Home
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.
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.
Managing the Library
The Library was developed to help standardize the examination process from agency to agency. Managing the Library includes adding, removing, and updating agency-specific Library items.

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.
    - Supervisory Activities Page for Agency Users
      The Supervisory Activities page is where you can see a list of all supervisory activities in SES.
    - Overseeing Your Agency's Supervisory Activities
      Describes how the "Master Viewer" role in SES can be used to oversee an agency's supervisory activities (SAs).
    - Understanding the Library
      The Library was developed to help standardize the examination process from agency to agency. The library contains five types of items: procedures, information requests, references, areas for review, and work programs.
    - Managing the Library
      The Library was developed to help standardize the examination process from agency to agency. Managing the Library includes adding, removing, and updating agency-specific Library items.
      - Viewing Items in the SES Library
        Staff Users, Staff Directors and Examiners can view the SES Library. You can access items by searching for ID, using filters, or browsing the list.
      - Adding a Procedure to the Library
        Staff users or directors can add procedures as agency library items. All agency procedures are available for other agencies to view in the system.
      - Updating a Procedure in the Library
        Staff users or directors can modify procedures that are agency library items. CSBS maintains standard library items.
      - Deleting a Procedure from the Library
        Staff users or directors can delete procedures that are agency library items. CSBS manages standard library items.
      - Exporting All Procedures from the Library
        You can export all procedures and associated information requests from the SES Library.
      - Adding an Information Request to the Library
        Staff users or directors can add Information Request (IR) as agency library items. All agency information requests are available for other agencies to view in the system.
      - Adding a State-specific Mortgage Information Request to the Library
        Staff users or staff directors can initiate the process for adding state-specific mortgage information requests to the Library. All agency information requests are available for other agencies to view in the system.
      - Updating an Information Request in the Library
        Staff users or directors can modify Information Request (IR) that are agency library items. CSBS maintains standard library items.
      - Deleting an Information Request from the Library
        Staff users or directors can delete Information Request (IR) that are agency library items. CSBS manages standard library items.
      - Exporting All Information Requests from the Library
        You can export all information requests and associated procedures from the SES Library.
      - Adding a Reference to the Library
        Staff users or directors can add references as agency library items. Agency references are not automatically accessible by other agencies with access to SES; agency staff directors and staff users have the option to share, or not share, references with other agencies.
      - Updating a Reference in the Library
        references can be updated to change title, description, SA type, business type, hyperlink, and whether to share with other agencies.
      - Deactivating a Reference in the Library
        Staff users or directors can deactivate references that are agency library items. CSBS manages standard library items.
    - Exam Scheduling
      Exam Scheduling allows an agency to plan out in advance which exams it will conduct in a given time period. Scheduling allows agencies to avoid duplicate examinations across state agencies through better information sharing.
    - One Company, One Exam (OCOE) Scheduling
      Information about OCOE scheduling, its benefits, and how it is used in SES.
    - Bulk Downloading Supervisory Activity Documents
      How to download documents uploaded as part of a supervisory activity (SA).
    - External Supervisory Documents on a Company Record
      CSBS Support Staff can add documents to a company’s record in SES from external sources (other than NMLS and SES), including federal and state agencies.
  - 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.
- SES Examinations and Investigations Resources for Companies
  Responding to examinations and investigations in State Examination System (SES).
- Managing Interactions
  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.

Managing the Library

The Library was developed to help standardize the examination process from agency to agency. Managing the Library includes adding, removing, and updating agency-specific Library items.

The Library contains five Library item types: procedures, Information Request (IR), references, Area for Review (AFR), and Work Programs. See the policy for SES Agency Library Management for more information.

The Components tab is a distinct area of the Library that displays standardized components used with mortgage exams. These components support the component ratings recorded when users close out a mortgage exam. Components are separate from the Library item types listed above.

Note: All users can view the library in SES but only the Staff User or Staff Director can manage the library.

Refer to the following topics for more information about managing the Library in SES:

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.