Risk-Based Capital Standards: Advanced Capital Adequacy Framework

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Basel III Supporting Statement.docx	Supporting Statement A	Uploaded 2013-07-08	Available
Basel II-III Comparison.docx	Supplementary Document	Uploaded 2013-07-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
44829	Minimum Regulatory Capital Ratios - Recordkeeping		Modified
207624	Advanced Approaches - Recordkeeping		New
207623	Standardized Approach - Disclosures		New
207488	Advanced Approaches - Disclosures		New
207487	Standardized Approach - Recordkeeping		New

ICR Details

OMB Control No: 1557-0234	ICR Reference No: 201304-1557-007
Status: Historical Inactive	Previous ICR Reference No: 201302-1557-002
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Risk-Based Capital Standards: Advanced Capital Adequacy Framework
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Withdrawn	Conclusion Date: 12/31/2013
	Date Received in OIRA: 10/17/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved	03/31/2016
Responses	0	0	1,251
Time Burden (Hours)	0	0	821,640
Cost Burden (Dollars)	0	0	0

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Abstract: The OCC has issued a final rule that revises and replaces its capital rules. The rule: revises risk-based and leverage capital requirements consistent with agreements reached by the Basel Committee on Banking Supervision (BCBS)in Basel III - A Global Regulatory Framework for More Resilient Banks and Banking Systems; revises and harmonizes rules for calculating risk-weighted assets to enhance risk sensitivity and address weaknesses identified in recent years; and revises the advanced approaches risk-based capital rules consistent with Basel III and other changes to the BCBS's capital standards.

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Authorizing Statute(s): US Code: 12 USC 1 et seq, Name of Law: National Bank Act
   US Code: 12 USC 1461 et seq. Name of Law: Homeowners' Loan Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1557-AD46	Final or interim final rulemaking	78 FR 62018	10/11/2013

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
Advanced Approaches - Recordkeeping
Advanced Approaches - Disclosures
Standardized Approach - Recordkeeping
Standardized Approach - Disclosures
Minimum Regulatory Capital Ratios - Recordkeeping

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The significantly lower estimates are due to the fact that, at the time the prior rules were adopted, banks had to create from scratch a system of rating every exposure. In addition, the OCC had no experience with assisting them and providing clear expectations. A chart comparing the burden from Basel II and III is attached as a supporting document.

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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: 10/17/2013

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