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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 鈥淧rovider audit setup鈥� screen.

Once these conditions are met, Providers will be able to access their scheme list, through the 鈥淪cheme list鈥� link on the dashboard.

1.1 Compliance Audit system training video: set up 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 鈥淚ndependent Auditor Self-certification鈥� screen from the dashboard and complete the details.

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

3. How Independent Auditors input findings

1. From the dashboard select the 鈥淪cheme list鈥�.
2. Select the scheme you wish to enter findings for.
3. Select the relevant question.
4. Select 鈥淵es鈥� or 鈥淣o鈥� from the dropdown menu, add explanatory comments in the comments box and press the 鈥渟ave鈥� button.

4. How to upload documents

1. In the question screen, the Independent Auditor clicks the 鈥淯pload supporting document鈥� button 鈥� 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 鈥減rogress donuts鈥� as green.

1. The audit can be submitted using the link on the 鈥淎udit schemes鈥� screen, or the 鈥淪ubmit findings鈥� 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 鈥淕enerate submissions extract鈥� 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

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 鈥淧rovider Self-Certification鈥� 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 鈥淐ertify鈥� 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 鈥淒ownload as PDF鈥� box.