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:
202001-7100-005
Status:
Historical Active
Previous ICR Reference No:
202001-7100-003
Agency/Subagency:
FRS
Agency Tracking No:
FR Y-14
Title:
Capital Assessments and Stress Testing Reports
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:
01/24/2020
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/24/2020
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2023
36 Months From Approved
12/31/2022
Responses
673
0
2,690
Time Burden (Hours)
804,916
0
819,204
Cost Burden (Dollars)
0
0
0
Abstract:
The Capital Assessments and Stress Testing Reports (FR Y-14A/Q/M) are currently applicable to top-tier U.S. bank holding companies (BHCs) and U.S. intermediate holding companies (IHCs) of foreign banking organizations (FBOs) with $100 billion or more in total consolidated assets; effective June 30, 2020, covered savings and loan holding companies (SLHCs) (collectively with BHCs and IHCs, holding companies) with $100 billion or more in consolidated assets will also become respondents to the FR Y-14A/Q/M. 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 1467a(b)
Name of Law: Home Owners’ Loan Act
US Code:
12 USC 3106
Name of Law: International Banking Act of 1978
US Code:
12 USC 1844
Name of Law: Bank Holding Company Act of 1956
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:
84 FR 37285
07/31/2019
30-day Notice:
Federal Register Citation:
Citation Date:
84 FR 70529
12/23/2019
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
6
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
FR Y-14A/Q/M, FR Y-14A/Q/M
Attestation Cover Page
,
Attestation Cover Page (Annual)
Balances - Quarterly
FR Y-14Q
Balances
Business Plan Changes - Annual
FR Y-14A
Business Plan Changes (no actual form)
CECL implementation
Credit Card - Monthly
FR Y-14M
FR Y-14M Instructions and Forms
FR Y-14A
FR Y-14A
Capital Assessments and Stress Testing (Annual)
FR Y-14M
FR Y-14M
Capital Assessments and Stress Testing (Monthly)
FR Y-14Q
FR Y-14Q
Capital Assessments and Stress Testing (Quarterly)
Home Equity - Monthly
FR Y-14M
FR Y-14M Form and Instructions
MSR Valuation - Quarterly
FR Y-14Q
Quarterly MSR Form
Ongoing revisions
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
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
673
2,690
0
-2,017
0
0
Annual Time Burden (Hours)
804,916
819,204
0
-14,288
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:
Yes
Burden Reduction Due to:
Miscellaneous Actions
Short Statement:
The estimated total annual burden for the FR Y-14 is 819,204 hours, and would decrease to 804,916 hours with the adopted revisions. The Board estimates that the revisions to the FR Y-14 would decrease the estimated annual burden by 14,288 hours. The burden estimates are slightly different from the numbers published in the Federal Register due to rounding and conforming changes with the Board’s final tailoring rule.
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:
01/24/2020
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