Ombudsman Post-Examination Surveys

Forms and Documents

Document Name	Status
Form 6600-59 Consumer Compliance Post Examination Surveys Form and Instruction	New
Form 6600-58 Safety and Soundness Post Examination Surveys Form and Instruction	New
FR2-NEW Post Examination Surveys 87 FR 16736 March 24 2022.pdf Supplementary Document	2022-03-24
FR1-NEW Post Examination Surveys 87 FR 3108 January 20 2022.pdf Supplementary Document	2022-03-21
SPST-NEW Ombudsman Post Examiknation Surveys FINAL.docx Supporting Statement A	2022-03-21

IC Document Collections

IC ID	Document Title	Status
252298	Consumer Compliance Post Examination Surveys Form and Instruction	New
252297	Safety and Soundness Post Examination Surveys Form and Instruction	New

ICR Details

OMB Control No:	ICR Reference No: 202203-3064-002
Status: Received in OIRA	Previous ICR Reference No:
Agency/Subagency: FDIC	Agency Tracking No:
Title: Ombudsman Post-Examination Surveys
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/24/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	1,155	0
Time Burden (Hours)	867	0
Cost Burden (Dollars)	0	0

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Abstract: Onsite examinations help ensure the stability of insured depository institutions by identifying undue risks and weak risk management practices. Examination activities center on evaluating an institution’s capital, assets, management, earnings, liquidity, and sensitivity to market risk. Evaluating a bank’s adherence to laws and regulations is also an important part of bank examinations and is given high priority by Congress and bank supervisors. Bank examinations also play a key role in the supervisory process by helping the FDIC identify the cause and severity of problems at individual banks and emerging risks in the financial-services industry. The accurate identification of existing and emerging risks helps the FDIC develop effective corrective measures for individual institutions and broader supervisory strategies for the industry. The purpose of the post- examination surveys is to gauge bankers’ views on the effectiveness and quality of FDIC Safety and Soundness and Consumer Compliance examinations, as well as to identify ways to improve the examination process. Respondents will be asked to voluntarily rate the efficiency of the pre-examination process; examiners’ professionalism and understanding of the laws and regulations; the examination process; and examination report quality. Respondents will also be allowed to provide feedback on any areas for improvement and will be given an option to have someone from the FDIC’s Office of the Ombudsman contact the institution confidentially about its recent examination or any other matters.

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Authorizing Statute(s): US Code: 12 USC 1819(a), Eihgth 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:
	87 FR 3108	01/20/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 16136	03/24/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Consumer Compliance Post Examination Surveys	6600-59	Ombudsman Consumer Compliance Post-Examination Survey
Safety and Soundness Post Examination Surveys	6600-58	Ombudsman Safety and Soundness Post-Examination Survey

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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	1,155	0	0	1,155	0	0
Annual Time Burden (Hours)	867	0	0	867	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: No

Burden Reduction Due to:

Short Statement: The FDIC is requesting OMB approval for a new information collection related to quality of service surveys intended to assess the effectiveness of the agency’s financial institution examination process and to elicit comments and recommendations to improve the examination program.

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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? 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: 03/24/2022

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