Examiner-in-Charge School May 2023

Internal Use Only

Pre-Planning

Initial Contact with Management • Introduction •Sooner rather than later

Familiarize Yourself with the Bank •Internal and external documents •Conversations with examiners and bank management

Identify Key Risk Areas. •Draw conclusions on risks,

examination strategy, and assignments

Internal Use Only

Pre-Planning Continued

Requesting Examination Information • Draw conclusions on risks, examination strategy, and assignments

Determine Staffing • Subject matter experts •Sufficient to complete a timely examination

Creation of Scope Memo

•Varies by department • At a minimum, should cover •Institutional overview •Risk assessment •Discussions with Management •Prior examination findings •Financial analysis • Assignments/logistics