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      How to Create an Engagement

      This article explains how to create an engagement, defines engagement statuses, and outlines how to view engagement results.

      Engagement Details Setup

      Step 1: Select Manage Engagements.

      Step 1

      Step 2: Select "New Engagement."

      Step 2

      Step 3: Enter the Client Name.

      Before creating an engagement, ensure that the client has been added in the 'Manage Clients' page, as they will not appear in the selection list otherwise.

      Step 3

      Step 4: Enter the engagement name.

      Step 4

      Step 5: Enter the Client EIN (not required).

      Step 5

      Step 6: Enter the Plan Number (not required).

      Step 6

      Step 7: Add any additional assignees by selecting users within your firm from the dropdown list.

      Step 7

      Step 8: Enter the beginning of the year and end of the year for the period under audit.

      Step 8

      Step 9: Select "Save & Continue."

      Step 9

      Service Provider Setup

      Step 10: Navigate to the "Service Providers" dropdown.

      Step 10

      Step 11: Select the relevant service provider for the plan.

      Step 11

      Step 12: Enter the contract identifier.

      This can be a contract number or other unique identifier.

      Step 12

      Step 13: Select "Add Service Provider."

      Step 13

      Uploading Input Files

      Step 14: Access the instructions for each recordkeeper by selecting the instructions link displayed in the screen.

      Step 14

      Step 15: Upload each corresponding file by either dragging and dropping it into the designated uploader or selecting the 'Drop files or click here to upload' button to select and upload your file.

      Step 15

      Step 16: Once you upload each file, a status bar will appear indicating the upload was successful, or failed. 

      • Validated: The file was successfully uploaded and validated by the system. All files need to be validated to proceed with engagement processing.
      • Validation Error: The file was not successfully uploaded and validated by the system. The file(s) must validated in order to proceed with engagement processing. 

      Please refer to this article for common issues with file validation errors.

      Step 16

      Step 17: After successfully uploading the relevant input files, select "Save & Continue."

      Step 17

      Testing Setup

      Any changes in this section will only affect the specific engagement you are setting up. Learn how to modify testing set up for all engagements in this article.

      Step 18: Modify procedures in accordance with your planned testing approach.

      Procedures will automatically save as you navigate each testing section.

      Step 18

      Step 19: To modify the order of procedures, hover over the procedure and select the gray box that appears on the left. Drag the procedure to the preferred location.

      Step 19

      Step 20: Enable or disable procedures by selecting the toggle button. When enabled, the toggle button will appear green.

      Step 20

      Step 21: To create a custom procedure, enter the procedure into the text box. Select 'Add Custom Procedure' to include it in the enabled procedures.

      Step 21

      Step 22: Modify the sampling methodology below testing procedures, if applicable.

      Step 22

      Step 23: Select "Save & Continue" to save modifications for each section.

      Step 23

      Step 24: Select "Process Engagement." You will then return to the manage engagements screen.

      Please note it can take up to 72 hours to process your plan and release your workpapers. You will receive an email notification when your workpapers are ready for download.

      Step 24

      Status Overview

      In the manage engagements screen, you will see a status for each engagement.

      • Setup Required: The engagement has been created but requires additional setup, such as uploading input files and reviewing testing procedures, before it can be processed.
      • Ready for Processing: All necessary setup is complete, files are validated, and the engagement is ready to be processed.
      • Processing: The user has initiated processing, and the system is actively processing the engagement. During this stage, the engagement cannot be edited or modified.
      • In Review: Processing is complete, and the outputs are undergoing quality review checks. Access to the engagement and the ability to reprocess are disabled during this stage.
      • Results Available: The outputs are now available for download.
      • Locked: The audit for that specific engagement year is complete, and the engagement is locked to prevent further modifications. This allows the engagement to be rolled forward to the next year.
      • Rolled Forward: The previously locked engagement has been rolled forward to the next year, and no further actions are required for that engagement.
      • File Validation Failed: A user-uploaded file has failed validation. The user must remove or correct the file before processing can be enabled.

      Viewing Results

      Step 26: Ensure the engagement status says "Results Available."

      Step 26

      Step 27: Select the menu under "Actions."

      Step 27

      Step 28: Select "View Results."

      Step 28

      Step 29: The results include all workpapers created for the engagement. Select "Download all" to generate a .zip file of all created workpapers.

      Step 29

      Step 30: To download an individual file, select the download button under actions next to the relevant workpaper.

      Step 30