View Information Collection Request (ICR) Package
Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
This script is used to control the display of information in this page.
Display additional information by clicking on the following:
All
Brief and OIRA conclusion
Abstract/Justification
Legal Statutes
Rulemaking
FR Notices/Comments
IC List
Burden
Misc.
Common Form Info.
Certification
View Information Collection (IC) List
View Supporting Statement and Other Documents
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:
201701-7100-001
Status:
Historical Active
Previous ICR Reference No:
201612-7100-004
Agency/Subagency:
FRS
Agency Tracking No:
FR Y-14
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:
01/17/2017
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/17/2017
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2020
36 Months From Approved
01/31/2019
Responses
3,213
0
3,202
Time Burden (Hours)
951,864
0
928,387
Cost Burden (Dollars)
0
0
0
Abstract:
The Capital Assessments and Stress Testing information collection consists of the FR Y-14A, FR Y-14Q, and FR Y-14M reports. The semi-annual FR Y-14A collects 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 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 portfolio- and loan-level collections, and one detailed address matching collection to supplement two of the portfolio and loan-level collections. Both the FR Y-14Q and the FR Y-14M are used to support supervisory stress test models and for continuous monitoring efforts.
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:
81 FR 49653
07/28/2016
30-day Notice:
Federal Register Citation:
Citation Date:
81 FR 93917
12/22/2016
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
27
IC Title
Form No.
Form Name
1st Lien Mortgage - Monthly
FR Y-14M
FR Y-14M Form and Instructions
Adjusted Capital Plan Submission - Annual
FR Y-14A, FR Y-14A
Adjusted Capital Plan (Summary)
,
Adjusted Capial Plan (Regulatory Capital Instruments)
Attestation - Implementation
FR Y-14A, FR Y-14A, FR Y-14AQM
FR Y-14A Attestation for 123116
,
FR Y-14A Attestation for 123117
,
FR Y-14AQM Semiannual Attestation
Attestation - Ongoing revisions
FR Y-14A, FR Y-14AQM, FR Y-14A
FR Y-14A Attestation for 123116
,
FR Y-14A Attestation for 123117
,
FR 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
FR Y-14Q
Quarterly Counterparty (CCR) Form
Credit Card - Monthly
FR Y-14M
FR Y-14M Instructions and Forms
Home Equity - Monthly
FR Y-14M
FR Y-14M Form and Instructions
MSR Valuation - Quarterly
FR Y-14Q
Quarterly MSR Form
Macro Scenario - Semi-annual
FR Y-14A
Semi-Annual Scenario Form
On-going Revisions
Operational Risk - Annual
FR Y-14A
Operational Risk Form
Operational Risk - Quarterly
FR Y-14Q
Quarterly Operational Risk Form /Instructions
Pre-Provision Net Revenue (PPNR) - Quarterly
FR Y-14Q
Quarterly PPNR Form
Regulatory Capital Instruments - Annual
FR Y-14A
Regulatory Capital Instruments Form
Regulatory Capital Instruments - Quarterly
FR Y-14Q
Quarterly Regulatory Capital Instruments Form
Regulatory Capital Transitions - Annual
FR Y-14A
Annual Regulatory Capital Transitions Form
Regulatory Capital Transitions - Quarterly
FR Y-14Q
Quarterly Regulatory Capital Transitions Schedule
Retail - Quarterly
FR Y-14Q
Quarterly Retail Risk Form and General Instructions
Retail FVO/HFS - Quarterly
FR Y-14Q
Quarterly FVO/HFS Form
Retail Repurchase Exposures - Semiannual
FR Y-14A
Retail Repurchase (within Summary Form)
Securities - Quarterly
FR Y-14Q
Quarterly Securities Form
Summary - Semi-Annual
FR Y-14A
Semi-Annual Summary Form
Supplemental - Quarterly
FR Y-14Q
Quarterly Supplemental Form
Trading - Quarterly
FR Y-14Q
Quarterly Trading Form
Wholesale - Quarterly
FR Y-14Q
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
3,213
3,202
0
11
0
0
Annual Time Burden (Hours)
951,864
928,387
0
23,477
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:
No
Burden Reduction Due to:
Short Statement:
The current total annual burden for the annual, quarterly, and monthly reporting requirements of this information collection is estimated to be 928,387 hours and with the proposed revisions would increase by 23,477 hours, for a total of 951,864 hours, including 18,720 hours of automation burden. This increase is primarily due to the addition of the attestation requirement for LISCC U.S. IHCs, modifications to Schedule E (Operational Risk), and the addition of the requirement to submit certain FR Y-14 schedules identifying adjustments to planned capital actions and incremental capital distributions.
Annual Cost to Federal Government:
$2,779,104
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:
01/17/2017
An official website of the United States government
The .gov means it's official.
The site is secure.
