Audit preparation checklist
A focused, operational checklist to run the week before any compliance audit, customer review or due diligence. Designed for SME teams without a dedicated audit function.
Why this matters
Audit failures rarely come from the data itself — they come from the team being unable to find or explain it under time pressure. This checklist removes that risk.
Who is concerned?
- Compliance, finance and operations teams.
- Quality and ESG leads owning the customer or auditor relationship.
Key operational implications
- Allow at least 5 working days to complete the full checklist.
- Assign one owner per section — not 'everyone'.
- Treat unchecked items as audit risks, not formalities.
Common mistakes
Preparing the day before
Most gaps need a supplier or a colleague to fix. That takes days, not hours.
Showing only the report
Auditors look at the working files. Have them ready.
Pre-audit preparation
- Audit scope confirmed in writing.
- Period under audit clearly defined.
- Single point of contact assigned on your side.
- Working room or shared folder prepared.
- Dry-run interview completed with the team.
Evidence readiness review
- All declarations for the period exported as PDFs and working files.
- Calculations available in their original format.
- Methodology version matching the period.
- Folder structure consistent and up to date.
- Modification history accessible.
Supplier documentation validation
- Supplier letters present for every relevant line.
- Each letter signed and dated within the period.
- Methodology stated by the supplier.
- Installation address documented.
- Any default values explicitly flagged.
Methodology validation
- Standards referenced.
- Boundary documented.
- Assumptions explicit.
- Reviewer named.
- Change log up to date.
Internal governance checks
- Owner per regulation is named.
- Sign-off process documented.
- Escalation path for issues defined.
- Recent management review minutes available.
What companies should do next
- Schedule a dry run of the audit interview.
- Pre-export your evidence pack.
- Brief everyone who might be in the room.
Mission17 can help with
Operational support
- One-click audit pack export per regulation and period.
- Pre-audit gap report with actions and owners.
- Versioned methodology and evidence ready to share.
Get operational
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