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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:
1557-0239
ICR Reference No:
201312-1557-001
Status:
Historical Active
Previous ICR Reference No:
201108-1557-013
Agency/Subagency:
TREAS/OCC
Agency Tracking No:
Title:
Advanced Capital Adequacy Framework Regulatory Reporting Requirements
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:
03/12/2014
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/14/2014
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
03/31/2017
36 Months From Approved
03/31/2014
Responses
56
0
211
Time Burden (Hours)
37,800
0
137,500
Cost Burden (Dollars)
0
0
0
Abstract:
The OCC uses the information provided through the FFIEC 101 to assess and monitor the levels and components of each institution's risk-based capital requirements and the adequacy of their capital under the Advanced Capital Adequacy Framework, which is a significant component of safety and soundness. The proposed revisions are reflective of the revised regulatory capital rules published on October 11, 2013 (78 FR 62018) by incorporating the Basel III capital disclosure template into the FFIEC 101.
Authorizing Statute(s):
US Code:
12 USC 1 et seq.
Name of Law: National Bank Act
Citations for New Statutory Requirements:
PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
78 FR 48932
08/12/2013
30-day Notice:
Federal Register Citation:
Citation Date:
79 FR 2527
01/14/2014
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Advanced Capital Adequacy Framework Regulatory Reporting Requirements
FFIEC 101, Schedule B, Schedule A
Risk-Based Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework—FFIEC 101
,
Schedule B—Summary Risk-Weighted Asset Information for Banks Approved to Use Advanced Internal Ratings-Based and Advanced Measurement Approaches for Regulatory Capital Purposes
,
Schedule A—Advanced Risk-Based Capital
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
56
211
0
0
-155
0
Annual Time Burden (Hours)
37,800
137,500
0
-5,060
-94,640
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:
Miscellaneous Actions
Short Statement:
The addition of the Basel III capital disclosure template increases the burden imposed by the collection slightly. However, the correction of the prior overstatement of the number of respondents results in an overall decrease in burden.
Annual Cost to Federal Government:
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:
Kevin Korzeniewski 202 874-5090
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:
01/14/2014