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Recovery Planning: New Comptroller’s Handbook Booklet

April 27, 2018 / Source: OCC

Subject: Recovery Planning
Date: April 26, 2018
Chief Executive Officers of All National Banks, Federal Savings Associations, and Federal Branches of Foreign Banks; Department and Division Heads; All Examining Personnel; and Other Interested Parties

Description: New Comptroller's Handbook Booklet


The Office of the Comptroller of the Currency (OCC) issued today the “Recovery Planning” booklet of the Comptroller’s Handbook. This new booklet, part of the “Safety and Soundness” category of the Comptroller’s Handbook, explains the purpose of effective recovery planning pursuant to 12 CFR 30, appendix E, “OCC Guidelines Establishing Standards for Recovery Planning by Certain Large Insured National Banks, Insured Federal Savings Associations, and Insured Federal Branches.” The guidelines only apply to covered banks and have phased-in compliance periods culminating in July 2018.

A covered bank means any bank with average total consolidated assets

  • equal to or greater than $50 billion;
  • less than $50 billion if the bank was previously a covered bank, unless the OCC determines otherwise; or
  • less than $50 billion, if the OCC determines that the bank is highly complex or otherwise presents a heightened risk as to warrant the application of the recovery planning guidelines pursuant to paragraph I.C.1.a. of 12 CFR 30, appendix E.

Note for Community Banks: This booklet only applies to covered banks.


The booklet

  • provides questions and answers, examples, and other examiner guidance related to 12 CFR 30, appendix E.
  • provides examination procedures for examiners.

Further Information

Contact Judi McCormick, Governance and Operational Risk Policy Analyst, at (202) 649-6550.

Grace E. Dailey
Senior Deputy Comptroller for Bank Supervision Policy and Chief National Bank Examiner

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