Table of contents
This process is applicable only for audited organisations, who receive a formal notification from the EU and are given the possibility to provide their observations on the content of the notification.
Audit firms can receive formal notification from the EU but they simply have to acknowledge it without providing any feedback. See Acknowledging a formal notification from the EU for more information.
All pages about audits
Related pages
- Audit management services (My Audits)
- Formal Notifications for audits
- Information for audit firms (
concerns only audit firms)
Online Manual
Process description
The general concepts of the Audit Management Services system also apply to the outbound formal notification process. For a detailed description of the roles mentioned in this process, see Roles and access rights.
The EU sends a formal notification to the auditee. The audit contact (and, optionally the Primary Audit Contact and the LEAR / Account administrator) are notified in the Portal.
The audit contact, or the other recipients if applicable, need to click on the formal notification to open it. After someone opened the letter, you will find the observations process in AMS, otherwise, you will not find a process to provide observations.
You have 30 days from the acknowledgement of the EU formal notification to upload and send your observations or close the process without submitting any observations. After 30 days without action, the process will autocomplete assuming no observations were provided.
Follow the following steps to complete the process:
Access the FN process and the observations task
In the Audit process(es) screen, click on View process details.
Then click on View task details to access your task.
Select whether to provide observations or not.
You can access the letter from the EU services from here via the Download button, or find it back in the Documents tab. Under the Select an outcome section, choose if you wish to provide observations (selected by default) or if you wish to proceed without any observations.
If you select to provide observations, click Upload to upload your file containing them. I you select to proceed without observations, you do not need to upload any files.
Submit your task
Tick the confirmation that you have verified the uploaded file with observations, or that you want to proceed without any observations, depending on what you have selected, and click on Submit.
Once you submit your tasks, there will not not be any pending tasks in your list and the step will be shown in green in the metroline, indicating that there is no action for you to take.
If the EU services require further observations. you will be notified via a message in the Portal (PNS, see How to manage your notifications for more information on the Portal messages). Access also the Documents tab to find the letter from the EU asking you further details about your observations.
You will have a new task to provide observations, please proceed as explained above.
Access the final FN after consolidation of your observations
After the consolidation of a final version taking into your account your observations, you will receive a new formal notification containing this final version. Access it via My Formal Notification(s) in the Portal.
Once you have have acknowledged the formal notification, the process will be closed. If you want to access the process, select the three dots on the right and click View archived processes.
The formal notification will also be available under the Documents tab when accessing the process.
