Guidance

Setting up and submitting an audit in the Compliance Audit System

Updated 18 October 2021

Applies to England

Access the Compliance Audit system in the Investment Management System

1. Audit setup

Providers will not be able to see the list of their schemes selected for audit until they have reviewed their contact details and certified at least one Independent Auditor user. Furthermore, the list will only be made available from 4 weeks before the audit start date submitted on the “Provider audit setup” screen.

Once these conditions are met, Providers will be able to access their scheme list, through the “Scheme list” link on the dashboard.

1.1 Compliance Audit system training video: set up the audit start date

set the audit start date

2. Independent auditors self-certification

After the provider Compliance Audit user sets up an Independent Auditor user, the Independent Auditor will receive an email asking them to self-certify in order to be able to complete the audit.

The Independent Auditor must log in using their details from the email, select the “Independent Auditor Self-certification” screen from the dashboard and complete the details.

2.1 Compliance Audit System training video: How Independent Auditors self-certify and start the audit

Independent Auditors self-certify and start the audit

3. How Independent Auditors input findings

1. From the dashboard select the “Scheme list”.
2. Select the scheme you wish to enter findings for.
3. Select the relevant question.
4. Select “Yes” or “No” from the dropdown menu, add explanatory comments in the comments box and press the “save” button.

4. How to upload documents

1. In the question screen, the Independent Auditor clicks the “Upload supporting document” button – this allows you to choose a document to upload. Please note documents must be in PDF format.
2. After this please save the question.

5. How to submit the audit

Only once the findings have been updated for all questions and for all schemes in the list can the Independent Auditor submit the findings. They will be able to tell if this is the case because the scheme list screen will show all of the “progress donuts” as green.

1. The audit can be submitted using the link on the “Audit schemes” screen, or the “Submit findings” link on the Dashboard.
2. To generate a PDF of the Independent Auditor findings for a scheme, go to the checklist summary for that scheme and click on the “Generate submissions extract” link on the right of the screen.

The PDF can then be saved and/or printed as preferred. However, users should note that it would be accurate only on the date of downloading and may not include queries that are raised and responses that are submitted later.

5.1 Compliance Audit system training video: How Independent Auditors input findings, submit the audit and generate a PDF submissions extract

complete and submit audit and generate submissions

6. Right to Acquire and Social HomeBuy Self Certification module

1. If your organisation has been selected for a self-certification audit, you can check which schemes have been selected by clicking on the “Provider Self-Certification” link in the bottom right hand corner of the dashboard.
2. This will take you to the Self-certification screen, where you will see which schemes have been selected for Self-certification.
3. Click on the scheme you wish to Self-certify, complete the details of your Finance Director or equivalent position, read the Statement of Grant Usage and tick the box to confirm that you have certified the scheme on behalf of the Finance Director or equivalent.
4. Click the green “Certify” button to complete the Statement of Grant Usage.
5. You can download a PDF of the submitted Statement of Grant Usage by clicking on the grey “Download as PDF” box.