Compliance audit support and events
Do you have to use the CAS?
eSAT doesn't require you to use the CAS. You can decide to complete all, some or none of the questions in the CAS screens.
Why can't you use CAS for the 2006–07 and earlier financial years?
We selected the financial year ending 30 June 2008 as the start period for the CAS. We based this on the timing of eSAT's delivery and the auditors' work programs to provide the best outcome in the timeframe.
How do you know what questions you have answered in the CAS?
The Compliance audit review (CAR) screen details the questions you answered in the CAS, the completeness of the topics covered, and indicates where you identified contraventions.
Why does a question mark appear when I use 'copy-and-paste'?
When you use copy-and-paste to insert text from an external document into eSAT fields, you may occasionally see some of the pasted text being replaced by a question mark ('?'). This occurs when the pasted text contains characters not supported by eSAT (version 1.3.0). Version 2.0.0 and later versions of eSAT support more characters and replace characters with '?' only in highly unusual circumstances. If this occurs, you should consider rewording the pasted text.
Do you have to report every contravention you identify using CAS?
No. The CAS helps you only to identify contraventions. Select 'Do I have to report?' from the left navigation menu for more information on which contraventions you need to report and when you need to report them.
The Reported events screen under 'Contravention report' allows you to work out the events you wish to report to us.
Why can't you delete an event from the Events screen?
You can delete an event from the Events screen after you have deleted all contraventions from the event. If you have added a contravention from the 'Identified contraventions' component on the left of screen, you'll need to remove the text located under the contravention in the 'Associated contraventions' component. Once you have removed the text, select 'Delete'.
The 'Delete event' button will be enabled once you have deleted all the contraventions from an event. Select 'Delete' and the event will be removed from the Events screen.
Do you need to lodge an ACR?
If you have identified contraventions during your audit, you'll need to check 'Do I have to report?' The mandatory reporting requirements provide guidance and specify when you must report to us.
Even if it does not appear mandatory to lodge contraventions you identify, you can still report if, in your professional judgment, you see fit to do so.
If you haven't identified any reportable contraventions, you may voluntarily lodge an Audit complete advice to tell us that you have completed an audit on a fund.
How do you lodge an ACR with more than six events?
The system allows you to attach six events to an ACR. You can create only one report at a time. When you have lodged the first report, the system will ask if you want to set the 'Job status' to complete. Select 'No' and return to the Jobs screen. The repository will display a 'Lodged report' under the 'Report type' column.
Select the row in the repository that contains the year of the audit – for example, 2008 – and select 'Next'. Select 'Contravention report' from the left-hand navigation menu and complete a new report. In the Reported events screen, check the boxes next to the events you did not report in the first report. Complete the rest of the screens and lodge the new report.
The Jobs screen will now show a second lodged report by displaying 'Lodged report' under the 'Report type' column.
To view lodged reports from the Jobs screen, double click on the report you have lodged and the entire report will be displayed as a PDF document.
How do you know if you have successfully lodged a contravention report or audit complete advice?
You'll receive a message after you select 'Lodge report' in the Declaration screen under 'Contravention report' or 'Audit complete advice'. The message will tell you whether your lodgment was successful or unsuccessful. You will not receive a receipt number.
After you lodge successfully, eSAT displays the lodgment date. This is sufficient proof of lodgment as it is system generated. eSAT holds a copy of the lodged report for you to view or print.
Last modified: 25 Jul 2016QC 21192