Scheduling and managing audits
  1. Audit and compliance
  2. Scheduling and managing audits

Schedule an audit

The Audit register manages processes for analysing performance such as audits, checks, and evaluations. You can schedule a single or recurring audit and the platform will automatically delegate and communicate what needs to be done.

Quick steps to scheduling an audit

  1. Go to the Audit register and click the FAB and select Audit
  2. Complete the Audit details form under Description tab
  3. Add a Schedule to the audit
  4. Click Submit

Form tabs

When you click on the FAB to schedule a new audit, the Audit details page will contain 2 tabs:

  1. Description tab - Contains the details and schedule of the audit.  This is where you schedule your audit.
  2. Series tab - Displays all the audits in the series as per the schedule. (This tab is not relevant when scheduling a new audit - see About the audit register to learn more)

Description tab components

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.
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. 

The Audit details component enables you to describe the audit, link audit tools and related agreements, and set the instructions for the Action officer.

  • Audit name - add the name of the audit
  • 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 - this is an optional feature that links to the Task Instructions Library. This feature is an add-on for the Audit Register designed to save time when scheduling tasks by providing access to a menu of built-in instructions to choose from. The Task Instructions Library includes over 100 examples of typical task instructions. Learn more.
  • Instructions - define the instructions for conducting the audit. The following example illustrates how sequential and concise instructions could help the Action officer. 

    Audit Schedule

    This component enables you to schedule the audit and set the frequency. 

    • Click on Schedule to open the scheduler.
    • Approval due date - select the date the audit is next to be completed. 
      Note: include time for the Approval officer to approve the audit
    • 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) and the Approval due date.
    • Frequency - If the audit is required to be completed more than once, select the required frequency eg Monthly. If the audit is required to be completed only once, select Once off. 
    • Recurrence - select the frequency 'pattern' the audit is to occur within the period selected, e.g. every 1 year or every 3 years. Depending on the frequency pattern selected you will be presented with different options to set the 'pattern'. 

    • End - 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 the behaviours with the following options:
      No end - select this option if the audit is to continue repeatedly
      End after - select this option if the audit is to End after a specified number of times, eg 4
      End after - select this option if the audit is to End after a certain date, eg. 20/6/22
      Halt schedule - select this option when the audit is to be halted (stopped)

    Click OK to set the schedule.


    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 staff member 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 audit, or alternatively select the meeting that the auditor attends so that they can be reminded through the meeting that they have an audit task. (This is consistent with the premise that transparency in responsibility leads to greater accountability).

    Access control

    The Access control component is where you define which users have access to view the item. You can grant access to a team or individual users, or both.

    • 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.

      Users with system level permissions to see all items will also be included.

    Attach records

    This component enables you to attach records such as correspondence. Records can be attached at each stage of the workflow. Click Attach to add records.

    Note: When scheduling the audit task, it's unlikely that you will attached records at this time. It is more likely that records will be attached when conducting the audit.

    • Record name - When naming the record ensure the description is meaningful. For example, 'Correspondence from client - March 2022'.
    • Record Category: - select from the list, the type of record eg. 'Report - Audit Report'
    • 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 (http://) or Microsoft SharePoint format (https://<company>
    • Viewing permissions - by default, the viewing permissions for the record will inherit the viewing permissions set in the Assign component on the audit details form, however, you can apply a different level of access for the record. This is because the record itself can also be accessed via the Records register.  

    Submit/save the form

    The green Submit button will save the form and create the first audit as a future action.  

    If you want to create a separate related/linked item you can select the relevant register in the  Create a related item component. When you press Submit, the platform will launch a new item in the register you selected. For example, if the feedback has given you an idea for an improvement or has identified a possible non-conformity, you could select the Improvement option to create a new item in that register. The platform will display a link between the two items in the 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.

    Click Save as draft and the audit task will be saved in the Draft tab on the Audit register.