Engagement Handover Process

The engagement handover process is Texas RE’s approach for communicating key engagement information to a registered entity before an Audit Notification Letter (ANL) becomes available in Align. The process supports transparency, establishes a shared understanding of the engagement scope, and provides an opportunity for the entity to ask clarifying questions before formal engagement activities begin.

This process applies to audits, spot-checks, and self-certifications. For audits and spot-checks, the process includes a pre-engagement handover call led by the Risk Lead. For self-certifications, the process is completed through a written email from the Risk Lead to the entity’s Primary Compliance Contact (PCC).

Handover Process for Audits and Spot-Checks

For audits and spot-checks, the Risk Lead schedules a handover call with the entity’s PCC a few days before the ANL becomes available in Align. Before the call, the Risk Lead shares handover materials with the PCC that identify the engagement scope and engagement objectives.

The engagement objectives identify the risk drivers associated with each requirement in scope and provide additional context for the areas the audit team may review during the engagement. This information explains why specific requirements were selected and how the scope aligns with identified risks and ERO priorities.

During the call, the Risk Lead summarizes the engagement scope, explains the rationale for scoping decisions, responds to entity questions, and clarifies scope-related information. The call also covers the engagement monitoring period, anticipated timelines, RFIs, and other engagement logistics. Questions regarding the entity’s Compliance Oversight Plan (COP) may also be addressed during the handover call. The Engagement Team Lead (ETL) also participates in the handover call to support the transition from risk-informed scoping to engagement execution.

Handover Process for Self-Certifications

For self-certification engagements, the Risk Lead sends an email to the entity’s PCC instead of a pre-engagement handover call. The email provides details on the self-certification scope, engagement start date, compliance monitoring period, and ETL contact information. The PCC may follow up with the ETL after receiving the email if additional clarification is needed.

Post-Handover Communications

After the handover call is completed, or after the self-certification handover email is sent, the ETL serves as the PCC’s primary point of contact for engagement-related questions. Questions about engagement logistics, RFIs, timelines, monitoring periods, or evidence expectations should be directed to the ETL unless otherwise instructed. Scope or risk-basis questions discussed during handover may also be routed through the ETL if follow-up is needed.