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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.
SA Records Created by CSBS Support Staff
CSBS support staff can create Multi-state Mortgage Committee (MMC) shell exams on behalf of agencies.
Updating SA Records Created by CSBS Support Staff
Agencies can update the basic details of supervisory activity (SA) records created by CSBS support staff.

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.
      - Updating SA Records Created by CSBS Support Staff
        Agencies can update the basic details of supervisory activity (SA) records created by CSBS support staff.
- 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.

Updating SA Records Created by CSBS Support Staff

Agencies can update the basic details of supervisory activity (SA) records created by CSBS support staff.

About this task

The staff director from the lead agency identified in an SA record created by CSBS support staff can update the basic details of the SA.

Procedure

Navigate to your supervisory activity.
Click the Details tab.
Click the Update Basic Details button.
Update the location, target start month, target start year, exact start date, or scope type for the SA.

Note: You can update the scope type any time before the report is sent to the company. If you change the scope type to Leveraged, you must enter the SA ID of the SA that you are leveraging. See Leveraging Another Agency's Supervisory Activity for more information.
Click the Update Basic Details button.

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.