101 Engagement Information

The 101 Engagement Information document is the starting point of the internal audit engagement and is used to define the scope, objectives, timing, and responsibilities before any detailed audit work begins. By completing this document, the internal audit team ensures that the engagement is clearly structured, aligned to the audit plan and stakeholder objectives, and understood by both the audit team and stakeholders.

The objective of the Engagement Information document is to establish a clear and agreed foundation for the engagement by defining what will be audited, why it is being performed, how it will be executed, and who is responsible.

Pre-Engagement Activities | 101 Engagement Information can be found within 100 Notifications on the Pre-engagement page.

The initial page only displays a Disclaimer notification. Select Accept to initialise sign-off which will enable the Engagement functionalities.

Disclaimer

Provides an important notice that the template serves as guidance and does not replace professional judgment.

The Engagement Information document is divided into structured sections that guide the setup of the engagement, including defining objectives, scope, timelines, team responsibilities, and initial stakeholder communication requirements. The document uses a combination of input fields, dropdown selections, and date pickers to ensure consistency and completeness.

Audit plan

This section captures the core details of the engagement:

• Engagement title – The subject of the engagement
• Engagement objectives – The primary purpose of the engagement
• Engagement scope – Activities, processes, systems, locations, and time period to be reviewed
• Engagement type – Assurance or Advisory
• Advisory services (if applicable) – Defines whether additional advisory elements such as risk identification and evaluation criteria will be applied

Engagement duration

Captures the planned timeline of the engagement:

• Planned start date
• Planned end date

Engagement team

Defines roles and responsibilities within the engagement:

• Assign team members
• Allocate roles such as Preparer, Reviewer, and CAE

This ensures accountability and clarity from the outset.

Notification

Captures details required for initiating communication with stakeholders:

• Whether documentation requests should be included in the notification. Selecting Yes will prompt due date for the requested information.
• Planned entrance meeting details

Summary - How to complete the document

1. Open the engagement file and select 101 Engagement Information
2. Review and acknowledge the disclaimer
3. Capture the engagement title and objectives
4. Define the engagement scope and type
5. Enter planned start and end dates
6. Assign the engagement team and roles
7. Complete notification details (requests and entrance meeting)
8. Sign off procedures where required
9. Perform a final review and complete document-level sign-off

Important tips

• Be thorough at the start, as this document drives the rest of the engagement
• Ensure objectives are clear, concise, and aligned to the scope
• Carefully complete advisory-related fields where applicable
• Keep dates updated to reflect the latest scheduling
• Clearly define roles to ensure accountability
• Ensure notification details are accurate, as they feed into stakeholder communication

Completion of the Engagement Information document ensures that the internal audit engagement is properly defined, aligned to the audit plan, and ready for execution. It provides a clear and shared understanding of the engagement scope, objectives, timeline, team responsibilities, and initial communication approach, enabling a structured and efficient transition into the planning and execution phases.