External Audits

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
SPST-0113 External Audit 2019 Renewal.doc	Supporting Statement A	Uploaded 2019-10-29	Available
FR2-0113 External Audits 84 FR 33259 19 SEPT 2019.pdf	Supplementary Document	Uploaded 2019-10-16	Available
FR1-0113 External Audits 84 FR 33259 12 JUL 2019.pdf	Supplementary Document	Uploaded 2019-10-16	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
31888	External Audits		Removed
238151	FDIC Supervised Institutions with Less Than $500M in Total Assets - Filing of Other Reports		New
238150	FDIC Supervised Institutions with Less Than $500M in Total Assets - Filing of Other Reports		New
238149	FDIC Supervised Institutions with $500M - $1B in Total Assets -Notice of Change in Accountants		New
238148	FDIC Supervised Institutions with $500M - $1B in Total Assets - Filing of Other Reports		New
238147	FDIC Supervised Institutions with $500M - $1B in Total Assets - Audit Committee Composition		New
238146	FDIC Supervised Institutions with $500M - $1B in Total Assets - Annual Report		New
238145	FDIC Supervised Institutions with $1B - $3B in Total Assets - Notice of Change in Accountants		New
238144	FDIC Supervised Institutions with $1B - $3B in Total Assets - Filing of Other Reports		New
238143	FDIC Supervised Institutions with $1B - $3B in Total Assets - Audit Committee Compositon		New
238142	FDIC Supervised Institutions with $1B - $3B in Total Assets - Annual Report		New
238141	FDIC Supervised Institutions with $3B - $10B in Total Assets - Notice of Change in Accountants		New
238140	FDIC Supervised Institutions with $3B - $10B in Total Assets - Filing of Other Reports		New
238139	FDIC Supervised Institutions with $3B - $10B in Total Assets - Audit Committee Composition		New
238138	FDIC Supervised Institutions with $3B - $10B in Total Assets - Annual Report		New
238096	FDIC Supervised Institutions with $10B or More in Total Assets - Notice of Change in Accountants		New
238092	FDIC Supervised Institutions with $10B or More in Total Assets - Filing of Other Reports		New
238091	FDIC Supervised Institutions with $10B or More in Total Assets - Audit Committee Composition		New
238089	FDIC Supervised Institutions with $10B or More in Total Assets - Annual Report		New

ICR Details

OMB Control No: 3064-0113	ICR Reference No: 201910-3064-003
Status: Active	Previous ICR Reference No: 201512-3064-007
Agency/Subagency: FDIC	Agency Tracking No: 3064-0113
Title: External Audits
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/10/2019
	Date Received in OIRA: 10/29/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved	12/31/2019
Responses	10,599	0	12,317
Time Burden (Hours)	107,956	0	93,133
Cost Burden (Dollars)	0	0	0

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Abstract: The FDI Act requires insured institutions above a certain size to conduct annual independent audits, internal control assessments, and related activities.

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Authorizing Statute(s): US Code: 12 USC 1831m Name of Law: Federal Deposit Insurance 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:
	84 FR 33259	07/12/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 49298	09/19/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 18

table that charts list of burden

IC Title	Form No.	Form Name
FDIC Supervised Institutions with $3B - $10B in Total Assets - Notice of Change in Accountants
FDIC Supervised Institutions with $500M - $1B in Total Assets - Audit Committee Composition
FDIC Supervised Institutions with $500M - $1B in Total Assets - Filing of Other Reports
FDIC Supervised Institutions with $10B or More in Total Assets - Audit Committee Composition
FDIC Supervised Institutions with $10B or More in Total Assets - Notice of Change in Accountants
FDIC Supervised Institutions with $10B or More in Total Assets - Filing of Other Reports
FDIC Supervised Institutions with $10B or More in Total Assets - Annual Report
FDIC Supervised Institutions with $500M - $1B in Total Assets -Notice of Change in Accountants
FDIC Supervised Institutions with Less Than $500M in Total Assets - Filing of Other Reports
FDIC Supervised Institutions with $1B - $3B in Total Assets - Notice of Change in Accountants
FDIC Supervised Institutions with Less Than $500M in Total Assets - Filing of Other Reports
External Audits
FDIC Supervised Institutions with $3B - $10B in Total Assets - Annual Report
FDIC Supervised Institutions with $3B - $10B in Total Assets - Audit Committee Composition
FDIC Supervised Institutions with $3B - $10B in Total Assets - Filing of Other Reports
FDIC Supervised Institutions with $1B - $3B in Total Assets - Annual Report
FDIC Supervised Institutions with $1B - $3B in Total Assets - Audit Committee Compositon
FDIC Supervised Institutions with $1B - $3B in Total Assets - Filing of Other Reports
FDIC Supervised Institutions with $500M - $1B in Total Assets - Annual Report

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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	10,599	12,317	0	0	-1,718	0
Annual Time Burden (Hours)	107,956	93,133	0	0	14,823	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:

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: 10/29/2019

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