As an internal auditor, following up on your audit findings is one of the most critical aspects of your role. Not only does it ensure that the recommended actions are identified and implemented, but it also reinforces your credibility and builds trust with the auditee. However, writing a follow-up email can be a daunting task, especially if you’re not sure where to begin. That’s why we’ve put together an internal audit follow-up email sample to help you get started.
Whether you’re an experienced auditor or just starting, our follow-up email sample offers a simple, yet effective template for communicating your findings, recommendations, and next steps to the auditee. Plus, you’ll find examples of different types of emails, including overview emails, follow-up emails, and status update emails to assist you in your communication.
With our internal audit follow-up email sample, you can edit it as needed, and tailor it to your organization’s context and tone. We’ve taken care of the tough part – creating content that’s clear, informative, and follows a logical structure – so you can focus on fine-tuning it to meet your specific needs.
By using our proven sample, you can lessen the time and effort required to draft your follow-up email, freeing you up to focus on making a bigger impact in your organization. So, what are you waiting for? Check out our internal audit follow-up email sample and start taking your audit follow-up to the next level today!
The Perfect Structure for an Internal Audit Follow-Up Email
Internal audit follow-up emails are a crucial component of any organization’s quest to ensure that internal controls are in place, reduce risks, and identify weak areas that require remediation. But, to be effective, an internal audit follow-up email should be structured in a specific way that not only encourages immediate action but also instills accountability in those who must implement approved solutions. Here’s how you can structure the perfect internal audit follow-up email:
Subject Line
The subject line should be clear, concise, and related to the audit. This ensures that the recipient knows exactly what the email is about. In addition, the subject line should contain the audit reference number, which will help track responses and actions taken. For instance:
Follow-Up Action Request – Audit Ref #XYZ
Opening Greeting
The opening greeting is a critical component of the email, as it sets the tone for the entire message. It should be polite, professional, and addressed to the recipient by name. For example:
Dear John Smith,
Body Content
The body of the email should consist of the following components:
Introduction
The introduction should clearly state the purpose of the internal audit follow-up email. This should include a brief summary of the audit and any previous correspondence that has taken place.
Status Update
The next section should provide a status update on the findings of the audit. This includes identifying any areas that require remediation, outlining the approved solutions, and noting any progress made since the previous audit report.
Action Required
In this section, clearly and concisely state the required action that must be taken. This includes the specific steps that the recipient must take, the deadline for taking these steps, and any supporting documentation that is required. It is important to be as detailed as possible to ensure that there is no confusion regarding what needs to be done.
Response Required
The closing of the email should make it clear that a response is required, outlining what is specifically required in the response. This can be an email response to acknowledge receipt of the audit follow-up email, or it may be a detailed response that outlines the planned remediation.
Closing
The closing should be polite and professional and should thank the recipient for their attention to the matter. It should also provide contact details for follow-up queries if needed.
Example:
Thank you for your attention to this matter and for your prompt response. If you have any further questions or require additional information, please do not hesitate to contact me via email or by phone at (777)-777-7777.
Best regards,
Your Name
By following this structure, your internal audit follow-up emails will be direct, clear, and effective in ensuring accountability and compliance with the organization’s internal audit procedures.
7 Sample Internal Audit Follow-Up Email Samples
Follow-Up on Employee Training Recommendation
Dear [Employee Name],
I hope this message finds you well. I am following up on the recommendation made during our internal audit regarding the need for employee training. While we understand that you and your team are busy with daily operations, we believe that relevant training can help enhance your abilities and contribute to the growth of the organization.
We encourage you to reach out to the Human Resource department to schedule a training session. Alternatively, we can provide the necessary resources and materials for in-house training sessions.
Please let us know your preferred approach, and we will work with you to ensure that your team receives the necessary training.
Thank you for your attention to this matter. We appreciate your contribution to the organization.
Best regards,
[Your Name]
Follow-Up on Information Security Recommendation
Dear [Employee Name],
I hope this message finds you well. I am following up on the recommendation made during our internal audit regarding information security. As you know, information security is critical to the success of our organization, and we all play a vital role in ensuring that we maintain a secure environment.
During the audit, we identified some areas where improvements are required, including access control, password management, and data privacy. We strongly encourage you to take the necessary steps to address the issues identified and improve our overall security posture.
If you require any assistance, please do not hesitate to contact the IT department, who will be more than happy to provide support.
Thank you for your attention to this matter. We appreciate your commitment to keeping our organization safe.
Best regards,
[Your Name]
Follow-Up on Asset Management Recommendation
Dear [Employee Name],
I hope this message finds you well. I am following up on the recommendation made during our internal audit regarding asset management. As you know, proper asset management is critical to the success of our organization, and we all play a vital role in ensuring that we maintain an accurate inventory of our assets.
During the audit, we identified some gaps in your team’s asset management practices, including poor record-keeping and lack of accurate asset tagging. We strongly encourage you to take the necessary steps to address the issues identified and improve our overall asset management.
If you require any assistance, please do not hesitate to contact the asset management team, who will be more than happy to provide support.
Thank you for your attention to this matter. We appreciate your commitment to maintaining the integrity of our assets.
Best regards,
[Your Name]
Follow-Up on Quality Assurance Recommendation
Dear [Employee Name],
I hope this message finds you well. I am following up on the recommendation made during our internal audit regarding quality assurance. As you know, maintaining high-quality standards is critical to the success of our organization, and we all play a vital role in ensuring that we maintain excellence in everything we do.
During the audit, we identified some gaps in your team’s quality assurance practices, including lack of proper documentation and inadequate testing procedures. We strongly encourage you to take the necessary steps to address the issues identified and improve our overall quality assurance.
If you require any assistance, please do not hesitate to contact the quality assurance team, who will be more than happy to provide support.
Thank you for your attention to this matter. We appreciate your commitment to maintaining high-quality standards.
Best regards,
[Your Name]
Follow-Up on Compliance Recommendation
Dear [Employee Name],
I hope this message finds you well. I am following up on the recommendation made during our internal audit regarding compliance. As you know, compliance is critical to the success of our organization, and we all play a vital role in ensuring that we maintain a compliant environment.
During the audit, we identified some gaps in your team’s compliance practices, including lack of proper documentation and inadequate adherence to regulatory requirements. We strongly encourage you to take the necessary steps to address the issues identified and improve our overall compliance.
If you require any assistance, please do not hesitate to contact the compliance team, who will be more than happy to provide support.
Thank you for your attention to this matter. We appreciate your commitment to maintaining a compliant environment.
Best regards,
[Your Name]
Follow-Up on Financial Reporting Recommendation
Dear [Employee Name],
I hope this message finds you well. I am following up on the recommendation made during our internal audit regarding financial reporting. As you know, accurate financial reporting is critical to the success of our organization, and we all play a vital role in ensuring that we maintain accurate records.
During the audit, we identified some gaps in your team’s financial reporting practices, including lack of proper documentation and inadequate adherence to accounting standards. We strongly encourage you to take the necessary steps to address the issues identified and improve our overall financial reporting.
If you require any assistance, please do not hesitate to contact the finance team, who will be more than happy to provide support.
Thank you for your attention to this matter. We appreciate your commitment to maintaining accurate financial records.
Best regards,
[Your Name]
Follow-Up on Human Resources Recommendation
Dear [Employee Name],
I hope this message finds you well. I am following up on the recommendation made during our internal audit regarding human resources. As you know, human resources are critical to the success of our organization, and we all play a vital role in ensuring that we maintain a productive and motivated workforce.
During the audit, we identified some gaps in your team’s human resources practices, including lack of proper documentation and inadequate adherence to employment laws. We strongly encourage you to take the necessary steps to address the issues identified and improve our overall human resources management.
If you require any assistance, please do not hesitate to contact the human resources team, who will be more than happy to provide support.
Thank you for your attention to this matter. We appreciate your commitment to maintaining a productive and motivated workforce.
Best regards,
[Your Name]
Tips for Writing an Effective Internal Audit Follow-up Email Sample
Internal auditing is an essential function that ensures businesses comply with regulations and standards. It is also an opportunity for organizations to optimize their processes and systems. After conducting an internal audit, the auditor writes a report of their findings and recommendations. It is then the responsibility of management to implement these recommendations. The auditor follows up on the implementation of their recommendations through a follow-up email or report. Here are some tips for writing an effective internal audit follow-up email sample:
- Be clear and concise: Ensure the email is easy to read and understand. Use bullet points and short paragraphs to emphasize key points. Avoid using technical jargon or acronyms that may confuse the reader. Provide enough detail to support your findings and recommendations.
- Address the recipient correctly: Address the email to the person responsible for implementing the recommendations. Use their title and name if possible.
- Reference the audit report: Mention the audit report and the date it was issued. This helps the recipient know which audit report the follow-up email is referring to.
- Outline the recommendations: List the recommendations made in the audit report. Include a brief summary of each recommendation and the timeline for implementation.
- Ask for an update on progress: Request the recipient to provide an update on the progress made in implementing the recommendations. This will demonstrate the importance of the recommendations and the monitoring process.
- Provide assistance: Offer assistance if needed to implement the recommendations. This shows the auditor’s commitment to helping the organization improve.
- State the consequences of non-compliance: Mention the consequences of non-compliance with regulations and standards. This will motivate the recipient to take action and implement the recommendations.
- Follow up: Schedule a follow-up meeting or email to review the progress made. This will help ensure that the recommendations are implemented and that improvements are achieved.
In conclusion, an internal audit follow-up email sample should be clear, concise, and emphasize the key recommendations made in the audit report. It should also request an update on progress, offer assistance, and state the consequences of non-compliance. By following these tips, the auditor can significantly increase the chances of the recommendations being implemented and the organization achieving its compliance and optimization goals.
Internal Audit Follow-up Email Sample FAQs
What is an internal audit follow-up email sample?
An internal audit follow-up email sample is a template that outlines the key elements required in a follow-up email to internal audit stakeholders after an audit has been conducted.
Why do I need an internal audit follow-up email sample?
You need an internal audit follow-up email sample to ensure that you communicate effectively with all stakeholders and provide them with the necessary information and updates about the audit process.
What should be included in an internal audit follow-up email?
An internal audit follow-up email should include a summary of the audit process, the status of any action items, and a timeline for completion. It should also include any important findings or recommendations that were identified during the audit and any other relevant information.
How do I create an effective internal audit follow-up email?
To create an effective internal audit follow-up email, you need to understand the stakeholder’s needs, clearly define the purpose of the email, provide a concise summary of the audit findings, and provide specific action items and timelines for completion.
What are some common mistakes to avoid when sending an internal audit follow-up email?
Common mistakes to avoid when sending an internal audit follow-up email include sending the email to the wrong audience, failing to clearly communicate the purpose of the email, providing incomplete or unclear information, and not following up on action items or deadlines.
What is the role of the internal auditor in the follow-up process?
The internal auditor plays a critical role in the follow-up process by ensuring that stakeholders receive the necessary information about the audit process, providing regular updates on the status of any action items, and helping to address any issues that arise during the process.
How do I ensure that all stakeholders receive the internal audit follow-up email?
To ensure that all stakeholders receive the internal audit follow-up email, you should clearly define the distribution list, verify contact information, and follow up with any stakeholders who do not respond or acknowledge receipt of the email.
Thanks for Checking out Our Internal Audit Follow-up Email Sample!
We hope our article has been helpful to you in crafting an effective follow-up email for your internal audit process. Remember, communication is key in any successful audit, and following up after the initial report is a crucial step. If you ever need additional help or resources, be sure to visit our website again in the future. Thanks again for reading, and good luck on your next audit!