Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of over $50 Billion

Forms and Documents

Document Name	Status
Summary Schedule Template Form	Modified
Scenario Template Form	Modified
Regulatory Capital Transitions Form	Modified
Regulatory Capital Instruments Form	Modified
Operational Risk Template Form	Modified
Contact Template Form	Modified
Counterparty Risk Template Form	Modified
Supporting Statement - Stress Test Templates ($50 billion+) 12 4 14.docx Supporting Statement A	2014-12-23

IC Document Collections

IC ID	Document Title	Status
209184	Summary Schedule Template Form	Modified
209179	Scenario Template Form	Modified
209178	Regulatory Capital Transitions Form	Modified
209177	Regulatory Capital Instruments Form	Modified
209176	Operational Risk Template Form	Modified
209175	Contact Template Form	Modified
209174	Counterparty Risk Template Form	Modified

ICR Details

OMB Control No: 1557-0319	ICR Reference No: 201412-1557-002
Status: Historical Active	Previous ICR Reference No: 201311-1557-001
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of over $50 Billion
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: 12/23/2014
	Date Received in OIRA: 12/05/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2017	36 Months From Approved	12/31/2016
Responses	188	0	188
Time Burden (Hours)	16,466	0	14,319
Cost Burden (Dollars)	0	0	0

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Abstract: Section 165(i)(2) of the Dodd-Frank Act requires certain financial companies, including national banks and Federal savings associations, to conduct annual stress tests and requires the primary financial regulatory agency of those financial companies to issue regulations implementing the stress test requirements. The OCC issued an anuual stress test rule to meet this requirement in 2012. The OCC also issued related reporting templates for institutions with consolidated assets of over $50 billion in 2012. The revisions to the DFAST-14A reporting templates consist of adding data items, deleting data items, redefining existing data items, and renumbering data items. These changes would provide additional information to enhance the ability of the OCC to analyze the validity and integrity of firms' projections and increase consistency between the FR Y–14A reporting templates and DFAST-14A reporting templates. The OCC has conducted a thorough review of the changes and believes that the incremental burden of these changes is justified given the need for this data to properly conduct the OCC's supervisory responsibilities related to the stress testing.

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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

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 53835	09/10/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 72245	12/05/2014
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 7

IC Title	Form No.	Form Name
Regulatory Capital Transitions	N/A	Regulatory Capital Transitions Cover Sheet
Scenario Template	N/A	Scenario Schedule Cover Sheet
Contact Template	N/A	Contact Information Schedule Cover Sheet
Counterparty Risk Template	NA	Counter Party Risk Template
Operational Risk Template	N/A	Operational Risk Schedule Cover Sheet
Regulatory Capital Instruments	N/A	Regulatory Capital Instruments Annual Schedule
Summary Schedule Template	N/A, N/A	Summary Schedule Cover Sheet ,   Bank Balance Sheet Worksheet

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ICR Summary 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	188	188	0	0	0	0
Annual Time Burden (Hours)	16,466	14,319	0	2,147	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: Miscellaneous Actions

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 data items.

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Annual Cost to Federal Government:

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

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Common Form ICR:  No

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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: 12/05/2014

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