QR Process
True or False: During the initial QR process, you should be QR'ing the ENG Code Summary tab. Create the project and the ETI Summary tab.
False: The ETI Summary tab only gets created during a final update.
True or False: Every time you update within the project, you should be exporting the file and update the ETI Summary tab.
True: The project and the ETI Summary tab should always be matching.
True or False: For Target Acquisitions - if an individual NOT in the US is terminated and they did not confirm their independence, they should get a B-1 TM.
False: B-1, B-2, B-3 and C-1 TM's do not apply to Target Acquistions.
True or False: You should always keep everyone in the project as administrators.
False: After AT has validated code, you should toggle their administrator access to where they do not have admin access to the project.
True or False: EBP codes are always included in the ETI workpaper.
FALSE: EBP or “Employee Benefit Plan” engagement codes are typically excluded in the Plan Sponsor ETI workpaper. They are included in the EBP ETI Workpaper (separate instructions in the DTP).
If there are GDS individuals pending responses, which file should you open?
A. non US GMS file
B. GDS Open Tracker File
C. Partner Request - AMT, DLT
B. GDS Open Tracker File
What is the next step for individuals with Employment Status of “Active” and Independence status of “Incomplete”?
A. Update independence status to “Completed – Other” with Reason “Leave of Absence” or “Terminated”.
B. Update independence status to “Completed – Other” with Reason “Completed Outside of EY Canvas – Matters Identified”.
C. Filter for individuals with “Incomplete” status and select Bulk send independence confirmation.
D. Immediately ping the individual to follow up the pending confirmation.
C. Filter for individuals with “Incomplete” status and select Bulk send independence confirmation.
Filter for individuals with Incomplete independence status and select Bulk send independence confirmation within the Project to request a confirm. Note: This step is performed AFTER reviewing for matters, leave of absence and terminated individuals.
What are the exclusion criteria for engagement codes?
Which email should you be sending the validation code email from?
A. Your personal email
B. Your EY email
C. AQIPETIConfirmation
D. AQIPSupport
C. AQIPETIConfirmation
True or False: For clients with quarterly independence procedures, all team members are required to confirm their independence each quarter.
False: Team members are only required to confirm independence annually.
What is the process for following up with individuals who have not completed their independence confirmation?
Review pending responses file. First Attempt follow-up email. Second attempt, ping the individual and third attempt, send manual confirmation email.
What should you do if you come across an individual who is Terminated, incomplete, and is from India?
Check for this individual in the non US GMS file. If they are not on the list, add them to the second tab "GMS needed"
name at least 3 differences between a positive and negative acquisition.
Different procedure boxes (TM's)
Different Emails being sent out
Pos. requires a response in email
Neg. you only respond to email if matters identified
Neg. requires a procedure box in PDF
Pos. No procedure box
Pos. uses datasnipper
Neg. Delivers a separate PDF file
Neg. Append every email you send
Pos. Uses one initial email each quarter
Neg. PDF column is included on inquiry tab
Pos. No PDF column
Neg. uses NEG TM's
What's the naming convention of the ECON project?
SDC Independence- Client Name – YYYY
What is the VLOOKUP formula performed in the Eng Code Review tab when rolling forward an ETI workpaper into Q2-YE to check if any new Engagement Codes have shown up in the most recent Eng Code Report?
=VLOOKUP([first Eng Code on ECS file], [whole Eng Code column on Eng Code Review tab], 1,0)
What is the final step in reviewing codes that are to be included or excluded?
When do you give out the following TM's?
B-1
B-2
B-3
C-1
B-1: No longer with the firm; Verified Completion of GMS Terminated; Location column= NOT USA
B-2: No longer with the firm; GDS contractor subject to contract requirements including independence; Terminated; NOT USA
B-3: No longer with the firm; Verified receipt of GDS Contractor Independence policy compliance survey response; Location column= NOT USA
C-1: Leave of Absence; Verified completion of GMS; NOT USA
Name three special things we have to do if an acquisition is confidential.
-Populate Inquiry Status column with “Pending ETI Release Approval” until lead team had approved email to be sent.
-Release approval must be obtained from approved individuals prior to sending out confirmation emails
-Confidential acquisition emails MUST be sent separately from non-confidential acquisition confirmation emails.
-"CONFIDENTIAL” (at beginning of email subject line)
-“Please note: This acquisition is CONFIDENTIAL” before all other body text in email
What attachments should be included in the email when sending the AT the validation email?
1. ECS for Validation file
2. Quick Reference Guide
What should be done if the Canvas Independence Status column contains “Restored” or “Not applicable”?
Reach out to supervisor.
What is the Vlookup to double check the employee status on the inquiry log?
=vlookup([first GUI on Inquiry Log],[Entire GUI-Entire Employee Status columns on TCR tab],3,0)
In what scenario would you use TM G?
When an individual responds that they charged their time in error during the week of filing, so that their time will not reclass and disappear from the project until the week after filing.
The individual is on leave of absence. You should save the screenshot into the SP folder and change their employee status from NA to Leave of absence.
You review an individual in the project has 0 hours charged and has not completed their independence. After sending an email to AT asking to include them, what should the next steps be after each of the following scenarios:
1. AT says to include them.
2. AT says NOT to include them.
If response is “N”: For the individual, complete Deactivate an individual in Canvas.
If response is “Y”: Update Intake Form to list individual as “Independence Only” and proceed to Follow-up on Incomplete Responses (Project access required).
If Lead Team confirmed the engagement codes have been validated in the Project but the codes are NOT showing as validated, what should you do next, according to the DTP?