Run FDIC/NCUA Examination Preparation Request Package Checklist — Free

Exam Scope and Request Tracking

Exam type and scope documented critical (required)

Verify whether the review is FDIC, NCUA, or another supervisory exam, and confirm the business units, products, and locations in scope.

Yes No N/A

Exam request list logged with owners and due dates critical (required)

Maintain a current tracker showing each requested item, assigned owner, due date, status, and submission date.

Yes No N/A

Note (optional)

Document naming and version control standard applied

Confirm files use a consistent naming convention and include version/date identifiers for examiner review.

Yes No N/A

Submission package index completed

Confirm the package includes a master index or table of contents that maps each request to the supporting file name.

Yes No N/A

Governance and Board Materials

Board minutes for the review period available critical (required)

Provide approved board minutes covering the exam period and any material governance decisions relevant to the request package.

Yes No N/A

Board and committee packets retained

Confirm board and committee agendas, packets, and presentations are available for the requested period.

Yes No N/A

Approved policies and annual reviews documented critical (required)

Verify current approved policies are included with approval dates and last review dates, especially for high-risk areas.

Yes No N/A

Management reporting to the board is complete

Confirm regular reporting on risk, compliance, audit, and key performance indicators is available for examiner review.

Yes No N/A

Audit, Compliance, and Risk Reports

Internal audit reports for the period included critical (required)

Attach completed internal audit reports, ratings, and management responses for the requested timeframe.

Yes No N/A

External audit or independent review reports included

Provide the most recent external audit, independent review, or attestation reports relevant to the exam request.

Yes No N/A

Compliance monitoring and testing results included critical (required)

Confirm compliance testing results, monitoring summaries, and exception reports are included for the review period.

Yes No N/A

Risk assessments and risk appetite updates included

Provide current risk assessments, risk appetite statements, and any updates approved during the review period.

Yes No N/A

Open issues and findings log current critical (required)

Verify the findings log includes all open audit, exam, and compliance issues with owners, due dates, and status.

Yes No N/A

Policies, Procedures, and Control Evidence

Core operating policies included critical (required)

Attach current policies for lending, deposits, BSA/AML, information security, vendor management, and business continuity as applicable.

Procedures reflect current practice

Verify procedures are current, approved, and aligned to actual workflow and control execution.

Yes No N/A

Control testing evidence included critical (required)

Provide samples, reconciliations, monitoring results, or other evidence showing controls operated during the review period.

Yes No N/A

Regulatory change tracking completed

Confirm recent regulatory changes, guidance updates, and policy revisions have been tracked and addressed.

Yes No N/A

Findings, Corrective Actions, and Submission Readiness

Findings tracker includes root cause and remediation status critical (required)

Confirm each open issue includes root cause, corrective action, owner, target date, and current status.

Yes No N/A

Evidence of issue closure attached where applicable

Attach closure evidence for remediated findings, including testing or validation results where available.

Yes No N/A

Outstanding exceptions and compensating controls documented

Document any unresolved exceptions, temporary workarounds, and compensating controls for examiner awareness.

Yes No N/A

Final package reviewed and approved for submission critical (required)

Confirm the completed request package has been reviewed for completeness, accuracy, and consistency before submission.

Yes No N/A

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Run: FDIC/NCUA Examination Preparation Request Package Checklist

Exam Scope and Request Tracking

Governance and Board Materials

Audit, Compliance, and Risk Reports

Policies, Procedures, and Control Evidence

Findings, Corrective Actions, and Submission Readiness

Get your results