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:
202001-7100-003
Status:
Historical Active
Previous ICR Reference No:
201912-7100-013
Agency/Subagency:
FRS
Agency Tracking No:
FR Y-14
Title:
Capital Assessments and Stress Testing Reports
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:
01/23/2020
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/23/2020
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
12/31/2022
12/31/2022
12/31/2022
Responses
2,690
0
2,926
Time Burden (Hours)
819,204
0
922,400
Cost Burden (Dollars)
0
0
0
Abstract:
The Capital Assessments and Stress Testing Reports (FR Y-14A/Q/M) are applicable to top-tier U.S. bank holding companies (BHCs) with $100 billion or more in total consolidated assets and U.S. intermediate holding companies (IHCs) of foreign banking organizations (FBOs). The FR Y-14A, FR Y-14Q, and FR Y-14M reports are used to support the Board’s Comprehensive Capital Analysis and Review (CCAR) exercise, supervisory stress test models, and continuous monitoring efforts.
Authorizing Statute(s):
US Code:
12 USC 1844
Name of Law: Bank Holding Company Act of 1956
US Code:
12 USC 1467a(b)
Name of Law: Home Owners’ Loan Act
US Code:
12 USC 3106
Name of Law: International Banking Act of 1978
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
7100-AF45
Final or interim final rulemaking
84 FR 59032
11/01/2019
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
83 FR 61408
11/29/2018
30-day Notice:
Federal Register Citation:
Citation Date:
84 FR 21988
05/15/2019
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
24
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 - Ongoing revisions
FR Y-14AQM, FR Y-14AQM, FR Y-14A
FR Y-14QMA Semi-annual Attestation
,
FR Y-14AQM Annual Attestation 123117
,
FR Y-14AQM Annual Attestation 123117 LISCC IHCS
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
Implementation
MSR Valuation - Quarterly
FR Y-14Q
Quarterly MSR Form
Macro Scenario - 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 - 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
Securities - Quarterly
FR Y-14Q
Quarterly Securities Form
Summary - 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
2,690
2,926
0
0
-236
0
Annual Time Burden (Hours)
819,204
922,400
0
0
-103,196
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 total annual burden hours reflects an update to the respondent counts and frequency.
Annual Cost to Federal Government:
$3,045,400
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
Yes
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
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]?
No
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:
01/23/2020
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