NCUA 5310 NCUA Profile Form 5310

Corporate Credit Union Monthly Call Report and Annual Report of Officers

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NATIONAL CREDIT UNION ADMINISTRATION
ALEXANDRIA, VA 22314-3428
OFFICIAL BUSINESS

Corporate 5310 Non-Financial Profile Form

Corporate Credit Unions should review and update this information during completion of their Monthly
Call Report, as necessary. The following pages replaced the annual Report of Officials and some 5310
Call Report fields credit unions completed. Once the credit union initially enters this information, data
entry is only required if:
- A new data collection is added
- The credit union needs to add required information
- The credit union needs to edit any information
- The credit union needs to delete any information

If you have any non-technical questions, contact your National Credit Union Administration examiner,
supervisory examiner or Office of National Examination and Supervision, as appropriate. For technical
questions, contact NCUA Customer Technical Support at 800-827-3255 or [email protected]

As of : ______________

CERTIFICATION

Credit Union Name :

Charter Number :

I understand each operating insured credit union must update their credit union profile within 10 days after the election or
appointment of senior management or volunteer officials, or within 30 days of any change of the information in the profile.
I hereby certify to the best of my knowledge and belief the information provided is current and accurate. I make this certification
pursuant to sections 106, 120, and 204 of the Federal Credit Union Act (12 U.S.C. 1756, 1766, and 1784).

Certified By

Last Name :

First Name :

Full Name :

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As of : ______________

CERTIFY COMPLIANCE MINIMUM SECURITY DEVICES AND PROCEDURES
NCUA RULES AND REGULATIONS PART 748
FEDERALLY INSURED CREDIT UNIONS ONLY
Charter Number :

Credit Union Name :

I hereby certify to the best of my knowledge and belief that this credit union has developed and administers a security program
that equals or exceeds the standards prescribed by Part 748.0 of the NCUA Rules and Regulations; that such security
program has been reduced to writing, approved by this credit union's Board of Directors; and this credit union has provided for
the installation, maintenance, and operation of security devices, if appropriate, in each of its offices. Further, I certify that I am
the president or managing official of the credit union or that the president or managing official has authorized me to make this
submission on his/her behalf.

Certified By

Last Name :

First Name :

Job Title :

Full Name :

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As of : ______________
GENERAL INFORMATION
Credit Union Name :

Charter Number :

1 . Indicate the type of credit committee the corporate has :

2 . Provide the corporate's primary Settlement Agent :

3 . Provide the corporate's Employer Identification Number (EIN) :

4 . Is the corporate a member of the Federal Home Loan Bank (FHLB)?

5. Has the corporate pledged collateral with FHLB?

6. Has the corporate filed an application to borrow from the Federal Reserve Bank (FRB) Discount Window?

7. Has the corporate pledged collateral with the FRB?

8. Is the corporate an FRB Excess Balance Account (EBA) Agent?

9. What is the total number of members using an EBA account?

10. What is the corporate's Federal Reserve RSSD number?

11. What is the credit union's organizational website address?

12. List of approved expanded authority.

Expanded Authority

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Effective Date

EA Permission Type

Authorization type

NCUA Profile Form 5310

Authorization Type Comments

As of : ______________
INFORMATION SYSTEMS AND TECHNOLOGY (IS&T) - (1)
Credit Union Name :

Charter Number :

1. Does the credit union have a informational website?
a. Website Address :
b. Website Access :
c. Website Hosting :
d. Website Vendor, if outsourced :

2. Does the credit union have a transactional website for members?
a. Website Address :
b. Website Access :
c. Website Hosting :
d. Website Vendor, if outsourced :

3. Does the credit union employ the following technologies?
a. Wireless Networks :
b. Virtualization :
c. Cloud Computing :
4. Does the credit union provide core data processing?
a. System Access :
b. Authentication Methodology :
c. Data Processing Platform :
d. Data Processing Vendor :

5. Does the credit union provide item processing services?
a. System Access :
b. Authentication Methodology :
c. Item Processing Platform :
d. Item Processing Vendor :

6. Does the credit union provide remote deposit capture?
a. System Access :
b. Authentication Methodology :
c. Data Processing Platform :
d. Data Processing Vendor :

7. Role(s) the Corporate assumes in ACH processing :
ODFI

Receiving Point

Settlement Point

RDFI

Sending Point

Third Party Processor

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INFORMATION SYSTEMS AND TECHNOLOGY (IS&T) - (2)
Credit Union Name :

As of : ______________
Charter Number :

8. Does the credit union provide ACH receipt services?
a. System Access :
b. Authentication Methodology :
c. ACH Data Processing Platform :
d. ACH Data Processing Vendor :

9. Does the credit union provide ACH origination services?
a. System Access :
b. Authentication Methodology :
c. ACH Data Processing Platform :
d. ACH Data Processing Vendor :

10. Does the credit union provide domestic fund transfer services?
a. System Access :
b. Authentication Methodology :
c. Domestic Wires Processing Platform :
d. Domestic Wires Processing Vendor :

11. Does the credit union provide international fund transfer services?
a. System Access :
b. Authentication Methodology :
c. International Wires Processing Platform :
d. International Wires Processing Vendor :

12. What processes can a member credit union use to initiate payment transfers or transactions?
Email

Telephone

In Person

Fax

Internet

Other

13. Which FRB district(s) is used for payment processing?
Boston

Cleveland

Chicago

Kansas City

New York

Richmond

St. Louis

Dallas

Philadelphia

Atlanta

Minneapolis

San Francisco Board

14. Other Services Offered Electronically
Mobile Banking

Share-to-Share Transfers

Balance Inquiry

Loan Payments

Statement Rendering

Share-to-Loan Transfers

Download Account History

View Account History

Bill Payment

Loan (LOC)-to-Share Transfers

e-Statements

Billing Reports

Download ACH and Share Draft and Image Files

Other
15. Please list your BSA and OFAC vendor
BSA
OFAC

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As of : ______________
INFORMATION SYSTEMS AND TECHNOLOGY (IS&T) - (3)

Charter Number :

Credit Union Name :

DATA PROCESSING AND CRITICAL SYSTEM CONVERSIONS
If the corporate has undergone or plans to undergo a Data Processing Conversion, please provide the following:

Conversion Date

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Converted To

NCUA Profile Form 5310

As of : ______________

REGULATORY INFORMATION

Charter Number :

Credit Union Name :

1. Please provide the date of the most recent annual meeting held by the credit union :
2. Please provide the date of the most recent financial statement audit :
3. Please provide the last type of audit performed for the credit union's records :
4. Provide the name of the Audit Firm or Auditor :
5. Provide the date of the most recent Bank Secrecy Act Independent Test :
6. Provide your Supervisory Committee contact information for public/official correspondence
Mailing Address Line 1 :
Mailing Address Line 2 :
Mailing City:

State :

Zip Code:

Email Address :
7. Indicate the Fidelity Bond Provider Name :
8. Indicate the amount of Fidelity Coverage for any Single Loss :
9. In the event of a disaster, will the credit union communicate with members through a website ?
10. Please check the resources or services you have available and would be willing to share with other credit unions
during the time of an emergency.
Generator

Mobile Branch

Staff/Management Services

IT Support

Office Space

Cash Non-Member Share Drafts

11. Please provide the date of the last disaster recovery test completed by the corporate :
a. Indicate the method(s) used for the last disaster recovery test completed by the corporate.
Orientation/Walk Through

Functional Testing

Tabletop/Mini-Drill

Full-Scale Testing

12. Provide the most recent Independent Risk Management Expert or Committee contact information
First Name :

Last Name :

Affiliation :
If Contract, provide the name of the organization :
13. Please provide the Section 748 Certification Date :
14. Please provide the Section 748 Certifier Name :
15. Please provide the Credit Union Certifier Title for the Section 748 Certification :
16. Please provide the most recent validation date of NEV model :
17. Please provide the name of the NEV model validator :

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As of : ______________
PRODUCTS AND SERVICES

Credit Union Name :

Charter Number :

Member Service and Product Offerings - Place a "" in the associated box of all product and service offerings that apply
ATM/Debit Card Program

Bill Payment

No surcharge ATMs

Mobile Banking/Payments

Prepaid Debit Cards

Insurance/Investment Sales

International Remittances

Overdraft Lines of Credit

Business Share Accounts

Advised Lines of Credit

Bilingual Services

Participation Loans

Corporate Developed-Bond Borrowed Program

Financial Literacy Workshops

Minority Depository Institution Questions
1. Is more than 50% of the corporate's board of directors Black American, Native American, Hispanic America, or Asian American?
If yes, please identify the minority group(s) that apply:
Black American

Hispanic American

Native American

Asian American

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CREDIT UNION PARTNERSHIPS
Credit Union Name :

As of : ______________
Charter Number :

Partnership Information - Please provide information on any partnerships you have with other credit unions.
Name of Credit Union Partner

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Service Type

NCUA Profile Form 5310

Relationship Type

As of : ______________
MERGER REGISTRY
Credit Union Name :

Charter Number :

1. Is your credit union interested in expanding its Field Of Membership through a consolidation of another credit union?
If Yes, Please proceed to the remaining questions.
2. Provide the name and phone number of the person at the credit union who can be contacted regarding any potential consolidations.
Job Title :
First Name :

Last Name :

Phone :

Extension :

3. Identify the geographic areas in which the credit union would be interested.
Anywhere in the United States
Anywhere within Selected States

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As of : ______________

CONTACTS
Charter Number :

Credit Union Name :
Home Address
Job Title(s) :

Work Address

Line 1 :

Line 1 :

Line 2 :

Line 2 :

Salutation :
First Name :

City :

City :

Middle Name :

County :

County :

Last Name :

State :

Employment Type :

Country :

Country :

Role(s) :

Phone :

Phone :

Ext. :

Fax :

Cell :

Fax :

Zip :

Cell :

Email :

Zip :

Email :

Credit Union Employer :
Job Title(s) :

State :

Work Job Title :
Line 1 :

Line 1 :

Line 2 :

Line 2 :

Salutation :
First Name :

City :

City :

Middle Name :

County :

County :

Last Name :

State :

Employment Type :

Country :

Role(s) :

Phone :
Fax :

Zip :

Cell :

Email :

Zip :

Phone :

Ext. :

Fax :

Cell :

Email :

Credit Union Employer :
Job Title(s) :

State :
Country :

Work Job Title :
Line 1 :

Line 1 :

Line 2 :

Line 2 :

Salutation :
First Name :

City :

City :

Middle Name :

County :

County :

Last Name :

State :

Employment Type :

Country :

Country :

Role(s) :

Phone :

Phone :

Ext. :

Fax :

Cell :

Fax :

Zip :

Cell :

Email :

Email :

Credit Union Employer :

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State :

Work Job Title :

NCUA Profile Form 5310

Zip :

SITES

As of : ______________
Charter Number :

Credit Union Name :
Physical Address
Site Type :

Mailing Address

Line 1 :

Line 1 :

Line 2 :

Line 2 :

Public Site:
Site Name :

Operational Status :
Main Office :

Fax :

City :

City :

Phone Number :

Ext. :

County :

County :

Hours of Operation :

State :

Zip :

Country :

State :

Zip :

Country :

Site Function(s) :

Site Type :

Line 1 :

Line 1 :

Line 2 :

Line 2 :

Public Site:
Site Name :

Operational Status :
Main Office :

Fax :

City :

City :

Phone Number :

Ext. :

County :

County :

Hours of Operation :

State :

Zip :

Country :

State :

Zip :

Country :

Site Function(s) :

Site Type :

Line 1 :

Line 1 :

Line 2 :

Line 2 :

Public Site:
Site Name :

Operational Status :
Main Office :

Fax :

City :

City :

Phone Number :

Ext. :

County :

County :

Hours of Operation :

State :

Zip :

Country :
Site Function(s) :

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State :
Country :

NCUA Profile Form 5310

Zip :


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