105.1 Send Notification Letter

The 105.1 Send Notification Letter is a Query used to distribute the finalized Notification Letter to relevant stakeholders and request formal acknowledgement of receipt. It enables secure, structured communication between the internal audit team and auditees, while automatically recording responses and supporting documentation within the engagement file.

Objective

The objective of this query is to ensure that stakeholders formally acknowledge receipt of the Notification Letter before the engagement begins, while maintaining a complete and auditable record of all communication and responses.

Pre-Engagement Activities | 105.1 Send Notification Letter can be found within 100 Notifications on the Pre-engagement page.

The Send Notification Letter query provides a structured interface for communicating with stakeholders and managing responses. It includes standard message content, the ability to attach the finalised Notification Letter, and response tracking through predefined options. All communication and uploaded documents are automatically stored within the engagement file, ensuring a complete audit trail.

The following key components can be found on this page.

Introduction and subject line

Instructions

A field used to provide specific guidance or context to the recipient (e.g. confirming receipt or highlighting key dates).

Notification Letter

This section contains:

• Message text – A standard message introducing the purpose of the query and the attached document
• File upload – Attach the finalized 105 Notification Letter (PDF) or use the Copy from Cloud option
• Destination – Automatically links responses and uploaded files to the next phase (e.g. 130 Understanding and risk assessment)
• Picklist options – Allows the recipient to respond (e.g. Acknowledged, or additional options if configured)

Once all fields have been completed, click Send.

A Query will open that requires the user to include a due date, assign the notification letter to a contact(s) and enter text that will appear in the email body that will be sent to the contact.

Summary - How to send the notification letter

Open 105.1 Send Notification Letter from the engagement file

Add any additional instructions if required

Review and adjust the message content if necessary

Attach the finalized Notification Letter

Click Send

Contact Response Process

• The contact opens the query via the email link
• Reviews the Notification Letter
• Uploads any requested information (if applicable)
• Selects Acknowledged and submits the response

Once submitted, the query status updates to Responded.

Auditor review process

• The auditor reviews the response and any uploaded files
• If required, the query can be rejected for correction
• Once satisfied, the auditor accepts the query

Upon acceptance, all submitted documents are automatically stored in the relevant engagement folder (e.g. 130 Understanding and risk assessment).

Important tips

• Always set a due date to ensure timely responses
• Use queries instead of email to maintain a complete audit trail
• Monitor progress using the Queries Dashboard
• Ensure the correct recipients are selected before sending

Using the Send Notification Letter query ensures that stakeholders formally acknowledge the engagement before it begins, while all communication, responses, and supporting documentation are centrally recorded. This strengthens audit traceability, improves communication efficiency, and ensures readiness for the next phase of the engagement.