Defining the Scope by Creating a New Scope

When defining the scope, you can select the relevant business types, business activities, and areas for review (AFRs) for an examination or investigation.

About this task

Procedure

  1. Navigate to your supervisory activity.

    Supervisory Activities button on the Main Menu
  2. Click Scope.
    Click the Scope command on the menu
  3. Click Define Scope in the top right.
    The Define Scope button is located on the top right corner of the screen.
  4. Click Create New Scope.
  5. Click Continue.
  6. Enter Review Period information, add comments, and upload applicable documents (if any).
  7. Review the Business Types and make any updates (if necessary).
  8. Select the Scope Definition Method.
    • Business Activities: Start defining the scope by selecting business activities. Based on the selections made, available work programs are presented in the next step.
    • Work Program: Start defining the scope by selecting a work program. Available work programs and their accompanying activities are presented in the next step. See SES Work Programs for further details.
  9. Click Continue.
  10. Select the Business Activities & Work Program for the exam.
    Note: You also have the option to Manually Add AFRs.
  11. Click Continue.
  12. Select the AFR Details.
    • If you selected a Work Program, the AFRs are automatically populated. Review and make any necessary updates.
    • If you selected to manually add AFRs, choose the desired Area for Review, Business Types, and Business Activities.
  13. Select your desired Next Available Action:
    • Save In Progress Scope
    • Mark Scope as Complete
    • Send Scope for Review