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Financial Institution Letters

Realignment of Regional Office Responsibilities

April 10, 1997


SUBJECT: FDIC Realigns Regional Office Responsibilities as Part of New "Case Manager Program"

The FDIC has realigned the regional office responsibilities of its Division of Supervision (DOS) and Division of Compliance and Consumer Affairs (DCA) as part of its new “Case Manager Program.” The program’s goal is to streamline the supervision process and simplify communication channels with insured institutions.

As a result of the realignment, the FDIC regional office where your institution files applications, requests, and notices may have changed. If that is the case, you will receive a separate explanatory letter from your newly designated regional office.

The Case Manager Program is designed to consolidate under one FDIC regional office the supervisory and monitoring duties of all institutions constituting a group of related institutions. DOS and DCA will each appoint a regional office case manager as the focal point for all FDIC supervisory matters associated with your institution. The FDIC previously supervised or monitored insured institutions from the FDIC region in which the institution was located, often resulting in related institutions interacting with multiple FDIC regional offices.

If the FDIC is not your institution’s primary federal regulator, this supervisory realignment may result in a change in the regional office where your institution files applications processed by the FDIC.

Assigning DOS and DCA case managers to each institution or group of related institutions required the FDIC to realign geographic responsibilities and consolidate work functions.

Realignment of Geographic Responsibilities

FDIC regional office responsibilities have been realigned so that one designated FDIC regional office will supervise or monitor all the institutions that constitute a group of related institutions. The FDIC has designated which regional office is responsible for a group of related institutions based on where the group’s major policymakers and decisionmakers are located. The designated region is usually the region in which the group’s holding company or lead institution is located. Insured institutions to be supervised or monitored as a group of related institutions are generally linked by a common owner, such as a holding company.

The designated FDIC regional office for a group of related institutions will handle all supervisory and monitoring matters for those institutions, including processing applications and administrative actions. All applications are to be submitted directly to the designated FDIC regional office.

If your institution is not part of a group of related institutions, your designated FDIC regional office will continue to be the region in which your institution is located. There is also no change in your designated regional office if all the institutions in your group are within the geographic boundaries of one FDIC region.

Consolidation of Work Functions

Work functions performed by FDIC regional office staff have been consolidated so that the appointed DOS and DCA case managers are responsible for following all significant supervisory and risk-assessment matters associated with your institution or group of related institutions. As a result, the DOS case manager will generally process your institution’s examination reports and applications, and the DCA case manager will usually process examination reports and all other matters related to compliance and consumer affairs. Previously, several FDIC employees may have handled your institution’s affairs, depending on the work to be performed. For example, one employee may have processed applications while another reviewed examination reports.

We encourage ongoing communication between your institution and the DOS and DCA case managers. If you have questions about the Case Manager Program, please contact Christopher J. Spoth, Examination Specialist, DOS, on (202) 898-6611 or David K. Mangian, Regional Director, DCA, on (312) 382-7550.

Nicholas J. Ketcha Jr.
Director, Division of Supervision

Carmen J. Sullivan
Director, Division of Compliance and
Consumer Affairs

Distribution: All Insured Banks and Savings Associations

Note: Paper copies of FDIC financial institution letters may be obtained through the FDIC’s Public Information Center, 801 17th Street, N.W., Room 100, Washington, D.C. 20434 (800- 276-6003 or (703) 562-2200).

Last Updated 07/16/1999

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