Recordkeeping and Disclosure Requirements Associated with the Capital Adequacy of Board-Related Institutions (Regulation Q)

Forms and Documents

Document Name	Status
FR4200_20160622_omb.pdf Supporting Statement A	2016-06-22

IC Document Collections

IC ID	Document Title	Status
45365	Disclosures (Sections 217.42 and 71)	Modified
45364	Recordkeeping Prior Written Approvals (Sections 217.44 and 53)	Modified
45363	Recordkeeping Written Implementation Plan (Sections 217.21, 22, and 23)	Modified
222112	Advanced Approach - Disclosure 217.173 (Table 13)	New
210475	Advanced Approach - Disclosure – One-Time 217.173 and Tables 4, 5, 9, and 12	Modified
210474	Advanced Approach - Disclosure – Ongoing 217.142, 171, 173, and Tables 4, 5, 9, and 12	Modified
210473	Advanced Approach - Recordkeeping – One-Time 217.132(b)(2)(iii)(A), 132(d)(2)(iv), 132(d)(3)(vi), 132(d)(3)(viii), 132(d)(3)(ix), 132(d)(3)(x), 132(d)(3)(xi), 141, and 153	Modified
210472	Advanced Approach - Recordkeeping – Ongoing 217.121, 122, 123, 124, 132(b)(2)(iii)(A), 132(b)(3), 132(d)(1), 132(d)(2)(iv), 132(d)(3)(ix), 132(d)(3)(xi), and 141	Modified
210470	Standardized Approach - Disclosure – One-Time 217.42, 62, and 63	Modified
210469	Standardized Approach - Disclosure – Ongoing 217.42, 62, 63, and Tables 1 through 10	Modified
210468	Standardized Approach - Recordkeeping – One-Time 217.35, 37, and 41	Modified
210467	Standardized Approach - Recordkeeping – Ongoing 217.35, 37, and 41	Modified
210466	Minimum Capital Ratios - Recordkeeping Sections 217.3(c) and 22(h)(2)(iii)(A)	Modified

ICR Details

OMB Control No: 7100-0313	ICR Reference No: 201503-7100-005
Status: Historical Active	Previous ICR Reference No: 201311-7100-016
Agency/Subagency: FRS	Agency Tracking No: FR 4200
Title: Recordkeeping and Disclosure Requirements Associated with the Capital Adequacy of Board-Related Institutions (Regulation Q)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/22/2016
	Date Received in OIRA: 06/22/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2019	36 Months From Approved	03/31/2017
Responses	7,039	0	6,959
Time Burden (Hours)	414,386	0	413,986
Cost Burden (Dollars)	0	0	0

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Abstract: Section 1831o(c) of the Federal Deposit Insurance Act requires each federal banking agency to adopt a risk-based capital requirement, which is based on the prompt corrective action framework in that section. The International Lending Supervision Act of 1984 (ILSA), (12 U.S.C. § 3907(a)(1)), mandates that each federal banking agency require banks to achieve and maintain adequate capital by establishing minimum levels of capital or by other methods that the applicable federal banking agency may deem appropriate. Section 908 of the ILSA, (12 U.S.C. §47907(b)(47)(C)), also directs the Chairman of the Federal Reserve and the Secretary of the Treasury to encourage governments, central banks, and regulatory authorities of other major banking countries to work toward maintaining and, where appropriate, strengthening the capital bases of banking institutions involved in international lending.

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Authorizing Statute(s): US Code: 12 USC 3907(a)(1) Name of Law: International Lending Supervision Act of 1983
   US Code: 12 USC 1831o(c) Name of Law: Federal Deposit Insurance Act
   US Code: 12 USC 324 Name of Law: Federal Reserve Act
   US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
7100-AD16	Final or interim final rulemaking	79 FR 57725	09/26/2014

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 24596	05/01/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 57725	09/26/2014
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 13

IC Title	Form No.	Form Name
Minimum Capital Ratios - Recordkeeping Sections 217.3(c) and 22(h)(2)(iii)(A)
Standardized Approach - Recordkeeping – Ongoing 217.35, 37, and 41
Standardized Approach - Recordkeeping – One-Time 217.35, 37, and 41
Standardized Approach - Disclosure – Ongoing 217.42, 62, 63, and Tables 1 through 10
Standardized Approach - Disclosure – One-Time 217.42, 62, and 63
Advanced Approach - Recordkeeping – Ongoing 217.121, 122, 123, 124, 132(b)(2)(iii)(A), 132(b)(3), 132(d)(1), 132(d)(2)(iv), 132(d)(3)(ix), 132(d)(3)(xi), and 141
Advanced Approach - Recordkeeping – One-Time 217.132(b)(2)(iii)(A), 132(d)(2)(iv), 132(d)(3)(vi), 132(d)(3)(viii), 132(d)(3)(ix), 132(d)(3)(x), 132(d)(3)(xi), 141, and 153
Advanced Approach - Disclosure – Ongoing 217.142, 171, 173, and Tables 4, 5, 9, and 12
Advanced Approach - Disclosure – One-Time 217.173 and Tables 4, 5, 9, and 12
Recordkeeping Written Implementation Plan (Sections 217.21, 22, and 23)
Disclosures (Sections 217.42 and 71)
Recordkeeping Prior Written Approvals (Sections 217.44 and 53)
Advanced Approach - Disclosure 217.173 (Table 13)

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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	7,039	6,959	0	80	0	0
Annual Time Burden (Hours)	414,386	413,986	0	400	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 total annual burden for the FR 4200 is estimated to be 413,986 hours and would increase to 414,386 hours with the proposed revisions. The net increase of 400 hours is attributed to a change in the disclosure requirements implemented by Basel III.

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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: 06/22/2016

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