Regulatory Capital Rules

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2013-20536.pdf	Supplementary Document	Uploaded 2013-09-11	Available
SPST-Basel_III_(0153)(12_16_13).doc	Supporting Statement A	Uploaded 2013-12-18	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
45438	AA Disclosures (sections 142, 171)		Modified
45437	AA Control, oversight and verification of systems (section 122)		Modified
45436	AA Supervisory approvals (various sections)		Modified
45435	AA Systems Maintenance (sections 122, 123)		Modified
45434	AA Implementation (section 121)		Modified
45433	AA Documentation (section 122)		Modified
209722	AA Recordkeeping (Ongoing) - Counterparty Credit Risk - Section 132(d)(3)(viii)		New
207610	Minimum Regulatory Capital Ratios - Section 325.2		New
207609	SA Disclosures (Ongoing)--SE, CR, Q&Q		New
207608	SA Disclosures (One-time)--SE, CR, Q&Q		New
207607	SA Recordkeeping (Ongoing)--QCCP, CT, and SE		New
207606	SA Recordkeeping (One-time)--QCCP, CT, and SE		New
207605	AA Disclosures (One-time) - Operational Risk - Tables 4, 5, 9, and 12 to Section 173		New
207604	AA Recordkeeping (ongoing) - Operational Criteria - Section 141(c)(2)(i)-(ii)		New
207603	AA Recordkeeping (Ongoing) - Counterparty Credit Risk - Section 132(d)(2) and (3)		New
207602	AA Recordkeeping (One-time) - Counterparty Credit Risk - Section 132(d)(2) and (3)		New
207600	AA Disclosures (ongoing) - Tables 4, 5, 9, and 12 to Section 173		New

ICR Details

OMB Control No: 3064-0153	ICR Reference No: 201306-3064-007
Status: Historical Inactive	Previous ICR Reference No: 201302-3064-002
Agency/Subagency: FDIC	Agency Tracking No:
Title: Regulatory Capital Rules
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Withdrawn and continue	Conclusion Date: 01/24/2014
	Date Received in OIRA: 09/11/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2016	35 Months From Approved	04/30/2016
Responses	114	0	114
Time Burden (Hours)	7,801	0	7,801
Cost Burden (Dollars)	0	0	0

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Abstract: This collection comprises the disclosure and recordkeeping requirements associated with minimum capital requirements and overall capital adequacy standards for state non-member banks and state chartered savings and loan associations. The capital standards are 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," and with section 171 of the Dodd-Frank Act, which requires the agencies to establish minimum risk-based and leverage capital requirements and with section 939A of the Dodd-Frank Act, which requires the agencies to use alternatives to credit ratings for calculating risk-weighted assets. The data is used by the FDIC to evaluate capital before approving various applications by insured depository institutions, to evaluate capital as an essential component in determining safety and soundness, and to determine whether an institutions is subject to prompt corrective action provisions.

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Authorizing Statute(s): US Code: 12 USC 1831(o) Name of Law: Federal Deposit Insurance Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 1435-38 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3064-AD95	Final or interim final rulemaking	78 FR 55340	09/10/2013

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 17

table that charts list of burden

IC Title	Form No.	Form Name
SA Recordkeeping (One-time)--QCCP, CT, and SE
SA Disclosures (One-time)--SE, CR, Q&Q
SA Disclosures (Ongoing)--SE, CR, Q&Q
Minimum Regulatory Capital Ratios - Section 325.2
SA Recordkeeping (Ongoing)--QCCP, CT, and SE
AA Control, oversight and verification of systems (section 122)
AA Documentation (section 122)
AA Supervisory approvals (various sections)
AA Implementation (section 121)
AA Systems Maintenance (sections 122, 123)
AA Disclosures (sections 142, 171)
AA Disclosures (ongoing) - Tables 4, 5, 9, and 12 to Section 173
AA Recordkeeping (One-time) - Counterparty Credit Risk - Section 132(d)(2) and (3)
AA Recordkeeping (Ongoing) - Counterparty Credit Risk - Section 132(d)(2) and (3)
AA Recordkeeping (ongoing) - Operational Criteria - Section 141(c)(2)(i)-(ii)
AA Disclosures (One-time) - Operational Risk - Tables 4, 5, 9, and 12 to Section 173
AA Recordkeeping (Ongoing) - Counterparty Credit Risk - Section 132(d)(3)(viii)

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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: No

Burden Reduction Due to:

Short Statement: The increase in burden of 729,474 hours reflects an adjustment of -4517 hours resulting from a decrease in the number of respondents for the Advanced Approaches requirements and a program change of +733,991 hours arising from new Minimum Regulatory Capital Ratio, Standardized Approach, and Advanced Approaches requirements.

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Annual Cost to Federal Government: $60,800

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

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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: 09/11/2013

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