Comptroller's Licensing Manual

Forms and Documents

Document	Type	Status	Availability
Comptroller's Licensing Manual	Form	Modified	Available
1557-0014.2forNonsub.change.doc	Justification for No Material/Nonsubstantive Change	Uploaded 2011-09-15	Available
1557.0014Data Collection Burden Hours Update 9 12 11.docx	Supplementary Document	Uploaded 2011-09-15	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
19996	Comptroller's Licensing Manual	Form	Modified

ICR Details

OMB Control No: 1557-0014	ICR Reference No: 201108-1557-024
Status: Historical Active	Previous ICR Reference No: 201007-1557-004
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Comptroller's Licensing Manual
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/22/2011
	Date Received in OIRA: 09/22/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2013	11/30/2013	11/30/2013
Responses	6,935	0	5,864
Time Burden (Hours)	28,483	0	16,144
Cost Burden (Dollars)	0	0	0

---

Abstract: The Comptroller's Licensing Manual explains the OCC's policies and procedures for the formation of a new national bank, entry into the national banking system by other institutions, and corporate expansion and structural changes by existing national banks. The OCC currently provides its national banks with two methods for application and notice submissions. Banks can submit either electronic applications and notices using e-Corp, an internet based program, or they can submit paper applications and notices. Presently, just a few applications and notices are available for electronic submission. The OCC proposes to replace the existing electronic and hard-copy process with a new web-based program currently in development. The program is an integrated, self service, data entry web-based portal named the Central Applications Tracking System (CATS). CATS will serve as the primary source for banks to create, edit and submit their filings and all associated attachments.

---

Authorizing Statute(s): US Code: 12 USC 1 et. seq. Name of Law: National Bank Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1557-AC79	Final or interim final rulemaking	72 FR 36550	07/02/2007

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 33385	06/11/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 62183	10/07/2010
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Comptroller's Licensing Manual	N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, 1623, 1623, 138, 1450, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, 1566, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, 1639, N/A, N/A, 1240, 1558, 1584, 1585, 1589, 1344, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, 1562, 1680, 1681, 1682, 1683, 1561, 1622, 1579, 1583, 1582, N/A, N/A, N/A, N/A, N/A	Report of Progress of Liquidation ,   Expedited Liquidation Final Notice ,   Expedited Liquidation Preliminary Notice ,   Conversion Notice ,   Merger or Consolidation Notice ,   Voluntary Liquidation Notice ,   Voluntary Liquidation Preliminary Notice ,   Application to Establish an Initial-Additional Federal Branch or Agency ,   Financial Data ,   Request for After-the-Fact Approval ,   Resolution to Voluntary Liquidate ,   Voluntary Liquidation - Sample Public Notice ,   Liquidation - Interim Progress Report ,   Liquidation - Final Report ,   Capital Equivalency Deposit Agreement ,   Notice of a Change in Activities or Operations ,   Notice for a Change in Control ,   Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank ,   Non-Controlling Equity Investment Application ,   Interagency Charter and Federal Deposit Insurance Application ,   Interagency Biographical and Financial Report ,   Liquidation Final Report ,   Preliminary Notice of Intent to Convert, Merge, or Consolidate ,   Public Notice of Voluntary Liquidation ,   Shareholders' Resolution ,   Report of Condition at Commencement of Liquidation ,   Request for After-the-Fact Notice Acquisitions ,   After-the-Fact Notice Acquisitions ,   Application to Acquire a Federal Branch or Agency ,   Application for a Change of Status of an Office of a Foreign Bank ,   Federal Branch & Agency Relocation Application ,   Notice of Effective Date for Relocation ,   Senior Management Resolution on Surrender of Fiduciary ,   Notice Letter - Standard Voluntary Liquidation ,   Application for Permission to Establish a Branch Office ,   Notice to Establish a Branch Office or for Change of Location of an Existing Office ,   Notice for Service Corporation Activity - Securities Brokerage ,   Notice for Preapproved Service Corporation Activity ,   Mutual to Stock Conversion Application ,   Interagency Bank Merger Act Application ,   Notice of Filing Pursuant to 12 CFR Section 563.22(c) for Institutions that Qualify for Expedited Treatment ,   Notification of Intention to Convert to or Combine with a Bank ,   Transfer Application ,   Application for the Issuance of Subordinated Debt Security ,   Notice for Issuance of Subordinated Debt or Mandatorily Redeemable Preferred Stock ,   Interagency Notice of Change in Control ,   Interagency Biographical and Financial Report ,   Application for Fiduciary Powers ,   Notice for Establishment of an Operating Subsidiary ,   Application for Conversion of a Depository Institution to a Federal Stock or Mutual Savings Association ,   Notice or Application for Capital Distribution ,   Background Investigations ,   Consent Form for DEA Background Investigations ,   Interagency Biographical and Financial Report ,   Corporate Background & Financial Report ,   Appointment of Agent ,   IRS Tax Check Waiver ,   Charter Application ,   First Meeting of Organizers ,   Articles of Association ,   Organization Certificate ,   Contact Person ,   Waiver of Notice of Organizing Board's First Meeting ,   Organizing Board's First Meeting ,   Preopening Checklist for Organizers ,   Conversion Application ,   Authority for Conversion to National Bank ,   Letter Certifying Conversion Completion ,   Letter Certifying Conversion Completion ,   Oaths of Bank Directors ,   Organization Certificate ,   Stock Payment Certificate and Oaths of Directors and Officers ,   Shareholders' Waiver of Notice of Shareholders' Meeting and Written Consent of Business Combination ,   Board of Directors' Waiver of Notice of Board Meeting and Written Consent of Business Combination ,   Bylaws ,   Branch and Relocation Application ,   Main Office Relocation to Existing Branch Site within the Same City ,   Opening Date of Branch Office ,   Opening Date for Relocation of Main Office to Branch Site within the Same Town, City or Village ,   Application - Increase in Capital for Other than Cash ,   Application - Increase in Capital for Material Noncash ,   Application - Reduction of Permanent Capital ,   Application - Quasi-Reorganization ,   Application - Dividend-in-Kind ,   Application - Dividend Exceeding 12 USC 60 Limits ,   Application - Reverse Stock Split ,   Notice - Increase in Stock for Cash ,   Notice - Preferred Stock Terms ,   Notice - Increase in Stock for Property ,   Notice - Noncash Contribution to Surplus ,   Notice - Par Value Change ,   Notice - Conversion of Preferred Stock ,   Notice - Reduction of Permanent Capital ,   Notice - Stock Dividend ,   Business Combination Application - Checklist and Community Reinvestment Commitments ,   Business Combination Application - Streamlined ,   Interagency Bank Merger Act Application ,   Branches Requiring Authorization ,   Bank Merger Screen ,   Merger with Nonbank Subsidiary or Affliliate ,   Application - Interim National Bank Charter ,   Application - Reorganization - Subsidiary of a BHC ,   Emergency Processing Request ,   Notice of Consummation ,   Notice of Shareholders' Meeting to Vote on Combination ,   Secretary's Certificate of Board of Directors' Approval of Combination ,   Secretary's Certificate of Shareholders' Approval of Combination ,   Application ,   After-the-Fact Notice ,   Surrender of Fiduciary Powers ,   Commencement of Fiduciary Activities Notice ,   Investments in Subsidiaries & Equities ,   After-the-Fact Notice-Subsidiary ,   After-the-Fact Notice-Bank Service Company ,   After-the-Fact Notice-Equity Investment ,   Annual Report on Operating Subsidiaries ,   Operating Subsidiary Application ,   Bank Service Company Application ,   Financial Subsidiary Notice ,   Financial Subsidiary Certification ,   Financial Subsidiary Notice & Certification ,   Advance Branch Closing & Downgrade Notice ,   Sample Customer Notice of Branch Closing ,   Pro Forma Balance Sheet ,   Projected Regulatory Capital Schedule ,   Affidavit ,   Interagency Notice of Change in Control ,   Notification of Change of Corporate Title ,   Change of Address ,   Request for Citizenship Waiver ,   Request for Residency Waiver ,   Investment in Bank Premises ,   After the Fact Notice ,   Application for Increase ,   Exemption - Diversified Savings and Loan Holding Company ,   General Exemption - No Presumption ,   General Exemption - Presumption Applicable ,   Application to Issue Subordinated Debt ,   Application to Prepay Subordinated Debt ,   Notice of Debt Issuance ,   Individual Oath of Bank Director ,   Joint Oath of Bank Directors ,   Bylaws ,   Corporate Resolution ,   Proxy Card ,   Notice of First Shareholder's Meeting ,   Minutes of the First Shareholder's Meeting ,   Minutes of Subsequent Organizing Board Meetings ,   Waiver of Notice of the First Board Meeting ,   First Meeting of Directors ,   Organization Completed ,   Subscription ,   Capital Stock Payment Certificate ,   Change in Assets Application

---

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	6,935	5,864	1,071	0	0	0
Annual Time Burden (Hours)	28,483	16,144	12,339	0	0	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: The increase in burden is due to the integration of the OTS with the OCC. The additional respondents are entities formerly regulated by the OTS. Bankers and other interested parties use the Manual to determine where and how to file an application and to identify the regulatory requirements affecting corporate changes. Bankers, other interested persons, and OCC personnel use the Manual to further their understanding of the corporate activities filing processes and time frames. The Manual is the primary procedural guide for OCC personnel. The information collected by the notifications and forms assist the regulatory agency in fulfilling their statutory responsibilities as supervisors. The regulatory agency uses the information to evaluate the controlling owners, senior officers, and directors of the insured depository institutions subject to their oversight.

---

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

---

Common Form ICR:  No

---

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: 09/22/2011

---