Submittal Format for a CPA Audit Report
The following documents must be submitted in separate PDF’s labeled as noted below:
| Document | Description |
|---|---|
| 1 | CPA’s Indirect Cost Rate Report |
| 2 | Certification of Final Indirect Costs |
| 3 | Overhead Audit Report |
| 4 | Internal Control Report |
| 5 |
Completed AASHTO Internal Control Questionnaire (ICQ fillable PDF) |
| 6 |
National Compensation Matrix (NCM) Compensation analysis of executives (By surveys, TxDOT requires 3 surveys, or by the new NCM. If by survey, TxDOT requires three surveys, and copies of the three surveys must be attached. Magazine or newspaper surveys, free Internet surveys and General Services Administration (GSA) schedules are not acceptable. You must follow FAR 31.205-6 and the procedure described in Section 7.5.C. Compensation analysis must be signed and dated by an Officer of the Company. |
| 7 |
Trial Balance (May request copy of Detail General Ledger) |
| 8 |
Organization Chart |
| 9 |
Chart of Accounts |
| 10 | Depreciation Schedule (Method of depreciation used by firm and copy of the depreciation list of all assets. |
| 11 | Bonuses Paid (List of bonuses paid by name or id number, calculation and amount) |
| 12 | Written Bonus plan. (Follow outline in AASHTO Audit Guide Ch.7.11) |
| 13 | Audited Financial Statements (if any) |
The following documents must also be submitted as separate files in Excel format labeled as noted below:
| Document | Description |
|---|---|
| 1 | CPA’s Indirect Cost Rate Report (Schedule) |
| 7 | Trial Balance |
| 10 | Depreciation Schedule |
| 11 | Bonuses Paid |
Submittal
All Administrative Qualification (AQ) packets must be submitted via email; we are no longer accepting mailed AQ packets. Please submit the cost report with all documents to: PEPS_Admin_Quals@txdot.gov.
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Revised: April 15, 2020
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