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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.
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.
Using Exam Scheduling
Exam Scheduling allows an agency staff director to plan out in advance which exams it will conduct in a given time period.
Making and Confirming Decisions
After selecting companies for the queue, you need to decide what to do. You can schedule exams, leverage an existing SA, join or accept an SA from another state, or take no action on those companies for the present time.

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.
      - Using Exam Scheduling
        Exam Scheduling allows an agency staff director to plan out in advance which exams it will conduct in a given time period.
        Building Your Exam Scheduling “To-Do List”
        This explains how to use the exam scheduling feature to populate your Exam Scheduling Items page, which you can think of as your “to-do list” for future exams.
        Making and Confirming Decisions
        After selecting companies for the queue, you need to decide what to do. You can schedule exams, leverage an existing SA, join or accept an SA from another state, or take no action on those companies for the present time.
        Taking Action on Your Exam Scheduling "To Do" List
        The first part of the exam scheduling process is to populate your Exam Scheduling Items page with a list of companies and decisions for future supervisory activities. This task focuses on putting those decisions into action.
    - 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.

Making and Confirming Decisions

After selecting companies for the queue, you need to decide what to do. You can schedule exams, leverage an existing SA, join or accept an SA from another state, or take no action on those companies for the present time.

Before you begin

Building Your Exam Scheduling “To-Do List”

About this task

On the Make Decision page, you are given information displaying all active, upcoming and past supervisory decisions and pending join requests related to the selected companies, allowing you to make an informed decision on which exam related actions to take.

Procedure

Review the supervisory activity or complaints information for each company in your queue.
Optional: You can view all relevant complaints in a new tab by clicking the View Complaints button in the Complaints section for each company.
Select your desired option from the Decision list.
Click Next Company and continue reviewing and making decisions for all selected companies.
Click Continue to Confirm after making a decision on your last company in the queue.
Review your decisions and select Proceed with Decisions under Available Actions.
Click Proceed with Decisions.

Note: You can also proceed with the selected Exam Scheduling decision on the companies you have chosen and schedule more companies by clicking Proceed and Schedule More. This returns you to the Select Companies page.

Results

You see your Exam Scheduling Items list with the Ready and In Review quick filter selected. This section shows all the decisions that have been queued and allows you to work through those items.

Exam Scheduling Screen showing Ready and In Review filter selected

What to do next

Taking Action on Your Exam Scheduling "To Do" List

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.