Capital Assessments and Stress Testing Reports

Forms and Documents

Document	Type	Status	Availability
Form FR Y-14A/Q/M Attestation Cover Page (Annual)	Form	Modified	Available
Form FR Y-14A/Q/M Attestation Cover Page	Form	Modified	Repair queued
Form FR Y-14M Capital Assessments and Stress Testing (Monthly)	Form and Instruction	Modified	Available
Form FR Y-14Q Capital Assessments and Stress Testing (Quarterly)	Form	Modified	Available
Form FR Y-14A Capital Assessments and Stress Testing (Annual)	Form	Modified	Available
FRY14_20220920_omb.pdf	Supporting Statement A	Uploaded 2022-09-20	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
219630	Attestation ongoing	Form	Modified	Attestation Cover Page (Annual)
219630	Attestation ongoing	Form	Modified	Attestation Cover Page
204375	Ongoing automation revisions		Unchanged
200196	FR Y-14M	Form and Instruction	Modified	Capital Assessments and Stress Testing (Monthly)
200196	FR Y-14M	Other-Draft Form and Instruction	Modified
200195	FR Y-14Q	Form	Modified	Capital Assessments and Stress Testing (Quarterly)
200195	FR Y-14Q	Instruction	Modified
200193	FR Y-14A	Form	Modified	Capital Assessments and Stress Testing (Annual)
200193	FR Y-14A	Instruction	Modified

ICR Details

OMB Control No: 7100-0341	ICR Reference No: 202208-7100-009
Status: Historical Active	Previous ICR Reference No: 202201-7100-002
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: 09/20/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/20/2022
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2025	36 Months From Approved	08/31/2024
Responses	632	0	632
Time Burden (Hours)	810,464	0	809,000
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 U.S. bank holding companies (BHCs), U.S. intermediate holding companies of foreign banking organizations (IHCs), and covered savings and loan holding companies (SLHCs) (collectively holding companies) with $100 billion or more in total consolidated assets. The FR Y-14A, FR Y-14Q, and FR Y-14M reports (FR Y-14 reports) are used to set firms’ stress capital buffer (SCB) requirements. The data are also used to support the supervision and regulation of these financial institutions.

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Authorizing Statute(s): US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 5365(i) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   US Code: 12 USC 1467a(b) Name of Law: Home Owners’ Loan Act
   US Code: 12 USC 5311(a)(1) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   US Code: 12 USC 5365 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   US Code: 12 USC 5365 note Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   US Code: 12 USC 1844(b) Name of Law: Bank Holding Company Act of 1956
  

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:
	87 FR 11432	03/01/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 52560	08/26/2022
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Attestation ongoing	FR Y-14A/Q/M, FR Y-14A/Q/M	Attestation Cover Page ,   Attestation Cover Page (Annual)
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)
Ongoing automation revisions

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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	632	632	0	0	0	0
Annual Time Burden (Hours)	810,464	809,000	0	1,464	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 reports is 809,000 hours, and would increase to 810,464 hours as a result of the revisions, particularly those made to the trading and counterparty schedules of the FR Y-14Q.

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Annual Cost to Federal Government: $3,309,364

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? No

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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: 09/20/2022

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