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View Supporting Statement and Other Documents
Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
1557-0014
ICR Reference No:
201007-1557-004
Status:
Historical Active
Previous ICR Reference No:
200903-1557-001
Agency/Subagency:
TREAS/OCC
Agency Tracking No:
Title:
Comptroller's Licensing Manual
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:
11/17/2010
Retrieve Notice of Action (NOA)
Date Received in OIRA:
10/07/2010
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
11/30/2013
36 Months From Approved
02/28/2011
Responses
5,864
0
5,894
Time Burden (Hours)
16,144
0
18,069
Cost Burden (Dollars)
0
0
0
Abstract:
The Comptroller's Licensing Manual explains the OCC's policies and procedures for the formation of a new national bank, entry into the national banking system by other institutions, and corporate expansion and structural changes by existing national banks. The OCC currently provides its national banks with two methods for application and notice submissions. Banks can submit either electronic applications and notices using e-Corp, an internet based program, or they can submit paper applications and notices. Presently, just a few applications and notices are available for electronic submission. The OCC proposes to replace the existing electronic and hard-copy process with a new web-based program currently in development. The program is an integrated, self service, data entry web-based portal named the Central Applications Tracking System (CATS). CATS will serve as the primary source for banks to create, edit and submit their filings and all associated attachments.
Authorizing Statute(s):
US Code:
12 USC 1 et. seq.
Name of Law: National Bank Act
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
1557-AC79
Final or interim final rulemaking
72 FR 36550
07/02/2007
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
75 FR 33385
06/11/2010
30-day Notice:
Federal Register Citation:
Citation Date:
75 FR 62183
10/07/2010
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Comptroller's Licensing Manual
N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A
Change in Assets Application
,
Background Investigations
,
Consent Form for DEA Background Investigations
,
Interagency Biographical and Financial Report
,
Corporate Background & Financial Report
,
Appointment of Agent
,
IRS Tax Check Waiver
,
Charter Application
,
First Meeting of Organizers
,
Articles of Association
,
Organization Certificate
,
Contact Person
,
Waiver of Notice of Organizing Board's First Meeting
,
Organizing Board's First Meeting
,
Individual Oath of Bank Director
,
Joint Oath of Bank Directors
,
Bylaws
,
Subscription
,
Capital Stock Payment Certificate
,
Corporate Resolution
,
Proxy Card
,
Notice of First Shareholder's Meeting
,
Minutes of the First Shareholder's Meeting
,
Minutes of Subsequent Organizing Board Meetings
,
Waiver of Notice of the First Board Meeting
,
First Meeting of Directors
,
Organization Completed
,
Preopening Checklist for Organizers
,
Conversion Application
,
Authority for Conversion to National Bank
,
Letter Certifying Conversion Completion
,
Letter Certifying Conversion Completion
,
Oaths of Bank Directors
,
Organization Certificate
,
Bylaws
,
Branch and Relocation Application
,
Main Office Relocation to Existing Branch Site within the Same City
,
Opening Date of Branch Office
,
Opening Date for Relocation of Main Office to Branch Site within the Same Town, City or Village
,
Business Combination Application - Checklist and Community Reinvestment Commitments
,
Business Combination Application - Streamlined
,
Interagency Bank Merger Act Application
,
Branches Requiring Authorization
,
Bank Merger Screen
,
Merger with Nonbank Subsidiary or Affliliate
,
Application - Interim National Bank Charter
,
Application - Reorganization - Subsidiary of a BHC
,
Stock Payment Certificate and Oaths of Directors and Officers
,
Shareholders' Waiver of Notice of Shareholders' Meeting and Written Consent of Business Combination
,
Board of Directors' Waiver of Notice of Board Meeting and Written Consent of Business Combination
,
Emergency Processing Request
,
Notice of Consummation
,
Notice of Shareholders' Meeting to Vote on Combination
,
Secretary's Certificate of Board of Directors' Approval of Combination
,
Secretary's Certificate of Shareholders' Approval of Combination
,
Application
,
After-the-Fact Notice
,
Surrender of Fiduciary Powers
,
Commencement of Fiduciary Activities Notice
,
Investments in Subsidiaries & Equities
,
After-the-Fact Notice-Subsidiary
,
After-the-Fact Notice-Bank Service Company
,
After-the-Fact Notice-Equity Investment
,
Annual Report on Operating Subsidiaries
,
Operating Subsidiary Application
,
Bank Service Company Application
,
Financial Subsidiary Notice
,
Financial Subsidiary Certification
,
Financial Subsidiary Notice & Certification
,
Advance Branch Closing & Downgrade Notice
,
Sample Customer Notice of Branch Closing
,
Application - Increase in Capital for Other than Cash
,
Application - Increase in Capital for Material Noncash
,
Application - Reduction of Permanent Capital
,
Application - Quasi-Reorganization
,
Application - Dividend-in-Kind
,
Application - Dividend Exceeding 12 USC 60 Limits
,
Application - Reverse Stock Split
,
Notice - Increase in Stock for Cash
,
Notice - Preferred Stock Terms
,
Notice - Increase in Stock for Property
,
Notice - Noncash Contribution to Surplus
,
Notice - Par Value Change
,
Notice - Conversion of Preferred Stock
,
Notice - Reduction of Permanent Capital
,
Notice - Stock Dividend
,
Pro Forma Balance Sheet
,
Projected Regulatory Capital Schedule
,
Affidavit
,
Interagency Notice of Change in Control
,
Notification of Change of Corporate Title
,
Change of Address
,
Request for Citizenship Waiver
,
Request for Residency Waiver
,
Investment in Bank Premises
,
After the Fact Notice
,
Application for Increase
,
Exemption - Diversified Savings and Loan Holding Company
,
General Exemption - No Presumption
,
General Exemption - Presumption Applicable
,
Application to Issue Subordinated Debt
,
Application to Prepay Subordinated Debt
,
Notice of Debt Issuance
,
Liquidation Final Report
,
Preliminary Notice of Intent to Convert, Merge, or Consolidate
,
Public Notice of Voluntary Liquidation
,
Shareholders' Resolution
,
Report of Condition at Commencement of Liquidation
,
Report of Progress of Liquidation
,
Expedited Liquidation Final Notice
,
Expedited Liquidation Preliminary Notice
,
Conversion Notice
,
Merger or Consolidation Notice
,
Voluntary Liquidation Notice
,
Voluntary Liquidation Preliminary Notice
,
Application to Establish an Initial-Additional Federal Branch or Agency
,
Financial Data
,
Request for After-the-Fact Approval
,
Request for After-the-Fact Notice Acquisitions
,
After-the-Fact Notice Acquisitions
,
Application to Acquire a Federal Branch or Agency
,
Application for a Change of Status of an Office of a Foreign Bank
,
Federal Branch & Agency Relocation Application
,
Notice of Effective Date for Relocation
,
Senior Management Resolution on Surrender of Fiduciary
,
Notice Letter - Standard Voluntary Liquidation
,
Resolution to Voluntary Liquidate
,
Voluntary Liquidation - Sample Public Notice
,
Liquidation - Interim Progress Report
,
Liquidation - Final Report
,
Capital Equivalency Deposit Agreement
,
Notice of a Change in Activities or Operations
,
Notice for a Change in Control
,
Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank
,
Non-Controlling Equity Investment Application
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
5,864
5,894
0
0
-30
0
Annual Time Burden (Hours)
16,144
18,069
0
-1,838
-87
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:
Yes
Burden Reduction Due to:
Using Information Technology
Short Statement:
The decrease in burden is due to the reduction in the number of applications received and the reduction in time required to file applications.
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
Agency Contact:
Yoo Jin Na 2028744604 yoojin.na@occ.treas.gov
Common Form ICR:
No
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:
10/07/2010