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Type of Financial <br />CATEGORY 1: <br />CATEGORY 2: CATEGORY 3: CATEGORY 4: <br />Documents and <br />Consultants with <br />Consultants Requesting Consultants with CPA Consultants with <br />Information for ICR FYE <br />Cognizant Approval <br />Safe Harbor Rate Audited ICR Reports Participation Amount of <br />Proposed <br />Letter for ICR FYE <br />$500K or Greater and <br />Proposed <br />No CPA Report <br />After the review of this form, some or all of the documents listed below may be requested: <br />Post -Closing Trial Balance <br />and Supplemental <br />Reconciliation Schedule ❑ ❑ 0 <br />(to tie the proposed ICR <br />Schedule to the Trial Balance) <br />Prior Year ICR Schedule ❑ ❑ ❑ <br />Chart of Accounts <br />Income Statement <br />Uncompensated Overtime <br />Adjustments <br />Vacation/Sick Policy <br />Bonus Policy <br />Executive Compensation <br />Analysis (ECA) <br />Related Party Rent Analysis <br />Vehicle, Equipment, and <br />Other Direct Costs Schedules <br />❑ <br />❑ <br />❑ <br />❑ <br />❑ <br />❑ <br />El <br />Following documents can be retrieved from: https://oig.dot.ca.gov/resources <br />• Paycheck Protection Program (PPP) Loan Questionnaire <br />• Certification of Indirect Costs and Financial Management System <br />• AASHTO Internal Control Questionnaire Appendix B <br />• Safe Harbor Rate — Consultant Certification of Eligibility of Contract Costs and Financial Management <br />System <br />Financial Docume? f Rd'vie*WJ6b9t Form - Independent Office of Audits and Investigati(MY- ReVi"6d 9/2022 <br />7/18/2023 <br />3 <br />