Risk-Based Capital Standards: Advanced Capital Adequacy Framework

Forms and Documents

Document Name	Status
Basel III Supporting Statement - New Collection.docx Supporting Statement A	2013-12-31
Basel II-III Comparison.docx Supporting Statement B	2013-12-31

IC Document Collections

IC ID	Document Title	Status
209900	Minimum Regulatory Capital Ratios - Recordkeeping	New
209899	Advanced Approaches - Recordkeeping	New
209898	Advanced Approaches - Disclosures	New
209897	Standardized Approach - Recordkeeping	New
209896	Standardized Approach - Disclosures	New

ICR Details

OMB Control No: 1557-0318	ICR Reference No: 201312-1557-004
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Risk-Based Capital Standards: Advanced Capital Adequacy Framework
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Emergency	Approval Requested By: 12/31/2013
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/31/2013
	Date Received in OIRA: 12/31/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2014	6 Months From Approved
Responses	1,643	0	0
Time Burden (Hours)	189,349	0	0
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.

Emergency Justfication: This collection relates to a final rule that will become effective on January 1, 2014. It is imperative that this collection be approved prior to that date.

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

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

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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	1,643	0	0	1,643	0	0
Annual Time Burden (Hours)	189,349	0	0	189,349	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: Changing Regulations

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 implementation of new regulations.

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Annual Cost to Federal Government:

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: 12/31/2013

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