The examination procedures listed below detail the areas to be reviewed at each bank examination. The References file is a listing of various state and federal statutes and rules along with accounting statements and other information associated with the applicable procedure. If you have any questions, please contact the Division of Strategic Support.
Examination Procedure |
Non Risk Focused |
Risk Focused
(if applicable) |
References
pdf
|
# 1 - Exam Planning |
|
|
|
Officer's Questionnaire |
(10/11)
|
|
Examination Request List |
(10/09) |
|
Examination Request List - BHC |
|
|
Examination Request List - Expanded
BSA |
(10/12) |
|
# 2 - Allowance for Loan and Lease Losses |
|
(08/11)
|
(04/11)
|
# 3 - Audit |
|
(01/13)
|
(02/13)
|
# 4 - Liquidity / Borrowed Funds |
|
(10/12)
|
(01/13) |
# 5 - Capital Accounts and Dividends |
|
(11/12)
|
(11/12) |
# 6 - Cash, Cash Items, and Clearings |
|
(02/12)
|
|
# 7 - Collections, Consigned Items, Safekeeping, and Safe Deposit |
|
(02/13)
|
|
# 8 - Deposits, Dormant Accounts, and Official Checks |
|
(02/13) |
(11/12) |
# 9 - Earnings |
|
(10/12) |
(01/12) |
#10 - Funds Management |
|
(08/11)
|
(01/12) |
#11 - Insurance and Risk Management |
|
(02/13)
|
|
#12 - Interbank Liabilities |
|
(08/11)
|
|
#13 - Investment Securities |
|
(08/11) |
(03/13)
|
#14 - Loans and Leases |
|
(02/13) |
(01/13) |
Worksheet #1 - Asset Based Lending |
|
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Worksheet #2 - Indirect Lending |
|
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Worksheet #3 - Floor Plan Inventory Financing |
|
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Worksheet #4 - Real Estate Lending |
|
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Worksheet #5 - Highly Leveraged Transactions and Leveraged Buy-Outs |
|
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Worksheet #6 - Agricultural Lending |
|
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Worksheet #7 - Oil and Gas Lending |
|
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Worksheet #8 - Consumer Installment and Credit Card Loans |
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Worksheet #9 - Letters of Credit |
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Worksheet #10 - Home Equity
Lending |
|
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Worksheet #11 - Nontraditional and Subprime Mortgage Lending |
|
|
#15 - Loan Review |
|
(10/12)
|
(01/13) |
#16 - Management |
|
(01/13) |
(04/12) |
#17 - Other Assets |
|
(01/13)
|
(09/11) |
#18 - Other Liabilities |
|
(01/13)
|
(07/09) |
#19 - Other Real Estate Owned |
|
(02/13)
|
(04/12) |
#20 - Overdrafts, Kite Suspect, and Cuts |
|
(10/12)
|
(06/10)
|
#21 - Premises and Equipment |
|
(02/13)
|
(10/10)
|
#22 - Related Organizations |
|
(01/13)
|
(04/11) |
#23 - Retail Sale of Nondeposit Investment Products |
(08/11)
|
|
(03/09) |
#24 - Temporary Mortgage Purchase Programs |
(08/11)
|
|
|
#27 - Other Supervisory Issues |
|
(02/13) |
(10/12) |
#28 - Bank Secrecy Act /Anti-Money
Laundering |
|
(04/10)
|
(04/13) |
