Annual Stress Test Rule and Company-Run Annual Stress Test Reporting Templates

Forms and Documents

Document Name	Status
DFAST 10-50B Scenario Variables Template Form	Modified
Form DFAST 10-50B Resul DFAST 10-50B Results Template Form	Modified
OCC DFAST-14A Regulatory Capital Template Form	Removed
OCC DFAST-14A Contact Template Form	Removed
OCC DFAST-14A Scenario Template Form	Removed
OCC DFAST-14A Operational Risk Template Form	Removed
OCC DFAST-14A Basel III Capital Template Form	Removed
OCC DFAST-14A Counterparty Risk Template Form	Removed
OCC DFAST-14A Summary Schedule Template Form	Removed
2Supporting Statement - Stress Test Templates ($10-$50 billion)(1557-0311) 11 13 14.docx Supporting Statement A	2014-11-17

IC Document Collections

IC ID	Document Title	Status
208900	DFAST 10-50B Scenario Variables Template Form	Modified
208899	DFAST 10-50B Results Template Form	Modified
204748	OCC DFAST-14A Regulatory Capital Template Form	Removed
204745	OCC DFAST-14A Contact Template Form	Removed
204744	OCC DFAST-14A Scenario Template Form	Removed
204743	OCC DFAST-14A Operational Risk Template Form	Removed
204742	OCC DFAST-14A Basel III Capital Template Form	Removed
204741	OCC DFAST-14A Counterparty Risk Template Form	Removed
204740	OCC DFAST-14A Summary Schedule Template Form	Removed
200037	Publication - Final Rule	Unchanged
200036	Reporting - Final Rule	Unchanged
200035	Methodologies and Practices - Final Rule	Unchanged

ICR Details

OMB Control No: 1557-0311	ICR Reference No: 201411-1557-001
Status: Historical Active	Previous ICR Reference No: 201309-1557-001
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Annual Stress Test Rule and Company-Run Annual Stress Test Reporting Templates
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: 03/31/2015
	Date Received in OIRA: 11/24/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2018	36 Months From Approved	03/31/2017
Responses	241	0	451
Time Burden (Hours)	77,041	0	89,188
Cost Burden (Dollars)	0	0	0

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Abstract: This collection of information encompasses information collection requirements contained in the OCC's annual stress testing rule and its stress testing templates for covered institutions with $10-$50 billion in total consolidated assets. The purpose of this information collection request is to update the stress testing templates for covered institutions with $10-$50 billion in total consolidated assets to reflect the Basel III capital rules.

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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 41742	07/17/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 69992	11/24/2014
Did the Agency receive public comments on this ICR? Yes

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

IC Title	Form No.	Form Name
OCC DFAST-14A Summary Schedule Template	N/A	DFAST-14A Summary Schedule Cover Sheet
OCC DFAST-14A Counterparty Risk Template	N/A	DFAST-14A Counterparty Credit Risk - CVA Data Schedule Cover
OCC DFAST-14A Operational Risk Template	N/A	DFAST-14A Operational Risk Schedule Cover Sheet
OCC DFAST-14A Regulatory Capital Template	N/A	DFAST-14A Regulatory Capital Instruments Schedule Cover Sheet
DFAST 10-50B Results Template	DFAST 10-50B Results Template	DFAST 10-50B Results Template
DFAST 10-50B Scenario Variables Template	N/A	DFAST 10-50B Scenario Variables Template
Reporting - Final Rule
Methodologies and Practices - Final Rule
Publication - Final Rule
OCC DFAST-14A Basel III Capital Template	N/A	DFAST-14A Basel III & Dodd-Frank Schedule Cover Sheet
OCC DFAST-14A Scenario Template	N/A	DFAST-14A Scenario Schedule Cover Sheet
OCC DFAST-14A Contact Template	N/A	DFAST-14A Contact Information Schedule Cover Sheet

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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	241	451	0	-74	-136	0
Annual Time Burden (Hours)	77,041	89,188	0	-1,711	-10,436	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The decrease in burden is made up of program changes reducing the number of respondents and increasing the burden per respondent for the $10-50 billion templates, resulting in an overall decrease; and an adjustment removing the burden for the templates for institutions with over $50 billion in consolidated assets. The templates for institutions with over $50 billion in consolidated assets are currently approved under OMB Control No. 1557-0319. They are undergoing revision and will be consolidated under this OMB Control No. 1557-0311 when both ICRs have been approved.

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Annual Cost to Federal Government: $0

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: 11/24/2014

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