Regulatory Capital Rules

OMB Control No: 3064-0153	ICR Reference No: 202011-3064-009
Status: Received in OIRA	Previous ICR Reference No: 202006-3064-001
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	Date Submitted to OIRA: 11/27/2020

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2021
Responses	13,148	14,024
Time Burden (Hours)	120,256	128,140
Cost Burden (Dollars)	0	0

---

Abstract: This collection comprises the reporting, 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.

---

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

---

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:
	85 FR 45424	07/28/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 68879	10/30/2020
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 38

IC Title Form No. Form Name (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 (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 Opt-In Relief and Related FDIC Approval - Section_.304: Ongoing (CCR) -- Section _.132(d)(2)(iv): One-time (CCR) -- Section _.132(d)(2)(iv): Ongoing (CCR) -- Section _.132(d)(3)(vi): One-time (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 (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 (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 Implementation plan -- Section _.121(b): Ongoing 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

---

ICR Summary of Burden

	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	13,148	14,024	0	0	-876	0
Annual Time Burden (Hours)	120,256	128,140	0	0	-7,884	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:

---

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? Yes

Agency Contact: Jennifer Jones 202 551-5776 [email protected]

---

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: 11/27/2020

---