Agency Library Management

This policy addresses the management of the State Examination System (SES) library and defines the library’s terminology and functionality.

Approved 3/24/2020

The library is a feature of SES designed to carry out two main functions in the system:
  1. Maintain the core components of any exam program (e.g. information requests, procedures, and references) allowing users to easily access these materials while conducting a supervisory activity.
  2. Automate the development of an exam record by allowing the system to retrieve (from the library) and insert information requests and procedures applicable to the scope of the exam directly into an exam record.

Only agency users and support users have access to the library in SES. Company users cannot access the library. To maximize the automation SES provides in the exam workflow, agency users must become familiar with the terminology and functionality of the library. It is recommended that agencies appoint at least one agency representative to become familiar with the standard items (as defined below) in the library and proficient in the creation and ongoing management of agency-specific library items. The following sections define the terminology and functionality of the library.

Library Item Types

The library houses the following library item types:
  • ProceduresA procedure is template language used to guide the review of company documentation or compliance with statutes, regulations, and other requirements.
  • Information RequestsAn IR is template language used to request information from a company.
  • ReferencesAn item in the SES Library used by agencies to support the supervision process (e.g. workpapers, templates, manuals, report templates, etc.). These include template documents, websites, or any other reference materials.
  • Area for ReviewAn AFR is a review topic in the agency library that can be used to define the scope of an examination or investigation. AFRs are also used to categorize other library items.

Standard vs. Agency Library Item Categories

There are two categories of library items in the system, standard and agency. Standard library items are available in SES to facilitate the harmonization of exam activities among state agencies, by offering a common set of information requests, procedures, and references for use by all state agency users. CSBS staff manages the standard library items.

  • Standard Library ItemsUniform procedures, information requests, references and AFRs available to all agency and support users with access to the library. Only CSBS staff have the permission to add standard library items.
  • Agency Library ItemsAgency specific procedures, information requests, and references. Only agency staff directors and staff users have the permission to add and manage agency library items. All agency procedures and information requests are available for other agencies to view in the system. However, 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. All agency users in the agency have access to that agency’s library items and can add them freely to any supervisory activity.

Core vs. Non-core Library Labels

Core and non-core labels are attributes associated with information requests and procedures that control whether these items will be retrieved from the library and inserted directly into an exam record given the exam’s business activities and scope selections.

  • The core designation can be applied to both standard and agency procedures and information requests. Core Information Requests are automatically pulled on to an exam or investigation once scope is marked complete. Core procedures are automatically pulled on to an exam or investigation once the supervisory activity is moved to the “In-Flight” milestone. Attributes the system uses to make this determination:
    • Scope Type
    • Business Activities
    • AFR
  • Non-core Procedures and Non-core Information Requests will not be automatically added to an exam or investigation, but can be easily added if appropriate. Attributes the system uses to determine IRs and procedures available for quick add:
    • Scope Type
    • Business Activities
    • AFR

Guidelines for Agency Users

Agency users of SES will find numerous supervision resources available to use in the system in the form standard library items. By making these resources available to all agency users there is an opportunity to cultivate harmonization and areas of uniformity throughout the state regulatory system.

One of the first steps an agency can take to harmonize their supervisory processes is to evaluate the standard information requests and procedures in the system to identify similarities to their agency’s template information request lists and procedures. To the extent a standard information request or procedure in SES is substantially similar to what the agency is currently using, the agency should use the standard library item. By leveraging the standard information requests and procedures across the agencies using SES, the companies being examined through the system will become familiar with these standard items over time. Creating this familiarity will produce consistent expectations for companies examined by multiple agencies through SES.

Here are some additional guidelines:
  1. Agency references are not automatically shared with other agencies who have access to SES. Agency staff directors and staff users have the option to share their agency’s references with other agencies through the library. Sharing references across agencies will further enhance coordination and collaboration within the state regulatory system.
  2. When creating state-specific information requests, agency users should avoid consolidating multiple requests for information into a single information request. This practice makes it challenging for the company user to respond as they have a single text box along with one area to upload documentation.
  3. Agency users should never upload or include any confidential supervisory information (CSI) to any library item.

Document Retention for the Library

All documents uploaded to the library will remain in the library until a support user or agency user removes them.