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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.
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.
Bulk Downloading Supervisory Activity Documents
How to download documents uploaded as part of a supervisory activity (SA).

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 four types of items: procedures, information requests, references and areas for review.
    - 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.
    - 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.
    - Managing Agency Supervisory Activity Participants
      Participants on a Supervisory Activity can be added or removed at any time until the exam is Closed. You can also update user roles on an SA or reassign the Examiner in Charge (EIC).
    - 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).
- 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.

Bulk Downloading Supervisory Activity Documents

How to download documents uploaded as part of a supervisory activity (SA).

About this task

All active agency participants on a supervisory activity can bulk download SA documents at any point before the retention period for the documents has been reached. See Adding Participants to a Closed and Locked SA to Download SA Documents for information on how to add participants to an SA to bulk download SA documents after an SA is closed and locked.

Procedure

Navigate to your supervisory activity.
Click Related Actions.
Click Bulk Download Documents.
Choose your desired category to download.
- Information Request
- Loan Request
- Matters Requiring Attention
- Exclude Information Request and Loan Request
- All Documents
Optional: Select the date range of when the documents were added to the SA.

Note: This may be helpful when trying to limit the number of documents selected for download to those that were recently added to the SA.
Click Send Request.
You will receive an email notification and a task will be assigned in the system for you to download the documents. You will have 60 minutes to complete this task, otherwise the task will expire, and you must submit a new bulk download request.
Click the task on the homepage.
Click Download Documents.

Note: If the SA is closed and locked, after the first bulk download request is made, any bulk download request after that is immediately available on the Summary page of the SA. There are two download buttons available for each document retention schedule.

Results

A folder with all relevant documents is downloaded in your browser.

Note: To help better organize the documents and provide context about where each document occurred within the SA, identifying attributes are added to the filenames for company and agency response documents. It is recommended to sort the extracted folder by name to best make use of the added identifying attributes.

Figure 1. Extracted files with the added identifying attributes of the abbreviated area for review (AFR) name and then the information request (IR), loan request (LR) or matter requiring attention (MRA) library ID numbers.

Screenshot of file explore with added metadata for Bulk Download Documents

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.