Operational Risk Schedule Cover Sheet

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

Copy of DFAST14A_OPSRISK_20180201.xlsx

Operational Risk Template

OMB: 1557-0319

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Overview

OpsRisk Cover Sheet
Annual Legal Reserves
Material Risk Identification
Operational Risk Scenarios


Sheet 1: OpsRisk Cover Sheet

DFAST-14A OpsRisk Schedule Cover Sheet





In addition to providing the name, RSSD ID, and charter ID of your institution on this cover sheet, all firms are expected to complete the following two tabs in this workbook: OpRisk Historical Capital and Annual Legal Reserves.

Please see the Dodd-Frank Act Stress Testing (DFAST) Reporting Instructions for additional guidance on completing these worksheets.









Institution Name:






RSSD ID:






Submission Date (MM/DD/YYYY):






OCC Charter ID:











Sheet 2: Annual Legal Reserves












Covered Institution Legal Reserves Reporting Worksheet






















Section 2 - Annual Reporting of Legal Reserves












a. For each year in the chart below, report the total dollar value of the bank’s legal reserve balance, representing the total legal reserve balance that was included on the institution’s financial statements for the as-of quarter. The covered institution's initial submission should contain annual legal reserve balances from Q4 of the as-of reporting quarter as well as Q4 from the prior four years.



























Total Legal Reserve Balance








Year $ Balance (Millions)








As-of Q4









Q4 - HY1







Total Legal Reserves:
Q4 - HY2









Q4 - HY3









Q4 - HY4







































b. Legal Reserves Pertaining to Repurchase Litigation (Voluntary): For the as-of quarter, on a voluntary basis, report the total dollar value of the institution’s legal reserves pertaining to repurchase litigation which was included on the institution’s financial statements as part of the total legal reserve for the as-of quarter. Also please report the subset of this amount which is related only to contractual Representation and Warranty (R&W) claims (excluding any amounts set aside for damages, penalties, etc).



























Total Repurchase Litigation Reserve Balance Repurchase Litigation Reserve Balance related only to contractual R&W claims







As of Quarter $ Balance (Millions) $ Balance (Millions)





Voluntary Reporting of Legal Reserves Pertaining to Repurchase Litigation:
Q4


















































Sheet 3: Material Risk Identification

Material Risk Identification








List all material operational risks identified within the firm, the risk segments in which each risk appears and the loss projection amount for each risk/risk segment combination. Add additional rows when necessary.







Material Risk Number Material Operational Risks Risk Name Risk Segment Bank Baseline Projection Amount - 9 quarter loss projection Bank Stress Projection Amount - 9 quarter loss projection

Material Operational Risks included in the firm's loss projections:




1





2





3





4





5






Material Operational Risks excluded from the firm's loss projections:




1





2





3





4





5













Sheet 4: Operational Risk Scenarios

Operational Risk Scenarios







Firm name:









Scenario Number Operational Risk Scenario Name Operational Risk Bank Baseline 9 Quarter Projection Operational Risk Bank Stress 9 Quarter Projection Methodology for Applying Operational Risk Scenario Results
1
0 0

2
0 0

3
0 0

4
0 0

5
0 0

6
0 0

T1 What percentage of the operational loss estimates were generated using scenarios?



T2 Total number of operational risk scenarios used in loss projections 0 0







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