Starting a job
eSAT is a flexible system and you can choose different navigational paths, except when preparing an ACR. The following steps will take you through a logical sequence to create and lodge an ACR.
If you are using eSAT for the first time, add your auditor details before starting a job.
Step 1: Select a fund
If you have already added fund details into eSAT, the search function will allow you to locate the fund you wish to work on. Otherwise, add a new fund by going to the 'Funds' menu and adding a fund. To progress the job, you can either:
- select the 'Next' button
- double click on the name of the fund.
From the Jobs screen, select the 'New job' button and select the year of audit.
Step 2: Select the year of audit
If you are undertaking a 2006–07 financial year or prior financial year audit, you can choose to create either a:
- contravention report – prepare and lodge an ACR to report contraventions to us
- audit complete advice – lodge a report to tell us that you have completed an audit of a fund and there are no reportable contraventions.
If you select the year 2008, you'll be taken to CAS questions. You can continue and use the CAS to help you identify contraventions. You can choose to answer all, some or none of these questions.
When your response to a question identifies a contravention, you'll automatically be taken to the Events screen. You can choose to add an event at this time, or close the window and continue working through the questions. Any contraventions identified will be available for selection from the Events screen later.
Go directly to the Contravention report using the left-hand navigation menu, or go directly to the Audit complete advice (ACA).
You can only have one active, in-progress report per year for a fund. This means you cannot create an ACR if you have an active ACA and vice versa. The ACA or ACR options in the menu are disabled where an active report exists.
Step 3: Adding an event
An event is an action or inaction by trustees that may lead, or has led, to one or more contraventions. You should enter any reportable sections or regulations for an event, together with other relevant information describing the event and any rectification action taken.
We provide information in eSAT to help you use the Events screen.
All mandatory information must be entered before you can add the event to the Contravention report. If you aren't required to report the event, you don't have to complete this information.
Name each event to make it easy to identify when adding associated reportable sections and regulations.
Step 4: Adding a contravention to an event
There are two ways to add identified contraventions to an event.
If you want to …
You need to …
add a contravention to an event identified using 'Compliance audit support'
select the reportable contraventions related to the event by selecting the 'Add contraventions to event' button. Complete the mandatory fields with the required detail for each section or regulation you add.
Add a manual contravention to an event
Manually add a contravention that needs to be reported by selecting the 'Select a manual section'. Then choose the relevant section/regulation from the drop-down list and select the 'Add manual section' button.
You can add each identified contravention to more than one event, but only once to each event.
Step 5: Preparing and lodging the ACR
The 'Contravention report' menu provides you with wizard-style navigation. As you complete each screen, select the 'Next' button. The options listed in the left-hand navigation sub-menu only become enabled after you complete the subsequent screen and validate the information.
You can preview the completed report before you lodge it.
After you select the 'Lodge report' button, a message will confirm that you have lodged the ACR successfully.
You'll be asked if you have completed the job. Unless you have more than six events to report or have more details to add to the job, you should change the status to 'completed' when prompted. If you have more than six events, you'll need to complete another ACR.
Step 6: Reviewing the status of the job
To review the status of the job after lodging a report, go to the Jobs screen. The job status will have changed from 'in-progress' to 'completed' if you responded positively to the prompt when you lodged. The report type will show as 'lodged', and the lodgment date will be displayed in the Jobs screen.
Last modified: 25 Jul 2016QC 21192