PRIMA Training for Enrolled Firms
and Peer Reviewers
Tracy Peterson, CPA
Manager – Peer Review Program
Housekeeping Notes
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• Panelists will attempt to answer as many questions as possible. We
will also pause briefly between sections to answer questions.
2
Agenda
• PRIMA Overview
• PRIMA
–
General Navigation
–
Peer Review Information (PRI) Process
–
Scheduling (SCH) Process
–
Review (RVW) Process
–
Corrective Actions (COA) Process
–
Resume Updates
• Questions
3
PRIMA Overview
Most Significant Changes from PRISM for Firms and Peer Reviewers
• Firms and Peer Reviewers will receive email notifications to log into PRIMA to view/perform
work, letters, etc.
• Firms (Peer Review Contact) complete peer review information requests (PRI) and scheduling
information (SCH) online
• Firms undergoing an engagement review, will complete their Engagement Summary Form
online (or submit to Review Captain to complete)
• For firms undergoing a system review, their Team Captain will enter the population of
engagements online (or submit to firm to complete)
• Findings for Further Consideration (FFCs) are completed electronically like Matters for Further
Consideration (MFCs)
5
Most Significant Changes from PRISM for Firms and Peer Reviewers
(Continued)
• A recommended report rating will generate for engagement reviews based upon the number of
non-conforming engagements
• Letters to acknowledge corrective actions and implementation plans are “signed” electronically
via clicking “Acknowledge” in PRIMA
• Support for corrective actions and implementations plans is sent electronically in PRIMA
• Requests for extensions, yearend changes, enrollment in the AICPA Peer Review Program,
and resignations are completed in PRIMA
6
Peer Review Process Overview
7
Corrective Actions (COA) /Implementation Plans (IMP)
Firm
Tech Reviewer
Admin
Committee (COM)
Admin
Firm
Tech Reviewer
Review (RVW)
Firm
Peer Review Team
Tech Reviewer
Admin
Scheduling (SCHD)
Firm
Captain
Admin
Peer Review Information (PRI)
Firm
Admin
PRIMA – General Navigation
Peer Review Contact (Firm) PRIMA User
Will show all
cases/tasks
assigned to
user
Will show
information only
notifications
Shows all
letters that have
been sent to the
user within the
last 30 days
Firm Self
Service
Functionality
Shows open
and closed
reviews for
reviewers
Update
Resume/SOC
Specialist
App and View
Reviewer
Feedback
Access to
Knowledge
Database
Access to
Knowledge
Database
Shows 5
most recent
opened
cases
9
Peer Reviewer PRIMA User
Will show all
cases/tasks
assigned to
user
Will show
information only
notifications
Shows all
letters that have
been sent to the
user within the
last 30 days
Firm Self
Service
Functionality
Shows open
and closed
reviews for
reviewers
Update
Resume/SOC
Specialist App
and View
Reviewer
Feedback
Access to
Knowledge
Database
Shows 5
most recent
opened
cases
Will show
review cases
ready for peer
review
10
PRIMA – Peer Review
Information (PRI) Process
Peer Review Information (PRI)
PRI Trigger Points -- 5/1 of each year of No A&A firm (8/1 this year)
-- 210 days before due date for A&A Firm
PRI1 sent to
Peer Review
Contact (PRC)
Enter
information &
submit to
Administering
Entity
Approve or
Request Revisions
PRC receives
SCHED1
PRC
PRC
Administrator
12
Peer Review Information (PRI) – Home Screen
13
Peer Review Information (PRI) - Notifications
14
Peer Review Information (PRI) – My Work
15
Peer Review Information (PRI) - Introduction
16
Peer Review Information (PRI) – Firm Information
17
Peer Review Information (PRI) – Firm Information
18
Peer Review Information (PRI) – Firm Information
19
Peer Review Information (PRI) – Industries & Practice Areas
20
Peer Review Information (PRI) – Industries & Practice Areas
21
Peer Review Information (PRI) – Industries & Practice Areas
22
Peer Review Information (PRI) – Industries & Practice Areas
23
Peer Review Information (PRI) – Industries & Practice Areas
24
Peer Review Information (PRI) – Industries & Practice Areas
25
Peer Review Information (PRI) – Industries & Practice Areas
26
Peer Review Information (PRI) – Summary
27
Peer Review Information (PRI) – Acknowledgement
28
Peer Review Information (PRI) - Submission
29
PRIMA – Scheduling (SCH)
Process
Scheduling (SCH)
31
Enter Review
Dates, Team
Type and
Team/Revie
w Captain
(TC/RC)
Agree to Perform
Review & Select
Team Members
Accept
review team
&
acknowledge
Scheduling
Checks
Approve the
review &
review team
TC/RC and
PRC receive
TC_NC_OK
PRC
TC/RC
PRC
PRC can replace reviewer,
send errors to reviewer or
Administrator
Administrator
Trigger Point –
As soon as PRI case is approved for
A&A Firms
Scheduling (SCH) – Home Screen
32
Scheduling (SCH) – My Notifications
33
Scheduling (SCH) – My Work
34
Scheduling (SCH) - Introduction
35
Scheduling (SCH) – Review Information
36
Scheduling (SCH) – Sharing Peer Review Info
37
Scheduling (SCH) – Sharing Peer Review Info
38
Scheduling (SCH) – Team Type
39
Scheduling (SCH) – Select Captain
40
Scheduling (SCH) - Submission
41
Scheduling (SCH) – Home Screen
42
43
Scheduling (SCH) – My Work
Scheduling (SCH) - Independence
44
Scheduling (SCH) – Add Team Members
45
Scheduling (SCH) – Add Team Members
46
Scheduling (SCH) – Acknowledgement
47
Scheduling (SCH) - Submission
48
Scheduling (SCH) – Home Screen
49
Scheduling (SCH) – My Work
50
Scheduling (SCH) – Independence Attestation
51
Scheduling (SCH) - Information
52
Scheduling (SCH) - Acknowledgement
53
Scheduling (SCH) - Submission
54
Scheduling (SCH) - Approved
55
Scheduling (SCH) - Approved
56
PRIMA – Review (RVW)
Process
57
Review (RVW) – Reviewer Portion
58
Engagement
Review
Reviewer
workspace
completed &
submitted to firm
Workspace:
Confirm Review Dates
Enter Engagement Stats
Enter Non Conforming Stats
Create MFC/FFC
Upload Documents
Recommend Report Grade
Submit
Engagement
Summary
Assign TR or
request revisions
System
Review
PRC
Review Team
Sign MFC/FFC
PRC
Submit review
to Administrator
Administrator
TC/RC
Review (RVW) Process – My Work
59
Review (RVW) Process – Engagement Review
60
Review (RVW) Process – Engagement Review – Review Summary
61
Review (RVW) Process – Eng Review – Review Summary
62
Review (RVW) Process – Submission
63
Review (RVW) Process – Home Screen
64
Review (RVW) Process – My Team Reviews
65
Review (RVW) – Eng Review – Review Dates
66
Review (RVW) – Eng Review – Review Summary
67
Review (RVW) – Eng Review – Review Summary
68
Review (RVW) – Eng Review – Matters
69
Review (RVW) – Eng Review – Matters
70
Review (RVW) – MFCs
71
Review (RVW) – MFCs
72
Review (RVW) – MFCs
73
Review (RVW) – Matters
74
Review (RVW) – MFCs
75
Review (RVW) – Eng Review – Matters
76
Review (RVW) – Eng Review – DMFC
77
Review (RVW) – Eng Review – Matters
78
Review (RVW) – FFCs
79
Review (RVW) – Eng Review – Submit to Firm
80
Review (RVW) – Submit to Firm
81
Review (RVW) – Firm’s Response – Home Screen
82
Review (RVW) – Firm’s Response – My Work
83
Review (RVW) – Eng Review - Firm’s Response – Review Summary
84
Review (RVW) – Firm’s Response - Matters
85
Review (RVW) – Firm’s Response - MFCs
86
Review (RVW) – Firm’s Response - MFCs
87
Review (RVW) – Firm’s Response - Matters
88
Review (RVW) – Firm’s Response - FFCs
89
Review (RVW) – Firm’s Response - FFCs
90
Review (RVW) – Firm’s Response - Matters
91
Review (RVW) – Firm’s Response - Submission
92
Review (RVW) – Home Screen
93
Review (RVW) – Eng Review - Matters
94
Review (RVW) – Eng Review - Document Upload
95
Review (RVW) – Eng Review - Document Upload
96
Review (RVW) – Eng Review - Recommended Report Rating
97
Review (RVW) – Eng Review - Error Message
98
Review (RVW) – Eng Review - Document Upload
99
Review (RVW) – Submission
100
Review (RVW) – System Review – Review Summary
101
Review (RVW) – System Review – Non-Conforming Summary
102
Review (RVW) – System Review – Non-Conforming Summary
103
Review (RVW) – System Review – Document Upload
104
Review Process Miscellaneous Items
• The AE may request revisions from the Team/Review Captain and send the review case back
• The Technical Reviewer may request revisions from the Team/Review Captain and send the
review case back
• The Technical Reviewer may email questions to the Team/Review Captain without sending the
review case back
• Overdue process starts 14 days from the due date and may be inside or outside of PRIMA at
go-live
• Reviews delayed accepted subject to – return to Team/Review Captain for revisions
• Reviews deferred – return to Team/Review Captain for revisions
105
Review (RVW) – Corrective Actions and Acceptance Letter
106
Review (RVW) – Acceptance Letter
107
Review (RVW) – Acceptance Letter
108
Review (RVW) – Acceptance Letter
109
Review (RVW) – Corrective Action Acknowledgement
110
Review (RVW) – Corrective Action Acknowledgement
111
Review (RVW) – Corrective Action Acknowledgement
112
Review (RVW) – Corrective Actions – My Work
113
Review (RVW) – Corrective Actions -- COA
114
Review (RVW) – Corrective Actions -- COA
115
Review (RVW) – Corrective Actions – Submission
116
Reviewer Resume Updates
Reviewer Profile
118
Reviewer Resume Updates - Instructions
119
Reviewer Resume Updates – Contact Info
120
Reviewer Resume Updates – Qualifications & Courses
121
Reviewer Resume Updates – Qualifications & Courses
122
Reviewer Resume Updates – Qualifications & Courses
123
Reviewer Resume Updates – Practice Areas & Industry Codes
124
Reviewer Resume Updates – Practice Areas & Industry Codes
125
Reviewer Resume Updates – Practice Areas & Industry Codes
126
Reviewer Resume Updates – Practice Areas & Industry Codes
127
Reviewer Resume Updates – Practice Areas & Industry Codes
128
Reviewer Resume Updates – Practice Areas & Industry Codes
129
Reviewer Resume Updates – Specialist
130
Reviewer Resume Updates – Summary
131
Reviewer Resume Updates – Acknowledgement
132
Reviewer Resume Updates – Submission
133
Resources and Links
• Getting Started in PRIMA Document
(
http://www.aicpa.org/InterestAreas/PeerReview/DownloadableDocuments/GetStartPRIMA.pdf
)
• Trainings and Resources on PRIMA (
aicpa.org/PRIMA
)
• Access PRIMA via
https://prima.aicpa.org
• Knowledge Base – sign into PRIMA and click Help in the upper right-hand corner
• System notifications from
prima@aicpa.org
• Send feedback or suggestions to
primafeedback@aicpa.org
134
Questions?
Thank you
© 2017 Association of International Certified Professional Accountants. All rights reserved.
136
Document Outline - PRIMA Training for Enrolled Firms and Peer Reviewers
- Housekeeping Notes
- Agenda
- PRIMA Overview
- Most Significant Changes from PRISM for Firms and Peer Reviewers
- Most Significant Changes from PRISM for Firms and Peer Reviewers (Continued)
- Peer Review Process Overview
- PRIMA – General Navigation
- Peer Review Contact (Firm) PRIMA User
- Peer Reviewer PRIMA User
- PRIMA – Peer Review Information (PRI) Process
- Peer Review Information (PRI)
- Peer Review Information (PRI) – Home Screen
- Peer Review Information (PRI) - Notifications
- Peer Review Information (PRI) – My Work
- Peer Review Information (PRI) - Introduction
- Peer Review Information (PRI) – Firm Information
- Peer Review Information (PRI) – Firm Information
- Peer Review Information (PRI) – Firm Information
- Peer Review Information (PRI) – Industries & Practice Areas
- Peer Review Information (PRI) – Industries & Practice Areas
- Peer Review Information (PRI) – Industries & Practice Areas
- Peer Review Information (PRI) – Industries & Practice Areas
- Peer Review Information (PRI) – Industries & Practice Areas
- Peer Review Information (PRI) – Industries & Practice Areas
- Peer Review Information (PRI) – Industries & Practice Areas
- Peer Review Information (PRI) – Summary
- Peer Review Information (PRI) – Acknowledgement
- Peer Review Information (PRI) - Submission
- PRIMA – Scheduling (SCH) Process
- Scheduling (SCH)
- Scheduling (SCH) – Home Screen
- Scheduling (SCH) – My Notifications
- Scheduling (SCH) – My Work
- Scheduling (SCH) - Introduction
- Scheduling (SCH) – Review Information
- Scheduling (SCH) – Sharing Peer Review Info
- Scheduling (SCH) – Sharing Peer Review Info
- Scheduling (SCH) – Team Type
- Scheduling (SCH) – Select Captain
- Scheduling (SCH) - Submission
- Scheduling (SCH) – Home Screen
- Scheduling (SCH) – My Work
- Scheduling (SCH) - Independence
- Scheduling (SCH) – Add Team Members
- Scheduling (SCH) – Add Team Members
- Scheduling (SCH) – Acknowledgement
- Scheduling (SCH) - Submission
- Scheduling (SCH) – Home Screen
- Scheduling (SCH) – My Work
- Scheduling (SCH) – Independence Attestation
- Scheduling (SCH) - Information
- Scheduling (SCH) - Acknowledgement
- Scheduling (SCH) - Submission
- Scheduling (SCH) - Approved
- Scheduling (SCH) - Approved
- PRIMA – Review (RVW) Process
- Review (RVW) – Reviewer Portion
- Review (RVW) Process – My Work
- Review (RVW) Process – Engagement Review
- Review (RVW) Process – Engagement Review – Review Summary
- Review (RVW) Process – Eng Review – Review Summary
- Review (RVW) Process – Submission
- Review (RVW) Process – Home Screen
- Review (RVW) Process – My Team Reviews
- Review (RVW) – Eng Review – Review Dates
- Review (RVW) – Eng Review – Review Summary
- Review (RVW) – Eng Review – Review Summary
- Review (RVW) – Eng Review – Matters
- Review (RVW) – Eng Review – Matters
- Review (RVW) – MFCs
- Review (RVW) – MFCs
- Review (RVW) – MFCs
- Review (RVW) – Matters
- Review (RVW) – MFCs
- Review (RVW) – Eng Review – Matters
- Review (RVW) – Eng Review – DMFC
- Review (RVW) – Eng Review – Matters
- Review (RVW) – FFCs
- Review (RVW) – Eng Review – Submit to Firm
- Review (RVW) – Submit to Firm
- Review (RVW) – Firm’s Response – Home Screen
- Review (RVW) – Firm’s Response – My Work
- Review (RVW) – Eng Review - Firm’s Response – Review Summary
- Review (RVW) – Firm’s Response - Matters
- Review (RVW) – Firm’s Response - MFCs
- Review (RVW) – Firm’s Response - MFCs
- Review (RVW) – Firm’s Response - Matters
- Review (RVW) – Firm’s Response - FFCs
- Review (RVW) – Firm’s Response - FFCs
- Review (RVW) – Firm’s Response - Matters
- Review (RVW) – Firm’s Response - Submission
- Review (RVW) – Home Screen
- Review (RVW) – Eng Review - Matters
- Review (RVW) – Eng Review - Document Upload
- Review (RVW) – Eng Review - Document Upload
- Review (RVW) – Eng Review - Recommended Report Rating
- Review (RVW) – Eng Review - Error Message
- Review (RVW) – Eng Review - Document Upload
- Review (RVW) – Submission
- Review (RVW) – System Review – Review Summary
- Review (RVW) – System Review – Non-Conforming Summary
- Review (RVW) – System Review – Non-Conforming Summary
- Review (RVW) – System Review – Document Upload
- Review Process Miscellaneous Items
- Review (RVW) – Corrective Actions and Acceptance Letter
- Review (RVW) – Acceptance Letter
- Review (RVW) – Acceptance Letter
- Review (RVW) – Acceptance Letter
- Review (RVW) – Corrective Action Acknowledgement
- Review (RVW) – Corrective Action Acknowledgement
- Review (RVW) – Corrective Action Acknowledgement
- Review (RVW) – Corrective Actions – My Work
- Review (RVW) – Corrective Actions -- COA
- Review (RVW) – Corrective Actions -- COA
- Review (RVW) – Corrective Actions – Submission
- Reviewer Resume Updates
- Reviewer Profile
- Reviewer Resume Updates - Instructions
- Reviewer Resume Updates – Contact Info
- Reviewer Resume Updates – Qualifications & Courses
- Reviewer Resume Updates – Qualifications & Courses
- Reviewer Resume Updates – Qualifications & Courses
- Reviewer Resume Updates – Practice Areas & Industry Codes
- Reviewer Resume Updates – Practice Areas & Industry Codes
- Reviewer Resume Updates – Practice Areas & Industry Codes
- Reviewer Resume Updates – Practice Areas & Industry Codes
- Reviewer Resume Updates – Practice Areas & Industry Codes
- Reviewer Resume Updates – Practice Areas & Industry Codes
- Reviewer Resume Updates – Specialist
- Reviewer Resume Updates – Summary
- Reviewer Resume Updates – Acknowledgement
- Reviewer Resume Updates – Submission
- Resources and Links
- Questions?
- Slide Number 136
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