Risk-Based Capital Standards: Advanced Capital Adequacy Framework

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
1557-0318 SA-CCR 11-8-18.docx	Supporting Statement A	Uploaded 2018-11-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
233972	Advanced Approach - One-time Recordkeeping		New
233971	Advanced Approach - One-time Disclosure		New
233970	Standardized Approach - One-time Recordkeeping		New
233969	Standardized Approach - One-time Disclosures		New
209900	Minimum Regulatory Capital Ratios - Ongoing Recordkeeping		Modified
209899	Advanced Approach - Ongoing Recordkeeping		Modified
209898	Advanced Approach - Ongoing Disclosures		Modified
209897	Standardized Approach - Ongoing Recordkeeping		Modified
209896	Standardized Approach - Ongoing Disclosures		Modified

ICR Details

OMB Control No: 1557-0318	ICR Reference No: 201811-1557-001
Status: Historical Inactive	Previous ICR Reference No: 201701-1557-002
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: Comment filed on proposed rule and continue	Conclusion Date: 04/26/2019
	Date Received in OIRA: 12/17/2018
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden. The next submission to OMB must include the draft final rule.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2020	36 Months From Approved	08/31/2020
Responses	2,769	0	2,769
Time Burden (Hours)	240,711	0	240,711
Cost Burden (Dollars)	0	0	0

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Abstract: The rules for calculating risk-weighted assets are intended to enhance risk sensitivity and address weaknesses identified in recent years. The OCC uses the information collected to meet its statutory obligations to adopt and implement a risk-based capital requirement, determine the qualification of a bank for application of the rule, and assess the adequacy of a qualifying bank’s risk-based capital. The proposal would revise the capital rule to implement SA CCR in order to calculate the exposure amount of derivatives contracts under the agencies’ regulatory capital rule as well as update other parts of the capital rule to account for the proposed incorporation of SA CCR. The proposal will not, however, result in changes to the burden. In order to be consistent across the agencies, the agencies are applying a conforming methodology for calculating the burden estimates. The agencies are also updating the number of respondents based on the current number of supervised entities even though this proposal only affects a limited number of entities. The agencies believe that any changes to the information collections associated with the proposed rule are the result of the conforming methodology and updates to the respondent count, and not the result of the proposed rule changes.

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Authorizing Statute(s): US Code: 12 USC 1 et seq. Name of Law: The National Bank Act
   US Code: 12 USC 3901-3909 Name of Law: International Lending Supervision Act
   US Code: 12 USC 1464 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-AE44	Proposed rulemaking	83 FR 64660	12/17/2018

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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: 9

table that charts list of burden

IC Title	Form No.	Form Name
Standardized Approach - Ongoing Disclosures
Standardized Approach - Ongoing Recordkeeping
Advanced Approach - Ongoing Disclosures
Advanced Approach - Ongoing Recordkeeping
Minimum Regulatory Capital Ratios - Ongoing Recordkeeping
Standardized Approach - One-time Disclosures
Standardized Approach - One-time Recordkeeping
Advanced Approach - One-time Disclosure
Advanced Approach - One-time Recordkeeping

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Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The proposal will not result in changes to the burden. In order to be consistent across the agencies, the agencies are applying a conforming methodology for calculating the burden estimates. The agencies are also updating the number of respondents based on the current number of supervised entities even though this proposal only affects a limited number of entities. The agencies believe that any changes to the information collections associated with the proposed rule are the result of the conforming methodology and updates to the respondent count, and not the result of the proposed rule changes.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 12/17/2018

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