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pdfPost-Exam Survey
Compliance Exam
OMB: 3064-0218
Expiration Date: May 31, 2025
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Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions
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FDIC 6600/59 (9-23)
INSTRUCTIONS: Please respond to the following questions regarding your recent Compliance and/or CRA examination
from the FDIC. Completing the questions will help us evaluate and identify ways to improve the quality and efficiency of
our examination process. Your responses will be kept confidential.
1. Pre-Examination Process
a. The lead-time provided to gather information for the
examination was sufficient.
b. The pre-examination requests were reasonable in scope.
c. Examiners used materials requested in the pre-examination
process during the examination.
d. The pre-examination request made the overall examination
process more efficient.
Strongly
disagree
Somewhat
disagree
Neither
agree nor
disagree
Somewhat
agree
Strongly
agree
e. Recommendations to improve the pre-examination process or best practices employed by examiners as part of the examination.
2. Examiners
a. The examiners effectively described the examination's scope
and objectives.
b. The examiners were knowledgeable about your institution.
c. The examiners demonstrated a thorough understanding of the
applicable consumer compliance laws and regulations.
d. The examiners were responsive to your questions and
concerns.
e. The examiners treated you professionally.
f. The examiners communicated effectively with senior
management throughout the examination, clearly and
concisely discussing areas of concern, preliminary findings,
and recommendations.
g. The examiners provided management an opportunity to
consider preliminary findings and provide additional
information or clarification that may mitigate identified areas of
concern.
Strongly
disagree
Somewhat
disagree
Neither
agree nor
disagree
Somewhat
agree
Strongly
agree
h. Recommendations regarding the examiners or best practices observed during the examination:
3. Virtual Process
(These questions pertain to portions of the examination completed
offsite/remotely.)
a. The blend of on-site and off-site activities seemed
reasonable.
b. Were technical issues encountered during the examination?
Technical issues were resolved in a timely manner with
minimal disruption.
c. Virtual interactions and communications with examiners
were effective.
Strongly
disagree
Somewhat
disagree
Neither
agree nor
disagree
Somewhat
agree
Strongly
agree
( Yes / No )
d. Recommendations to improve the virtual process of the examination or best practices employed by examiners as part of the
examination:
FDIC 6600/59 (9-23)
4. Examination Process
Strongly
disagree
a. FDIC staff discussed all major findings of the examination with
management prior to receipt of the Report of Examination.
Somewhat
disagree
( Yes / No )
b. Were there material changes in the Report of Examination
compared to preliminary findings and conclusions disclosed
during the examination or at the exit meeting?
Material changes in the Report of Examination were discussed
with management prior to the receipt of the Report of
Examination.
c. The examination was completed in a reasonable timeframe.
Neither
agree nor
disagree
Somewhat
agree
Strongly
agree
d. Recommendations to improve the examination process or best practices employed by examiners as part of the examination:
Strongly
disagree
Somewhat
disagree
a. The Report accurately reflected the examination findings and
recommendations conveyed during the examination.
b. The Report was easy to understand.
5. Report of Examination (Report)
c. The Report accurately portrayed your institution's practices
and condition.
d. The transmittal letter and other written communication
concerning the Report were clear and concise.
e. The Report contained useful recommendations for improving
your compliance management system and/or CRA program.
Neither
agree nor
disagree
Somewhat
agree
Strongly
agree
f. Recommendations to improve the Report of Examination or best practices employed by examiner as part of the examination:
6. Overall
a. The examination findings will assist you in enhancing your
compliance management system and/or CRA program.
b. Examiners conducted the examination in a fair and objective
manner.
c. Other comments or recommendations:
FDIC 6600/59 (9-23)
Strongly
disagree
Somewhat
disagree
Neither
agree nor
disagree
Somewhat
agree
Strongly
agree
7. Optional
Would you like the FDIC Office of the Ombudsman to confidentially contact
you about your institution's recent examination or any other matter?
Yes
No
Complete the information below and your survey will be forwarded to the Office of the Ombudsman.
First Name:
Last Name:
Telephone Number:
The Office of the Ombudsman (1-877-ASK-FDIC (877-275-3342)) is available to confidentially discuss problems with, or concerns
about, your examination. The Office of the Ombudsman's mission is: to be an effective, neutral, and confidential resource and
liaison for the banking industry and the general public; to facilitate the resolution of problems and complaints in a fair impartial and
timely manner; to provide prompt, meaningful feedback; and to influence positive change a the FDIC.
FDIC 6600/59 (9-23)
| File Type | application/pdf |
| File Title | 6600/59 Post-Exam Survey - Compliance |
| Subject | 6600/59 Post-Exam Survey - Compliance |
| Author | Robert Brown |
| File Modified | 2023-09-28 |
| File Created | 2021-12-23 |