Capital Adequacy Standards

ICR 202311-1557-001

OMB: 1557-0318

Federal Form Document

Forms and Documents
IC Document Collections
IC ID
Document
Title
Status
263368
New
263367
New
263366
New
263365
New
263364
New
263363
New
263362
New
263361
New
263360
New
263359
New
263358
New
263357
New
263356
New
263355
New
263354
New
263353
New
263352
New
263348
New
263347
New
263343
New
263342
New
263340
New
263339
New
263338
New
263334
New
263290
New
263289
New
263288
New
263287
New
263286
New
263284
New
241860
Removed
209900
Removed
209899
Removed
209898
Removed
209897
Removed
209896
Removed
ICR Details
1557-0318 202311-1557-001
Received in OIRA 202011-1557-001
TREAS/OCC
Capital Adequacy Standards
Revision of a currently approved collection   No
Regular 11/14/2023
  Requested Previously Approved
36 Months From Approved 02/29/2024
1,312 2,773
20,535 66,105
0 0

This ICR is being filed in connection with a proposed rule that would substantially revise the capital requirements applicable to large banking organizations and to banking organizations with significant trading activity. The revisions set forth in the proposed rule would improve the calculation of risk-based capital requirements to better reflect the risks of these banking organizations’ exposures, reduce the complexity of the framework, enhance the consistency of requirements across these banking organizations, and facilitate more effective supervisory and market assessments of capital adequacy. Specifically, the rule would revise the information collections by revising 12 CFR part 3, subparts E and F in their entirety, along with limited changes to other areas of part 3. The OCC uses the information collected to meet its statutory obligations to adopt and implement a risk-based capital requirement, determine the qualification of a bank for application of the rule, and assess the adequacy of a qualifying bank’s risk-based capital.

US Code: 12 USC 1 et seq. Name of Law: The National Bank Act
   US Code: 12 USC 3901-3909 Name of Law: International Lending Supervision Act
   US Code: 12 USC 1464 Name of Law: Homeowners' Loan Act
  
None

1557-AE78 Proposed rulemaking 88 FR 64028 09/18/2023

No

31
IC Title Form No. Form Name
Advanced Approaches - Disclosures
Advanced Approaches - Recordkeeping
Expanded Risk Based Approach: Adjusted Derivative Amount -- Prior Approval Regarding Supervisory Delta Adjustment -- Section: _.113(i)(3)(ii)(C): Ongoing
Expanded Risk Based Approach: Cleared Transactions -- Documentation of Legal Review Regarding Risk Weight Section: _.114(b)(3)(i)(A): Ongoing
Expanded Risk Based Approach: Cleared Transactions -- Prior Approval Regarding Exposure Amount of a QCCP to a Clearing Member -- Section: _.114(d)(6)(vi): Ongoing
Expanded Risk Based Approach: Collateralized Transactions -- Maintain Written Documentation for Transactions Subject to the Minimum Haircut Floors Section: __.121(d)(2)(ii)(C): Ongoing
Expanded Risk Based Approach: Disclosure -- Section: _.20(c)(1)(xiv), (d)(1)(xi): Ongoing
Expanded Risk Based Approach: Disclosure Requirements -- Disclosure Policy Section: _.161(b): Ongoing
Expanded Risk Based Approach: Disclosures -- Section _.162 (Tables 1-14): One-time
Expanded Risk Based Approach: Disclosures -- Section _.162 (Tables 1-14): Ongoing
Expanded Risk Based Approach: Operational Criteria for Recognizing the Transfer of Risk -- Documentation of Analysis of Risk of Securitization Exposure Section: _.130(c)(2)(i)-(ii): One-time
Expanded Risk Based Approach: Operational Criteria for Recognizing the Transfer of Risk -- Legal Opinion Section: _.130(b)(3): Ongoing
Expanded Risk Based Approach: Operational Criteria for Recognizing the Transfer of Risk -- Updating Analysis for Each Securitization Exposure Section: _.130(c)(2)(ii): Ongoing
Expanded Risk Based Approach: Operational Risk Capital -- Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section: _.150(f)(1)-(2): One-time
Expanded Risk Based Approach: Operational Risk Capital -- Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section: _.150(f)(1)-(2): Ongoing
Expanded Risk Based Approach: Operational Risk Capital -- Prior Approval of Business Indicator Exclusions Section: _.150(d)(5): Ongoing
Expanded Risk Based Approach: Operational Risk Capital -- Prior Approval of Operational Loss Events Exclusion Section: _.150(e)(3)(i)-(ii): Ongoing
Guarantees and Credit Derivatives Substitution Approach -- Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): One-time
Guarantees and Credit Derivatives Substitution Approach -- Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section: _.120(e)(1): Ongoing
Minimum Regulatory Capital Ratios - Recordkeeping
Minimum Regulatory Capital Ratios: Counterparty Credit Risk Operational Requirements -- Legal Opinion -- Section: _.3(d): Ongoing
Minimum Regulatory Capital Ratios: Regulatory Capital Adjustments and Deductions -- Prior Approval Section: _.22(h)(2)(iii)(A): Ongoing
Minimum Regulatory Capital Ratios: Regulatory Capital Adjustments and Deductions -- Prior Approval Sections: _.22(b)(2)(iv), (c)(4), (c)(5)(i), (c)(6), (d)(2)(i)(C), (d)(2)(iii): Ongoing
Operational Requirements for Securitization Exp. -- Legal Opinion Re Oper. Criteria for Synthetic Securitizations Section: _.41(b)(3) Doc. Analysis of Oper. Criteria Section _.41(c)(2)(i): One-time
Operational Requirements for Securitization Exposures -- Document Analysis of Operational Criteria for Synthetic Securitizations Section _.41(c)(2)(ii): Ongoing
Opt-in Requirement and Prior Approval for Distributions
Risk-Weighted Assets for Sec. Exposures -- Implicit Support Section: _.42(e)(2), Credit Risk Sections: _.62(a)-(c), Quantitative & Qualitative Disclosures Sections: _.63(a)-(b) & _.63 Tables: One-time
Standardized Approach - Disclosures
Standardized Approach - Recordkeeping
Standardized Approach: Cleared Transactions -- Cleared Transaction with a QCCP Risk Weights Section: _.35(b)(3)(i)(A): One-time
Standardized Approach: Cleared Transactions -- Cleared Transaction with a QCCP Risk Weights Section: _.35(b)(3)(i)(A): Ongoing
Standardized Approach: Collateralized Transactions -- Internal Estimates for Haircuts -- Section _.37(c)(4)(i)(E): Ongoing
Standardized Approach: Collateralized Transactions -- Internal Estimates for Haircuts Section: _.37(c)(4)(i)(E): One-time
Standardized Approach: Collateralized Transactions -- Internal Estimates for Haircuts Section: _.37(c)(4)(i)(E): Ongoing
Standardized Approach: Credit Risk -- Disclosures Sections: _.62(a)-(c), Credit Risk -- Quantitative and Qualitative Disclosures Sections: _.63(a)-(b), and _.63 Tables: Ongoing
Standardized Approach: Derivative Contracts -- Exposure Amount Methodology Section: _.34(a)(1)(ii): Ongoing
Standardized Approach: Risk-Weighted Assets for Securitization Exposures -- Implicit Support Disclosure Section: _.42(e)(2): Ongoing

  Total Request 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 1,312 2,773 0 0 -1,461 0
Annual Time Burden (Hours) 20,535 66,105 0 0 -45,570 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The NPR modifies the reporting, recordkeeping, and disclosure requirements of the regulatory capital rules by adding new requirements and revising existing reporting, recordkeeping, and disclosure requirements. In particular, a number of model approval requirements and disclosure tables in the current rule would be discontinued. As a result, there is a decrease in burden hours of 45,570 hours.

No
    No
    No
No
No
No
No
Carl Kaminski 202 649-5869 carl.kaminski@occ.treas.gov

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
11/14/2023


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