European Commission It-How-To Manual

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Table of Contents:

Audit process inhouse

 Please be aware that the documentation currently available in these pages is still under review and may be subject to changes.

Process description and steps

The general concepts of the Audit Management Services system also apply to the audit process. For a detailed description of the roles mentioned in this process, see the Roles and access rights in the H2020 Online Manual. 

Audited organisations (auditee) will have an Audit Contact (AUCO) nominated, who will access PPAMS and carry out their audit related tasks – for more information, please click here.

The audit process consists of several phases:

  1. The LEAR is asked to nominate an Audit Contact (AUCO) (Step 1)
  2. The Commission sends a letter of announcement to the AUCO
  3. The AUCO uploads the Annexes requested in the Letter of Announcement (Step 2)
  4. The auditor appointed by the Commission carries out the field work, prepares a Draft Audit Report (DAR) and sends the DAR to the AUCO for observations (contradictory)
  5. The AUCO submits their observations on the DAR (Step 3)
  6. The Commission sends the letter of conclusion and the Final Audit Report (FAR) – reconciliation of the DAR and the observations submitted by the AUCO –  to the AUCO

Inhouse audits are carried out by an auditor within the Commissions own staff, and PPAMS will be used for all audit related exchanges with the auditee.

Steps 

Step 1: The LEAR receives a pre-notification letter to appoint an Audit Contact (AUCO)

The LEAR receives a PNS and a Formal Notification that a letter has been sent by the EU to ask him/her to appoint Audit Contact(s) (AUCO).

The LEAR of the organisation is automatically assigned the role of AUCO. Once an AUCO is nominated, the role may be removed from the LEAR. For more information about how to appoint an AUCO in the Participant Portal, please click here.  

The letter is stored under the process specific documents. 

To download the document, click the link to the letter and again the download icon/the link for the "Audit Contact letter". 


Step 2: The Audit Contact uploads the Annexes requested in the Letter of Announcement. 

Click on the link below the task "Upload Annex ... of your supporting documents on the audit requested in" to access the Letter of Announcement and know more about the requested documents (annexes). 

To download the letter, click the link and again the download icon.

The Letter(s) is/are also stored under Process Documents and can be accessed and downloaded from there. 

To complete the process task, the Audit Contact will have to upload all three annexes requested in the Letter of Announcement, in the order they are displayed in the process box, starting with Annex III. 

To upload the first requested annex (Annex III), click the corresponding "Upload" button.


Choose from the drop-down list the document type you would like to upload: the Annex itself (mandatory) or "Additional info". 

Then click "Add new attachment" to attach the document.  


Once the uploading finished, click "OK". 


After uploading all requested documents, click "Submit to EU" to submit the Annex. 

A notification will be sent to the Commission to inform that the annex has been submitted.

To complete the process, submit the remaining two annexes, following the steps described above: 

The submitted annexes will be added to the Process documents section.

Step 3: The Audit Contact submits observations on the Draft Audit Report (DAR) 

To come

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