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:
7100-0341
ICR Reference No:
201204-7100-007
Status:
Historical Active
Previous ICR Reference No:
201111-7100-001
Agency/Subagency:
FRS
Agency Tracking No:
FR Y-14A/Q/M
Title:
Capital Assessment and Stress Testing
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Delegated
OIRA Conclusion Action:
Approved without change
Conclusion Date:
06/29/2012
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/29/2012
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
12/31/2014
12/31/2014
12/31/2014
Responses
1,120
0
626
Time Burden (Hours)
607,589
0
553,629
Cost Burden (Dollars)
0
0
0
Abstract:
The annual FR Y-14A collects large BHCs' quantitative projections of balance sheet, income, losses, and capital across a range of macroeconomic scenarios and qualitative information on methodologies used to develop internal projections of capital across scenarios. The quarterly FR Y-14Q collects granular data on BHCs' various asset classes and pre-provision net revenue for the reporting period, which is used to support supervisory stress test models and for continuous monitoring efforts. The monthly FR Y-14M comprises three retail loan- and portfolio-level collections, and one detailed address matching collection.
Authorizing Statute(s):
US Code:
12 USC 1844
Name of Law: Bank Holding Company Act
US Code:
12 USC 5365
Name of Law: Dodd-Frank Act
Citations for New Statutory Requirements:
US Code: 12 USC 5365 Name of Law: Dodd-Frank 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:
77 FR 10525
02/22/2012
30-day Notice:
Federal Register Citation:
Citation Date:
77 FR 32970
06/04/2012
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
16
IC Title
Form No.
Form Name
Basel III/Dodd-Frank & Reg Cap Instruments - Annual Schedules
FR Y-14A, FR Y-14A
Basel III Schedule - Annual
,
Regulatory Capital Schedule - Annual
Basel III/Dodd-Frank - Quarterly
FR Y-14Q
Basel III/Dodd-Frank Schedule - quarterly
Counterparty Credit Risk (CCR) - Annual
FR Y-14A
CCR - Annual
Domestic Credit Card
FR Y-14M
Domestic Credit Cards
Domestic First Lien Closed-End 1-4 Family Residential Mortgage & Address Matching
FR Y-14M, FR Y-14M
1st Lien Home Mortgage
,
Address Matching
Domestic Home Equity Residential Mortgage & Address Matching
FR Y-14M, FR Y-14
Domestic Home Equity
,
Address Matching
Macro Scenario - Annual
FR Y-14A
Macro Scenario - Annual
Operational Risk - Quarterly
FR Y-14Q
Operational Risk Schedule - Quarterly
Pre-Provision Net Revenue (PPNR) Risk - Quarterly
FR Y-14Q
PPNR schedule - quarterly
Regulatory Capital Instruments - Quarterly
FR Y-14Q
Regulatory Capital Instruments Schedule - quarterly
Retail Risk - Quarterly
FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q
Retail schedule - International Auto
,
Retail schedule - International Card
,
Retail schedule - International Home Equity
,
Retail schedule - International Mortgage
,
Retail schedule - International Other Consumer
,
Retail schedule - International Small Business
,
Retail schedule - Student
,
Retail schedule - US Auto
,
Retail schedule - US Other Consumer
,
Retail schedule - US Small Business
Securities Risk - Quarterly
FR Y-14Q
Securities Risk - Quarterly
Summary Schedule - Annual
FR Y-14A
Summary Schedule - Annual
Trading Risk - Quarterly
FR Y-14Q
Trading Schedule - quarterly
Wholesale Risk (CRE data) - Quarterly
FR Y-14Q
Wholesale Risk (CRE loans)
Wholesale Risk (Corporate Loans) - Quarterly
FR Y-14Q
Wholesale Risk (Corporate loans)
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
1,120
626
0
532
-38
0
Annual Time Burden (Hours)
607,589
553,629
0
55,100
-1,140
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 proposed revisions increased the total annual burden for this information collection by 53,960 hours, for a total of 607,589 hours. The overall net increase in burden was due to several factors. The burden decrease is twofold: (1) it decreased by 1,140 hours due to a reduction in reporting frequency of the Basel III/Dodd-Frank and Regulatory Capital Instruments schedules from quarterly to three times per years and (2) in response to revisions the burden decreased by 143,108 hours due to a reestimation of the estimated average hours per response of the Retail Risk schedule. The burden increase is due the addition of several new schedule: (1) the new quarterly Operational Risk schedule and (2) three new monthly Retail Risk collections.
Annual Cost to Federal Government:
$5,739,915
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
Agency Contact:
Michelle Shore 202 452-6461 michelle.e.shore@frb.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:
06/29/2012
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