Capital Assessment and Stress Testing

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FR Y-14Q Regulatory Capital Schedule - Quarterly	Form and Instruction	New	Available
Form FR Y-14Q Basel III Schedule - Quarterly	Form	New	Available
Form FR Y-14Q Trading Schedule - Quarterly	Form and Instruction	New	Available
Form FR Y-14Q Wholesale Schedule: Commercial Real Estate	Form and Instruction	New	Available
Form FR Y-14Q Wholesale Schedule: Corporate Loan data	Form and Instruction	New	Available
Form FR Y-14Q PPNR Schedule - Quarterly	Form	New	Available
Form FR Y-14Q Retail Schedule: Domestic Mortgage Loans	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: Domestic HELOC	Form and Instruction	New	Available
Form FR Y-14 Retail Schedule: Domestic Home Equity Loans	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: Domestic Bank and Charge Card	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: Domestic Auto	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: Domestic SME and Corportae Card	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: Domestic Small Business	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: Domestic Other Consumer	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: Domestic Student Loans	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: International SME and Corporate Card	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: International Other Consumer Loans	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: International Mortgage	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: International Home Equity	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: International Credit Card	Form and Instruction	New	Available
Form FR Y-14Q Retail Schedule: International Auto	Form and Instruction	New	Available
Form FR Y-14Q Securities Schedule - Quarterly	Form and Instruction	New	Available
Form FR Y-14A Regulatory Capital Schedule - Annual	Form and Instruction	New	Available
Form FR Y-14A Basel III Schedule - Annual	Form	New	Available
Form FR Y-14A CCR - Annual	Form and Instruction	New	Available
Form FR Y-14A Macro Scenario	Form and Instruction	New	Available
Form FR Y-14A Summary Schedule - Annual	Form	New	Available
FRY-14AQ_201112012_OMB.docx	Supporting Statement A	Uploaded 2011-12-16	Available
FRY-14.RegY-13.FAQ.20111122.pdf	Supplementary Document	Uploaded 2011-11-29	Available
FR-Y-14AQ_20111122_pr.pdf	Supplementary Document	Uploaded 2011-11-29	Available
FRY14_A_Q_20111129_ffr.pdf	Supplementary Document	Uploaded 2011-11-29	Available
FRY14_A_Q_20110907_ifr.pdf	Supplementary Document	Uploaded 2011-11-18	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
200207	Regulatory Capital Instruments - Quarterly	Form and Instruction	New	Regulatory Capital Schedule - Quarterly
200207	Regulatory Capital Instruments - Quarterly	Instruction	New
200205	Basel III - Quarterly	Form	New	Basel III Schedule - Quarterly
200205	Basel III - Quarterly	Instruction	New
200203	Trading Risk - Quarterly	Form and Instruction	New	Trading Schedule - Quarterly
200203	Trading Risk - Quarterly	Instruction	New
200202	Wholesale Risk (CRE data) - Quarterly	Form and Instruction	New	Wholesale Schedule: Commercial Real Estate
200202	Wholesale Risk (CRE data) - Quarterly	Instruction	New
200201	Wholesale Risk (Corporate Loans) - Quarterly	Form and Instruction	New	Wholesale Schedule: Corporate Loan data
200201	Wholesale Risk (Corporate Loans) - Quarterly	Instruction	New
200200	Pre-Provision Net Revenue (PPNR) Risk - Quarterly	Form	New	PPNR Schedule - Quarterly
200200	Pre-Provision Net Revenue (PPNR) Risk - Quarterly	Instruction	New
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic Mortgage Loans
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic HELOC
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic Home Equity Loans
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic Bank and Charge Card
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic Auto
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic SME and Corportae Card
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic Small Business
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic Other Consumer
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: Domestic Student Loans
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: International SME and Corporate Card
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: International Other Consumer Loans
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: International Mortgage
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: International Home Equity
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: International Credit Card
200199	Retail Risk - Quarterly	Form and Instruction	New	Retail Schedule: International Auto
200199	Retail Risk - Quarterly	Instruction	New
200198	Securities Risk - Quarterly	Form and Instruction	New	Securities Schedule - Quarterly
200198	Securities Risk - Quarterly	Instruction	New
200197	Basel III & Reg Cap Instruments - Annual Schedules	Form and Instruction	New	Regulatory Capital Schedule - Annual
200197	Basel III & Reg Cap Instruments - Annual Schedules	Form	New	Basel III Schedule - Annual
200197	Basel III & Reg Cap Instruments - Annual Schedules	Instruction	New
200196	Counterparty Credit Risk (CCR) - Annual	Form and Instruction	New	CCR - Annual
200196	Counterparty Credit Risk (CCR) - Annual	Instruction	New
200195	Macro Scenario - Annual	Form and Instruction	New	Macro Scenario
200195	Macro Scenario - Annual	Instruction	New
200193	Summary Schedule - Annual	Form	New	Summary Schedule - Annual
200193	Summary Schedule - Annual	Instruction	New

ICR Details

OMB Control No: 7100-0341	ICR Reference No: 201111-7100-001
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: FRS	Agency Tracking No: FR Y-14A/Q
Title: Capital Assessment and Stress Testing
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/16/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/16/2011
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2014	36 Months From Approved
Responses	626	0	0
Time Burden (Hours)	553,629	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The FR Y-14A/Q data would be used to assess the capital adequacy of large BHCs using forward-looking projections of revenue and losses. In addition, these data would be used to help inform the Federal Reserve's operational decision making as the Board moves ahead with implementing the Capital Plan rulemaking.

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Authorizing Statute(s): US Code: 12 USC 5365 Name of Law: Dodd-Frank Act
   US Code: 12 USC 1844 Name of Law: Bank Holding Company Act
  

Citations for New Statutory Requirements: US Code: 12 USC 5365 Name of Law: Dodd-Frank Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 55288	09/07/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 73634	11/29/2011
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 12

table that charts list of burden

IC Title	Form No.	Form Name
Basel III & Reg Cap Instruments - Annual Schedules	FR Y-14A, FR Y-14A	Basel III Schedule - Annual ,   Regulatory Capital Schedule - Annual
Basel III - Quarterly	FR Y-14Q	Basel III Schedule - Quarterly
Counterparty Credit Risk (CCR) - Annual	FR Y-14A	CCR - Annual
Macro Scenario - Annual	FR Y-14A	Macro Scenario
Pre-Provision Net Revenue (PPNR) Risk - Quarterly	FR Y-14Q	PPNR Schedule - Quarterly
Regulatory Capital Instruments - Quarterly	FR Y-14Q	Regulatory Capital Schedule - Quarterly
Retail Risk - Quarterly	FR Y-14, 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, FR Y-14Q, FR Y-14Q, FR Y-14Q, FR Y-14Q	Retail Schedule: International Auto ,   Retail Schedule: International Credit Card ,   Retail Schedule: International Home Equity ,   Retail Schedule: International Mortgage ,   Retail Schedule: International Other Consumer Loans ,   Retail Schedule: International SME and Corporate Card ,   Retail Schedule: Domestic Student Loans ,   Retail Schedule: Domestic Other Consumer ,   Retail Schedule: Domestic Small Business ,   Retail Schedule: Domestic SME and Corportae Card ,   Retail Schedule: Domestic Auto ,   Retail Schedule: Domestic Bank and Charge Card ,   Retail Schedule: Domestic Home Equity Loans ,   Retail Schedule: Domestic HELOC ,   Retail Schedule: Domestic Mortgage Loans
Securities Risk - Quarterly	FR Y-14Q	Securities Schedule - 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 Schedule: Commercial Real Estate
Wholesale Risk (Corporate Loans) - Quarterly	FR Y-14Q	Wholesale Schedule: Corporate Loan data

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ICR Summary of Burden

table that charts list 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	626	0	626	0	0	0
Annual Time Burden (Hours)	553,629	0	553,629	0	0	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:

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Annual Cost to Federal Government: $1,305,141

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

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Common Form ICR:  No

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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: 12/16/2011

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