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Diversity Self-Assessment

Purpose

The Office of the Comptroller of the Currency (OCC) provides the Diversity Self-Assessment template to national banks and federal savings associations (together, banks) regulated by the OCC in support of the Interagency Policy Statement Establishing Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities dated June 10, 2015. Pursuant to the Policy Statement, a self-assessment by a bank is voluntary. A bank that conducts a self-assessment of its diversity policies and practices using the standards contained in the Policy Statement may use the OCC’s Diversity Self-Assessment template or its own assessment tool.

The OCC will collect the Diversity Self-Assessment for year-end 2016 by April 28, 2017. Microsoft Excel 2010 or higher version is required to complete the Diversity Self-Assessment.

Banks may submit the completed Diversity Self-Assessment template, or its own self-assessment tool, and any supporting documents to the OCC OMWI Director through the OCC's BankNet Web site. You may direct questions to 
OMWI-institutions@occ.treas.gov, or (202) 649-6460.

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How to Register on BankNet

The OCC will collect the Diversity Self-Assessment and supporting documents using the secure Large File Transfer (LFT) tool available on OCC's BankNet Web site. The Diversity Self-Assessment template and supporting documents uploaded using this technology are automatically encrypted and secured before transmitted to the OCC.

In order to use BankNet and the LFT tool, submitters must first register for a BankNet account. To register, go to www.banknet.gov and click on “Register” on the left side of the page. To register:

  • Follow the on-screen cues during the registration process
  • When prompted to choose an “Application,” select “BankNet”
  • When prompted to choose a “Role,” select “User” (This will give you access to the BankNet Web site and the LFT)
  • Once the registration is complete, you will receive an e-mail from the BankNet system to verify your e-mail address. Click on the link in that e-mail.
  • Once you’ve verified your e-mail address, inform your bank’s BankNet Agent that he/she must confirm your BankNet account.
  • To find your BankNet Agent, contact the OCC BankNet support team at 1-800-641-5925 or BankNet@occ.treas.gov.
  • Once your BankNet Agent approves your account, the BankNet system will send you an e-mail with your username and a separate e-mail with a temporary password
  • Please wait 24 hours after completing the registration to submit the Diversity Self-Assessment and supporting documents through LFT.


If you have any questions regarding the registration, please contact your bank’s BankNet Agent or contact the OCC BankNet support team at 1-800-641-5925 or BankNet@occ.treas.gov.

How to Complete the Diversity Self-Assessment

  1. All banks may voluntarily submit the Diversity Self-Assessment of their diversity policies and practices electronically using the Diversity Self-Assessment (.xlsx) template provided below. No changes should be made to the Diversity Self-Assessment template. Download the Diversity Self-Assessment template and instructions below.
    Template
    (.xlsx)
    Instructions
    (.pdf)
  2. The submitted Diversity Self-Assessment template must be named using the following naming convention.

    [DiversitySelfAssessment]_[YEAR].xlsx

    Example: DiversitySelfAssessment_2016.xlsx
    • DiversitySelfAssessment is the file designation and is standard for all files.
    • YEAR is the relevant year of the period covered (YYYY).
    • Please do not use (_) anywhere other than to separate the above two parts of the filename.
    • Reports should use .xlsx as the default file extension or .zip if submitting the xlsx file in a compressed format.
  3. Please upload the template data file (.xlsx) to the “Diversity Self-Assessment Reporting” folder through BankNet Large File Transfer (LFT).

How to Submit a Completed Diversity Self-Assessment via BankNet

  1. Select Communication Center on the top of BankNet homepage then select Large File Transfer Tool on the list, and lastly, Banker Access.

  2. Click on “Launch Large File Transfer” on the left of the screen
  3. Log in LFT portal by using BankNet username and password
  4. On LFT home page, go to the bottom “Upload Files” section
  5. Under the folder selection drop-down, there are two folders for the submitter to upload the files.
    • Diversity Self-Assessment Reporting (to upload the Diversity  Self-Assessment) and
    • Diversity Assessment Other Supporting Documents (to upload a bank’s own assessment tool and any supporting documents)

How to Submit Supporting Documents

  1. Section IV of the Diversity Self-Assessment template offers the opportunity to provide additional information regarding the assessment of diversity policies and practices. It will only allow to provide a narrative on this section.
  2. Submitter will need to upload the supporting documents in a second folder provided on the BankNet Large File Transfer (LFT).
    The maximum size of file is 100MB and the character limit for a file name is 255 characters, including coded special characters.
  3. Please upload the diversity and inclusion supporting documents to the “Diversity Self-Assessment Other Supporting Documents” folder through the BankNet LFT.

How to Submit A Bank’s Own Assessment Tool

  1. If a bank is planning to submit its own assessment tool, it must complete the Bank Information under Section I of the Diversity Self-Assessment template. Please upload the template data file (.xlsx) to the “Diversity Self-Assessment Reporting” folder through BankNet Large File Transfer (LFT).  
  2. Please upload the bank’s own assessment tool and any supporting documents to the “Diversity Self-Assessment Other Supporting Documents” folder through the BankNet LFT.

Related News and Issuances

Publish Date Identifier Title
08/02/2016 NR 2016-91, Regulated Institutions to Submit Self-Assessments of Diversity Policies and Practices