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Tax Consultation Appointment

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TAX CONSULTATION APPOINTMENT

This Tax Consultation Appointment ("Appointment") establishes the scope of tax advisory services to be provided and the terms under which the Client engages the Tax Advisor identified below. Acceptance of this Appointment is indicated by the signatures at the end of this document. The Tax Advisor will rely on the representations and documents provided by the Client and is not a substitute for independent verification of those matters.

Client Information

Client Name:

Tax Advisor / Firm Information

Appointment Details

Preferred Appointment Date:    Preferred Time:

Meeting Format:

Scope of Services

The Tax Advisor will provide professional consultation limited to the matters expressly described below. The engagement does not include preparation or filing of tax returns, representation in audits or appeals, or accounting/bookkeeping services, unless expressly agreed in writing.





Documents Required

The Client shall provide prior to the appointment all relevant documentation necessary for the Advisor to perform services, including but not limited to recent tax returns, income statements, bank statements, entity formation documents, and prior correspondence with tax authorities.

Fees and Billing

The Client agrees to pay fees as described below. Fees are due in accordance with the Payment Terms and may be adjusted if the scope of services changes.

Accepted payment methods:

Late payment policy: Fees unpaid after the due date shall incur interest at the lesser of 1.5% per month or the maximum permitted by applicable law, plus reasonable collection costs.

Cancellation & Rescheduling

Appointments cancelled less than days in advance may be subject to a cancellation fee equal to the lesser of the estimated fee or . Rescheduling requests are accommodated subject to Advisor availability.

Confidentiality and Data Use

The Advisor will maintain confidentiality of Client information in accordance with professional standards, except as required by law or where disclosure is necessary to perform the services. Client consents to the Advisor retaining copies of documents for the Advisor's records subject to applicable privacy obligations.

The Client authorizes the Advisor to contact third parties, including financial institutions and prior preparers, to obtain records necessary for the engagement.

Limitation of Liability; Governing Law

The Advisor's liability for claims arising out of this Appointment shall be limited to direct damages not to exceed the fees paid for the specific services giving rise to the claim. The Advisor shall not be liable for consequential, incidental, special or punitive damages. This Appointment shall be governed by the laws of the state of , without regard to conflict of law principles.

Client Representations & Acknowledgments

The Client represents that the information provided to the Advisor is truthful and complete to the best of the Client's knowledge. The Client acknowledges that the Advisor will not audit or independently verify information provided by the Client unless otherwise agreed in writing.

Acknowledgment

By signing below, the Client and the Advisor acknowledge and agree to the terms of this Tax Consultation Appointment and authorize the Advisor to proceed in reliance on the terms herein.

Client Name:

By:

Date:

Tax Advisor / Firm:

By:

Date:

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What a Tax Consultation Appointment Includes

A Tax Consultation Appointment is a documented meeting between a taxpayer and a tax professional to review tax status, exchange required records, discuss filing options, and outline engagement terms. The appointment record typically captures participant names, contact details, scope of services, preliminary tax positions, key dates, and any disclosures required under federal rules. It may also serve as an intake form guiding preparers through required documents, signature blocks, and consent to electronic delivery or e-signature. For businesses, the appointment record can be used to track recurring advisory services and follow-up actions.

Why a Clear Appointment Record Matters

A structured Tax Consultation Appointment clarifies expectations, preserves authorization for tax preparer access, documents client consent for e-delivery, and reduces errors during return preparation. It supports audit readiness by recording who provided what information and when.

Why a Clear Appointment Record Matters

Who Typically Completes a Tax Consultation Appointment

Professionals and clients use this form to capture intake information, verify identity, and document authorization before work begins.

  • Individual taxpayers who need preparer review and filing assistance, especially when collecting prior-year returns or third-party income statements.
  • Small business owners and sole proprietors providing bookkeeping summaries, payroll data, and expense documentation for tax planning.
  • Accounting firms or enrolled agents who require written client engagement details and consent for electronic communications.

Proper completion reduces follow-up, helps meet filing deadlines, and documents consent where electronic signatures or data sharing are used.

Core Sections to Include in the Appointment Record

A professional Tax Consultation Appointment organizes client and engagement details into clear sections so preparers can proceed efficiently and maintain compliant records.

Client Details

Full legal name, tax ID or SSN last four, mailing address, email, and primary phone number to match tax agency records and enable secure communications.

Engagement Scope

Define services such as return preparation, representation before IRS, tax planning, or bookkeeping. Specify tax years covered and any excluded services to avoid scope creep.

Document Checklist

List required items: prior-year returns, W-2s, 1099s, K-1s, bank statements, mortgage interest, and supporting receipts so both parties know delivery expectations.

Consent & Disclosures

Record client consent for electronic delivery, e-signature, data sharing with third parties, and required ESIGN consumer disclosures for consumer-facing transactions.

Fees & Billing

Specify estimated fees or billing method, retainer requirements, and acceptable payment options, including whether e-payments or payment links will be used.

Signatures & Dates

Include signature blocks for client and preparer with date fields; note who has authority to sign and whether witness or notarization will be required for specific authorizations.

Essential Information to Capture

Client Name: Full legal name
Tax Identifier: SSN/TIN last four
Contact Info: Phone and email
Tax Year(s): Specific years
Consent Status: E-delivery consent
Preparer ID: Firm name or PTIN

Step-by-Step: Completing the Appointment Before the Meeting

Follow these steps to prepare the appointment record, confirm identity, and share any preparatory documents securely.

  • 01
    Gather Documents: Collect prior returns, W-2s, 1099s, and receipts before the appointment.
  • 02
    Complete Intake: Fill client and engagement fields, verify contact info, and note any special issues.
  • 03
    Obtain Consent: Record ESIGN consumer disclosure and client consent for e-delivery or e-signature.
  • 04
    Confirm Appointment: Send confirmation with secure upload instructions and expected timeline.

Configuring an Online Appointment Workflow

Set up a digital workflow to collect intake, attach documents, capture consent, and route to preparer or reviewer automatically.

Field Configuration
Intake Form Required fields, conditional visibility for business vs individual
Document Upload Accepted formats PDF, DOCX, JPG; size limit and storage location
Authentication Email OTP or SMS code for signer verification
Routing Sequential routing to preparer then reviewer

Digital Signing and Submission: Platform Basics

Choose a platform that supports secure e-signatures, audit trails, and the document formats you accept.

  • File Formats: PDF, DOCX, and scanned images
  • Integrations: CRM and cloud storage integrations reduce manual uploads
  • Authentication: Email link, SMS OTP, or stronger methods as needed

Ensure the platform can produce an audit trail with timestamps and signer attribution to meet ESIGN/UETA legal tests and retain records securely.

Where the Appointment Record Goes After Completion

Document routing depends on internal processes; common destinations include secure client portals, preparer file systems, and document management archives.

  • Client Portal: Signed appointment is stored and client can upload supporting files.
  • Preparer Files: Form routes to preparer's case file for tax return preparation.
  • Billing System: Fee estimates and retainer info sync with invoicing.
  • Archive: Finalized record exported to long-term storage with audit metadata.

Timing Considerations and Common Deadlines

Appointments should be scheduled to allow timely collection of documents and to meet IRS and payer deadlines.

1040 Filing Date:

April 15 is the typical due date for individual returns

Extension Filing:

File Form 4868 by April 15 to extend the 1040 deadline

1099-NEC Recipient:

Issue by January 31 for nonemployee compensation

W-2 Delivery:

Provide employee copies by January 31

FBAR Deadline:

FinCEN 114 due April 15 with automatic extension to October 15

Common Mistakes to Avoid When Preparing the Appointment

  • Incomplete or inconsistent taxpayer names and TINs that trigger IRS matching failures and delay processing.
  • Missing ESIGN consumer disclosure or unverified consent for electronic delivery when dealing with consumer-facing engagements.
  • Failing to document the engagement scope, leading to confusion about what preparer services include and possible billing disputes.
  • Allowing unsecured file transfer of sensitive tax records instead of using encrypted portals or platform-native secure uploads.

Consequences of Incorrect or Incomplete Appointment Records

Information Return Penalties: Incorrect TINs can cause IRC §6721 fines for missing or wrong information returns.
Backup Withholding: Missing or incorrect TIN may trigger 24% backup withholding obligations.
Identity Verification Delays: Mismatched client data can prompt IRS identity verification and refund holds.
Privilege Issues: Poor documentation can affect tax advice privilege or representation claims.
HIPAA Exposure: Disclosing protected health information without requisite consent risks HIPAA violations when healthcare income is involved.
Billing Disputes: Unclear scope or fee terms may lead to client disputes and collection challenges.

Comparing eSignature Vendors for Appointment Workflows

Basic vendor comparisons help identify platform fit for secure intake, audit trails, and compliance needs; signNow appears first per vendor comparison guidelines.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial Yes, 7-day trial Yes (trial available) Yes (trial available) Yes (trial available) Yes (trial available)
Bulk Send Yes (Business Premium) Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No
Envelope Cap No limit 100 envelopes/user/year Varies by plan Varies by plan Varies by plan

Practical Appointment Scenarios

These short examples show how firms record intake details and use the appointment to streamline tax preparation.

Small Firm Intake

A boutique CPA firm conducts remote intake for an individual client using an online appointment form

  • The client uploaded W-2s and bank statements prior to the call
  • The preparer scheduled a follow-up to finalize estimated payments and documented consent for electronic delivery for audit support and tracking.

Business Owner Onboarding

An accounting firm collects bookkeeping summaries and prior returns before an initial consultation

  • The owner authorized access to cloud books and agreed to a monthly advisory scope
  • The firm recorded billing terms, obtained e-signature consent, and routed documents into the secure firm archive.

Frequently Asked Questions About Tax Consultation Appointments

Common questions cover identity verification, e-signature legality, required documents, and handling of sensitive information.


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