India Audit Lens
Manage appointment, predecessor communication, and governed letters
Use a Client Lifecycle appointment case to sequence professional communication, eligibility, appointment authority, resolutions, statutory filings, and the exact approved firm document versions used. A generic NOC…
By India Audit Lens product team · Updated 2026-08-28
Before you begin
Complete current client-profile KYC and the canonical Acceptance assessment. Create or select the service mandate. Confirm whether this is a first appointment, regular appointment, reappointment, takeover, casual vacancy, rotation successor, non-reappointment, removal, or regulatory appointment. Ask a Partner to approve the required firm document masters in Settings - Document templates. Verify current law and professional requirements for the entity and effective date before acting.
Record the appointment scenario
Select the scenario that reflects the governing facts:
Not applicable; first auditor of a non-government company; first auditor of a government company; regular AGM appointment; government-company annual appointment; reappointment; casual vacancy due to resignation; casual vacancy for another reason; government-company casual vacancy; rotation successor; non-reappointment; removal before expiry; Tribunal or regulatory appointment; or other, with a documented basis.
The scenario controls the required authority, chronology, filings, and evidence. Do not select a shorter route to avoid a blocked requirement.
Record professional communication with the previous auditor
For a change of auditor or takeover where communication is applicable:
Record the previous auditor or firm, address, contact details, and last period served. Use the approved Professional communication to previous auditor master. Record the communication date, delivery channel, registered-post or other delivery evidence, and retained receipt/reference. If needed, issue the approved follow-up after the firm's reasonable waiting period and retain its delivery evidence. Record the predecessor response, objections or concerns, unresolved matters, and the incoming firm's reasoned conclusion. A no-response conclusion must state the steps taken and basis; it is not…
The communication is a professional enquiry for reasons not to accept the appointment. Treat an incoming letter labelled NOC as evidence, not as the entire decision.
Evaluate appointment eligibility
Complete the written consent and eligibility or non-disqualification certificate requirements. Review independence, conflicts, prohibited services, appointment limits, tenure, rotation, network, common-partner, shared-brand, and control relationships. Enter tenure history with start/end dates and evidence, or explicit evidence that there is no prior tenure. Run the computed appointment evaluation. Resolve Insufficient information, Manual review, or Blocked results before proceeding.
The product computes the result from stored facts and versioned rules. A user cannot type a favourable conclusion over a failing rotation or eligibility rule.
Record the formal appointment
After the approval gate:
Enter auditor type - individual or firm - and the appointed auditor/firm identity. Record the appointing authority, resolution or appointment reference, resolution date, appointment date, and term start. Record the term number and the semantic AGM endpoint where applicable, rather than relying only on a free-text date. Attach the client-side appointment intimation/letter and the certified Board or general-meeting resolution extract, as applicable. Record the statutory filing requirement and due date. For ADT-1 where applicable, the configured workflow tracks a 15-day appointment filing…
Configured appointment scenarios also support first-auditor and government-company timelines, including the Board/member or CAG/Board/member branches, and casual-vacancy branches. Always review the displayed rule basis and current official requirement before relying on a computed date.
Generate and control letters
In the lifecycle case, choose the required document type. Select an Approved active master from the firm catalogue. Review merge fields and rendered content before finalising. Progress the lifecycle document through Draft, Final, Issued, Signed, or Received, as applicable. Preserve delivery, signature, receipt, and acknowledgement evidence.
At generation, the case stores the exact master version, rendered content, merge-field values, and hash. An approved master is immutable. If wording changes later, create and approve a new version; do not rewrite the evidence for a document already issued. Use Superseded only through the controlled replacement process.
Expected result
The service mandate has an evidence-backed predecessor conclusion, current eligibility result, formal appointment term, required resolution and filing records, governed letters, and a complete audit trail before activation.
Related guides
Govern client lifecycle document masters Evaluate statutory auditor rotation Manage compliance deadlines and recurring reminders