Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of $250 Billion or More

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form DFAST-14A Summary Version 6	Form	New	Available
Form DFAST-14A RCI Version 1	Form	New	Available
Form DFAST-14A OpRisk Version 2	Form	New	Available
Form DFAST-14A CECL Supplemental Version	Form	New	Available
Form DFAST-14A Summary Schedule Cover Sheet	Form and Instruction	New	Available
Form DFAST-14A Scenario Schedule Cover Sheet	Form and Instruction	New	Available
Form DFAST-14A Regulatory Capital Instruments Annual Schedule	Form	New	Available
Form DFAST-14A OpRisk Schedule Cover Sheet	Form and Instruction	New	Available
Collection of Supplemental CECL Information - Effect of Changes in Accounting Principles	Form	New	Available
Form DFAST 14A Non-CECL Summary	Form	Removed	Available
Form DFAST 14A CECL Summary	Form	Removed	Available
Summary Schedule Cover Sheet	Form	Removed	Available
Summary Schedule	Form	Removed	Repair queued
Form DFAST 14A Supplemental Schedule	Form	Removed	Available
Regulatory Capital Transitions Cover Sheet	Form	Removed	Available
Supplemental Schedule	Form	Removed	Repair queued
Stress Testing Supporting Statement 3-25-21.docx	Supporting Statement A	Uploaded 2021-03-25	Repair queued
2019-dfast-14a-instructions.pdf	Supplementary Document	Uploaded 2019-01-31	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
246457	OCC DFAST-14A	Form	New	Summary Version 6
246457	OCC DFAST-14A	Form	New	RCI Version 1
246457	OCC DFAST-14A	Form	New	OpRisk Version 2
246457	OCC DFAST-14A	Form	New	CECL Supplemental Version
246457	OCC DFAST-14A	Form and Instruction	New	Summary Schedule Cover Sheet
246457	OCC DFAST-14A	Form and Instruction	New	Scenario Schedule Cover Sheet
246457	OCC DFAST-14A	Form	New	Regulatory Capital Instruments Annual Schedule
246457	OCC DFAST-14A	Form and Instruction	New	OpRisk Schedule Cover Sheet
246457	OCC DFAST-14A	Form	New	Collection of Supplemental CECL Information - Effect of Changes in Accounting Principles
246457	OCC DFAST-14A	Instruction	New
209184	Summary Schedule	Form	Removed	Non-CECL Summary
209184	Summary Schedule	Form	Removed	CECL Summary
209184	Summary Schedule	Form	Removed	Summary Schedule Cover Sheet
209184	Summary Schedule	Form	Removed
209184	Summary Schedule	Instruction	Removed
209178	Supplemental Schedule	Form	Removed	Supplemental Schedule
209178	Supplemental Schedule	Form	Removed	Regulatory Capital Transitions Cover Sheet
209178	Supplemental Schedule	Form	Removed

ICR Details

OMB Control No: 1557-0319	ICR Reference No: 202103-1557-003
Status: Historical Active	Previous ICR Reference No: 202001-1557-004
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 $250 Billion or More
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: 05/13/2021
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/02/2021
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2024	36 Months From Approved	03/31/2023
Responses	8	0	16
Time Burden (Hours)	3,716	0	4,212
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. The changes under this ICR include updates to various schedules to reflect the adoption of the tailoring framework used to determine the applicability of regulatory capital requirements to large U.S. banking organizations. Other changes include removing the worksheet for reporting advanced approaches risk-weighted assets and the worksheet for reporting pre-provision net revenue (PPNR) metrics. as well as technical changes to various individual data items. The changes to the OCC’s reporting templates do not include data items in the FR Y-14A associated with several capital buffers related ratios, such as the Board’s stress capital buffer requirement adopted in 2020. The changes remove certain items that are collected from Board-regulated institutions but that will not be required from national banks and Federal savings associations. The changes remove the OCC Supplemental Schedule, which collects information not collected by the FR Y-14A. While the proposed changes included the deletion of some instructions related to the counterparty default scenario, the final instructions do not include this change. The retention of these instructions is meant to clarify that the requirement to include a counterparty default scenario is not being changed.

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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:
	86 FR 7456	01/28/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 17454	04/02/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
OCC DFAST-14A	N/A, DFAST-14A, DFAST-14A, DFAST-14A, DFAST-14A, DFAST-14A, DFAST-14A, DFAST-14A, DFAST-14A	Collection of Supplemental CECL Information - Effect of Changes in Accounting Principles ,   OpRisk Schedule Cover Sheet ,   Regulatory Capital Instruments Annual Schedule ,   Scenario Schedule Cover Sheet ,   Summary Schedule Cover Sheet ,   CECL Supplemental Version ,   OpRisk Version 2 ,   RCI Version 1 ,   Summary Version 6
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	8	16	0	-8	0	0
Annual Time Burden (Hours)	3,716	4,212	0	-496	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: Yes

Burden Reduction Due to: Changing Forms

Short Statement: The reduction in burden is due to form changes related to the adoption of the tailoring framework.

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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? No

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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: 04/02/2021

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