Annual Stress Test Rule and Company-Run Annual Stress Test Reporting Templates

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
OCC DFAST-14A Regulatory Capital Template	Form	New	Available
OCC DFAST-14A Contact Template	Form	New	Available
OCC DFAST-14A Scenario Template	Form	New	Available
OCC DFAST-14A Operational Risk Template	Form	New	Available
OCC DFAST-14A Basel III Capital Template	Form	New	Repair queued
OCC DFAST-14A Counterparty Risk Template	Form	New	Available
Supporting Statement - Stress Test Templates (50 Billion or More)(1557-0311).docx	Supporting Statement A	Uploaded 2012-12-05	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
204748	OCC DFAST-14A Regulatory Capital Template	Form	New
204745	OCC DFAST-14A Contact Template	Form	New
204744	OCC DFAST-14A Scenario Template	Form	New
204743	OCC DFAST-14A Operational Risk Template	Form	New
204742	OCC DFAST-14A Basel III Capital Template	Form	New
204741	OCC DFAST-14A Counterparty Risk Template	Form	New
204740	OCC DFAST-14A Summary Schedule Template	Instruction	New
200037	Publication - Final Rule		Modified
200036	Reporting - Final Rule		Modified
200035	Methodologies and Practices - Final Rule		Modified

ICR Details

OMB Control No: 1557-0311	ICR Reference No: 201211-1557-001
Status: Historical Active	Previous ICR Reference No: 201209-1557-002
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Annual Stress Test Rule and Company-Run Annual Stress Test Reporting Templates
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/14/2012
	Date Received in OIRA: 11/15/2012
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2015	36 Months From Approved	10/31/2015
Responses	319	0	183
Time Burden (Hours)	73,876	0	63,440
Cost Burden (Dollars)	0	0	0

---

Abstract: This collection of information relates to a final rule that implements Section 165(i) of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") which requires certain companies to conduct annual stress tests. National banks and Federal savings associations with total consolidated assets of more than $10 billion would be required to conduct annual stress tests and comply with reporting and disclosure requirements under the rule. The purpose of this information collection request is to consolidate the information collection requirements contained in the final rule with the new information collection requirements contained in the reporting templates and reporting requirements for institutions with fifty billion or more in assets as required under section 165(i)(2) of the Dodd-Frank Act under OMB control number 1557-0311. Please note, there are seven template forms and one set of instructions covering all of them. Each form is included in a separate IC. The instructions are included as an instrument within the first template IC.

---

Authorizing Statute(s): PL: Pub.L. 111 - 203 165(i) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 165(i) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 49485	08/16/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 66663	11/06/2012
Did the Agency receive public comments on this ICR? Yes

---

Number of Information Collection (IC) in this ICR: 10

table that charts list of burden

IC Title	Form No.	Form Name
Publication - Final Rule
OCC DFAST-14A Counterparty Risk Template	N/A	DFAST-14A Counterparty Credit Risk - CVA Data Schedule Cover
OCC DFAST-14A Operational Risk Template	N/A	DFAST-14A Operational Risk Schedule Cover Sheet
OCC DFAST-14A Scenario Template	N/A	DFAST-14A Scenario Schedule Cover Sheet
OCC DFAST-14A Contact Template	N/A	DFAST-14A Contact Information Schedule Cover Sheet
OCC DFAST-14A Summary Schedule Template	N/A	DFAST-14A Summary Schedule Cover Sheet
OCC DFAST-14A Basel III Capital Template	N/A	DFAST-14A Basel III & Dodd-Frank Schedule Cover Sheet
OCC DFAST-14A Regulatory Capital Template	N/A	DFAST-14A Regulatory Capital Instruments Schedule Cover Sheet
Reporting - Final Rule
Methodologies and Practices - Final Rule

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	319	183	0	136	0	0
Annual Time Burden (Hours)	73,876	63,440	0	10,436	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increase in burden is due to the addition of the reporting templates to the information collection for the rule.

---

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 11/15/2012

---