This EBPAQC tool is designed to help firms inventory ERISA audit clients and schedule and staff for their ERISA audit engagements. It is in Excel format and allows firms to document:
The scope of the audit
The estimated field work start date
The estimated due date
Whether the engagement requires a second partner or other additional review
Whether it requires an 11-K filing with the SEC
The names of the third-party administrator, custodian/trustee, and partners and staff members assigned to the engagement