Examination Questionnaire

Comptroller of the Currency
Examination Questionnaire
This form is being used to help measure the effectiveness of the overall supervision of your institution,
including the examination that was just completed. Your input will help us evaluate the OCC’s
performance and progress in improving the efficiency and effectiveness of our supervision efforts.
Please complete the attached questionnaire and return it to Larry Hattix, Ombudsman, the
administrator of the program. Your response is entirely voluntary and will remain confidential
within our agency. If you would like to discuss this questionnaire, please feel free to contact
Larry Hattix at (713) 336-4350.

Methods of Response:
1) Mail: 1301 McKinney Street, Suite 3400, Houston TX 77010
2) Fax: (713) 336-4351
3) Electronically on OCC’s National BankNet:
Log on to National BankNet (www.banknet.gov)
Click Forms & Applications
scroll down to
The OCC’s Electronic Examination Questionnaire.
Click Add New Questionnaire to start the process.
If you have any questions or problems please contact the Ombudsman’s Office at (713) 336-4350.

PAPERWORK REDUCTION ACT STATEMENT FOR EXAMINATION QUESTIONNAIRE
No person is required to respond to an information collection unless it displays a currently valid OMB control
number. This information collection is approved under Office of Management and Budget (OMB) Control
Number 1557-0199. This information collection is voluntary. This information collection is needed to permit
an institution to provide feedback, directly to the Office of the Ombudsman, Office of the Comptroller of the
Currency (OCC Ombudsman), on the content and conduct of OCC examinations. The OCC Ombudsman will
use the information received to evaluate the effectiveness of the examination process and agency
communications. The OCC Ombudsman promotes OCC/banker communications and resolves problems and
conflicts.
The OCC expects to collect this information from approximately 2,229 institutions. Each respondent is
estimated to file 0.89 responses per year. The burden per response is expected to average approximately 10
minutes. The time for completing the questionnaire will vary. A response may take a very short time if
management has no descriptive comments, and could take 30 minutes or more in those instances where
management has substantial descriptive comments. The burden for this collection is estimated at 331 burden
hours per year.

OMB Control #1557-0199
Exp: 01-31-2014

Comptroller of the Currency
Examination Questionnaire
To be filled out by the Assigned Examiner:
Type of Examination:

□ Commercial □ Consumer Compliance □ CRA
□ Asset Management
□ Federal Branch/Agency

□ Information Technology (IT)
□ Other (specify)

Supervisory Cycle End Date:
Supervisory Office Location:

□ Northeastern

□ Central

□ Southern

□ Western

□ Mid-Size Institution

□ Large Institution

To be filled out by institution management:
Name and Position:
Institution Name:
Telephone Number:

Regarding the examination:

1. The examination scope was appropriate to accurately assess
the institution’s condition.

Completely
Somewhat
Completely
Agree
Agree
Disagree
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2. The examiners’ requests for information before and during the
activities were reasonable and justified by the examination scope.

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3. The examination team conducted their activities in a
professional manner.

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4. The examination placed appropriate reliance on the internal audit
function and internal risk management functions in the institution to
support effective supervision.

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5. The examiner-in-charge and examination team were
knowledgeable.

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6. The examiner-in-charge and examination team provided
useful feedback, observations and suggestions.

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7. The examiner-in-charge and examination team presented wellsupported relevant conclusions regarding the institution’s condition.

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8. The recommendations for corrective actions made by the
examiner-in-charge and the examination team were reasonable.

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9. During exit and board meetings, the examiner-in-charge and
examination team clearly and effectively communicated their
findings and concerns.

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CC-2000-01(Rev 6/98)

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OMB Control #1557-0199
Exp: 01-31-2014

Completely
Somewhat
Completely
Agree
Agree
Disagree
10. The tone and the content of the correspondence (reports, letters,
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conclusion memos, etc.) between the OCC and the institution were
+-----------+----------+-----------+----------+
consistent with the exit and board meetings.
11. The correspondence (reports, letters, conclusion memos, etc.)
between the OCC and the institution clearly communicated
supervisory findings, significant issues and corrective actions
(with timeframes) management and/or the board needed to take.

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12. On-going communication by the examiner-in-charge with senior
management and the board or board committee(s) was appropriate.

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13. Examiners minimized the burden to the degree possible on the
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institution, its officers and employees when conducting the examination. +-----------+----------+-----------+----------+
This included coordination and cross-reliance with other regulators.
14. The supervisory objectives and strategy incorporated appropriate
perspective and provided necessary focus on business risks,
assessment of their significance, and resulted in appropriate
development of the examination strategy, emphasis on key risk
areas and resulting areas of focus in the examination.

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15. The examination report was delivered in a timely manner, so
examination results and corrective actions required by
management were influenced in a timely and appropriate manner.

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Regarding the OCC’s overall supervision of your institution:
16. During the past year, OCC _______ has/have been responsive
to the institution’s needs:
a) field staff;
b) corporate staff (e.g., for corporate applications);
c) attorneys (e.g., for legal opinions);
d) accountants (e.g., for accounting opinions);
e) other _____________________________.

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(Please do not respond to b, c, d, or e if you have not dealt with OCC’s
corporate staff, attorneys, accountants, etc.)
17. The OCC identifies potential problems before they can cause
significant harm to the institution.

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18. The OCC’s supervisory efforts focus on banking activities that
pose the highest risk

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19. OCC regulations:
a) effectively target the areas of activity that present the
greatest risk to safety and soundness, the payments system, or the
long-term viability of the national banking system;

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CC-2000-01(Rev 6/98)

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OMB Control #1557-0199
Exp: 01-31-2014

b) promote competitiveness and allow industry innovation;
c) eliminate unnecessary regulatory requirements and minimize
the burden resulting from requirements necessary for effective
supervision.

Completely
Somewhat
Completely
Agree
Agree
Disagree
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20. The OCC works with the institution and follows-up to ensure
management addresses potential problems and risks.

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21. The OCC allows the offering of new products and services if
the institution has the expertise to manage the risks effectively
and to provide the necessary consumer protections.

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22. The OCC enforces CRA and fair lending laws by focusing on
the institution’s performance.

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Please use the space below to add any descriptive comments or add additional pages, if needed.
What are the most useful aspects of the OCC’s supervision, including the examination just completed?
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What are the least useful aspects of the OCC’s supervision, including the examination just completed?
__________________________________________________________________________________________
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Please indicate any areas where you think OCC examiners need greater knowledge to understand your
institution’s lines of business and their inherent risks.
__________________________________________________________________________________________
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Please address any areas where you think the OCC’s fundamental supervision approach and/or methods of
supervision need to change to evolve to keep pace with the industry.
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
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Please return this form to: Larry Hattix, Ombudsman, 1301 McKinney Street, Suite 3400, Houston TX
77010. Phone (713) 336-4350 Fax: (713) 336-4351.
CC-2000-01(Rev 6/98)

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