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 ďCase Manager
Program.Ē The programís 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 institutionís primary federal regulator, this supervisory realignment may
result in a change in the regional office where your institution files applications processed by the
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 groupís major policymakers and decisionmakers are located. The designated
region is usually the region in which the groupís 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
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 institutionís 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 institutionís 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
Distribution: All Insured Banks and Savings Associations
Note: Paper copies of FDIC financial institution letters may be obtained through the FDICís
Public Information Center, 801 17th Street, N.W., Room 100, Washington, D.C. 20434 (800-
276-6003 or (703) 562-2200).