Capital Assessments and Stress Testing Reports

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FR Y-14A Adjusted Capial Plan (Regulatory Capital Instruments)	Form	Unchanged	Available
Form FR Y-14A Adjusted Capital Plan (Summary)	Form	Unchanged	Available
Form FR Y-14A Regulatory Capital Instruments Form	Form	Unchanged	Available
Form FR Y-14A Business Plan Changes (no actual form)	Form	Unchanged	Available
Form FR Y-14AQM FR Y-14AQM Annual Attestation 123117 LISCC IHCS	Form	Unchanged	Available
Form FR Y-14AQM FR Y-14AQM Annual Attestation 123117	Form	Unchanged	Available
Form FR Y-14A FR Y-14QMA Semi-annual Attestation	Form	Unchanged	Available
Form FR Y-14Q Balances	Form	Unchanged	Available
Form FR Y-14A Operational Risk Form	Form	Unchanged	Available
Form FR Y-14Q Quarterly FVO/HFS Form	Form	Unchanged	Available
Form FR Y-14Q Quarterly Supplemental Form	Form	Unchanged	Available
Form FR Y-14Q Quarterly MSR Form	Form	Unchanged	Available
Form FR Y-14M FR Y-14M Instructions and Forms	Form and Instruction	Unchanged	Available
Form FR Y-14M FR Y-14M Form and Instructions	Form and Instruction	Unchanged	Available
Form FR Y-14M FR Y-14M Form and Instructions	Form and Instruction	Unchanged	Available
Form FR Y-14Q Quarterly Operational Risk Form /Instructions	Form and Instruction	Unchanged	Available
Form FR Y-14Q Quarterly Regulatory Capital Instruments Form	Form	Unchanged	Available
Form FR Y-14Q Quarterly Regulatory Capital Transitions Schedule	Form	Unchanged	Available
Form FR Y-14Q Quarterly Trading Form	Form	Unchanged	Available
Form FR Y-14Q Quarterly Wholesale Corporate Loans Schedule	Form and Instruction	Unchanged	Available
Form FR Y-14Q Quarterly PPNR Form	Form	Unchanged	Available
Form FR Y-14Q Quarterly Retail Risk Form and General Instructions	Form and Instruction	Unchanged	Available
Form FR Y-14Q Quarterly Securities Form	Form	Unchanged	Available
Form FR Y-14Q Quarterly Counterparty (CCR) Form	Form	Unchanged	Available
Form FR Y-14A Semi-Annual Scenario Form	Form	Unchanged	Available
Form FR Y-14A Semi-Annual Summary Form	Form	Unchanged	Available
FRY14_20190107_omb.pdf	Supporting Statement A	Uploaded 2019-01-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
225020	Adjusted Capital Plan Submission - Annual	Form	Unchanged	Adjusted Capial Plan (Regulatory Capital Instruments)
225020	Adjusted Capital Plan Submission - Annual	Form	Unchanged	Adjusted Capital Plan (Summary)
225020	Adjusted Capital Plan Submission - Annual	Instruction	Unchanged
219659	Regulatory Capital Instruments - Annual	Form	Unchanged	Regulatory Capital Instruments Form
219659	Regulatory Capital Instruments - Annual	Instruction	Unchanged
219646	Business Plan Changes - Annual	Form	Unchanged	Business Plan Changes (no actual form)
219646	Business Plan Changes - Annual	Instruction	Unchanged
219630	Attestation - Ongoing revisions	Form	Unchanged	FR Y-14AQM Annual Attestation 123117 LISCC IHCS
219630	Attestation - Ongoing revisions	Form	Unchanged	FR Y-14AQM Annual Attestation 123117
219630	Attestation - Ongoing revisions	Form	Unchanged	FR Y-14QMA Semi-annual Attestation
219630	Attestation - Ongoing revisions	Instruction	Unchanged
214777	Balances - Quarterly	Form	Unchanged	Balances
214777	Balances - Quarterly	Instruction	Unchanged
212193	Operational Risk - Annual	Form	Unchanged	Operational Risk Form
212193	Operational Risk - Annual	Instruction	Unchanged
204375	On-going Revisions		Unchanged
204373	Retail FVO/HFS - Quarterly	Form	Unchanged	Quarterly FVO/HFS Form
204373	Retail FVO/HFS - Quarterly	Instruction	Unchanged
204372	Supplemental - Quarterly	Form	Unchanged	Quarterly Supplemental Form
204372	Supplemental - Quarterly	Instruction	Unchanged
204371	MSR Valuation - Quarterly	Form	Unchanged	Quarterly MSR Form
204371	MSR Valuation - Quarterly	Instruction	Unchanged
202759	Credit Card - Monthly	Form and Instruction	Unchanged	FR Y-14M Instructions and Forms
202758	Home Equity - Monthly	Form and Instruction	Unchanged	FR Y-14M Form and Instructions
202757	1st Lien Mortgage - Monthly	Form and Instruction	Unchanged	FR Y-14M Form and Instructions
202744	Operational Risk - Quarterly	Form and Instruction	Unchanged	Quarterly Operational Risk Form /Instructions
200207	Regulatory Capital Instruments - Quarterly	Form	Unchanged	Quarterly Regulatory Capital Instruments Form
200207	Regulatory Capital Instruments - Quarterly	Instruction	Unchanged
200205	Regulatory Capital Transitions - Quarterly	Form	Unchanged	Quarterly Regulatory Capital Transitions Schedule
200205	Regulatory Capital Transitions - Quarterly	Instruction	Unchanged
200203	Trading - Quarterly	Form	Unchanged	Quarterly Trading Form
200203	Trading - Quarterly	Instruction	Unchanged
200201	Wholesale - Quarterly	Form and Instruction	Unchanged	Quarterly Wholesale Corporate Loans Schedule
200200	Pre-Provision Net Revenue (PPNR) - Quarterly	Form	Unchanged	Quarterly PPNR Form
200200	Pre-Provision Net Revenue (PPNR) - Quarterly	Instruction	Unchanged
200199	Retail - 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
200196	Counterparty - Quarterly	Form	Unchanged	Quarterly Counterparty (CCR) Form
200196	Counterparty - Quarterly	Instruction	Unchanged
200195	Macro Scenario - Semi-annual	Form	Unchanged	Semi-Annual Scenario Form
200195	Macro Scenario - Semi-annual	Instruction	Unchanged
200193	Summary - Semi-Annual	Form	Unchanged	Semi-Annual Summary Form
200193	Summary - Semi-Annual	Instruction	Unchanged

ICR Details

OMB Control No: 7100-0341	ICR Reference No: 201811-7100-010
Status: Historical Active	Previous ICR Reference No: 201808-7100-003
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: 01/07/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/07/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2020	12/31/2020	12/31/2020
Responses	2,770	0	2,770
Time Burden (Hours)	858,384	0	858,384
Cost Burden (Dollars)	0	0	0

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Abstract: The Capital Assessments and Stress Testing Reports (FR Y-14A/Q/M) are applicable to top-tier bank holding companies (BHCs) with total consolidated assets of $100 billion or more and U.S. intermediate holding companies (U.S. IHCs) established by foreign banking organizations under 12 CFR 252.153. The FR Y-14A, FR Y-14Q and FR Y-14M reports are used to support the Comprehensive Capital Analysis and Review (CCAR) exercise, supervisory stress test models, and in connection with the supervision and regulation of these financial institutions.

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Authorizing Statute(s): US Code: 12 USC 1844 Name of Law: Bank Holding Company Act
   US Code: 12 USC 3106 Name of Law: International Banking Act
  

Citations for New Statutory Requirements: None

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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:
	83 FR 39093	08/08/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 58771	11/21/2018
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 24

table that charts list of burden

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-14A, FR Y-14AQM	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
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 - 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 - 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

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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	2,770	2,770	0	0	0	0
Annual Time Burden (Hours)	858,384	858,384	0	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: $2,779,104

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.     No

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

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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: 01/07/2019

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