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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.
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.
One Company, One Exam (OCOE) Scheduling
Information about OCOE scheduling, its benefits, and how it is used in SES.
Mortgage OCOE Scheduling
Information about the mortgage component of the OCOE scheduling feature in SES.

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.
    - Supervisory Activities Page for Agency Users
      The Supervisory Activities page is where you can see a list of all supervisory activities in SES.
    - Overseeing Your Agency's Supervisory Activities
      Describes how the "Master Viewer" role in SES can be used to oversee an agency's supervisory activities (SAs).
    - Understanding the Library
      The Library was developed to help standardize the examination process from agency to agency. The library contains five types of items: procedures, information requests, references, areas for review, and work programs.
    - Managing the Library
      The library was developed to help standardize the examination process from agency to agency. Managing the library includes adding, removing and updating agency-specific library items.
    - Exam Scheduling
      Exam Scheduling allows an agency to plan out in advance which exams it will conduct in a given time period. Scheduling allows agencies to avoid duplicate examinations across state agencies through better information sharing.
    - One Company, One Exam (OCOE) Scheduling
      Information about OCOE scheduling, its benefits, and how it is used in SES.
      - Mortgage OCOE Scheduling
        Information about the mortgage component of the OCOE scheduling feature in SES.
        Viewing Mortgage OCOE Exams
        How to access and filter the OCOE scheduling feature for mortgage businesses.
        Setting Participation Level for Mortgage OCOE Exams
        How to set your agency's participation level for mortgage OCOE exams in SES.
        Accessing Research & Analytics for Mortgage OCOE Exams
        How to access Mortgage Scheduling Research & Analytics via the OCOE scheduling feature in SES.
      - MSB OCOE Scheduling
        Information about the MSB component of the OCOE scheduling feature in SES.
    - Bulk Downloading Supervisory Activity Documents
      How to download documents uploaded as part of a supervisory activity (SA).
    - External Supervisory Documents on a Company Record
      CSBS Support Staff can add documents to a company’s record in SES from external sources (other than NMLS and SES), including federal and state agencies.
  - 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.
- SES Examinations and Investigations Resources for Companies
  Responding to examinations and investigations in State Examination System (SES).
- Managing Interactions
  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.

Mortgage OCOE Scheduling

Information about the mortgage component of the OCOE scheduling feature in SES.

Mortgage OCOE scheduling supports the annual multistate mortgage examination process led by the MMC. Agency users use the Mortgage OCOE Scheduling workspace primarily to review selected companies and indicate how their agency intends to participate in each examination.

The OCOE schedule is generally established for the upcoming examination cycle and made available to states. Agency users are notified when the company list is ready and can then use SES to record their agency's intended participation instead of responding through a separate participation survey.

Displaying upcoming OCOE examinations in SES also gives agencies greater visibility when planning other examination activity. Companies selected for OCOE can be identified elsewhere in the SES scheduling process so users are aware of the planned multistate examination.

Agency User Responsibilities for Mortgage OCOE

Review the Mortgage OCOE scheduling list for the applicable year.
Review the available scheduling and agency participation information for a company.
Set or update your agency's intended participation level for an OCOE item.
Use Research & Analytics when additional company or examination information is needed and your Strategy permissions provide access.

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.