Regulatory Capital Rules

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
SPST-0153 Regulatory Capital Rules (2019) - Tailoring Final Rule 11-19-19.doc	Supporting Statement A	Uploaded 2019-11-19	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
45438	(CCR) -- Section _.132(b)(2)(iii)(A): One-time		Unchanged
45437	Control, oversight and verification of systems -- Sections _.122 to _.124: Ongoing		Unchanged
45436	Supervisory approvals -- Sections_.122(d)-(h), _.132(b)(3), _.132(d)(1), _.132(d)(1)(iii): Ongoing		Unchanged
45435	Systems maintenance -- Sections _.122(a), _123(a), _.124(a): Ongoing		Unchanged
45434	Documentation of advanced systems -- Section _.122(j): Ongoing		Unchanged
45433	Implementation plan -- Section _.121(b): Ongoing		Unchanged
231223	(CR) -- Section _.173, Table 5: One-time		Unchanged
231222	(CR) -- Section_.173, Table 5: Ongoing		Unchanged
231221	(Capital Adequacy) -- Section _.173, Table 3: One-time		Unchanged
231220	(Capital Adequacy) -- Section_.173, Table 3: Ongoing		Unchanged
231219	(Capital Structure) -- Section_.173, Table 2: One-time		Unchanged
231216	(Capital Structure) -- Section_.173, Table 2: Ongoing		Unchanged
227467	(S.E.) -- Section _.42(e)(2), (C.R.) Sections_.62(a),(b),& (c), (Q&Q) Sections_.63(a) & (b) and _.63 Tables: Ongoing		Unchanged
227466	(S.E.) -- Section _.42(e)(2), (C.R.) Sections_.62(a),(b),& (c), (Q&Q) Sections_.63(a) & (b): One-time		Unchanged
227465	(SE) -- Section _.41(c)(2)(ii): Ongoing		Modified
227464	(SE) -- Sections _.41(b)(3) and _.41(c)(2)(i): One-time		Unchanged
227463	(CT) -- Section _.37(c)(4)(i)(E): Ongoing		Modified
227462	(CT) -- Section _.37(c)(4)(i)(E): One-time		Unchanged
227461	(QCCP) -- Section _.35(b)(3)(i)(A): Ongoing		Modified
227460	(QCCP) -- Section _.35(b)(3)(i)(A): One-time		Unchanged
227459	(CCR Operational Requirements) -- Sections _.3(d) and_.22(h)(2)(iii)(A): Ongoing		Modified
227458	(CCB and CCYB) -- Section _.173, Table 4, (Securitization) -- Section _.173, Table 9, (IRR) -- Section _.173, Table 12: One-time		Unchanged
227457	(CCB and CCYB) -- Section _.173, Table 4, (Securitization) -- Section_.173, Table 9, (IRR) -- Section _.173, Table 12: Ongoing		Unchanged
227456	Sections _.142 and _.172: Ongoing		Unchanged
227455	(OC) -- Section _.141(c)(2)(i)-(ii): Ongoing		Unchanged
227454	(OC) -- Sections _.141(b)(3), _.141(c)(1), _.141(c)(2)(i)-(ii), _.153: One-time		Unchanged
209722	(CCR) -- Section _.132(d)(3)(xi): Ongoing		Unchanged
207610	(CCR) -- Section _.132(d)(3)(xi): One-time		Unchanged
207609	(CCR) -- Section _.132(d)(3)(x): One-time		Unchanged
207608	(CCR) -- Section _.132(d)(3)(ix): Ongoing		Unchanged
207607	(CCR) -- Section _.132(d)(3)(ix): One-time		Unchanged
207606	(CCR) -- Section _.132(d)(3)(viii): Ongoing		Unchanged
207605	(CCR) -- Section _.132(d)(3)(viii): One-time		Unchanged
207604	(CCR) -- Section _.132(d)(3)(vi): One-time		Unchanged
207603	(CCR) -- Section _.132(d)(2)(iv): Ongoing		Unchanged
207602	(CCR) -- Section _.132(d)(2)(iv): One-time		Unchanged
207600	(CCR) -- Section _.132(b)(2)(iii)(A): Ongoing		Unchanged

ICR Details

OMB Control No: 3064-0153	ICR Reference No: 201911-3064-007
Status: Historical Active	Previous ICR Reference No: 201907-3064-006
Agency/Subagency: FDIC	Agency Tracking No: 3064-0153
Title: Regulatory Capital Rules
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/30/2019
	Date Received in OIRA: 11/19/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved	02/28/2022
Responses	14,010	0	13,986
Time Burden (Hours)	128,056	0	127,840
Cost Burden (Dollars)	0	0	0

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Abstract: This collection comprises the disclosure and recordkeeping requirements associated with minimum capital requirements and overall capital adequacy standards for insured state nonmember banks, state savings associations, and certain subsidiaries of those entities. The data is used by the FDIC to evaluate capital before approving various applications by insured depository institutions, to evaluate capital as an essential component in determining safety and soundness, and to determine whether an institution is subject to prompt corrective action provisions.

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Authorizing Statute(s): US Code: 12 USC 1831o Name of Law: Federal Deposit Insurance Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 1435-38 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3064-AE96	Final or interim final rulemaking	84 FR 59230	11/01/2019

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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: 37

table that charts list of burden

IC Title	Form No.	Form Name
(CCR) -- Section _.132(d)(3)(viii): One-time
(CCR) -- Section _.132(d)(3)(xi): Ongoing
(OC) -- Sections _.141(b)(3), _.141(c)(1), _.141(c)(2)(i)-(ii), _.153: One-time
(OC) -- Section _.141(c)(2)(i)-(ii): Ongoing
Sections _.142 and _.172: Ongoing
(CCB and CCYB) -- Section _.173, Table 4, (Securitization) -- Section_.173, Table 9, (IRR) -- Section _.173, Table 12: Ongoing
(Capital Adequacy) -- Section_.173, Table 3: Ongoing
(CCR) -- Section _.132(d)(3)(viii): Ongoing
(CCR) -- Section _.132(d)(3)(ix): Ongoing
(CCR) -- Section _.132(d)(3)(x): One-time
(CCR) -- Section _.132(d)(3)(xi): One-time
(CCR) -- Section _.132(d)(3)(ix): One-time
Control, oversight and verification of systems -- Sections _.122 to _.124: Ongoing
(CCB and CCYB) -- Section _.173, Table 4, (Securitization) -- Section _.173, Table 9, (IRR) -- Section _.173, Table 12: One-time
(CCR Operational Requirements) -- Sections _.3(d) and_.22(h)(2)(iii)(A): Ongoing
(QCCP) -- Section _.35(b)(3)(i)(A): One-time
(QCCP) -- Section _.35(b)(3)(i)(A): Ongoing
(CT) -- Section _.37(c)(4)(i)(E): One-time
(CT) -- Section _.37(c)(4)(i)(E): Ongoing
(SE) -- Sections _.41(b)(3) and _.41(c)(2)(i): One-time
(SE) -- Section _.41(c)(2)(ii): Ongoing
(S.E.) -- Section _.42(e)(2), (C.R.) Sections_.62(a),(b),& (c), (Q&Q) Sections_.63(a) & (b): One-time
(S.E.) -- Section _.42(e)(2), (C.R.) Sections_.62(a),(b),& (c), (Q&Q) Sections_.63(a) & (b) and _.63 Tables: Ongoing
Implementation plan -- Section _.121(b): Ongoing
(CCR) -- Section _.132(d)(3)(vi): One-time
Supervisory approvals -- Sections_.122(d)-(h), _.132(b)(3), _.132(d)(1), _.132(d)(1)(iii): Ongoing
Documentation of advanced systems -- Section _.122(j): Ongoing
Systems maintenance -- Sections _.122(a), _123(a), _.124(a): Ongoing
(CCR) -- Section _.132(b)(2)(iii)(A): One-time
(CCR) -- Section _.132(b)(2)(iii)(A): Ongoing
(CR) -- Section _.173, Table 5: One-time
(CCR) -- Section _.132(d)(2)(iv): One-time
(CCR) -- Section _.132(d)(2)(iv): Ongoing
(Capital Structure) -- Section_.173, Table 2: Ongoing
(Capital Structure) -- Section_.173, Table 2: One-time
(CR) -- Section_.173, Table 5: Ongoing
(Capital Adequacy) -- Section _.173, Table 3: One-time

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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	14,010	13,986	0	0	24	0
Annual Time Burden (Hours)	128,056	127,840	0	0	216	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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: $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]? Yes

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: 11/19/2019

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