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Enforcement Actions
Enforcement actions are a formal regulatory measure used to address violations of law, unsafe or unsound practices, or noncompliance identified through supervisory or investigative activities.
SES Enforcement Action Resources for Agencies
How to manage enforcement actions in SES.
Managing Enforcement Actions
Learn how to create, review, and manage enforcement actions in the State Examination System (SES).
Moving an Enforcement Action to In Progress
Move an enforcement action to the In Progress milestone so participants can begin conducting the enforcement action.

Enforcement Actions
Enforcement actions are a formal regulatory measure used to address violations of law, unsafe or unsound practices, or noncompliance identified through supervisory or investigative activities.
- SES Enforcement Action Resources for Agencies
  How to manage enforcement actions in SES.
  - 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.
  - Setting Up Users for Enforcement Actions
    Learn how to assign SES Enforcement Action roles to agency users so they can access and work with enforcement actions in SES.
  - Enforcement Actions Homepage
    The Enforcement Actions homepage is the main workspace for users working with enforcement actions in SES. From this page, users can initiate enforcement actions, review invitations to join multi-state enforcement actions, and access enforcement actions associated with their agency.
  - Viewing and Searching for Enforcement Actions
    Search for enforcement actions in SES and open the desired enforcement action to view its details.
  - Managing Enforcement Actions
    Learn how to create, review, and manage enforcement actions in the State Examination System (SES).
    - Initiating an Enforcement Action
      Initiate a new enforcement action in SES by selecting a company and entering enforcement action details.
    - Reviewing an Enforcement Action before Initiating
      Review an enforcement action created from a supervisory activity referral and decide whether to initiate or cancel the enforcement action.
    - Moving an Enforcement Action to In Progress
      Move an enforcement action to the In Progress milestone so participants can begin conducting the enforcement action.
    - Inviting Agencies to Join a Multi-state Enforcement Action
      Invite other agencies to join an enforcement action so they can participate in a multi-state enforcement action in SES.
  - Conducting an Enforcement Action
    Learn how to conduct enforcement actions in SES after an enforcement action has been initiated.

Moving an Enforcement Action to In Progress

Move an enforcement action to the In Progress milestone so participants can begin conducting the enforcement action.

About this task

After an enforcement action has been initiated, it must be moved to the In Progress milestone before participants can begin conducting the enforcement action. Once the enforcement action is in progress, participants can upload documents, communicate with other participants or agencies, and manage enforcement action information.

Procedure

Access the Enforcement Actions area of SES.
On the Enforcement Actions homepage, locate the enforcement action in the Open Enforcement Actions section.
Select the EA ID link for the enforcement action you want to open.
On the Summary page, select Move to In Progress.
Confirm the action.

Results

The enforcement action moves to the In Progress milestone and participants can begin conducting the enforcement action.

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.