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Supervisory Activities
Supervisory activities are used for examining and investigating companies.
SES Examinations and Investigations Resources for Agencies
How to initiate and manage examinations and investigations of supervised companies.
Networked Supervision
Networked Supervision allows agencies in multiple states to share resources on a supervisory activity.
Joining a Supervisory Activity
Joining another agency's supervisory activity allows you to participate in the process of examining a company. This reduces the regulatory burden on companies and duplication of effort within state agencies that regulate the same company.
Joining a Supervisory Activity from the Exam Scheduling Tool
After creating a To Do list on the Exam Scheduling page, use this task to join SAs on your list.

Supervisory Activities
Supervisory activities are used for examining and investigating companies.
- SES Examinations and Investigations Resources for Agencies
  How to initiate and manage examinations and investigations of supervised companies.
  - Job Aid: Conducting Your First Exam in SES
    This job aid serves as a guide for new Examiner in Charge (EIC) to conduct their first exam in the State Examination System (SES). It highlights the basic workflow of an exam in SES and points out important information along the way.
  - Managing Supervisory Activities
    This section includes managing the Library, exam scheduling, and participants in a Supervisory Activity. Bulk download of data from supervisory activities is also included.
  - Conducting a Supervisory Activity
    A Supervisory Activity is an activity conducted by a state agency over a financial institution under its regulatory authority. It includes Examination, Investigation, and enforcement actions.
  - Networked Supervision
    Networked Supervision allows agencies in multiple states to share resources on a supervisory activity.
    - Communicating with Other Agencies
      The Search Agencies feature in the Agency Management widget on the SES home page allows staff users or staff directors to view a list of all agencies, and filter or search that list to find a specific agency in any state or U.S. territory.
    - More about Summary Level View vs Detail Level Access for a Supervisory Activity
      Depending on the level of access granted within the system, agencies can see different information about a supervisory activity.
    - Requesting Access to a Supervisory Activity
      To get more insight on a supervisory activity (single or multi-state) that is currently in progress or already took place, this feature allows you to request access. When the request is approved, detail level access to the supervisory activity (SA) becomes available.
    - Responding to a Request to Access a Supervisory Activity
      The Staff Director or User can view and manage any Supervisory Activity access requests from the homepage. Allowing another agency to access supervisory activities conducted by your agency allows information about companies under supervision to be shared.
    - Invitations to Join a Supervisory Activity
      An agency staff director can invite other agencies to participate in an SA. The invitation is sent to all staff directors at the invited agencies.
    - Joining a Supervisory Activity
      Joining another agency's supervisory activity allows you to participate in the process of examining a company. This reduces the regulatory burden on companies and duplication of effort within state agencies that regulate the same company.
      - Joining a Supervisory Activity from the Home Page
        When multiple agencies come together to conduct an SA on a company, it is called a multi-state SA. States are encouraged to partner-up on SAs to reduce the number of exams companies have to go through.
      - Joining a Supervisory Activity from the Exam Scheduling Tool
        After creating a To Do list on the Exam Scheduling page, use this task to join SAs on your list.
    - Responding to a Request to Join a Supervisory Activity
      When multiple agencies come together to conduct a SA on a company, it is called a multi-state SA. It includes the lead agency (Examiner in Charge) and participating agencies. Participants from additional agencies can have the examiner/examiner reviewer roles.
    - Accepting a Supervisory Activity
      Supervisory Activity acceptance is a system workflow that allows agencies to accept another agency’s SA in their completed Examination. This functionality supports the objectives of networked supervision (Multi-state Examinations) by giving state agencies another tool to collaborate and leverage the work of other agencies.
    - Leveraging Another Agency's Supervisory Activity
      Leveraging another agency's Supervisory Activity allows your agency to include that SA in your examination.
    - Modifying the Lead Agency in a Multi-state SA
      If the Lead Agency changes during the course of a multi-state supervisory activity (SA), you can reassign the lead agency and the Examiner in Charge (EIC) before the report is sent or before the SA is closed.
    - SA Records Created by CSBS Support Staff
      CSBS support staff can create Multi-state Mortgage Committee (MMC) shell exams on behalf of agencies.
- SES Examinations and Investigations Resources for Companies
  Responding to examinations and investigations in State Examination System (SES).
- Capturing Communications Between Agency and Company
  The Interactions page serves as a place where communication between the agency and company is captured. This includes emails, phone calls, meetings, physical mail and other miscellaneous forms of communication specific to the supervisory activity.
- SES Supervisory Activity Reports
  SES has several reports that allow you to view staff workload, plan assignments, identify supervisory activities with no examiners assigned, and view the progress or status of supervisory activites and responses to information requests.

Joining a Supervisory Activity from the Exam Scheduling Tool

After creating a To Do list on the Exam Scheduling page, use this task to join SAs on your list.

Before you begin

Procedure

click on the SA ID for the company for which you wish to conduct a joint exam.

The system presents summary information about the SA.
Click Request to Join in the top right.
Select the desired Role for the user.

Note: On a multi-state SA, you must designate one participant from your agency as the Team Lead. This designation does not grant the user any additional permissions, but it does provide a Team Lead indicator to other participating agencies and the company being examined.

Note: When adding an Examiner in Charge (EIC) or other participants, if a calendar icon appears, it means that user is actively participating on other SAs. Click the calendar icon

to see the current workload for the user.
Click Request to Join.

Results

The lead agency is notified of your request to join and the status of your request is displayed on the homepage.

Lists of Reqests to Access and Joing SA from other agencies

If you need to add additional participants after submitting the request, reach out to the EIC at the lead agency and have them add the additional participants.

Need More Help?

Agency users, please visit the Secure Portal for phone and email contacts.
Company users should call the Call Center at 1-800-269-6189. Agency users should not call this number.