Initiating a Leveraged SA from the Home Page

If you are Leveraging an exam, you can do so from the Exam Scheduling Page or the Home page.

Before you begin

Note: To leverage or accept another agency's supervisory activity, you must first request and be granted access to the SA from the agency that conducted the SA.

Requesting Access to a Supervisory Activity

About this task

Note: To initiate an SA, you must be assigned the staff user or staff director role.

Procedure

  1. Click Initiate Supervisory Activity on the SES home page.
    Click Initiate Supervisory Activity on the home page
  2. Search for the company.
    Search for the Company upon which you wish to conduct an SA
    Important: You must click Search. Pressing the Enter key does not generate search results.
  3. Select the company from the list and click Next.
    To initiate an SA, select the company from the search results and click Next
  4. Choose the Exam option and Leveraged as the Scope type.
    Select the Exam option, then the Leveraged scope type
  5. Type the Leveraged SA ID.
  6. Complete all required fields in the Basic Details section.
    Note: You can select an Exact Start Date when confirming the initiation of a Supervisory Activity. This field is optional and the definition of “start date” will vary by agency.
  7. Select the relevant Business Types and Business Activities for the SA.
    Note: Multiple items can be selected from these two drop-down menus. To clear a selected item, click the highlighted item again.
  8. Upload any relevant documents.
  9. Click Next.
  10. Add any desired information in the Related Entities section.
  11. Click Next.
  12. Click Add Participants.
  13. Search for and select the desired member of your staff and assign as EIC.
    Note: You do not need to add any participants to initiate an SA, but it is a best practice to assign an EIC at this stage in the process.
    type the name of the EIC for this exam
  14. Click Next.
    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
    calendar icon
    to see the current workload for the user.
  15. Ensure the information provided is correct.
  16. Select Schedule Supervisory Activity from the Next Action section.
    Note: You also have the option of Sending a Supervisory Activity for Review.
  17. Click Initiate Supervisory Activity in the bottom right.
    It may take a few seconds, but the newly initiated SA will appear in the supervisory activities section within the Active quick filter.
    Active Supervisory Activities

Results

After defining the scope, you have the option of moving the SA to the “In-Flight” milestone and the rest of the SA is opened up to your agency except for the closure details and the closure form.

From this point, conduct the SA like you usually would.

The company is not notified about the leveraged SA until you make contact with them by sending them something via the system like an information request or a loan request. At that point, the company just needs to assign a company lead for the SA and they interact with the SA in the same way as a non-leveraged SA.

All leveraged SAs appear on the SA Acceptance and Leverage Report. See Viewing the SA Acceptance and Leverage Report for more information.