Capital Adequacy Standards

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
1557-0318 FBO Tailoring.docx	Supporting Statement A	Uploaded 2019-05-30	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
209900	Minimum Regulatory Capital Ratios - Recordkeeping		Unchanged
209899	Advanced Approaches - Recordkeeping		Unchanged
209898	Advanced Approaches - Disclosures		Unchanged
209897	Standardized Approach - Recordkeeping		Unchanged
209896	Standardized Approach - Disclosures		Unchanged

ICR Details

OMB Control No: 1557-0318	ICR Reference No: 201905-1557-007
Status: Historical Inactive	Previous ICR Reference No: 201902-1557-006
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Capital Adequacy Standards
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: 07/15/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 05/30/2019
Terms of Clearance: THE OCC will submit a request for a change if there is a material change in the number of entities it regulates that would be impacted by the regulation.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2022	36 Months From Approved	02/28/2022
Responses	2,769	0	2,769
Time Burden (Hours)	66,081	0	66,081
Cost Burden (Dollars)	0	0	0

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Abstract: This submission is being made in connection with a joint notice of proposed rulemaking by the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FRB), and the Federal Deposit Insurance Corporation (FDIC) (collectively, the agencies). The proposed rule would revise the regulatory capital rule found at 12 CFR part 3. The proposed rulemaking would require a U.S. intermediate holding company subject to Category III standards to maintain a minimum supplementary leverage ratio of 3 percent given its size and risk profile. As a result, these intermediate holding companies would no longer be identified as “advanced approaches banking organizations” for purposes of the advanced approach disclosure respondent count. The OCC has no such entities and, therefore, our burden count remains unchanged.

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Authorizing Statute(s): US Code: 12 USC 3901-3909 Name of Law: International Lending Supervision Act
   US Code: 12 USC 1 et seq. Name of Law: The National Bank 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-AE63	Proposed rulemaking	84 FR 24296	05/24/2019

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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

table that charts list of burden

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

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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: 05/30/2019

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