105 Notification Letter

The 105 Notification Letter is used to formally inform stakeholders of an upcoming internal audit engagement. It communicates the purpose, scope, timing, and responsibilities of the engagement, while also requesting any required documentation or information from the auditee. This document serves as the official introduction to the engagement and establishes expectations for cooperation and communication.

The objective of the Notification Letter is to ensure that stakeholders are clearly informed of the engagement details and prepared to support the audit process through timely provision of information and participation.

Pre-Engagement Activities | 105 Notification Letter can be found within 100 Notifications on the Pre-engagement page.

The Notification Letter is a structured document that combines pre-populated engagement details with user-defined inputs to create a formal communication to stakeholders. Much of the information is automatically pulled from 101 Engagement Information, including the engagement title, objectives, scope, planned dates, and assigned audit team. This ensures consistency across the engagement while reducing duplication of effort.

The document contains 10 pre-defined placeholders that should be completed by the user before sending the Notification letter to the stakeholder. The top of the left hand sidebar will identify the number of Placeholders remaining.

Different placeholders have different functionalities for example:

• Selecting date opens a calendar that allows you to select the date of the notification letter.
• Selecting Contact or Select Staff opens a window that lists all of the contacts within the organisation that have been loaded onto you Caseware cloud instance.
• The rest of the placeholders are text.

The following key sections are on the Notification Letter.

Introduction and subject line

Introduces the engagement and provides context aligned to the approved audit plan.

Engagement objectives

Outlines the preliminary objectives of the engagement.

Scope of the engagement

Defines the processes, systems, locations, and time period to be reviewed.

Planned timeline

Communicates the planned start and end dates of the engagement as captured in the 101 Engagement Information.

Audit team

Identifies the internal audit team responsible for the engagement

Documentation and information needs

Specifies the documents, data, and access required from the auditee. This will only be on the Notification Letter if it was indicated as such on the Engagement Information.

Summary - How to complete the document

Review pre-populated information from 101 Engagement Information

Open 105 Notification Letter from the engagement file

Complete all placeholders:

• Select the notification date
• Choose the recipient/contact
• Confirm or update audit team details
• Add documentation and information requests
• Confirm the signatory of the letter

Use the Document Map to ensure all placeholders are completed (should show “0 Remaining”)

Review the document for accuracy, clarity, and tone

Complete document sign-off

Ensure the reviewer sign-off is completed

Important tips

• Confirm the correct recipient to avoid miscommunication
• Ensure dates align with the approved audit plan
• Only request necessary documentation to avoid overburdening the auditee
• Use placeholders as a checklist to ensure completeness
• Maintain a professional and clear tone, as this sets the tone for the engagement
• Ensure all sign-offs are completed before finalising

Completion of the Notification Letter results in a formal communication that clearly outlines the purpose, scope, timeline, and requirements of the engagement to stakeholders. It ensures that the auditee understands what is expected, what information must be provided, and how the engagement will proceed, thereby promoting transparency, cooperation, and a smooth start to the audit.