Job Aid: Conducting Your First Enforcement Action in SES

This job aid serves as a guide for users conducting their first enforcement action in the State Examination System (SES). It highlights the basic workflow of an enforcement action in SES and points out important information along the way.

An enforcement action (EA) is a regulatory action taken by an agency to address violations of laws, regulations, or other supervisory concerns. SES provides a centralized workspace where agencies can initiate enforcement actions, collaborate with other agencies, and manage documents and communications related to the action.

Enforcement actions may involve a single agency or multiple agencies. SES allows agencies to invite other regulators to participate in a multi-state enforcement action when appropriate.

Basic enforcement action workflow

Most enforcement actions in SES follow a similar workflow. The following high-level process outlines the typical steps for conducting an enforcement action.

  1. Set up enforcement action users by assigning SES Enforcement Action roles. See Setting Up Users for Enforcement Actions.
  2. Initiate the enforcement action. See Initiating an Enforcement Action
  3. Add agency participants who will work on the enforcement action. See Managing Participants on an Enforcement Action
  4. (Optional) Add related NMLS entities associated with the enforcement action.
  5. (Optional) Add related supervisory activities associated with the enforcement action.
  6. Move the enforcement action to the In Progress milestone.
  7. Conduct the enforcement action by uploading documents and communicating with participants or other agencies. See Conducting an Enforcement Action

Multi-state enforcement actions

SES supports collaboration between regulatory agencies. When initiating or managing an enforcement action, agencies can invite other agencies to join the enforcement action as participants. Invited agencies can review the enforcement action and choose whether to participate.

Multi-state enforcement actions allow participating agencies to coordinate regulatory actions, share documents, and communicate within a single enforcement action workspace in SES.

See Inviting Agencies to Join a Multi-state Enforcement Action for more information.

Enforcement action milestones

Each enforcement action moves through a series of milestones that reflect the stage of the enforcement action workflow.

Saved
The enforcement action is saved before being initiated. Enforcement supervisors typically enter initial enforcement action information during this stage.
In Review
The enforcement action is created automatically when closing out a supervisory activity with a referral to enforcement. Enforcement supervisors review the enforcement action details.
Initiated
The enforcement action has been initiated. Enforcement managers define the details of the enforcement action and prepare it for active work.
In Progress
The enforcement action is actively being conducted. Participants upload documents, collaborate with other agencies, and communicate about the enforcement action.
Closed
The enforcement action is complete. Once closed, no additional actions can be taken on the enforcement action.