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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Summary Schedule Cover Sheet	Form	Modified	Available
Scenario Schedule Cover Sheet	Form	Modified	Available
Regulatory Capital Transitions Cover Sheet	Form	Modified	Available
Regulatory Capital Instruments Annual Schedule	Form	Modified	Available
Operational Risk Schedule Cover Sheet	Form	Modified	Available
DFAST-14A Instructions_20180201.pdf	Supplementary Document	Uploaded 2018-02-02	Available
Supporting Statement 2.1.18.docx	Supporting Statement A	Uploaded 2018-02-02	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
209184	Summary Schedule	Form	Modified	Summary Schedule Cover Sheet
209179	Scenario Template	Form	Modified	Scenario Schedule Cover Sheet
209178	Supplemental Schedule	Form	Modified	Regulatory Capital Transitions Cover Sheet
209178	Supplemental Schedule	Instruction	Modified
209177	Regulatory Capital Template	Form	Modified	Regulatory Capital Instruments Annual Schedule
209176	Operational Risk Template	Form	Modified	Operational Risk Schedule Cover Sheet

ICR Details

OMB Control No: 1557-0319	ICR Reference No: 201802-1557-001
Status: Historical Active	Previous ICR Reference No: 201701-1557-003
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: 05/16/2018
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/02/2018
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2021	36 Months From Approved	04/30/2020
Responses	130	0	125
Time Burden (Hours)	13,949	0	13,414
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, and redefining existing data items. These changes will (1) provide additional information to greatly enhance the ability of the OCC to analyze the validity and integrity of firms’ projections, (2) improve comparability across firms, and (3) 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 these 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: None

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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:
	82 FR 51936	11/08/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 4957	02/02/2018
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
Operational Risk Template	N/A	Operational Risk Schedule Cover Sheet
Regulatory Capital Template	N/A	Regulatory Capital Instruments Annual Schedule
Scenario Template	N/A	Scenario Schedule Cover Sheet
Summary Schedule	N/A	Summary Schedule Cover Sheet
Supplemental Schedule	N/A	Regulatory Capital Transitions Cover Sheet

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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	130	125	0	5	0	0
Annual Time Burden (Hours)	13,949	13,414	0	535	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 change is burden is due to the fact that one additional respondent is expected to complete the templates.

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Annual Cost to Federal Government:

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 02/02/2018

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