Step 1 of 5: Identity
SEC Filings & Disclosure
Governance, audit committee & PCAOBEvaluate, review, approve, and record auditor registration and report-eligibility evidence.
Basis: Audit and assurance
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
5 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 5
ScreenSEC › SEC Workflows › PCAOB auditor eligibility assessmentstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Registrant CIK (required)
cikEnter registrant cik. An example value is "0001234567".
Step 2 of 5
ScreenSEC › SEC Workflows › PCAOB auditor eligibility assessmentstep 2
Complete the Firm fields. Each value is validated against the schema before the next step unlocks.
Audit firm (required)
auditFirmNameEnter audit firm.
PCAOB firm ID (required)
pcaobFirmIdEnter pcaob firm id.
PCAOB registration status (required)
registrationStatusEnter pcaob registration status.
Registration verified on (required)
registrationVerifiedAtEnter registration verified on.
Verification source (required)
verificationSourceEnter verification source.
Step 3 of 5
ScreenSEC › SEC Workflows › PCAOB auditor eligibility assessmentstep 3
Complete the Inspection fields. Each value is validated against the schema before the next step unlocks.
Last PCAOB inspectionoptional
lastInspectionAtEnter last pcaob inspection.
Inspection reported Part I findingsoptional
inspectionHadPart1FindingsEnter inspection reported part i findings.
Step 4 of 5
ScreenSEC › SEC Workflows › PCAOB auditor eligibility assessmentstep 4
Complete the Engagement fields. Each value is validated against the schema before the next step unlocks.
Fiscal year audited (required)
fiscalYearEnter fiscal year audited.
Audit report dateoptional
auditReportDateEnter audit report date.
Step 5 of 5
ScreenSEC › SEC Workflows › PCAOB auditor eligibility assessmentstep 5
No manual input is captured here: this step is completed from the preceding sections or by the platform.
No manual inputs in this step.
Continue with the next guide in this framework's table of contents.
Record dated committee composition, derive independence and financial-expert facts, link controlling SOX evidence, obtain separated approval, and preserve the reviewed disclosure assessment.
Read guide Governance, audit committee & PCAOBEvaluate, review, approve, and record auditor independence, fee, tenure, and audit-committee evidence.
Read guide Governance, audit committee & PCAOBDocument the approved restatement trigger, covered executives and compensation, recovery calculation, recovery or permitted impracticability evidence, annual-report disclosures, and governance approval without substituting a score for the issuer's determination.
Read guide