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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.
Networked Supervision
Networked Supervision allows agencies in multiple states to share resources on a supervisory activity.
More about Summary Level View vs Detail Level Access for a Supervisory Activity
Depending on the level of access granted within the system, agencies can see different information about a supervisory activity.

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.
  - 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.
    - Communicating with Other Agencies
      The Search Agencies feature in the Agency Management widget on the SES home page allows staff users or staff directors to view a list of all agencies, and filter or search that list to find a specific agency in any state or U.S. territory.
    - More about Summary Level View vs Detail Level Access for a Supervisory Activity
      Depending on the level of access granted within the system, agencies can see different information about a supervisory activity.
    - Requesting Access to a Supervisory Activity
      To get more insight on a supervisory activity (single or multi-state) that is currently in progress or already took place, this feature allows you to request access. When the request is approved, detail level access to the supervisory activity (SA) becomes available.
    - Responding to a Request to Access a Supervisory Activity
      The Staff Director or User can view and manage any Supervisory Activity access requests from the homepage. Allowing another agency to access supervisory activities conducted by your agency allows information about companies under supervision to be shared.
    - Invitations to Join a Supervisory Activity
      An agency staff director can invite other agencies to participate in an SA. The invitation is sent to all staff directors at the invited agencies.
    - Joining a Supervisory Activity
      Joining another agency's supervisory activity allows you to participate in the process of examining a company. This reduces the regulatory burden on companies and duplication of effort within state agencies that regulate the same company.
    - Responding to a Request to Join a Supervisory Activity
      When multiple agencies come together to conduct a SA on a company, it is called a multi-state SA. It includes the lead agency (Examiner in Charge) and participating agencies. Participants from additional agencies can have the examiner/examiner reviewer roles.
    - Accepting a Supervisory Activity
      Supervisory Activity acceptance is a system workflow that allows agencies to accept another agency’s SA in their completed Examination. This functionality supports the objectives of networked supervision (Multi-state Examinations) by giving state agencies another tool to collaborate and leverage the work of other agencies.
    - Leveraging Another Agency's Supervisory Activity
      Leveraging another agency's Supervisory Activity allows your agency to include that SA in your examination.
    - Modifying the Lead Agency in a Multi-state SA
      If the Lead Agency changes during the course of a multi-state supervisory activity (SA), you can reassign the lead agency and the Examiner in Charge (EIC) before the report is sent or before the SA is closed.
    - SA Records Created by CSBS Support Staff
      CSBS support staff can create Multi-state Mortgage Committee (MMC) shell exams on behalf of agencies.
- 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.

More about Summary Level View vs Detail Level Access for a Supervisory Activity

Depending on the level of access granted within the system, agencies can see different information about a supervisory activity.

Summary Level View of a Supervisory Activity

All agency users with a supervisory activity related system role are automatically granted a summary level view of all supervisory activities in SES. See SES Agency System Roles & Consumer Complaints Roles for more information.

Summary level view information only includes the Summary and Access and Usage tabs.

Depending on your role, you can request detail level access to another agency’s supervisory activity. See Requesting Access to a Supervisory Activity for more information.

Summary level view of an SA record

Detail Level Access to Another Agency's Supervisory Activity

Once you are granted access to another agency’s supervisory activity, you can see more details.

Depending on the milestone the supervisory activity has reached, it is possible for you to see the information within the following tabs:

Summary
Details
Access and Usage
Participants
Scope
Plan
Information Requests (including documents sent by the company)
Loan Requests
Examination
Report
MRA
Interactions
Time & Expenses
Close Out

Detail level access of an SA record

A Note about Related Actions and Roles

There are some intricacies about the information available to you and the related actions you can take that are dependent on whether your agency has been granted access to a supervisory activity. See the table below.

Table 1. Related Actions Based on Access to a Supervisory Activity
Related Action	Granted Access to SA	Without Access to SA
View Agency Record	X	X
View Supervisory Activities on an Agency Record (for which Agency is a Participant)	X	X
View Company Record	X	X
View Company User Record and SAs on a Company User Record	X	X
View Summary Level Supervisory Activities	X	X
View Detailed Supervisory Activities	X
Export Procedures	X
View Final Version of Report	X
View Company Response to Report	X

One other thing to note is that once you are assigned as a participant on a supervisory activity, the related actions and information available to you change depending on your role. See SES Agency System Roles & Consumer Complaints Roles for more information.

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.