Associating Information Requests to Procedures

How to associate one or more additional information requests (IRs) to procedures in a supervisory activity.

About this task

Since procedures rely on information or documents provided in response to IRs, SES allows all active participants on a supervisory activity to associate IRs to procedures so that you can see relevant IR responses when working a procedure. You can also associate additional information requests to a procedure if other IRs have been associated to the procedure previously.
Note: IRs are typically associated to procedures in the SES Library prior to starting an SA. Staff directors or staff users can associate IRs to procedures for your agency's IRs in the SES Library, and CSBS support staff have also associated IRs to procedures for work programs like the SES Work Programs. See Adding a Procedure to the Library for more information.
The steps in this procedure are intended to be done during an SA if the IRs associated to procedures in the SES Library are incomplete or insufficient.
Both the IRs and procedures must:
  • Have at least one business activity in common
  • Have at least one scope type in common
  • Either be core or non-core
    Note: SES permits the association of core procedures or information requests to non-core procedures or information requests.

Procedure

  1. Search for and select the SA ID you would like to access.

    Supervisory Activities button on the Main Menu

    supervisory activity ID
  2. Click Examination.
    The examinations tab in the Supervisory Activity module
  3. Click Procedures tab.
    Filter Procedures Quick Filter
    Note: Use Review Mode to limit the number of columns that are displayed. This mode can help you identify procedures that have observations or attachments associated with them.
    Review Mode option
  4. Select the desired action from the Actions column.
    Actions menu on the Procedures tab
    Note: You can also quickly mark a procedure as done from the Procedures tab. This is an indication to other examiners on your team that someone has worked the procedure.
    • Assign Procedure: Assign the procedure to another participant on the supervisory activity.
    • Work Procedure: Add observations, upload documents, associate information requests, quick add findings, or mark the procedure as done. See steps below for details.
    • Manage Finding Association: Associate the procedure to findings or remove existing associations to findings.
    • Remove Procedure: Remove the procedure from the supervisory activity.
  5. Click Associate Information Requests.

    Screen capture of the Associate Information Requests command
    Note: If there are IRs already associated with the procedure,
    • The link will say "Associate Additional Information Requests," and you can associate more than one IR to the procedure.
    • Existing links can be removed from this screen by clicking the red "X" icon.
  6. Optional: To associate IRs to a Procedure from a different Area For Review:
    1. Scroll to the Associate Information Requests section, and choose an Area for Review.

      Use the Area For Review list to search for IRs associated with this or another AFR, then click Search.
    2. Click Search.
  7. Select the desired information request(s) to associate with the procedure.
  8. Click Save IR Associations.
  9. Optional: Upload one or more documents.
  10. Click Save Work.

Results

The associated IR and any company responses now appear in the details of a procedure when working it.


Screen capture showing associated information requests
When viewing the details of an IR, the procedures to which it is associated are also displayed on the Information Requests tab.

Screen capture showing associated procedures.
Note: You cannot work the associated procedure from the Information Requests tab. You must go to the Examination tab to work the procedure. See Procedures for more information.