to enter the name of auditing agency. - Audit tool (optional)
You can choose or search for documents from the Documents register to add the audit tool that will be used, if it is available. This will provide a hyperlink to the audit tool at the Action stage. - Related agreement (optional)
Select or search this list of contracts on the Contracts register to link to a contract. This is useful when the contract contains information relevant to the audit. For example, funding contracts that list the requirements of a financial audit of the programs it funds. - Instruction type
If this optional feature is activated in your platform, select the relevant audit from the list and pre-programmed instructions will be provided. Learn more - Instructions
Define the instructions for conducting the audit. The following example illustrates how sequential and concise instructions could help the Action officer.
Go to topAudit Schedule
Click on Schedule audit to open the scheduler. In this section, you'll set the frequency of the audit and the dates for when the audit needs to be done and then approved.
- Approval due date
Select the date by which the entire process of completing and approving the tasks has to be done. The Approval and Action days you set next will count back from this date. In the example above, the deadline for the task to be done is 28 August which is 3 days before the entire process must be completed. - Action days
Number of days the Action officer has to complete the audit. - Approval days
Number of days the Approval officer has to the approval the audit. Note: Based on the Approval due date, the scheduler will calculate and display when the reminder email will be sent (Start date), the deadline for the Action officer (Action deadline). - Frequency - If the audit is required to be completed more than once, select the required frequency eg. Monthly or if the audit is required to be completed only once, select Once off.
In the Recurrence and End sections, you'll set the recurrence pattern.
- Use the Repeat every setting to set how often the audit should repeat. For example, if you selected a monthly frequency, you can use this setting to specify that the audit should be conducted every 6 months.
- The schedule will default to 'No end' which means new audit tasks will continue to be automatically created according to the schedule. Alternatively, you can set when the audits will cease to reoccur with the following options:
- No end- select this option if the audit is to repeat continually
- End after - select this option if the audit is to End after a specified number of times
- End after - select this option if the audit is to End after a certain date
- Halt schedule
Select this option when you want to stop repeating audits from being created after the current one is completed.
- Click OK to set the schedule.
Assign
This component enables you to set who will complete (Action officer) and who will close (Approval officer) the audit. It's important that these choices align with organisational delegations relating to the management of the audit.
- Action officer
Select the user responsible for conducting the audit. Note: if you select multiple action officers, a separate and duplicate audit item will be created for each person selected. These audits will also have to be closed separately. If you only want one audit, but a number of staff to be involved in conducting the audit, simply select one Action officer (the lead auditor) and use the instructions to convey how the Action officer (lead auditor) needs to involve other staff in the task. - Approval officer
Select the staff member who is accountable to close the audit. - Related business area
Select the business area the audit relates to. - Related meeting
Select the meeting that has oversight responsibility for the management of the task. This is consistent with the premise that transparency in responsibility leads to greater accountability.
Access control
Set which users will have access to view the item. You can grant access to all users or specific teams and individual users.
All users can access
Select this option if you would like all users to be able to view the item.
Specify who can access
Select this option to control which users can view this item.
Teams
Select the team/s who need to view the item.
Individual users
Select specific users (if they are not 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 see the item based on your selection. The list will also include those users assigned to the item in the workflow. Note: Users with system level permissions to see all items will also be included.
Attach records
This component enables you to attach records such as additional checklists or instructions.
Records attached here will also automatically display on the Records register (attached records tab) when the audit is completed and closed. By default, records are assigned the same viewing permissions as those set for the audit.
Click Attach to add records.
Record name
When naming the record ensure the description is meaningful.
File or Link
Click on Choose file and navigate to the record on your computer. If you have links enabled, toggle to change the control to add a URL to the record. The URL must be a in a web format (https://) or Microsoft Sharepoint format (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 want to create a separate linked item on another register when you save the form. A link between the two items will be displayed in each item's System event history.
Depending on your permissions, you can choose to save the audit as a draft. In choosing this option, you will be able to complete all components of the form with the exception of assigning the Action officer and the Approval officer and return to complete the schedule at a later date. 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.
