Initiating a Supervisory Activity

The first step in conducting an exam, investigation, or enforcement in SES is to Supervisory Activity on a company.

About this task

Note: To initiate an SA, you must be assigned the Staff Director or User role.
Figure 1. Video: Initiating a Supervisory Activity
Fastpath: View the SES Milestones Prezi for a handy job-aid.


  1. Click Initiate Supervisory Activity on the SES home page.
    Click Initiate Supervisory Activity on the home page
  2. Search for the company.
    Search for the Company upon which you wish to conduct an SA
    Important: You must click Search. Pressing the Enter key does not generate search results.
  3. Select the company from the list and click Next.
    To initiate an SA, select the company from the search results and click Next
  4. Complete all required fields in the Basic Details section.
    Note: You can select an Exact Start Date when confirming the initiation of a Supervisory Activity. This field is optional and the definition of “start date” will vary by agency.
    Note: For an exam, you must choose a Scope Type:
    • Choose Full when conducting conducting a MMC multi-state exam
    • Choose Networked only if conducting an examination designated as a One Company, One Exam (OCOE). An OCOE is initiated through a supervisory committee like the MMC or MMET. Selecting Networked for Scope Type informs all state agencies that the exam is an OCOE and is intended to signal a request for all state agencies to join, accept or leverage the exam.
    • Choose Leveraged if you have access to and intend to use another agency's exam as part of your agencies own exam.
    Note: Scope Type cannot be changed later and drives the information requests (IRs) and procedures that are added to the supervisory activity (SA). If IRs are added to the Library after the scope for an SA is marked complete, SES does not automatically add the new IRs to the SA; the IRs need to be added manually.
  5. Select the relevant Business Types and Business Activities for the SA.
    Note: Multiple items can be selected from these two drop-down menus. To clear a selected item, click the highlighted item again.
  6. Upload any relevant documents.
  7. Click Next.
  8. Add any desired information in the Related Entities section.
  9. Click Next.
  10. Click Add Participants.
  11. Search for and select the desired member of your staff and assign as EIC.
    Note: You do not need to add any participants to initiate an SA, but it is a best practice to assign an EIC at this stage in the process.
    type the name of the EIC for this exam
  12. Click Next.
    Note: When adding an Examiner in Charge (EIC) or other participants, if a calendar icon appears, it means that user is actively participating on other SAs. Click the calendar icon
    calendar icon
    to see the current workload for the user.
  13. Ensure the information provided is correct.
  14. Select Schedule Supervisory Activity from the Next Action section.
    Note: You also have the option of Sending a Supervisory Activity for Review.
  15. Click Initiate Supervisory Activity in the bottom right.
    It may take a few seconds, but the newly initiated SA will appear in the supervisory activities section within the Active quick filter.
    Active Supervisory Activities

What to do next

Sending a Supervisory Activity for Review