Archived 2009 Team Captain Checklists 


    In performing peer reviews, review teams must complete all relevant programs and checklists issued by the AICPA Peer Review Board in a professional manner. Failure to do so may create a presumption that the review has not been performed in conformity with the standards governing the program.

    If you would like to email the firm the Engagement Profile, we have provided files containing only the Engagement Profiles.  In these files, the checklist section number and title are included in the header of the document.  A “P” has been added to the checklist section number to differentiate between these files and the regular checklists. In addition, various other forms have been provided, without the instructions, for your convenience.

    Download Engagement Profiles and Other Materials

    PRP Section 4000—System Reviews
    4000 System Reviews - Table of Contents
    4100 Instructions to Firms Having a System Review
    4200 Instructions to Reviewers Performing System Reviews
    4250 Examples of Deficiencies and Case Studies on Writing Deficiencies on System Reviews
    4300 Quality Control Policies and Procedures Documentation Questionnaire for a Sole Practitioner With No Personnel
    4400 Quality Control Policies and Procedures Documentation Questionnaire for Firms With Two or More Personnel
    4500 Guidelines for Review of Quality Control Policies and Procedures for a Sole Practitioner With No Personnel
    4600 Guidelines for Review of Quality Control Policies and Procedures for Firms With Two or More Personnel
    4700 Staff Interview Questionnaire
    4750 Managing Partner/Chief Executive Officer Interview
    4800 Summary Review Memorandum
    4900 Updated Team Captain Checklists
    4950a Instructions for Use of Matter for Further Consideration (MFC) Forms for System Reviews
    4950b Matter for Further Consideration (MFC) Form for System Reviews
    4960a Instructions for Use of Findings for Further Consideration (FFC) Forms for System Reviews
    4960b Findings for Further Consideration (FFC) Form for System Reviews

    PRP Section 5000—System Reviews of Firms Closely Aligned With Non-CPA Owned Entities
     
    5000 System Reviews of Firms Closely Aligned With Non-CPA Owned Entities-Table of Contents
    5100 Quality Control Policies and Procedures Documentation Questionnaire Supplement for Non-CPA Owned Entities Closely Aligned With a CPA Firm
    5200 Supplemental Guidelines for Review of Quality Control Policies and Procedures for Non-CPA Owned Entities Closely Aligned With a CPA Firm
    5300 Staff Interview Questionnaire for Non-CPA Owned Entities Closely Aligned With a CPA Firm

    PRP Section 20,000—Peer Review Engagement Checklists-System Reviews
     
    20,100 Instructions for Use of Peer Review Engagement Checklists
    20,200 Updated General Compilation Engagement Checklist
    20,300 Updated General Review Engagement Checklist
    20,400 Updated General Audit Engagement Checklist
    20,500 Updated Governmental Audit Engagement Checklist
    20,600 Updated Not-for-Profit Audit Engagement Checklist
    20,700 Updated Employee Benefit Plan Audit Engagement Checklist
    20,800 Updated Prospective Financial Statement Engagement Checklist
    20,900 Agreed-Upon Procedures Engagement Checklist
    21,000 Other Attestation Engagement Checklist
     
    22,000 Engagement Checklist Supplements—
    System Reviews
    22,010 Updated Supplemental Checklist for Review of Banks and Savings Institutions Audit Engagements
    22,040 Updated Supplemental Checklist for Review of Construction Contractor Engagements
    22,060 Updated Supplemental Checklist for Review of Common Interest Realty Associations
    22,070 Updated Supplemental Checklist for Review of Engagements of Health Care Organizations
    22,080 Supplemental Checklist for Review of Audits of For-Profit Housing and Urban Development (HUD) Engagements
    22,090

    Updated Supplemental Checklist for Review of Personal Financial Statement Engagements

    22,100A New Part A Supplemental Checklist for Review of Single Audit Act/A-133 Engagements
    22,100B New Part B Supplemental Checklist for Review of Single Audit Act/A-133 Engagements
    22,110 Supplemental Checklist for Review of Audit Engagements Performed in Accordance With Government Auditing Standards (Yellow Book) July 2007 Revision
    22,120 Supplemental Checklist for Review of Agreed Upon Procedures and Other Attestation Engagements Performed in Accordance With Government Auditing Standards (Yellow Book) July 2007 Revision
    22,300 Updated Financial Reporting and Disclosure Checklist

    Updated Download All Team Captain Checklists/Documents

    Failure to complete all relevant programs and checklists in a professional manner creates the presumption that the review has not been performed in conformity with the Standards for Performing and Reporting on Peer Reviews (Standards). Go to the Standards.




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