View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
1557-0319
ICR Reference No:
202502-1557-001
Status:
Active
Previous ICR Reference No:
202302-1557-002
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:
05/28/2025
Retrieve Notice of Action (NOA)
Date Received in OIRA:
02/21/2025
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
05/31/2028
36 Months From Approved
03/31/2026
Responses
7
0
6
Time Burden (Hours)
2,881
0
3,558
Cost Burden (Dollars)
0
0
0
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.
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
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
89 FR 86079
10/29/2024
30-day Notice:
Federal Register Citation:
Citation Date:
90 FR 9055
02/05/2025
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
2
IC Title
Form No.
Form Name
OCC DFAST-14A (annually)
N/A, N/A, N/A, N/A, N/A, N/A, N/A
DFAST-14A OpRisk Version 2
,
DFAST-14A RCI Version 1
,
DFAST-14A Summary Version 7
,
DFAST-14A OpsRisk Schedule
,
DFAST-14A Regulatory Capital Instruments Annual Schedule
,
DFAST-14A Scenario Schedule
,
DFAST-14A Summary Schedule
OCC DFAST-14A (biennially)
N/A, N/A, N/A, N/A, N/A, N/A, N/A
DFAST-14A OpRisk Version 2
,
DFAST-14A RCI Version 1
,
DFAST-14A Summary Version 7
,
DFAST-14A OpsRisk Schedule
,
DFAST-14A Regulatory Capital Instruments Annual Schedule
,
DFAST-14A Scenario Schedule
,
DFAST-14A Summary Schedule
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
7
6
0
1
0
0
Annual Time Burden (Hours)
2,881
3,558
0
-677
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:
Miscellaneous Actions
Short Statement:
The updated burden estimate reflects updates to the Board’s estimates and one additional respondent. The burden of completing the OCC’s reporting forms should be substantially covered by the burden of completing the Board’s FR Y-14A reporting form (OMB No. 7100-0341) since the OCC’s form is substantially similar to the Board’s. The OCC estimates there will be only a limited marginal burden to complete the OCC’s forms in addition to the FR Y-14A and accordingly estimates the marginal burden of completing the OCC reporting form as one-third of the Board’s estimated burden to complete the FR Y-14A (1,330 hours).
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
Agency Contact:
Henry Barkhausen 202 649-7191 henry.barkhausen@occ.treas.gov
Common Form ICR:
No
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:
02/21/2025
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