FDIC Examination Preparation

Comprehensive checklist for preparing for FDIC or state examiner visits. Covers document gathering, staff preparation, and logistics. Start 4-6 weeks before examination. Best for: Compliance officers, senior management.

5 steps

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Process steps

Review request letter and prepare document list

4 weeks from previous step

task

Analyze the examination request letter. Note all documents requested and deadlines. Create a tracking spreadsheet for each item. Assign responsibility for gathering each document. Start with items that take longest to compile - loan files, board minutes, policy documents.

Form fields in this step

Request Letter Received *

Number of Items Requested *

Document Tracking Created *

Prepare examination workspace

1 weeks from previous step

task

Set up a dedicated room for examiners with desks, chairs, phone, printer, and network access. Ensure confidential documents can be secured overnight. Stock with basic supplies. Test all equipment before examiners arrive.

Form fields in this step

Room Assigned *

Equipment Tested *

Network Access Configured *

Brief staff on examination protocols

3 days from previous step

task

Hold pre-exam meetings with key staff. Review who will be primary contacts for each examination area. Remind staff: be responsive, be accurate, answer only what's asked, and escalate difficult questions. Stress the importance of professionalism.

Form fields in this step

Staff Briefing Completed *

Primary Contacts Assigned *

Conduct pre-exam file review

2 weeks from previous step

task

Review your own files before examiners do. Check loan documentation, BSA files, compliance logs for gaps or issues. It's better to find problems yourself than have examiners find them. Document any issues discovered and corrective actions underway.

Form fields in this step

File Review Completed *

Issues Identified

Corrective Actions Initiated

Final preparation and opening meeting

1 days from previous step

task

Day before: confirm all documents are ready, exam room is set, and key staff are available. Day of: welcome examiners professionally, provide requested materials promptly, and establish communication protocols. Set regular check-in times.

Form fields in this step

All Documents Delivered *

Opening Meeting Completed *

Check-in Schedule Established *