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:
201606-7100-012
Status:
Historical Active
Previous ICR Reference No:
201601-7100-016
Agency/Subagency:
FRS
Agency Tracking No:
FR Y-14A; FR Y-14Q; FR Y-14M
Title:
Capital Assessment and Stress Testing
Type of Information Collection:
No material or nonsubstantive change to a currently approved collection
Common Form ICR:
No
Type of Review Request:
Delegated
OIRA Conclusion Action:
Approved without change
Conclusion Date:
08/15/2016
Retrieve Notice of Action (NOA)
Date Received in OIRA:
08/15/2016
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2019
01/31/2019
01/31/2019
Responses
2,629
0
2,653
Time Burden (Hours)
800,653
0
829,861
Cost Burden (Dollars)
0
0
0
Abstract:
The Capital Assessments and Stress Testing information collection consists of the FR Y-14A, Q, and M reports. The semi-annual FR Y-14A collects information on the stress tests conducted by BHCs, including 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 and the monthly FR Y-14M are used to support supervisory stress test models and for continuous monitoring efforts. The quarterly FR Y-14Q collects granular data on BHCs’ various asset classes, including loans, securities and trading assets, and pre-provision net revenue (PPNR) for the reporting period. The monthly FR Y-14M comprises three retail loan- and portfolio-level collections, and one detailed address matching collection to supplement two of the portfolio and loan-level collections.
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:
None
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:
80 FR 55621
09/16/2015
30-day Notice:
Federal Register Citation:
Citation Date:
81 FR 3412
01/21/2016
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
26
IC Title
Form No.
Form Name
1st Lien Mortgage - Monthly
FR Y14M
FRY 14M Form and Instructions
Attestation - Implementation
Y-14A, Y-14A, Y-14AQM
Y-14A Attestation for 12312016
,
Y-14A Attestation for 12312017
,
Y-14AQM semiannual attestation
Attestation - Ongoing revisions
Y-14A, Y-14AQM, Y-14A
Y-14A Attestation for 123116
,
Y-14A Attestation for 123117
,
Y-14AQM Semiannual Attestation
Balances - Quarterly
FR Y-14Q
Balances
Business Plan Changes - Annual
FR Y-14A
Business Plan Changes (no actual form)
Counterparty - Quarterly
FRY14Q
Quarterly Counterparty (CCR) Form
Credit Card - Monthly
FR Y14M
FR Y14M Instructions and Forms
Home Equity - Monthly
FR Y14M
FRY14M Form and Instructions
MSR Valuation - Quarterly
FR Y14Q
Quarterly MSR Form
Macro Scenario - Semi-annual
FRY14A
Semi-Annual Scenario Form
On-going Revisions
Operational Risk - Annual
FR Y14A
Operational Risk Form
Operational Risk - Quarterly
FR Y14Q
Quarterly Operational Risk Form /Instructions
Pre-Provision Net Revenue (PPNR) - Quarterly
FR Y14Q
Quarterly PPNR Form
Regulatory Capital Instruments - Annual
FR Y-14A
Regulatory Capital Instruments Form
Regulatory Capital Instruments Schedule - Quarterly
FR Y14Q
Quarterly Regulatory Capital Instruments Form
Regulatory Capital Transitions - Annual
FR Y14A
Annual Regulatory Capital Transitions Form
Regulatory Capital Transitions Schedule - Quarterly
FR Y14Q
Quarterly Regulatory Capital Transitions Schedule
Retail FVO/HFS - Quarterly
FR Y14Q
Quarterly FVO/HFS Form
Retail Repurchase - Semiannual
FR Y-14A
Retail Repurchase (within Summary Form)
Retail Risk - Quarterly
FR Y14Q
Quarterly Retail Risk Form and General Instructions
Securities Risk - Quarterly
FR Y14Q
Quarterly Securities Form
Summary - Semi-Annual
FRY14A
Semi-Annual Summary Form
Supplemental - Quarterly
FR Y14Q
Quarterly Supplemental Form
Trading Schedule - Quarterly
FR Y14Q
Quarterly Trading Form
Wholesale - Quarterly
FR Y14Q
Quarterly Wholesale Corporate Loans 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
2,629
2,653
0
0
-24
0
Annual Time Burden (Hours)
800,653
829,861
0
0
-29,208
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:
No
Burden Reduction Due to:
Short Statement:
The decrease in burden hours reflects an update to the FR Y-14 respondent count.
Annual Cost to Federal Government:
$5,580,000
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:
Richard Palmer 202 502-8438 Richard.Palmer@ferc.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:
08/15/2016
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