Pre-Exam
Questions
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Requests
for pre-exam data and information, such as the items needed
list, avoided duplicate requests. Please provide supporting
comments if there were duplicate requests.
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Requests
for pre-exam data and information, such as the items needed
list, avoided duplicate requests. Please provide supporting
comments if there were duplicate requests.
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Yes
No
Open
text box for comments
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Revised
Pilot question
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Requests
for data and information during the exam avoided duplicate
requests, including information previously requested during
pre-exam planning. Please provide supporting comments if there
were duplicate requests.
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Requests
for data and information during the exam avoided duplicate
requests, including information previously requested during
pre-exam planning. Please provide supporting comments if there
were duplicate requests.
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Yes
No
Open
text box for comments
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New
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The
credit union received sufficient notification prior to the start
of the examination. Please include any comments about the
notification time and/or suggestions for improvement.
Please
provide the number of days prior notification was received.
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I
considered the credit union’s unique circumstances and
provided sufficient notification to the credit union prior to
the start of the examination. Please provide comments to
support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Open
text box for comments
0
– 10
11
– 20
21
– 30
>30
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Revised
Pilot question
New
– recommended by vendor
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The
credit union received the items needed list with sufficient time
to accommodate the requested data and information prior to the
start of the examination. Please included any comments about
the timing of the receipt of the items needed list.
Please
provide the number of days prior to the start of the
examination the items needed list was received.
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The
credit union provided requested documents timely to facilitate
completion of the examination. Please provide comments to
support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Open
text box for comments
0
– 10 days
11
– 20 days
21
– 30 days
>30
days
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Exam
Procedures
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Examiners
reviewed the annual audit, internal audit function, and/or the
Supervisory Committee activities and indicated the extent to
which they relied on these in arriving at any examination
conclusions. Please provide any comments to support your
response.
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The
exam team placed appropriate reliance on the annual audit,
internal audit function, and/or Supervisory Committee
activities. Please provide any comments to support your
response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Open
text box for comments
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New
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Examiners
consulted credit union management when analyzing and addressing
concerns. Please provide any comments to support your response.
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I
consulted credit union management when analyzing and addressing
concerns. Please provide any comments to support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
applicable
Open
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New
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The
monthly and/or quarterly monitoring materials provided
throughout the year by credit union management (e.g., Call
Report, etc.), along with the information provided as part of
the items needed list, facilitated the examiner’s
awareness of the credit union’s operations and financial
condition. Please provide any comments to support your
response.
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The
monthly and/or quarterly monitoring materials provided
throughout the year by credit union management (e.g., Call
Report, etc.), along with the information provided as part of
the items needed list, facilitated awareness of credit union
operations and financial condition. Please provide any comments
to support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
applicable
Open
text box for comments
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New
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The
exam review areas included those posing the highest risk to your
institution. Please provide any comments to support your
response.
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The
exam review areas included those posing the highest risk to the
credit union. Please provide any comments to support your
response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Open
text box for comments
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Pilot
question
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Exam-Related
Communication with Management and Officials
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The
exam team provided and discussed any draft Examiner’s
Findings, Documents of Resolution, and other concerns with
credit union management (CEO or designated credit union staff)
prior to presenting them to the board of directors. Please
provide any comments to support your response.
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The
exam team provided and discussed any draft Examiner’s
Findings, Documents of Resolution, and other concerns with
credit union management (CEO or designated credit union staff)
prior to presenting to the board of directors. Please provide
any comments to support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
Applicable
Open
text box for comments
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Pilot
question
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The
examiner offered to hold a Joint Conference – that is, a
meeting with the credit union’s board of directors –
to discuss conclusions from the examination. Please provide any
comments to support your response.
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I
offered to hold a Joint Conference to discuss conclusions from
the examination. Please provide any comments to support your
response.
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Yes
No
Open
text box for comments
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Pilot
question
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Examiners
kept management (CEO or designated credit union staff) updated
throughout the exam. Please provide any comments to support
your response.
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I
kept management (CEO or designated credit union staff) updated
throughout the exam. Please provide any comments to support
your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Open
text box for comments
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Similar
to pilot question
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Examiners
consulted with management or designated staff concerning time
frames for providing information and scheduling meetings.
Please provide any comments to support your response.
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I
consulted with credit union management or designated staff
concerning time frames for providing information and scheduling
meetings. Please provide any comments to support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Open
text box for comments
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Similar
to pilot question with changes
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Examiners
were responsive to credit union inquiries and questions. Please
provide any comments to support your response.
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The
credit union was responsive to my inquiries and questions.
Please provide any comments to support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
applicable
Open
text box for comments
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New
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The
examiners acted professionally, communicated in a respectful
manner, and made no attempt to intimidate credit union
personnel. Please note, factually identifying the potential
legal or regulatory consequences of something the credit union
is, or is not, doing, is not considered intimidation. Please
provide any comments to support your response.
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All
credit union personnel acted professionally, communicated in a
respectful manner, and made no attempt to intimidate examiners.
Please provide any comments to support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
applicable
Open
text box for comments
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New
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Exam
Report
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The
written exam report documented and explained the examiner’s
final conclusions and determinations. This includes CAMELS
Ratings, Risk Ratings, corrective action plans, and any other
concerns or conclusions. Please provide any comments to support
your response.
If
no, please identify the area or areas not well documented or
explained in the report.
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The
written exam report effectively communicated and supported final
conclusions and recommendations. Please provide any comments to
support your response.
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Yes
No
(If
no, subsequent question populates)
(multi-select)
CAMELS
Ratings
Risk
Ratings
Examiner
Findings
Documents
of Resolution
Supplementary
Facts
Other
concerns or conclusions
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Pilot
question
New
– suggested by vendor
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Any
corrective actions required were appropriate for the size and
complexity of the credit union when possible (that is, when
there was discretion to do so under applicable law or
regulation). Please provide any comments to support your
response.
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Whenever
possible (that is, when there was discretion to do so under
applicable law or regulation), I tailored any corrective action
plans provided to the size and complexity of the credit union.
Please provide any comments to support your response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
applicable
Open
text box for comments
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New
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Examiners
provided the opportunity for management to provide corrective
action plans and considered those plans in the final examination
report. Please provide any comments to support your response.
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I
provided credit union management the opportunity to provide
corrective action plans and considered those plans in the final
examination report. Please provide any comments to support your
response.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
applicable
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New
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The
final exam report was delivered at, or prior to, the exit
meeting with the CEO or designated credit union staff; or at, or
prior to, the joint conference with the credit union’s
Board of Directors (if one was held); or if changes resulted
from either of these meetings, was delivered within ten business
days thereafter. Please provide any comments to support your
response.
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The
final exam report was delivered at, or prior to, the exit
meeting with the CEO or designated credit union staff, or at, or
prior to, the joint conference with the credit union’s
Board of Directors (if one was held), or if changes resulted
from either of these meetings, was delivered within 10 business
days thereafter. Please provide any comments to support your
response.
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Yes
No
Open
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Pilot
question
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If
examination conclusions changed (Documents of Resolution,
Examiner Findings, CAMELS Ratings, Risk Ratings, etc.) after
drafts were provided to management, were the changes
communicated to management?
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If
examination conclusions changed (Documents of Resolution,
Examiner Findings, CAMELS Ratings, Risk Ratings, etc.) after
drafts were provided to management, were the changes
communicated to management?
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Yes
No
Not
applicable
Open
text box for comments
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New
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General
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To
keep up with changes in the credit union industry, what areas
should be included in the examination process that are (a) not
currently reviewed, or (b) only reviewed occasionally?
This
question is optional
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To
keep up with changes in the credit union industry, what areas
should be included in the examination process that are (a) not
currently reviewed, or (b) only reviewed occasionally?
This
question is optional
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Open
text box for comments
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New
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What
logistical or administrative changes would you like to see
implemented for NCUA examinations?
This
question is optional
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What
logistical or administrative changes would you like to see
implemented for NCUA examinations?
This
question is optional
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Open
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New
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Please
provide other comments about the exam or suggestions to improve
the examination process.
This
question is optional
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Please
provide other comments about the exam or suggestions to improve
the examination process.
This
question is optional
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Open
text box for comments
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New
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The
distribution of onsite and offsite (virtual/remote) examination
work was reasonable. Please provide any comments to support your
response.
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The
distribution of onsite and offsite (virtual/remote) examination
work was reasonable. Please provide any comments to support
your response.
Please
identify the percentage of examination work completed offsite.
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Strongly
agree
Agree
Somewhat
agree
Somewhat
disagree
Disagree
Strongly
disagree
Not
applicable
Open
text box for comments
0%
1%
- 15%
16%
- 30%
31%
- 45%
46%
- 60%
>60%
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New
from comments
Secondary
question for EIC only
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