Country Exposure Report and Country Exposure Information Report (FFIEC 009/FFIEC 009a)

Forms and Documents

Document	Type	Status	Availability
1557-0100 (Final 2013) -OCC Supporting Statement 8-5-13.docx	Supporting Statement A	Uploaded 2013-08-05	Repair queued

IC Document Collections

IC ID	Collection	Type	Status	Form
200908	Country Exposure Information Report (FFIEC 009a)	Instruction	Modified
20018	Country Exposure Report (FFIEC 009)	Instruction	Modified

ICR Details

OMB Control No: 1557-0100	ICR Reference No: 201303-1557-001
Status: Historical Active	Previous ICR Reference No: 201201-1557-001
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Country Exposure Report and Country Exposure Information Report (FFIEC 009/FFIEC 009a)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 08/07/2013
	Date Received in OIRA: 06/20/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2016	36 Months From Approved	04/30/2015
Responses	100	0	100
Time Burden (Hours)	8,600	0	4,669
Cost Burden (Dollars)	0	0	0

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Abstract: These reports are used by the OCC to monitor overseas exposure of U.S. banks in individual countries. The OCC uses the information to analyze trends in overseas lending by individual U.S. banks and the U.S. banking system as a whole. The data are preliminary indicators of relative levels of risk undertaken by individual banks and serve as a crucial tool in the examination process.

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Authorizing Statute(s): US Code: 12 USC 1464 Name of Law: Homeowners Loan Act
   US Code: 12 USC 161 Name of Law: The National Bank Act
   US Code: 12 USC 1817 Name of Law: The Federal Deposit Insurance Corporation 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:
	78 FR 6176	01/29/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 36823	06/19/2013
Did the Agency receive public comments on this ICR? Yes

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

IC Title	Form No.	Form Name
Country Exposure Report (FFIEC 009)	FFIEC 009	FFIEC 009
Country Exposure Information Report (FFIEC 009a)	FFIEC 009a	Report Form

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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	100	100	0	0	0	0
Annual Time Burden (Hours)	8,600	4,669	0	3,931	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 proposed revisions to the FFIEC 009 report would increase the number of counterparty categories, add additional information on the type of claim being reported, provide details on a limited number of risk mitigants to help provide perspective to currently reported gross exposure numbers, add more detailed reporting of credit derivatives, add the United States as a country row to facilitate the analysis of domestic and foreign exposures and comply with enhancements to International Banking Statistics proposed by the Bank for International Settlements, and expand the entities that must report to include SLHCs.

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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]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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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: 06/20/2013

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