Recordkeeping and Disclosure Requirements Associated with Regulation Q

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
FRQ_20190620_omb.pdf	Supporting Statement A	Uploaded 2019-06-20	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
236575	Risk-based Capital Surcharge for GSIBs - Recordkeeping Sections 217.402 and 217.403		New
236574	Advanced Approach - Disclosure Section 217.173 Table 13		New
228046	Advanced Approach - Disclosure Section 217.173 Tables 4, 5, 9, and 12		Modified
222112	Advanced Approach - Disclosure Sections 217.142 and 217.172		Modified
210475	Advanced Approach - Recordkeeping Sections 217.132(d)(3)(viii) and 217.141(c)(2)(i)-(ii)		Modified
210474	Advanced Approach - Recordkeeping Sections 217.121(b), 217.122, 217.123, 217.124, 217.132(b)(2)(iii)(A), 217.132(b)(3), 217.132(d)(1), 217.132(d)(1)(iii), 217.132(d)(2)(iv), 217.132(d)(3)(ix), and 217		Modified
210473	Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63		Modified
210472	Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), and 217.41(c)(2)(ii)		Modified
210470	Minimum Capital Ratios - Recordkeeping Sections 217.3(d) and 217.22(h)(2)(iii)(A)		Modified
210469	Advanced Approach - Disclosure Section 217.173 Tables 4, 5, 9, and 12 (Initial Setup)		Modified
210468	Advanced Approach - Recordkeeping Sections 217.132(b)(2)(iii)(A), 217.132(d)(2)(iv), 217.132(d)(3)(vi), 217.132(d)(3)(viii), 217.132(d)(3)(ix), 217.132(d)(3)(x), 217.132(d)(3)(xi) (Initial Setup)		Modified
210467	Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63 (Initial Setup)		Modified
210466	Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), 217.41(b)(3), and 217.41(c)(2)(i) (Initial Setup)		Modified

ICR Details

OMB Control No: 7100-0313	ICR Reference No: 201904-7100-002
Status: Historical Active	Previous ICR Reference No: 201708-7100-026
Agency/Subagency: FRS	Agency Tracking No: FR Q
Title: Recordkeeping and Disclosure Requirements Associated with 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: 06/20/2019
	Date Received in OIRA: 06/20/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2022	36 Months From Approved	06/30/2019
Responses	3,257	0	3,046
Time Burden (Hours)	79,727	0	66,622
Cost Burden (Dollars)	0	0	0

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Abstract: In September and October of 2013, the Office of the Comptroller of the Currency (OCC), Board, and Federal Deposit Insurance Corporation (FDIC) (collectively, the agencies) published final rules that revised their risk-based and leverage capital requirements for banking organizations. For the Board, Regulation Q - Capital Adequacy of Bank Holding Companies, Savings and Loan Holding Companies, and State Member Banks (12 CFR 217) was revised and created recordkeeping and disclosure requirements.

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Authorizing Statute(s): US Code: 12 USC 1831o(c) Name of Law: Federal Deposit Insurance Act
   US Code: 12 USC 3907(a)(1) Name of Law: International Lending Supervision Act of 1983
   US Code: 12 USC 324 Name of Law: Federal Reserve Act
   US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act of 1956
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
7100-AF04	Final or interim final rulemaking	84 FR 4222	02/14/2019

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 22312	05/14/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 4222	02/14/2019
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Advanced Approach - Disclosure Section 217.173 Tables 4, 5, 9, and 12
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63 (Initial Setup)
Advanced Approach - Recordkeeping Sections 217.132(b)(2)(iii)(A), 217.132(d)(2)(iv), 217.132(d)(3)(vi), 217.132(d)(3)(viii), 217.132(d)(3)(ix), 217.132(d)(3)(x), 217.132(d)(3)(xi) (Initial Setup)
Advanced Approach - Disclosure Section 217.173 Tables 4, 5, 9, and 12 (Initial Setup)
Minimum Capital Ratios - Recordkeeping Sections 217.3(d) and 217.22(h)(2)(iii)(A)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), and 217.41(c)(2)(ii)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), 217.41(b)(3), and 217.41(c)(2)(i) (Initial Setup)
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63
Advanced Approach - Recordkeeping Sections 217.132(d)(3)(viii) and 217.141(c)(2)(i)-(ii)
Advanced Approach - Disclosure Sections 217.142 and 217.172
Advanced Approach - Recordkeeping Sections 217.121(b), 217.122, 217.123, 217.124, 217.132(b)(2)(iii)(A), 217.132(b)(3), 217.132(d)(1), 217.132(d)(1)(iii), 217.132(d)(2)(iv), 217.132(d)(3)(ix), and 217
Advanced Approach - Disclosure Section 217.173 Table 13
Risk-based Capital Surcharge for GSIBs - Recordkeeping Sections 217.402 and 217.403

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ICR Summary of Burden

table that charts list 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	3,257	3,046	0	0	211	0
Annual Time Burden (Hours)	79,727	66,622	0	456	12,649	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 current estimated total annual burden for the FR Q is 79,271 hours. The adopted revisions would result in a net increase in burden of 456 hours. The changes in the disclosure requirements to Tables 2, 3, and 5 in section 173 of the capital rule result in an increase in the average hours per response per agency of 48 hours for the initial setup burden and 6 hours for ongoing burden. In addition, as stated in the notice of proposed rulemaking, Simplifications to the Capital Rule Pursuant to the Economic Growth and Regulatory Paperwork Reduction Act of 1996 (82 FR 49984; October 27, 2017), in order to be consistent across the agencies, the agencies are also applying a conforming methodology for calculating the burden estimates.

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Annual Cost to Federal Government: $0

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: 06/20/2019

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