Compliance Training Program
Scoping and Planning for Examinations School
Scoping and Planning for Examinations School addresses the pre-exam planning process, beginning with the Information Package through conducting the analysis for completion of the Assessment of Risk of Consumer Harm (ARCH). The focus of the course is on developing the examiner's analytical skill in planning for risk-focused compliance examinations based on the potential for consumer harm.
The course consists of lessons, group exercises, and a case study that takes the students through scoping an examination step by step, including the creation and presentation of an ARCH memorandum. Participants actively take part in group case studies and other classroom activities.
The pre-course learning activities are critical to the completion of the course and must be submitted prior to attendance.
After completing this course, participants will be able to effectively risk scope examinations and identify products, services, and markets to assess onsite.
This school is a one-week course.
Pre-course work (Independent Self Study), facilitated classroom discussion/lectures, small group activities, and in-class project.
This course is designed for pre-commissioned compliance examiners who generally have 12-16 months of experience in compliance examinations.
This course is open to appropriate staff of the FDIC and partner government regulatory agencies. This course is not open to the public or staff of private banks.
Prior to attending the Scoping and Planning for Examinations School (SCOPE), participants must have satisfactorily completed the Introduction to Consumer Protection School (or have compliance mid-career examiner status) and Introduction to Fair Lending School (IFLS). There should be a minimum of six months between attending IFLS and SCOPE.
Prior to attendance, participants are required to complete and submit the following pre-course assignments:
- Read the ARCH Reference Guide and answer multiple choice questions.
- Read CMS Overview document and answer questions.
- Read certain case study materials and answer questions to become familiar with the case study bank.
The pre-course assignment is due in general two weeks/11 business days prior to the start of the session. The exact date the work is due for any given session will be specified in the precourse information sent approximately two months prior to the start date.
The Division of Depositor and Consumer Protection (DCP) has authorized 16 hours of official time to complete the pre-course assignment.
Participants are required to bring a laptop to the session.
Participants should be scheduled to complete pre-exam planning for an examination as soon as possible (under Examiner-in-Charge oversight) after completing this course to reinforce the skills learned from this session. If possible, the participant should also shadow that same EIC throughout the examination to see how pre-exam planning shapes the on-site examination.
To help practice and apply the knowledge and skills learned in SCOPE School, the participant should complete the pre-exam planning tasks listed below with oversight by an EIC:
- Conducting background research
- Conducting Pre-exam Planning Interview
- Preparing and reviewing CIDR
- Preparing the ARCH
- Preparing Transactional Testing Request
A Summary Evaluation Form, which provides a comprehensive discussion of the participant's in-class and project exercises, is sent to the participant's field office approximately thirty days after the conclusion of the school. Within the Summary Evaluation Form, participants will also receive individual feedback on the in-class Products, Services, or Markets (PSM) Comment writing assignment.
Continuing Education Unit (CEU): 3.1
Continuing Professional Education Unit (CPE): 37.0
For information regarding administrative policies such as complaints and refunds, please contact Corporate University, Attn: NASBA Representative Ava Livas, Room A-3025, 3501 North Fairfax Drive, Arlington, VA 22226 (703) 562-2463.
The Federal Deposit Insurance Corporation is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: NASBARegistry.org
The FDIC has been approved as an Authorized Provider by the International Association for Continuing Education and Training (IACET) (www.iacet.org), 1760 Old Meadow Road, Suite 500, McLean, VA 22102.