OMB control number

Part 364, Appendix C - Guidelines Establishing Standards for Corporate Governance

OMB 3064-0220 · FDIC.

OMB 3064-0220

Latest Forms, Documents, and Supporting Material

Document Name
SPST-NEW NPR Part 364_Appendix C - 10-23-2023.pdf Supporting Statement A
Board, Annual Review of Processes that Require Front Line and Independent Risk Management Units to Identify, Distinguish, Document and Report Violations of Law or Regulations Section III(F): Ongoing
Board, Establishment of Processes that Require Front Line and Independent Risk Management Units to Identify, Distinguish, Document and Report Violations of Law or Regulations Section III(F): One-Time
Front Line and Independent Risk Management Units Report to the FDIC Breach of a Risk Limit or Noncompliance with the Risk Appetite Statement or Risk Management Program Section III(E)(3): Ongoing
Board, Establishment of Processes that Require the Front Line and Independent Risk Management Units to Identify and Distinguish Breaches Section III(E): Ongoing
Board, Establishment of Processes that Require the Front Line and Independent Risk Management Units to Identify and Distinguish Breaches Section III(E): One-Time
Internal Audit Unit, Quarterly Report Changes to Audit Plan Section III(C)(3)(c)(ii): Ongoing
Internal Audit Unit, Establishment of an Audit Plan Section III(C)(3)(c)(ii): One-Time
Independent Risk Management Unit, Review and Update of Procedures and Processes to Ensure Compliance with Board Risk Management Policies Section III(C)(3)(b)(v): Ongoing
Independent Risk Management Unit, Review and Update of Procedures and Processes to Ensure Compliance with Board Risk Management Policies Section III(C)(3)(b)(v): Ongoing
Independent Risk Management Unit, Establishment of Procedures and Processes to Ensure Compliance with Board Risk Management Policies Section III(C)(3)(b)(v): One-time
Independent Risk Management Unit, Review and Update of Policies Relative to Concentration Risk Limits Section III(C)(3)(b)(iv): Ongoing
Independent Risk Management Unit, Establishment of Policies Relative to Concentration Risk Limits Section III(C)(3)(b)(iv): One-time
Independent Risk Management Unit, Quarterly Monitor and Report on the Covered Institution's Risk Profile Relative to Risk Appetite and Concentration Limits Section III(C)(3)(b)(iii): Ongoing
Front Line Unit, Quarterly Monitor and Report Compliance with Respective Risk Limits Section III(C)(3)(a)(v): Ongoing
Front Line Unit, Annual Review of Procedures and Processes, as Necessary to Ensure Compliance with Board Policies Section III(C)(3)(a)(iii): Ongoing
Front Line Unit, Establish Procedures and Processes, as Necessary to Ensure Compliance with Board Policies Section III(C)(3)(a)(iii): One-Time
Front Line Unit, Annual Review of Written Policies that Include Risk Limits Section III(C)(3)(a)(ii): Ongoing
Front Line Unit, Establishment of Written Policies that Include Risk Limits Section III(C)(3)(a)(ii): One-Time
Report Risk Limit Breaches to the FDIC Section III(C)(2)(c)(iii): Ongoing
Board Quarterly Review and Approval of Risk Appetitive Statement Section III(B): Ongoing
Establishment of a Comprehensive Written Statement that Establishes Risk Appetite Limits Section III(B): One-Time
Board Quarterly Review of Risk Profile Section III(B): Ongoing
Board Establishment of a Risk Profile Section III(B): One-Time
Board Annual Review of Comprehensive Risk Management Program Section III(A): Ongoing
Board Establishment of a Comprehensive Risk Management Program Section III(A): One-Time
Risk Committee, Approval of Decisions Regarding Appointment or Removal of CRO Section II(D)(4)(g): Ongoing
Risk Committee, Quarterly Documentation of Proceedings and Risk Management Decisions Section II(D)(4)(f): Ongoing
Risk Committee, Quarterly Review of CRO Reports Section II(D)(4)(e): Ongoing
Risk Committee, Annual Review of Charter of Internal Audit Function Section II(D)(4): Ongoing
Risk Committee, Approval of Risk Management Policies Section II(D)(4): One-Time
Audit Committee, Approval all Decisions Regarding the Appointment or Removal and Annual Compensation and Salary Adjustment for the CAO Section II(D)(1)(d): Ongoing
Audit Committee, Approval of all Audit Services Section II(D)(1)(b): Ongoing
Board Annual Review of Charter of Internal Audit Function Section II(D)(1)(f): Ongoing
Board Approval of Charter of Internal Audit Function Section II(D)(1)(e): One-Time
Annual Review of Written Charter for Board Committees Section II(D): Ongoing
Establishment of a Written Charter for Board Committees Section II(D): One-Time
Annual Review of Compensation and Performance Management Program Section II(C)(10): Ongoing
Establishment of a Compensation and Performance Management Program Section II(C)(10): One-Time
Board Annual Self-Assessment Section II(C)(9): Ongoing
Annual Review Training Program for Directors Section II(C)(8): Ongoing
Establishment of a Training Program for Directors Section II(C)(8): One-Time
Annual Review Succession Plan Section II(C)(7): Ongoing
Development of a Succession Plan Section II(C)(7): One-Time
Annual Review of Management Performance Review Process Section II(C)(7): Ongoing
Establishment of a Management Performance Review Process Section II(C)(7): One-Time
Annual Review Written Code of Ethics Section II(C)(4): Ongoing
Establishment of a Written Code of Ethics Section II(C)(4): One-Time
Board, Annual Review Policies Governing Operations Section II(C)(3): Ongoing
Board, Establishment and Approval of Policies Governing Operations Section II(C)(3): One-Time
Annual Evaluation and Approval of Strategic Plan Section II(C)(2): Ongoing
Development of a Written Strategic Plan Section II(C)(2): One-Time
Audit Committee, Annual Review and Approval of the Internal Audit Unit's Charter Section I(D)(7)(c): Ongoing
Audit Committee, Review and Approval of the Internal Audit Unit's Charter Section I(D)(7)(b): One-Time

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202310-3064-002

Comment filed on proposed rule

New collection (Request for a new OMB Control Number)

2023-10-24