The Top 5 Communication Breakdowns During Audit Season (And How to Avoid Them)

Most audit delays don’t come from complex accounting issues.

They come from missed emails.

Unclear expectations.

Files uploaded to the wrong place.

Or a perfectly prepared report no one knew was finished.

In other words: the biggest audit issues are often communication issues.

Whether you’re part of the finance team or the audit firm, how you communicate during audit season makes or breaks the process.

Here are the top five communication breakdowns that stall audits—and what to do instead to keep everything moving forward.

1. The Silent Schedule Shift

The breakdown:

The auditor plans to start fieldwork Monday. The client thought they were starting next week. Now one side is scrambling.

How to avoid it:

• Confirm all deadlines and fieldwork start dates in writing

• Send a reminder the week before

• Use a shared calendar or audit timeline to track milestones

Pro tip: Build in calendar buffer days—both sides will thank you later.

2. The "I Didn't Know That Was Missing" Moment

The breakdown:

The client uploads everything. The auditor opens the folder—and half the key items aren’t there. But no one mentioned it.

How to avoid it:

• Use a PBC (Prepared By Client) checklist that tracks status

• Color-code or mark items as “Complete,” “Pending,” or “Needs Clarification”

• Schedule weekly or biweekly check-ins during fieldwork

Clarity = fewer follow-ups.

3. The Folder Free-for-All

The breakdown:

Files are uploaded, but no one knows which version is final. Spreadsheets have multiple names like “actual_final_v3_USETHISONE.”

How to avoid it:

• Create a standardized folder structure with clear naming conventions

• Include version numbers or dates in file names

• Archive drafts and move final documents to a clearly labeled “Final” folder

One shared structure = one source of truth.

4. The Last-Minute Surprise

The breakdown:

The auditor finds out about a new federal grant, a major asset purchase, or a fund change… two days before the report is due.

How to avoid it:

• Hold a pre-audit planning meeting to discuss all major changes

• Keep a running audit notes document throughout the year

• Encourage both sides to flag changes early—even if they seem small

No one likes a surprise—especially during wrap-up.

5. The Email Black Hole

The breakdown:

A key document was emailed last week. But it went to spam, got buried, or was sent to the wrong person. Now there’s a deadline risk.

How to avoid it:

• Use a shared drive or portal for all file exchanges

• Keep communication in a single thread when possible

• Confirm receipt of critical documents (especially final reports and drafts)

Audit files are too important to get lost in an inbox.

Bonus Tip: Say More, Not Less (But Keep It Simple)

Overcommunication beats undercommunication every time. Don’t assume people know:

• When something is ready

• Where a file is saved

• Who’s responsible for what

• What “done” looks like

If in doubt, spell it out.

Strong Audits Start with Strong Communication

Deadlines, disclosures, and double-checked tie-outs matter.

But so does every email, every meeting, and every shared folder.

✅ Confirm expectations
✅ Clarify ownership
✅ Follow up early
✅ Centralize your files
✅ Keep each other in the loop

Because audit success isn’t just about getting it right.
It’s about getting there together—with fewer surprises and a lot less stress.