Resolution Plans Required

Forms and Documents

Document Name	Status
Final Guidance ZA38 - Foreign Resolution Plans Triennial Filers 89 FR 66510 August 15, 2924.pdf Supplementary Document	2024-08-22
Proposed Guidance; Request for Comments ZA38 - Guidance for Resolution Plan Submissions of Foreign Triennial Full Filers 88 FR 64641 September 19, 2023.pdf Supplementary Document	2024-08-22
Final Guidance ZA37 - Resolution Plans Triennial Filers 89 FR 66388 August 15, 2024.pdf Supplementary Document	2024-08-22
Proposed Guidance; Request for Comments ZA37 - Guidance for Resolution Plan Submissions of Domestic Triennial Full Filers 88 FR 64626 September 19, 2023.pdf Supplementary Document	2024-08-22
SPST-0210 Final Guidance.docx Supporting Statement A	2024-08-22

IC Document Collections

IC ID	Document Title	Status
270353	12 CFR 381.4(b), Triennial Full - Domestic MPOE	New
270352	12 CFR 381.4(b), Triennial Full - FBO MPOE	New
270351	12 CFR 381.4(b), Triennial Full - FBO SPOE	New
236110	12 CFR 381.4(d)(6)(ii) - Waivers by Covered Companies	Unchanged
236109	12 CFR 381.4(a) - Biennial Filers - Domestic	Modified
236108	12 CFR 381.4(b) - Triennial Full - Foreign and Domestic	Removed
236107	12 CFR 381.4(b) - Triennial Full - Complex Foreign	Removed
236106	12 CFR 381.4(c) - Triennial Reduced	Modified

ICR Details

OMB Control No: 3064-0210	ICR Reference No: 202408-3064-008
Status: Received in OIRA	Previous ICR Reference No: 202309-3064-004
Agency/Subagency: FDIC	Agency Tracking No: 3064-0210
Title: Resolution Plans Required
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 08/22/2024

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	40	40
Time Burden (Hours)	210,844	210,586
Cost Burden (Dollars)	0	0

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Abstract: To promote financial stability, section 165(d) of the Dodd-Frank Act requires each covered company to periodically submit a plan for such company’s rapid and orderly resolution under the Bankruptcy Code in the event of the company’s material financial distress or failure.

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Authorizing Statute(s): US Code: 12 USC 5365 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection 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:
	88 FR 64626	09/19/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 66388	08/15/2024
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 6

IC Title	Form No.	Form Name
12 CFR 381.4(b), Triennial Full - Domestic MPOE
12 CFR 381.4(a) - Biennial Filers - Domestic
12 CFR 381.4(b) - Triennial Full - Complex Foreign
12 CFR 381.4(b) - Triennial Full - Foreign and Domestic
12 CFR 381.4(b), Triennial Full - FBO MPOE
12 CFR 381.4(b), Triennial Full - FBO SPOE
12 CFR 381.4(c) - Triennial Reduced
12 CFR 381.4(d)(6)(ii) - Waivers by Covered Companies

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ICR Summary of Burden

	Total Request	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	40	40	0	0	0	0
Annual Time Burden (Hours)	210,844	210,586	0	258	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: Agency issued guidance

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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]? Yes

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: 08/22/2024

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