Capital Assessment and Stress Testing

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FR Y-14Q Balances	Form	Unchanged	Available
Form FR Y14A Operational Risk Form	Form	Modified	Repair queued
Form FR Y14Q Quarterly FVO/HFS Form	Form	Unchanged	Available
Form FR Y14Q Quarterly Supplemental Form	Form	Unchanged	Available
Form FR Y14Q Quarterly MSR Form	Form	Unchanged	Available
Form FR Y14M FR Y14M Instructions and Forms	Form and Instruction	Unchanged	Available
Form FR Y14M FRY14M Form and Instructions	Form and Instruction	Unchanged	Available
Form FR Y14M FRY 14M Form and Instructions	Form and Instruction	Unchanged	Available
Form FR Y14Q Quarterly Operational Risk Form /Instructions	Form and Instruction	Unchanged	Available
Form FR Y14Q Quarterly Regulatory Capital Instruments Form	Form	Unchanged	Available
Form FR Y14Q Quarterly Regulatory Capital Transitions Schedule	Form	Unchanged	Available
Form FR Y14Q Quarterly Trading Form	Form	Unchanged	Available
Form FR Y14Q Quarterly Wholesale Risk CRE Form/Instructions	Form and Instruction	Unchanged	Available
Form FR Y14Q Quarterly Wholesale Corporate Loans Schedule	Form and Instruction	Unchanged	Available
Form FR Y14Q Quarterly PPNR Form	Form	Unchanged	Available
Form FR Y14A Quarterly Retail Risk Form and General Instructions	Form and Instruction	Unchanged	Available
Form FR Y14Q Quarterly Securities Form	Form	Unchanged	Available
Form FR Y14A Annual Regulatory Capital Transitions Form	Form	Unchanged	Available
Form FRY14Q Quarterly Counterparty (CCR) Form	Form	Unchanged	Available
Form FRY14A Semi-Annual Scenario Form	Form	Unchanged	Available
Form FRY14A Semi-Annual Summary Form	Form	Unchanged	Available
FRY-14_20160119_83c.pdf	Justification for No Material/Nonsubstantive Change	Uploaded 2016-01-19	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
214779	Implementation	Instruction	Unchanged
214777	Balances	Form	Unchanged	Balances
214777	Balances	Instruction	Unchanged
212193	Operational Risk Schedule - Annual	Form	Modified	Operational Risk Form
212193	Operational Risk Schedule - Annual	Instruction	Modified
204375	On-going revisions		Unchanged
204373	FVO/HFS Schedule - Quarterly	Form	Unchanged	Quarterly FVO/HFS Form
204373	FVO/HFS Schedule - Quarterly	Instruction	Unchanged
204372	Supplemental Schedule - Quarterly	Form	Unchanged	Quarterly Supplemental Form
204372	Supplemental Schedule - Quarterly	Instruction	Unchanged
204371	MSR Valuation Schedule - Quarterly	Form	Unchanged	Quarterly MSR Form
204371	MSR Valuation Schedule - Quarterly	Instruction	Unchanged
202759	Domestic Credit Card Collection - Monthly	Form and Instruction	Unchanged	FR Y14M Instructions and Forms
202758	Domestic Home Equity Residential Mortgage & Address Matching - Monthly	Form and Instruction	Unchanged	FRY14M Form and Instructions
202757	Domestic First Lien Closed-End 1-4 Family Residential Mortgage & Address Matching - Monthly	Form and Instruction	Unchanged	FRY 14M Form and Instructions
202744	Operational Risk Schedule - Quarterly	Form and Instruction	Unchanged	Quarterly Operational Risk Form /Instructions
200207	Regulatory Capital Instruments Schedule - Quarterly	Form	Unchanged	Quarterly Regulatory Capital Instruments Form
200207	Regulatory Capital Instruments Schedule - Quarterly	Instruction	Unchanged
200205	Regulatory Capital Transitions Schedule - Quarterly	Form	Unchanged	Quarterly Regulatory Capital Transitions Schedule
200205	Regulatory Capital Transitions Schedule - Quarterly	Instruction	Unchanged
200203	Trading Schedule - Quarterly	Form	Unchanged	Quarterly Trading Form
200203	Trading Schedule - Quarterly	Instruction	Unchanged
200202	Wholesale Risk (CRE) Schedule - Quarterly	Form and Instruction	Unchanged	Quarterly Wholesale Risk CRE Form/Instructions
200201	Wholesale Risk (Corporate Loans) Schedule - Quarterly	Form and Instruction	Unchanged	Quarterly Wholesale Corporate Loans Schedule
200200	Pre-Provision Net Revenue (PPNR) Schedule - Quarterly	Form	Unchanged	Quarterly PPNR Form
200200	Pre-Provision Net Revenue (PPNR) Schedule - Quarterly	Instruction	Unchanged
200199	Retail Schedule - Quarterly	Form and Instruction	Unchanged	Quarterly Retail Risk Form and General Instructions
200198	Securities - Quarterly	Form	Unchanged	Quarterly Securities Form
200198	Securities - Quarterly	Instruction	Unchanged
200197	Regulatory Capital Transition & Regulatory Capital Instruments Schedules - Annual	Form	Unchanged	Annual Regulatory Capital Transitions Form
200197	Regulatory Capital Transition & Regulatory Capital Instruments Schedules - Annual	Instruction	Unchanged
200196	Counterparty Credit Risk (CCR) Schedule - Quarterly	Form	Unchanged	Quarterly Counterparty (CCR) Form
200196	Counterparty Credit Risk (CCR) Schedule - Quarterly	Instruction	Unchanged
200195	Scenario Schedule - Semi-annual	Form	Unchanged	Semi-Annual Scenario Form
200195	Scenario Schedule - Semi-annual	Instruction	Unchanged
200193	Summary Schedule - Semi-annual	Form	Unchanged	Semi-Annual Summary Form
200193	Summary Schedule - Semi-annual	Instruction	Unchanged

ICR Details

OMB Control No: 7100-0341	ICR Reference No: 201601-7100-012
Status: Historical Active	Previous ICR Reference No: 201410-7100-001
Agency/Subagency: FRS	Agency Tracking No: FR Y-14A/Q/M
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: 01/20/2016
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/20/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2018	02/28/2018	02/28/2018
Responses	2,648	0	2,653
Time Burden (Hours)	774,937	0	774,997
Cost Burden (Dollars)	0	0	0

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Abstract: The semi-annual FR Y-14A collects large BHCs' 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 BHCs' various asset classes and PPNR for the reporting period. The monthly FR Y-14M comprises three loan- and portfolio-level collections, and one detailed address matching collection to supplement two of the portfolio and loan-level collections. The FR Y-14Q and the FR Y-14M are used to support supervisory stress test models and for continuous monitoring efforts.

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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: 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:
	79 FR 41276	07/15/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 59264	10/01/2014
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 23

table that charts list of burden

IC Title	Form No.	Form Name
Balances	FR Y-14Q	Balances
Counterparty Credit Risk (CCR) Schedule - Quarterly	FRY14Q	Quarterly Counterparty (CCR) Form
Domestic Credit Card Collection - Monthly	FR Y14M	FR Y14M Instructions and Forms
Domestic First Lien Closed-End 1-4 Family Residential Mortgage & Address Matching - Monthly	FR Y14M	FRY 14M Form and Instructions
Domestic Home Equity Residential Mortgage & Address Matching - Monthly	FR Y14M	FRY14M Form and Instructions
FVO/HFS Schedule - Quarterly	FR Y14Q	Quarterly FVO/HFS Form
Implementation
MSR Valuation Schedule - Quarterly	FR Y14Q	Quarterly MSR Form
On-going revisions
Operational Risk Schedule - Annual	FR Y14A	Operational Risk Form
Operational Risk Schedule - Quarterly	FR Y14Q	Quarterly Operational Risk Form /Instructions
Pre-Provision Net Revenue (PPNR) Schedule - Quarterly	FR Y14Q	Quarterly PPNR Form
Regulatory Capital Instruments Schedule - Quarterly	FR Y14Q	Quarterly Regulatory Capital Instruments Form
Regulatory Capital Transition & Regulatory Capital Instruments Schedules - Annual	FRY 14A, FR Y14A	Annual Regulatory Capital Transitions Form
Regulatory Capital Transitions Schedule - Quarterly	FR Y14Q	Quarterly Regulatory Capital Transitions Schedule
Retail Schedule - Quarterly	FR Y14A	Quarterly Retail Risk Form and General Instructions
Scenario Schedule - Semi-annual	FRY14A	Semi-Annual Scenario Form
Securities - Quarterly	FR Y14Q	Quarterly Securities Form
Summary Schedule - Semi-annual	FRY14A	Semi-Annual Summary Form
Supplemental Schedule - Quarterly	FR Y14Q	Quarterly Supplemental Form
Trading Schedule - Quarterly	FR Y14Q	Quarterly Trading Form
Wholesale Risk (CRE) Schedule - Quarterly	FR Y14Q	Quarterly Wholesale Risk CRE Form/Instructions
Wholesale Risk (Corporate Loans) Schedule - Quarterly	FR Y14Q	Quarterly Wholesale Corporate Loans Schedule

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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	2,648	2,653	0	0	-5	0
Annual Time Burden (Hours)	774,937	774,997	0	0	-60	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: Decrease in burden hours reflects a correction in the respondent count for the FR Y-14A Operational Risk schedule.

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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

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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: 01/20/2016

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