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Audit Relief during COVID-19

Audit timing - updated 24 April

The DIA has announced  that Phase 2 reporting entities who not able to complete their first audit due to being affected by COVID-19, will not have adverse compliance action taken against them.

RE's should be able to explain how COVID-19 affected their ability to complete their audit and be able to demonstrate steps taken to do so when Alert levels are lifted.  Audits must be completed as soon as practicable upon lifting of the Alert levels.

If Phase 2 RE's are able to complete their audit, they should do so by the current deadline.

Our take on the announcement: RE's should complete their audit if they can (staff working remotely and have access to electronic files) otherwise, keep careful notes on why the audit cannot be completed.


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