# Plan for a regulatory exam or external audit with a request tracker

Builds a readiness plan for an upcoming exam or external audit, with a document request tracker, owners, and prep for interviews.

- Topic: Projects & Operations
- Framework: RTF
- Level: Standard
- Tags: Legal, Education, Analyze, Plan, Fill-in Template
- Source: https://www.thinkwithprompt.com/prompts/plan-for-a-regulatory-exam-or-external-audit-with-a-request-tracker

## Prompt

```text
Help me prepare my organization for an upcoming [regulatory exam / external audit / certification audit].

**Who is coming and what type:** [REGULATOR or audit firm, exam or audit type]
**Expected scope:** [AREAS, period under review]
**Dates:** [notification date, document deadline, onsite or fieldwork dates]
**Request list (if received):** [PASTE]
**Prior findings from the last review:** [SUMMARY and remediation status]
**Known weak spots:** [issues we already know about]
**Key contacts:** [ROLES for each area]

Produce:
1. **Timeline** - working back from fieldwork: kickoff, document collection, internal quality review, mock interviews, final checks.
2. **Request tracker** - columns: Request #, Description, Owner role, Source system, Internal due date, QA reviewer, Status, Notes. Pre-fill from my request list.
3. **Quality check** for documents before submission - complete, current, consistent with other submissions, approved versions, sensitive data redacted where allowed.
4. **Prior findings status** - evidence that each is closed and sustained, or an honest update if not.
5. **Self-identified issues** - how to present known weaknesses with remediation plans rather than wait for them to be found.
6. **Interview prep** - guidance for staff: answer truthfully, stick to what you know, it is fine to say you will follow up, do not guess.
7. **Daily logistics** - single point of contact, request logging, daily debrief.

Never coach anyone to mislead or hold back requested information.
```

## What to fill in

- regulatory exam / external audit / certification audit
- REGULATOR or audit firm, exam or audit type
- AREAS, period under review
- PASTE
- SUMMARY and remediation status
- issues we already know about
- ROLES for each area

Free to copy and use. From ThinkWithPrompt (https://www.thinkwithprompt.com/), a library of 2,663 curated AI prompts.