OCC Bulletin 2020-56| May 26, 2020

Sampling Methodologies: Revised Comptroller’s Handbook Booklet

To

Chief Executive Officers of All National Banks, Federal Savings Associations, and Federal Branches and Agencies; Department and Division Heads; All Examining Personnel; and Other Interested Parties

Summary

The Office of the Comptroller of the Currency (OCC) today issued the revised “Sampling Methodologies” booklet of the Comptroller’s Handbook. This booklet is prepared for use by OCC examiners in connection with their examination and supervision of national banks, federal savings associations, and federal branches and agencies of foreign banking organizations (collectively, banks). The revised booklet is effective for supervisory activities beginning on or after June 15, 2020.

Rescissions

The revised “Sampling Methodologies” booklet replaces the booklet of the same title dated August 1998 and Office of Thrift Supervision Examination Handbook section 209, “Sampling.”

Note for Community Banks

The “Sampling Methodologies” booklet applies to the OCC’s supervision of community banks.

Highlights

The revised booklet

  • explains the differences between statistical and judgmental sampling, including the appropriate use of each.
  • provides an updated and expanded discussion of judgmental sampling.
  • contains a detailed discussion of the OCC’s statistical sampling methodologies.
  • includes examples of the application of judgmental and statistical sampling.
  • includes look-up tables for examiners to determine statistical sample sizes and upper confidence bounds.

Further Information

Please contact Sarah Williams, National Bank Examiner and Core Policy Analyst, at (202) 649-6770, or Ricky Rambharat, Senior Statistician, at (202) 649-5471.

 

Grovetta N. Gardineer
Senior Deputy Comptroller for Bank Supervision Policy

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