How prepared is your company for an examination? To best be prepared for an examination, please keep the following in mind:
Be sure to keep your business records organized.
- Copies of your documents should be stored systematically for timely, routine access.
Be familiar with how to pull reports from your electronic systems
- You will be required to provide transaction and financial records for the examination.
Review the examination questionnaires posted on the Department’s website.
- The Department provides examples of the standard examination requested items and questions.
The Department recommends creating a custom report from your system to capture the data points required, in anticipation of receiving a notice of examination.
- This can significantly reduce the time and potential stress of completing the questionnaire response.
The Department utilizes the State Examination System (SES) for examinations of certain license types.
- If you are selected for an examination in SES, you will need to ensure you add a Supervisory Activity Contact into the system. The examination will then be conducted almost exclusively through the system. Review the About SES page for more information.
The Department utilizes BOX.com to receive exam correspondence on exams conducted outside of SES.
- If you do not have an existing account from a previous examination with us, you will be asked to create a free individual account.
Maintaining your records in an organized way and preparing for an examination before receiving notice of it, means an easier examination process. If you have any questions about your examination obligations or your compliance with Washington requirements, please feel free to contact the Department at CSExamsUnit@dfi.wa.gov