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OR

Audit Preparation Checklist

Engagement Kickoff and PBC Setup

Confirm engagement letter and scope

Confirm fieldwork dates with the audit team

Load the PBC list into Suralink

Schedule the weekly PBC status call

Hard-Close the Books

Reconcile all bank and credit-card accounts

Tie A/R aging to GL receivables

Tie A/P aging and accrued expenses

Update fixed-asset and depreciation roll-forward

Post final adjusting journal entries

Lock the period in the GL

Lead Schedules and Workpapers

Build the working trial balance

Prepare lead schedules for each FS caption

Run analytical procedures on key balances

Compile contracts, leases, and debt agreements

Internal Controls and Risk

Update the ICFR control matrix

Document control changes since prior audit

Walk the auditor through changed controls

Pull SOC 1 reports for key service providers

Compliance, Tax, and Disclosures

Review tax provision and deferred balances

Flag uncertain tax positions for disclosure

Document UTPs with technical memos

Confirm sales-tax and payroll-tax filings

Draft the financial statement disclosures

Hand-Off to the Audit Team

Final review by the controller

Partner sign-off on the PBC package

Release the PBC binder to the auditor

Hold the audit kickoff meeting

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External Audit Preparation Checklist

Engagement Kickoff and Scoping

Confirm engagement letter and scope

Schedule the audit planning meeting

Assign internal PBC owners by area

Confirm prior-year audit adjustments are posted

Trial Balance and Financial Statement Lock

Hard-close the period and lock the trial balance

Reconcile every balance sheet account to a lead schedule

Post management adjusting journal entries

Draft the financial statements and footnotes

Compute and document materiality thresholds

Internal Controls Documentation

Refresh process narratives and walkthroughs

Update the key control matrix

Test key controls and document exceptions

Draft a remediation plan for control exceptions

Pull SOC 1 reports for material service providers

PBC Documentation and Workpapers

Upload bank, investment, and debt confirmations

Compile revenue, AR, and deferred revenue support

Compile inventory, fixed assets, and lease workpapers

Send the legal letter to outside counsel

Prepare the related-party and subsequent events memo

Fieldwork Logistics and Sign-Off

Set up the auditor workspace and system access

Hold the pre-fieldwork readiness review

Escalate outstanding PBC items to the CFO

Sign and return the management representation letter

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Financial Audit Checklist

Planning and Risk Assessment

Review prior-year workpapers and report

Hold the client kickoff and walkthrough

Confirm engagement type and independence

Set materiality and performance materiality

Send the PBC list to the controller

Internal Controls Evaluation

Walk through the revenue cycle

Walk through expenditure and payroll cycles

Test key controls for operating effectiveness

Decide on the audit approach

Expand substantive procedures for control gaps

Substantive Testing

Confirm cash balances with banks

Confirm A/R and test subsequent receipts

Observe physical inventory count

Test revenue recognition under ASC 606

Verify period-end cut-off

Evaluate accounting estimates

Compliance and Regulatory Review

Review tax provision and filings

Test loan covenant compliance

Obtain a waiver for any covenant breach

Review board minutes and major contracts

Send legal letters to outside counsel

Finalization and Reporting

Summarize uncorrected misstatements

Hold the partner review and clearing meeting

Obtain the management representation letter

Draft the audit report and management letter

Present findings to the audit committee

Issue the final report and archive workpapers

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Financial Statement Audit Checklist

Engagement Acceptance and Planning

Run independence and conflict checks

Decline or remediate the engagement

Execute the engagement letter

Send the PBC list to the client

Hold the planning meeting

Set materiality and performance materiality

Risk Assessment and Internal Controls

Document the entity and its environment

Walk through key transaction cycles

Evaluate ICFR design and implementation

Identify fraud risk factors

Assess the risk of material misstatement

Substantive Testing and Fieldwork

Tie the trial balance to lead schedules

Test cash and bank reconciliations

Confirm receivables with sampled customers

Test inventory existence and valuation

Test fixed-asset additions and depreciation

Test debt and covenant compliance

Perform extended substantive procedures

Review and Wrap-Up

Review subsequent events through report date

Evaluate going-concern indicators

Add the going-concern emphasis paragraph

Obtain the management representation letter

Complete partner and EQCR review

Reporting and Communication

Issue the auditor's report

Issue the SAS 115 management letter

Present findings to the audit committee

Archive workpapers per AU-C 230

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Internal Audit Preparation Checklist

Planning and Preliminary Review

Pull prior audit reports and open findings

Walk the process with the control owner

Set scope, objectives, and materiality

Issue the engagement letter

Build the audit plan and staffing

PBC Request and Evidence Gathering

Issue the PBC list to the auditee

Track PBC completion weekly

Pull system data extracts and tie to GL

Select the sample using IIA sampling guidance

Index the workpaper file

Fieldwork and Testing

Conduct walkthroughs of key controls

Test design and operating effectiveness

Perform substantive testing on balances

Log exceptions in the issues tracker

Hold the partner-level review of workpapers

Escalation for Material Weaknesses

Notify the CAE and audit committee chair

Assess fraud-risk and broader implications

Reporting and Follow-Up

Draft the audit report

Walk findings with the auditee

Finalize report with management responses

Present to the audit committee

Schedule remediation follow-up

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