Give clients a structured way to request audit preparation help. This form captures audit type, organization type, scheduled date, available documents, and areas of concern — so your team can assess readiness and respond with a targeted preparation plan.
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An audit preparation request form is the intake gateway for one of the highest-stakes accounting engagements a firm handles. Audits create significant anxiety for clients, and the first structured conversation can set the tone for the entire process. By gathering audit type, timeline, document readiness, and known concerns before the first call, your team can walk into the engagement already understanding the risk profile.
The document availability checklist is particularly valuable — it gives clients a concrete preview of what an auditor will request and helps your preparation team identify gaps immediately. A client who checks only two of eight document categories needs a very different preparation plan than one who has everything organized; knowing this before the kick-off call means you can scope accurately and set expectations honestly.
formformform lets you embed this form on your audit services page or share it directly when a client calls in a panic after receiving an audit notice. The instant email notification means your team can assess urgency from the audit date field and prioritize accordingly — a client with a financial statement audit in three weeks needs a different response than one exploring annual internal audit services.
Use your own copy to change labels, remove questions and add the details you need. Try the preview alongside this guide to see what respondents will be asked.
Review the starting questions and choices. You can change them in your own copy.
Acme Foundation
Jane Smith
jane@acme.org
(555) 123-4567
E.g., full financial statement review, specific grant period, IRS notice for tax year 2022…
E.g., incomplete records, prior audit findings, recent staff turnover in accounting, recent system migration…
Suggested uses, and why this starting point can help. Adapt the questions to your own process.
Use this as a starting point when you need the same essential information from each person. Review the questions against your process before sharing your copy. Review “Type of Audit” in particular and adapt it to the detail you need.
Give people a straightforward way to get involved, while collecting the context needed to coordinate the work and follow up. Review “Organization Type” in particular and adapt it to the detail you need.
Use this as a starting point when you need the same essential information from each person. Review the questions against your process before sharing your copy. Review “Scheduled Audit Date (if known)” in particular and adapt it to the detail you need.
Used by organizations commissioning an internal audit to describe process areas, prior audit findings, and specific control concerns for the audit scope.
Collects grantor agency, grant period, allowable cost categories, and financial reports previously submitted for organizations facing a programmatic grant audit.
Ask for the context needed to understand the request before replying. This reduces the back-and-forth needed to establish the basic facts. Review “Scope of Audit or Areas Being Examined” in particular and adapt it to the detail you need.
Give people a straightforward way to get involved, while collecting the context needed to coordinate the work and follow up. Review “Specific Concerns or Areas of Weakness” in particular and adapt it to the detail you need.
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Customize the audit type dropdown to remove types your firm doesn't support or add niche audit categories.
Set your team's notification email so urgent pre-audit requests reach the right person immediately.
Add a paragraph with your typical response time and any upfront information clients should gather.
Embed on your audit services page or share as a direct link when clients contact you about an upcoming audit.
Use the audit date field to triage responses — prioritize clients with imminent audit dates.
unresolved findings from a prior cycle are the most common source of repeat audit issues and significantly affect preparation scope.
many clients receive informal advance notice and don't yet have a formal date; requiring it creates friction.
it educates clients about what auditors need and often motivates them to start organizing before the first meeting.
a workers' comp audit has entirely different preparation needs than a financial statement audit; misclassification wastes time for both sides.
switching accounting software mid-year is one of the most common causes of audit complications; surfacing it early allows preparation.
clients under audit pressure need to know exactly when they'll hear from you and what the preparation process looks like.
Gathers Form 990 data, grant schedules, board minutes, and prior audit findings from nonprofits preparing for their required annual audit.
Helps individuals and businesses document income, expenses, and substantiation for specific line items flagged in an IRS examination notice.
Captures federal expenditure data, grant agreement terms, and subrecipient monitoring documentation for organizations subject to the Single Audit requirement.
Used by organizations commissioning an internal audit to describe process areas, prior audit findings, and specific control concerns for the audit scope.
Collects grantor agency, grant period, allowable cost categories, and financial reports previously submitted for organizations facing a programmatic grant audit.
Captures payroll by job class code, independent contractor payments, and subcontractor certificates of insurance for workers' comp premium audit preparation.
Gathers nexus states, sales channels, exemption certificate management practices, and periods under audit from businesses facing a state sales tax examination.
Collects HIPAA compliance documentation, billing and coding review scope, and Medicare/Medicaid cost report data from healthcare providers under audit.
Gathers work-in-progress schedules, subcontractor documentation, retainage accounting, and bonding requirements from contractors facing financial statement audits.
Designed for organizations facing their first audit, asking what prompted it, what records they have, and what specific concerns they'd like help addressing.
Focused on organizations with repeat findings, capturing the specific conditions cited, management responses made, and corrective actions taken since the last audit.
Collects Title I and federal program expenditure data, student record documentation, and financial aid compliance materials for school district audits.
Gathers reserve fund documentation, special assessment records, and governing document compliance information for homeowner association annual audits.
Captures investor reporting requirements, intercompany transaction details, and purchase accounting schedules from PE-backed companies undergoing year-end audits.
It's an intake form for organizations seeking professional help preparing for an upcoming audit. It captures the audit type, timeline, available documents, and areas of concern so the accounting firm can assess the situation and propose a preparation plan.
The default template covers financial statement audits, tax audits, internal audits, grant compliance audits, government/single audits, workers' compensation audits, and sales tax audits. You can customize the dropdown to add or remove types.
Yes — the organization type dropdown includes nonprofits, and the document checklist includes grant agreements and board minutes relevant to nonprofit audit preparation. Many nonprofits are required to have annual audits above certain revenue thresholds.
The audit date field is optional for exactly this reason. Clients who've received an informal notice or are preparing proactively can still complete the form without a confirmed date.
Sort by audit date first — clients with an audit within 30 days need immediate attention. Then segment by audit type to route nonprofit grant audits to your grant compliance specialist and tax audits to your tax team.
Onboard new accounting clients with entity type, services, and goals.
Let prospects request a CPA consultation with topic, urgency, and context.
Request balance sheets, income statements, or cash flow statements.
Gather income, deductions, and life changes from tax clients before prep.
Qualify bookkeeping prospects with industry, volume, and budget questions.
Collect mortgage inquiries for home purchases and refinances.
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