Due Diligence Compliance and Audit Preparedness Package

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Due Diligence Compliance & Audit Preparedness Pack

A Complete, Audit-Ready Documentation System for Paid Tax Preparers

If the IRS ever reviewed your file tomorrow…

Would your documentation clearly explain

why you made each filing and credit decision?

This is not just a checklist.

This is not just Form 8867.

And this is definitely not “ask a few questions and hope for the best.”

The Due Diligence Compliance & Audit Preparedness Pack is a fully built, real-world system designed to help tax preparers ask the right questions, document professional judgment, identify risk, and defend decisions if a return is ever questioned. Built for IRS audits, reasonable inquiry, and real-world enforcement.

✅ What’s Included (84 Pages Total)

Interview & Documentation Tools

• Over 200 targeted due diligence interview questions
• Due Diligence Summary Cover Page
• Client “What to Upload” Checklist
• Client Due Diligence Disclosure & Acknowledgment

Risk Management & Audit Defense

• Risk Scoring & Red-Flag Assessment
• Reasonable Inquiry & Follow-Up Log
• Inconsistency Resolution Worksheet
• Documentation Sufficiency Certification
• IRS Audit Response Quick Guide

Why This Pack Is Different

Asking the question is only the first step.

The IRS evaluates how you responded when answers didn’t align and whether your documentation supports the decisions made.

This system reflects how enforcement and audits actually work — not assumptions.

This pack is designed around how audits actually happen — not theory.

It helps you:

• Prove reasonable inquiry

• Explain professional judgment

• Show proportional response to risk

• Demonstrate enforcement when necessary

• Defend decisions without scrambling years later

Who This Is For:

✔ Paid tax preparers  

✔ PTIN holders  

✔ Virtual or seasonal tax offices  

✔ Firms training staff or contractors

If you prepare returns that require due diligence, this belongs in your workflow..

Professional Use & Responsibility

This product is provided for professional education and internal use.

It does not guarantee audit outcomes and does not replace

professional judgment or compliance responsibilities.

You will receive:

• Editable templates

• Downloadable files

• Customizable documents

For your business use only.

Not for resale, redistribution, or sharing as editable templates.

Asking more questions doesn’t protect you. Documenting the right questions — and your judgment — does.