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
Form DFAST 14A Non-CECL Summary	Form	Modified	Available
Form DFAST 14A CECL Summary	Form	Modified	Available
Summary Schedule Cover Sheet	Form	Modified	Available
Scenario Schedule Cover Sheet	Form	Removed	Available
Form DFAST 14A Supplemental Schedule	Form	Modified	Available
Regulatory Capital Transitions Cover Sheet	Form	Modified	Available
Regulatory Capital Instruments Annual Schedule	Form	Removed	Available
OpRisk Schedule Cover Sheet	Form	Removed	Available
Supporting statement 2.3.20 (250).docx	Supporting Statement A	Uploaded 2020-02-03	Available
2019-dfast-14a-instructions.pdf	Supplementary Document	Uploaded 2019-01-31	Available

IC Document Collections

Information collection document groups

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

ICR Details

OMB Control No: 1557-0319	ICR Reference No: 202001-1557-004
Status: Historical Active	Previous ICR Reference No: 201901-1557-005
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: 03/09/2020
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/03/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2023	36 Months From Approved	06/30/2022
Responses	16	0	40
Time Burden (Hours)	4,212	0	4,292
Cost Burden (Dollars)	0	0	0

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Abstract: Section 165(i)(2) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (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. Under section 165(i)(2), a covered institution is required to submit to the Board of Governors of the Federal Reserve System (Board) and to its primary financial regulatory agency a report at such time, in such form, and containing such information as the primary financial regulatory agency may require. On October 9, 2012, the OCC published in the Federal Register a final rule implementing the section 165(i)(2) annual stress test requirement. This rule describes the reports and information collections required to meet the reporting requirements under section 165(i)(2). These information collections will be given confidential treatment (5 U.S.C. 552(b)(4)) to the extent permitted by law. In 2012, the OCC first implemented the reporting templates referenced in the final rule. The OCC published proposed revisions to these templates on October 10, 2019. The OCC is now finalizing these proposed revisions

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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: US Code: 12 USC 5365 Name of Law: Economic Growth, Regulatory Relief, 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:
	84 FR 52174	10/10/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 5773	01/31/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Operational Risk Template	N/A	OpRisk 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, DFAST 14A , DFAST 14A	Summary Schedule Cover Sheet ,   CECL Summary ,   Non-CECL Summary
Supplemental Schedule	N/A, DFAST 14A	Regulatory Capital Transitions Cover Sheet ,   Supplemental Schedule

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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	16	40	0	-24	0	0
Annual Time Burden (Hours)	4,212	4,292	0	-80	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: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The decrease in burden is due to the decrease in the number of institutions required to file.

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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: 02/03/2020

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