Document list and client portal in the audit

Last updated: October 2026 · fastview ag, Suhr

Professionally responsible: Marco Zanetti and Reto Ackermann, fiduciaries and certified auditors, fastview ag

For every audit, the auditor needs documents and information from the client: bank statements, contracts, inventory lists, answers to questions. In the audit software pruvia you compile this list per engagement, send it via the client portal and file incoming items as evidence in the appropriate audit area.

Why a structured document list

A list by e-mail or Word document has two weaknesses: the status is visible only in mailboxes, and incoming files have to be assigned to the audit areas by hand. If the assignment is fixed when the request is made, every document knows where it belongs on arrival, and the status can be read off per item.

Requesting documents and questions

You find the request under “Documents / Requests”. The process has three steps: “Recipients”, “Requests” and “Dispatch”.

1. Choose recipients. One or more recipients at the client. Each receives their own access.
2. Record items. With “+ Item” you create a document (e.g. “Bank statements as at the balance sheet date (all accounts)”) or a question with a text answer. The audit area is mandatory; it is where the evidence is filed in the leadsheet; you can choose from the audit areas and the permanent files. The account is optional; the imported accounts of the chosen audit area are offered. pruvia saves the draft per file until dispatch.
3. Set deadline and reminder, send. “Submit by” applies to all items and recipients and appears in the e-mail and in the portal. Anyone working as an administrator can save deadline and reminder rule as the default with “Remember as default”.

You request documents from a sample directly from the sample list: “Request documents for N open items” creates one item per sample item with date, account, amount and entry description.

Deadline and reminders

Automatic reminders are switched off by default for the firm. They are switched on under “Activities / Reminders” with the switch “Automatic reminders to clients with open items”. A separate rule then applies to each dispatch; the default is:

• first reminder 7 days after sending, then every 5 days;
• sent on working days (if a date falls on a Saturday or Sunday, it moves to Monday);
• from the 3rd reminder, a copy goes to the engagement lead (escalation, can be switched off);
• the reminders end when all items have been submitted, not when the deadline expires.

The reminder e-mail states the deadline, the status (“X of Y items submitted”) and the open points. Independently of the automation, you can choose “Send reminder now” or “Chase missing items now” at any time and pause reminders.

What the client sees

The client receives an e-mail with a link. On opening, they request a six-digit one-time code, which arrives by e-mail and is valid for ten minutes; after five failed attempts, the code is blocked. They need no account or password. The link is valid for 30 days and is restricted to the one engagement.

In the portal, the client drags files directly onto the respective item (up to 15 MB per file), answers questions in the text field and can attach further documents without reference to an item. They can save interim progress and also submit partially. On the first submission, the engagement lead receives an e-mail.

Transferring and filing incoming items

The status per dispatch is visible as a chain: sent, opened, reminder, submitted or partially submitted, transferred. Submitted files appear under “Received”. The target is pre-filled with the item’s audit area and can be changed. With “→ Leadsheet” the file is filed as evidence in the audit area, with the account if one was chosen; with “→ Permanent file” it goes into the permanent file. You transfer answers to questions into the leadsheet as a separate audit procedure “Client question: …”. Several incoming items can be filed in one step with “transfer all”. Once the document is in the audit area, the AI can prepare the audit procedure on it, for instance check whether the balance matches the document; see AI and automation in the audit.

An item counts as completed as soon as a file or answer is present. Whether the document is sufficient in substance is for you to assess on transfer and in the audit area.

What the auditor decides

• which documents and questions are requested; pruvia does not prescribe a standard list;
• the deadline, whether and how often reminders are sent, and whether the engagement lead receives a copy;
• whether an incoming item is sufficient and in which audit area it sits as evidence.

Frequently asked questions

Does the client need an account?

No. They open the link from the e-mail and sign in with a one-time code that they receive by e-mail. The link is valid for 30 days, the code for ten minutes.

Is there a standard document list?

No. You record the items yourself, each as a document or question, and assign each to an audit area or the permanent file. pruvia saves the draft until dispatch.

Are reminders switched on automatically?

No. Automatic reminders are off by default in the firm. When switched on, the rule per dispatch is: first reminder after 7 days, then every 5 days, on working days, until everything has been submitted.

Where do the uploaded files go?

They appear under “Received” with the item’s audit area as the proposed target. With “→ Leadsheet” you file the file as evidence in the audit area, with “→ Permanent file” in the permanent file.

Which files can the client upload?

Any file types up to 15 MB per file. Answers to questions can be up to 4000 characters long.

Can I request documents for a sample?

Yes. In the sample list, “Request documents for N open items” creates one item per sample item with date, account, amount and entry description, which you then send like any request.

Try pruvia

The system tour shows pruvia with sample data, without registration. For questions about your audit firm, book an online demo.

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