Forms to Complete for Desk Inspections
Important Note: The forms below should be completed only after you have received a communication confirming the date of your inspection.
Forms and other information to be completed before the desk inspection occurs and submitted, along with your engagement files selected for inspection, to CPA Ontario:
- Quality Control Questionnaire
- Quality Control Manual, along with the most recent annual and cyclical quality control monitoring reports. During the course of the inspection, the inspector may request additional information or documentation with respect to quality controls, including a sample of independence confirmations and performance appraisals.
- Continuing Professional Development (CPD) logs for each assurance practitioner/partner for the three most recent calendar years. For verifiable CPD activities, provide the date, course name, the name of the course provider or sponsoring organization and the number of hours attended.
Forms to be completed after the inspection has occurred:
- Action Plan: Template for use when responding to any reportable deficiencies raised in your practice inspection report. If no reportable deficiencies have been raised, this form should not be completed. If applicable, please submit the Action Plan to the Practice Inspection team.
- Survey of Offices Inspected: We encourage offices to complete this online Survey to provide feedback on the inspection process and Professional Advisory Services offered by CPA Ontario. Your feedback is important in helping us consider where improvements might be made to these programs.