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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.
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.
Using Exam Scheduling
Exam Scheduling allows an agency staff director to plan out in advance which exams it will conduct in a given time period.
Taking Action on Your Exam Scheduling "To Do" List
The first part of the exam scheduling process is to populate your Exam Scheduling Items page with a list of companies and decisions for future supervisory activities. This task focuses on putting those decisions into action.

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 four types of items: procedures, information requests, references and areas for review.
    - 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.
      - Using Exam Scheduling
        Exam Scheduling allows an agency staff director to plan out in advance which exams it will conduct in a given time period.
        Building Your Exam Scheduling “To-Do List”
        This explains how to use the exam scheduling feature to populate your Exam Scheduling Items page, which you can think of as your “to-do list” for future exams.
        Making and Confirming Decisions
        After selecting companies for the queue, you need to decide what to do. You can schedule exams, leverage an existing SA, join or accept an SA from another state, or take no action on those companies for the present time.
        Taking Action on Your Exam Scheduling "To Do" List
        The first part of the exam scheduling process is to populate your Exam Scheduling Items page with a list of companies and decisions for future supervisory activities. This task focuses on putting those decisions into action.
    - Managing Agency Supervisory Activity Participants
      Participants on a Supervisory Activity can be added or removed at any time until the exam is Closed. You can also update user roles on an SA or reassign the Examiner in Charge (EIC).
    - 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).
- 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.

Taking Action on Your Exam Scheduling "To Do" List

The first part of the exam scheduling process is to populate your Exam Scheduling Items page with a list of companies and decisions for future supervisory activities. This task focuses on putting those decisions into action.

Before you begin

Complete the task: Making and Confirming Decisions

About this task

Exam Scheduling allows an agency to plan out in advance which exams it will conduct in a given time period. Scheduling also allows agencies in multiple states to avoid duplicate examinations on the same companies, thus making better use of resources and improving the experience for the companies you regulate.

Note: To use the exam scheduling feature in SES, you must be assigned the staff director role.

This task focuses on the decisions that require you to take action on your exam scheduling to-do list:

Procedure

Optional: If you selected Schedule Exam, click on the Company SES ID for the company you wish to initiate a supervisory activity.

The summary page for that company opens in a new tab and you can begin Initiating a Supervisory Activity.
Optional: If you selected Join Another SA, proceed to Joining a Supervisory Activity from the Exam Scheduling Tool,
Optional: If you selected Accept Another SA, proceed to Starting the SA Acceptance Workflow
Optional: If you selected Leverage Another SA, proceed to Initiating a Leveraged SA from the Exam Scheduling Page.

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.