Knowledge Base

Popular Questions

1. What are the different Access levels in Online SMSF Audit system?

Following are the details of Access levels in Online SMSF Audit system.

  1. Partner –
    • Audit Partner can register a Firm with us
    • Can add, edit and delete Auditor(s), Accountant(s), Trustee(s) and Audit Staff
    • Can add, edit and delete a SMSF
    • Can access all funds associated with his/her firm
    • Can raise queries with Client related to audit of a fund
    • Can access previous years audit documents for audits completed by firm in our Online SMSF Audit System
    • Can upload and download – Audit working Papers and Reports, Super Fund Permanent documents and audit evidence documents
    • Can execute and complete SMSF audit
  2. Auditor –
    • Can add, edit and delete Accountant(s)/Trustee(s), Audit Staff
    • Can add, edit and delete SMSF
    • Can access funds created by him/her and assigned by Partner for current year
    • Can raise queries with Client related to audit of a fund
    • Can access previous years audit documents for audits completed in our Online SMSF Audit System
    • Can upload and download – Audit working Papers and Reports, Super Fund Permanent documents and audit evidence documents
    • Can execute and complete SMSF audit
  3. Audit Staff –
    • Can access funds assigned to him/her
    • Can access previous years audit documents of assigned super funds for audits completed in our Online SMSF Audit System
    • Can upload Super Fund Permanent documents and audit evidence documents for audit year
    • Can download Audit working Papers and Reports for audits completed in our Online SMSF Audit System
    • Can execute SMSF audit but cannot complete an audit
  4. Client –
    • Can upload permanent documents of SMSF and audit evidence documents
    • Can access previous years audit reports for his/her audits completed in our Online SMSF Audit System
    • Can reply to queries raised by Audit Staff/Auditor/Partner
2. Do I have to register with you to use the audit system?

Yes, you must register with us before you start using the audit system if you are a SMSF Auditor or Audit Firm Partner.

If you are a Trustee/Accountant/Audit Staff Member, you do not have to register. Partner will provide you with a username and password to login to our system.

3. I am a Super Fund Auditor, what can I do in your system?

As a SMSF Auditor you can

  • Add, Modify, Delete and Audit a fund
  • Add, Modify and Delete Audit Staff and Accountant(s)/Trustee(s)
  • Assign an Accountant/Trustee and Audit Staff to fund(s)
  • Execute and complete SMSF audit
  • View and download SMSF Permanent documents and audit evidence documents uploaded by an accountant or a trustee
  • Get audit working papers, audit notes, audit report, Trustee Representation Letter, Audit Engagement Letter, Audit Management Letter and Contravention Report
  • Email the audit documents
  • If SMSF audit was done previously in our system, you can have instant access to the audit documents for previous years
4. I am an Accountant, what can I do in your system?

A username and password will be issued to you by your auditor. Once you have logged on the system, you can change your access details if you wish.

You can

  • Download SMSF Details and fill the details of Super Fund and send it to auditor.
  • Upload SMSF permanent documents, audit evidence documents and any other document as required by the auditor.
  • On completion of SMSF audit, you can view and download audit notes, audit report, Trustee Representation Letter, Audit Engagement Letter, Audit Management Letter and Contravention Report
  • You can also have instant access to the above documents related to audits conducted for previous years in our system.
  • You can reply to the queries posted by Auditor related to audit of a super fund
5. I am a Staff Member of Audit firm, what can I do in your system?

As a Staff Member, you get username and password from your auditor/partner and you will use them to login to our system.

You can audit a SMSF but cannot complete an audit.

6. I am a SMSF Trustee, what can I do in your system?

A username and password will be issued to you by your auditor. Once you have logged on the system, you can change your access details if you wish.

You can

  • Download SMSF Details and fill the details of Super Fund and send it to auditor
  • Upload SMSF permanent documents, audit evidence documents and any other document as required by the auditor.
  • On completion of SMSF audit, you can view and download audit notes, audit report, Trustee Representation Letter, Audit Engagement Letter, Audit Management Letter and Contravention Report.
  • You can also access the above documents for prior year audits, if the audit was completed on our audit system.
  • You can reply to the queries posted by Auditor related to audit of a super fund
7. Are there any hidden costs or ongoing fees?

There are no hidden costs or ongoing fees for using our system.

You can "Pay As You Go" and pay for one fund at a time. However if you are after some discounts, you can purchase an audit pack of more than one fund. Our audit packs do not have an expiry date. So if you audit 100 funds in a year and if you purchase an Audit Pack of 300 funds, your credit will last three year. Our smart system counts and inform you the number of funds you have audited each time you commence a new audit.

Number of Funds Fee Per fund (Plus GST)
fr 1st Jan 17
Total Amount
(Incl. GST)
Fee per Fund (Plus GST)
up to 31st Dec 16
Total Amount
(Incl. GST)
1 $15.00 $16.50 $17.00 $18.70
5 $17.00 $93.50 $17.00 $93.50
10 $15.00 $165.00 $17.00 $187.00
25 $13.50 $371.25 $16.00 $440.00
50 $13.50 $742.50 $16.00 $880.00
100 $12.00 $1,320.00 $15.00 $1,650.00
150 $10.50 $1,732.50 $14.00 $2,310.00
200 $9.00 $1,980.00 $13.00 $2,860.00
300 $7.00 $2,310.00 $12.00 $3,960.00
500 $6.00 $3,300.00 $11.00 $6,050.00
750 $5.50 $4,537.50 $10.00 $8,250.00
1000 $5.00 $5,500.00 $9.00 $9,900.00
1500 $4.50 $7,425.00 $8.00 $13,200.00
2000 $4.00 $8,800.00 $7.00 $15,400.00
Accountant / Trustee upload Of documents Free Free
Integration with your website Trustees will visit Accountants Website to upload documents

Or

Accountants will visit Auditors website To upload documents
(Allow 2 weeks for integration And your webmaster involvement)
$400.00

Click here to learn how integration works
$440.00
8. What payment options do you offer?

At present we are accepting Visa, Master card and bank transfers as payment options.

9. What audit documents do I get?

You will have access to documents depending upon your role

You get

  • Audit Working Papers (pdf format)
    • Pre Audit Considerations
    • Audit Plan
    • Completed audit program (including audit evidence and permanent documents)
  • Engagement letter
  • Trustee representation letter
  • Management Letter
  • Audit Report
  • Contravention Report, if any
  • Invoice
  • Bank confirmation letter
  • Insurance Statement Request
  • Member Retirement declaration
  • Member Work Test Declaration
10. How do I register my firm to use your system?

You will have access to documents depending upon your role

  • You begin by clicking on ‘Get Started’ button on home page
  • You will be directed to ‘Firm Registration page’.
  • On this page you will have to provide following information to register.
    • Audit firm details - Name of the Firm, ABN of the Firm, Address of the Firm, Phone Number, Fax Number followed by Auditing Partner details like Name, Phone Number, e-mail Id, Password, Signature, Name of the Professional Body, Membership Number/ SMSF Auditor Number (ASIC Registration Number, when applicable).
    • Click on ‘I Accept, Please Register’ button to register the auditing firm.
  • When registering the auditing firm, you can also add auditors and audit staff to your firm
11. How to update/modify my firm details?

When logged in as a Partner

  • On ‘SMSF Audit Manager’ page click on ‘Change Details’ button.
  • You will be directed to ‘Change Details’ page.
  • On ‘Change Details’ page, you can update the firm information and click on ‘Update’ button to save the changes.
12. How to add a Client?

Only Partner or Auditor can add a Client. A Client can be added from two locations.

  • On ‘SMSF Audit Manager’ page, click on Add/Update Audit Team button which will take you to ‘Add/Update Audit Team’ page.
  • On ‘Add/Update Audit Team’ page, click on ‘Add Client’ button. This will take you to ‘Add Client’ pop-up window.
  • On ‘Add Client’ pop-up window, you will have to provide following details of accountant - Accountant First Name, Last Name, Firm Name, Address details, Phone Number, Mobile Number, E-mail Id and Password.
  • If you want to add just one accountant at this time, click on ‘Add’ button which will save the accountant details.
  • If you want to add more than one accountant
    • You will have to click on ‘Add Another’ button which will save the accountant details.
    • Add Client pop-up window will be re-displayed for you to enter details of another Client.
    • Repeat steps 3 and 4 or steps 3 and 5 as required.

Or

  • On ‘SMSF Audit Manager’ page, click on ‘Add Fund’ button which will take you to ‘Add A Fund’ page.
  • On ‘Add A Fund’ page, click on ‘+Add’ button which is next to the field ‘Who is the accountant responsible for this fund?’. This will take you to ‘Add Client’ pop-up window.
  • On ‘Add Client’ pop-up window, you will have to provide following details of accountant - Accountant First Name, Last Name, Firm Name, Address details, Phone Number, Mobile Number, E-mail Id and Password.
  • If you want to add just one accountant at this time, click on ‘Add’ button which will save the accountant details.
  • If you want to add more than one accountant
    • You will have to click on ‘Add Another’ button which will save the accountant details.
    • Add Client pop-up window will be re-displayed for you to enter details of another Client.
    • Repeat steps 3 and 4 or steps 3 and 5 as required
13. How to update Client information?

Partner of audit firm can change details of a client associated with the firm.

Auditor can change details of a client that has been added by him/her.

  • On ‘SMSF Fund Manager’ page click on ‘Add/Update Audit Team’ link. This will take you to ‘Add/Update Audit Team’ page.
  • On ‘Add/Update Audit Team’ page, click on edit icon in the row of client whose information you would like to modify. A window pops-up with the details of the client.
  • On Pop-up window, make necessary updates and click on Update button.
14. How to add an Auditor?

A Partner only can add Auditor.

  • While registering the audit firm, on ‘Firm Details’ page, select ‘Auditor’ in the dropdown box for Add Role.
  • Click on ‘Add’ button. This will open a pop-up window ‘Add Auditor’.
  • On ‘Add Auditor’ pop-up window, provide following Auditor’s details – First Name, Last Name, Mobile Number, e-mail ID, password, Signature, Professional Organisation which Auditor belongs to, Professional Organisation membership number, SMSF Auditor Number (ASIC Registration number).
  • Click on ‘Add’ button to add Auditor.

OR

  • On ‘SMSF Audit Manager’ page, click on Add/Update Audit Team button which will take you to ‘Change Details’ page.
  • On ‘Change Details’ page, click on ‘+Add’ link which is under Auditors Details table. This will open a pop-up window ‘Add Auditor’.
  • On ‘Add Auditor’ pop-up window, provide following Auditor’s details – First Name, Last Name, Mobile Number, e-mail ID, password, Signature, Professional Organisation to which Auditor belongs to, Professional Organisation membership number, SMSF Auditor Number (ASIC Registration number).
  • Click on ‘Add’ button to add Auditor.
15. How to update Auditor’s information?

Both Partner of the audit firm and Auditor can update auditor’s information.

If logged in as Partner of audit firm,

  • On ‘SMSF Audit Manager’ page click on ‘Add/Update Audit Team’ link. This will take you to ‘Add/Update Audit Team’ page.
  • On ‘Add/Update Audit Team’ page, click on edit icon in the row of the Auditor you would like to update.
  • ‘Update Auditor Details’ window pops-up with the details of the Auditor.
  • Make necessary updates and click on Update button.

Auditor can change his/her details by -

  • On ‘SMSF Audit Manager’ page click on ‘Change Details’ page. This will take you to ‘Change Details’ page.
  • On ‘Change Details’ page, update your details and click on Update button.
16. How to modify the details of Auditor, Audit Staff and Client?

If logged in as a Partner –

  • On ‘SMSF Audit Manager’ page, click on the link ‘Add/Update Audit Team’. This will take you to ‘Add/Update Audit Team’ page.
  • On the ‘Add/Update Audit Team’ page, click on edit icon against the row of the Auditor, Audit Staff and Client that you would like to modify.
  • A window will pop up with the details of Auditor, Audit Staff and Client.
  • Make necessary updates and click on Update button.
17. How to add Audit Staff Member?

Partner or Auditor can add/update the audit staff details.

  • On ‘SMSF Audit Manager’ page, click on ‘Add/Update Audit Team’ button. This will take you to ‘Add/Update Audit Team’ page.
  • On ‘Add/Update Audit Team’ page, click on ‘Add Audit Staff’ button which is under Audit Staff Details table. This will open a pop-up window ‘Add Audit Staff’.
  • On ‘Add Audit Staff’ pop-up window, provide the details of Audit Staff – First Name, Last Name, email Id and Password and click on ‘Add’ button.

You can also add audit staff while adding a fund to be audited by following steps described below.

  • On ‘SMSF Audit Manager’ page, click on ‘Add Fund’ button. This will take you to ‘Add A Fund’ page.
  • On ‘Add A Fund’ page, click on ‘+Add’ button which is next to ‘Who will help the auditor to audit the funds?’. This will open a pop-up window ‘Add Audit Staff’.
  • On ‘Add Audit Staff’ pop-up window, provide the details of Audit Staff – First Name, Last Name, email Id and Password and click on ‘Add’ button.
18. How to update Audit Staff’s password?

Audit staff’s password can be updated by partner, auditor or audit staff themselves.

If logged in as Partner or auditor –

  • On ‘SMSF Audit Manager’ page, click on ‘Add/Update Audit Team’ link. This will take you to ‘Change Details’ page.
  • On ‘Change Details’ page, click on edit icon against the row of the Audit Staff member that you would like to modify. ‘Update Audit Staff Details’ window pops-up with the details of the Audit Staff member.
  • Change the ‘Password’ and ‘Confirm Password’ fields and click on Update button to update Audit Staff member password.

If logged in as Audit Staff –

  • On ‘SMSF Fund Manager’ page click on ‘Change My Details’. This will take you to ‘Change Details’ page.
  • On ‘Change Details’ page, click on ‘Change My Password’ link. This opens up a pop-up window ‘Change My Password’.
  • Change your password by entering ‘Current Password’, ‘New Password’ and ‘Confirm Password’ fields and click on Update button to update your password.
19. How to update Accountant’s/Trustee’s password?

Accountant/Trustee can change/update their password by following these steps.

  • On ‘Document Manager’ page, click on ‘Change My Details’. This will take you to ‘Change Details’ page.
  • On ‘Change Details’ page, click on ‘Change My Password’ link. This opens up a pop-up window ‘Change My Password’.
  • Change your password by entering ‘Current Password’, ‘New Password’ and ‘Confirm Password’ fields and click on Update button to update your password.
20. How to delete a Client?

As a Partner, you can delete any Client associated with your firm.

As an Auditor, you can only delete a Client that you have added.

The deletion process is irreversible. Once deleted, Accountant/Trustee will not be able to access our system.

  • On ‘SMSF Audit Manager’ page click on ‘Add/Update Audit Team’ link. This will take you to ‘Add/Update Audit Team’ page.
  • On ‘Add/Update Audit Team’ page, click on delete icon in the row of the Client that you would like to delete.
  • A pop-up window will pop up for confirmation with questions “Are you sure? Do you want to delete Client?”.
  • Click on ‘OK’ to confirm the deletion of Client.
21. How to delete Auditor?

As a Partner, you can delete Auditor associated with your firm.

The deletion process is irreversible. Once deleted, Auditor will not be able to access our system.

  • On ‘SMSF Audit Manager’ page click on ‘Add/Update Audit Team’ link. This will take you to ‘Add/Update Audit Team’ page.
  • On ‘Add/Update Audit Team’ page, click on delete icon in the row of the Auditor that you would like to delete.
  • A pop-up window will pop up for confirmation with questions “Are you sure? Do you want to delete Auditor?”.
  • Click on ‘OK’ to confirm the deletion of Auditor.
22. How to delete Audit Staff Member?

As a Partner, you can delete any Audit Staff associated with your firm.

As an Auditor, you can only delete an Audit Staff member added by you.

The deletion process is irreversible. Once deleted, the Audit staff member will not be able to access our system.

  • On ‘SMSF Audit Manager’ page click on ‘Add/Update Audit Team’ link. This will take you to ‘Add/Update Audit Team’ page.
  • On ‘Add/Update Audit Team’ page, click on delete icon in the row of the Audit Staff member that you would like to delete.
  • A pop-up window will pop up for confirmation with questions “Are you sure? Do you want to delete Audit Staff Member?”.
  • Click on ‘OK’ to confirm the deletion of Audit Staff Member.
23. How to add a SMSF that I would like to audit?

Partner of audit firm or Auditor can add a SMSF to our Online SMSF Audit System.

  • On ‘SMSF Audit Manager’ page, click on ‘Add Fund’ button. This will take you to ‘Add A Fund’ page.
  • On ‘Add A Fund’ page, fill the details of SMSF and select Auditor, Audit Staff Member, Accountant/Trustee.
    • If you want to add one fund, click on ‘Save Fund’.
    • If you want to add more than one fund, click on ‘Save & Add Another Fund’.
      • Repeat Step 2 as required.

You can also use upload feature.

  • On ‘SMSF Audit Manager’ page, click on ‘Import Funds’ button. You will be directed to ‘Import Funds’ page.
  • On ‘Import Funds’ page, click on ‘Browse’ button to select the file to be imported.
  • Click on ‘Import Now’ button.
  • In case of any errors in the data file, you will be informed of the same on the Page.
  • Make the required corrections in the data file and repeat steps 2, 3 and 4 until all funds in the selected file are imported into to Online SMSF Audit system.
  • A message will appear after successful completion of file upload.
24. How to edit/modify details of SMSF that has already been added?

Only a Partner or Auditor will be able to edit/modify the details of SMSF that has already been added.

  • On ‘SMSF Audit Manager’ page, click on edit icon next to fund name that you would like to edit. This will take you to ‘Edit Fund’ page.
  • On ‘Edit Fund’ page, update SMSF details as required and click on ‘Update’ button.
25. How to delete a SMSF that has already been added?

Only a Partner or Auditor will be able to delete a SMSF that has already been added. This process is irreversible. Once a SMSF is deleted from Online SMSF Audit system, you will not be able to retrieve any data related to the deleted fund.

  • On ‘SMSF Audit Manager’ page, click on delete icon on the row of the super fund that you would like to delete.
  • A pop-up window will ask for password to confirm the delete.
  • Provide the password and click on confirm to delete a super fund.
26. I am a Client, how do I upload documents for a SMSF?
  • On ‘Document Manager’ page, you click on ‘Upload’ icon against the fund for which you would like to upload the documents. You will be directed to ‘Document Upload’ page.
  • On ‘Document Upload’ page to upload SMSF permanent documents
    • Select name of the document from the drop down list ‘Document Name’ under Permanent Documents section.
    • Click on ‘Browse’ button and select the file to be uploaded.
    • Click on ‘Upload’ button to upload the permanent document.
    • If you do not find the name of the document in the drop down list, select ‘Other’ and provide the name of the document in the field below the drop down list.
    • Repeat step 2b and 2c.
    • Repeat step 2a to 2e until all permanent documents are uploaded.
  • On ‘Document Upload’ page you can upload data file for Audit evidence
    • Select the Accounting package that you are using to administer your SMSF.
    • Click on ‘Browse’ button and select the data file to be uploaded.
    • Click on ‘Upload’ button to upload the data file.
  • On ‘Document Upload’ page to upload SMSF Audit Evidence documents
    • Select name of the document from the drop down list ‘Document Name’ under Upload Audit Evidence section.
    • Click on ‘Browse’ button and select the file to be uploaded.
    • Click on ‘Upload’ button to upload the audit evidence document.
    • If you do not find the name of the document in the drop down list, select ‘Other’ and provide the name of the document in the field below the drop down list.
    • Repeat step 4b and 4c.
    • Repeat step 4a to 4e until all audit evidence documents are uploaded.
  • Click on ‘Email Auditor’ button after uploading required documents. An email will be sent to Auditor informing about the completion of documents upload.
27. I am a Client, how to notify auditor that I have uploaded documents for auditing a SMSF?

An email notification will be sent to the Partner/ an Auditor when you click ‘Email Auditor’ button on ‘Document Upload’ page after uploading the required documents.

28. How to access previous years audit documents for SMSF?

If you are logged in as a Partner, Auditor or Audit Staff

  • On ‘SMSF Fund Manager’ page click the year in Last Year Audited column against the fund name. This will take you to ‘Last Year Audits Details’ page.
  • To download Permanent Documents –
    • On ‘Last Year Audits Details’ page, click on ‘Download Permanent Documents’ link.
  • To Download Audit Evidence, Audit Work Papers, Audit Reports and Invoice -
    • On ‘Last Year Audits Details’ page, click on download link below the Audit Evidence, Audit Work Papers, Audit Reports and Invoice column.
  • A pop-up window will appear with list of documents for the fund.
  • Click on the check box to select a document(s), enter email id to which the document(s) need to be sent and click on ‘Send’. An email will be sent to the email id entered with selected document(s) attached.
  • You can print a document by clicking on print icon in the row of the document that you would like to print.
  • You can download the document by clicking on icon in the row of the document that you would like to download.

If you are a Client -

  • On ‘Document Manager’ page click the year in Last Year Audited column against the fund name to go to ‘Last Year Audits’ page.
  • To download Permanent Documents –
    • On ‘Last Year Audits Details’ page, click on ‘Download Permanent Documents’ link.
  • To Download Audit Evidence, Audit Reports and Invoice -
    • On ‘Last Year Audits Details’ page, click on download link below the Audit Evidence, Audit Reports and Invoice column.
  • A pop-up window will appear with list of documents for the fund.
  • Click on the check box to select a document(s), enter email id to which the document(s) need to be sent and click on ‘Send’. An email will be sent to the email id entered with selected document(s) attached.
  • You can print a document by clicking on print icon in the row of the document that you would like to print.
  • You can download the document by clicking on icon in the row of the document that you would like to download.
29. How to start my audit of a SMSF?

If you are logged in as a Partner, an Auditor or Audit Staff Member

  • On ‘SMSF Audit Manager’ page click on ‘Audit CCYY Now’ button in Current Year Status column against the SMSF to be audited.
  • If you have not purchased any package from us -
    • You will be directed to ‘Payment Package Selection’.
    • Select the appropriate package and click on ‘Proceed for Payment’ button. This will take you to ‘Payment Page’.
    • On ‘Payment Page’ –
      • Enter promotional code if you have been provided with promotional code and click on Proceed button.
      • If you do not have a promotional code, provide your credit card details and click on ‘Pay Now’.
    • On successful processing of your purchase/promotional code, you will be directed to ‘Audit Page’ for the fund and you can begin your audit process for the super fund.

OR

  • If you have purchased a package from us previously and has credit left in the package -
    • You will be presented with a pop-up window which displays the number of the fund that you are auditing using the purchased package.
    • Click on ‘Close’ button to close the pop-up message.
    • You will be directed to ‘Audit Page’ for the fund and you can begin your audit process for the super fund.

OR

  • If you have purchased a package from us previously and has no credit left in the package -
    • You will be directed to ‘Payment Package Selection’.
    • Select the appropriate package and click on ‘Proceed for Payment’ button. This will take you to ‘Payment Page’.
    • On ‘Payment Page’ –
      • Enter promotional code if you have been provided with promotional code and click on Proceed button.
      • If you do not have a promotional code, provide your credit card details and click on ‘Pay Now’.
    • On successful processing of your purchase/promotional code, you will be directed to ‘Audit Page’ for the fund and you can begin your audit process for the super fund.
30. How do I know progress of SMSF audit?

If logged in as Partner, Auditor or Partner, you can see progress of super fund audit as % complete in ‘Current Year Status’ column on ‘SMSF Audit Manager’ page.

If logged in as Client, you can see progress of super fund audit as % complete in ‘Current Year Status’ column on ‘Document Manager’ page.

31. How to generate audit reports?

Only Partner and Auditor can complete audit and generate audit reports.

  • On ‘Audit Page’, click on ‘Complete’ button.
  • A message window pops up asking for confirmation.
  • Click on ‘Confirm’ button to confirm the completion of super fund audit.
  • Online SMSF Audit system will generate the audit reports for you.
  • You can download the reports.
  • You can edit the downloaded documents and upload to store them in the system.
32. How do I reassign a fund to be audited to another audit staff?

Only Partner and Auditor can reassign fund to another Audit Staff member.

  • On ‘SMSF Audit Manager’ page click on edit icon next to the fund name for which you would like to reassign the super fund. You will be directed to ‘Edit Fund’ page.
  • On ‘Edit Fund’ page, select the new Audit Staff Member name from the drop down list of ‘Who will help the auditor to audit the funds?’.
  • Click on Update button.
33. I am Audit Staff/Auditor/Partner, how to raise a query with Client?
  • On ‘Audit Page’, click on query icon which is next to the question to raise a query related to audit of super fund.
  • A query dashboard window pops-up.
  • Click on ‘Post Query’ button and
  • Enter query and click on ‘Submit Query’ button.
  • Our System will send an email notification to your client on the query raised.
34. I am a Client, how do I reply a query posted by Auditor/Audit Staff?
  • You can respond to a query raised by auditor by clicking on raise-query icon on ‘Document Manager‘ page.
  • This pops up query dashboard for the super fund.
  • Click on view-query icon to view the query.
  • Enter your response in the Response text area.
  • Click on ‘Upload’ button to upload any audit evidence.
  • Select a document name from drop down list.
  • Click on ‘Browse’ to select file to be uploaded and click on ‘Upload Document’ button.
  • Click on ‘Submit Reply’ button to respond to the query raised by auditor.
35. I am a Client, how do I know that Auditor/Audit Staff has posted a query for me to reply?

On ‘Document Manager’ page, a red coloured query icon raise-query will appear in ‘Query’ column for a super fund when a query is raised by an auditor for a super fund.

Once you respond to the query, the query icon colour will change to green indicating that you have responded to the queries raised by an auditor.

36. I am Audit Staff/Auditor/Partner, how do I know that Client has responded to my query?

On ‘SMSF Audit Manager’ page, a red coloured query icon raise-query will appear in ‘Query’ column for a super fund when a query is raised by you and your client has not responded to your query.

The query icon colour will change to green indicating that the query that has been raised by you was responded to by your client.

37. I am Audit Staff/Auditor/Partner, how do I follow-up with Client on query posted that has not been answered?

You can remind your client on query related to audit of a fund which has not been responded to date by clicking on notify icon in the ‘Query’ column for the fund on ‘SMSF Audit Manager’ page

No. Title Download
GS 009 Guidance Statement GS 009 Auditing Self-Managed Superannuation Funds
Relevant Auditing Standards made by the Auditing and Assurance Standards Board
ASIC Class Order - Competency standards for approved SMSF auditors
APES 110 Code of Ethics from Professional Accountants
Guide 243 ASIC Regulatory Guide 243

Below are some relevant ATO documents

No. Title Download
NAT 11299 Completing the Auditor/actuary contravention report
NAT 3036 Change of details for superannuation entities
NAT 72441 Request for self-managed superannuation fund specific advice
NAT 74662 Rollover initiation request to transfer whole balance of superannuation benefits to your self managed super fund
NAT 71089 Trustee declaration
NAT 71454 How your self‑managed super fund is regulated
NAT 71923 Setting up a self-managed super fund
NAT 11032 Running a self-managed super fund
NAT 74124 Paying benefits from a self-managed super fund
NAT 8107 Winding up a self managed super fund
NAT 11466 Self-managed superannuation fund independent auditor’s report
NAT 71226 Self-managed superannuation fund annual return 2013
NAT 71606 SMSF annual return instructions 2013
ATO Interpretative Decisions
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SUPERANNUATION INDUSTRY (SUPERVISION) ACT 1993
SUPERANNUATION INDUSTRY (SUPERVISION) REGULATIONS 1994
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