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Microlesson · 5-min read

AS 16 – Capitalization Rate for General Borrowings

## Capitalization Rate for General Borrowings

### Why a Capitalization Rate Is Needed

When a qualifying asset is financed by general borrowings (loans taken for multiple purposes, not earmarked for one asset), you cannot directly trace which rupee of interest belongs to which asset. The solution is a Capitalization Rate (Cap Rate) — the weighted-average interest rate across all general borrowings outstanding during the period. This rate is then applied to the expenditure incurred on each qualifying asset.

### Formula

```

Cap Rate = (Σ Interest on General Borrowings) × 100

────────────────────────────────────

(Σ Time-Weighted General Borrowings)

```

Both numerator and denominator are time-weighted — each loan is scaled by the fraction of the year it was outstanding.

### Step-by-Step Process

Step 1 — Weighted Average Total Interest (Numerator)

For each general borrowing:

```

Interest = Principal × Annual Rate × (Months Outstanding / 12)

```

Sum all such amounts.

Step 2 — Weighted Average Total Borrowings (Denominator)

For each general borrowing:

```

Weighted Principal = Principal × (Months Outstanding / 12)

```

Sum all such amounts.

Step 3 — Compute Cap Rate

```

Cap Rate = Step 1 / Step 2 × 100 (express as %)

```

### Key Rules

  • Specific borrowings are excluded from both numerator and denominator — they are handled separately.
  • If there is only one general borrowing, the cap rate equals that loan's stated annual rate; no weighted average is needed.
  • The cap rate is an annual rate. When applying it to expenditure on a qualifying asset, multiply by the appropriate time fraction (Months / 12).
  • The cap rate should not exceed the actual borrowing cost incurred — you cannot capitalize more interest than was actually paid.

Worked example

### Example 1

### Example 1: Three General Borrowings (Ques 9 pattern)

A company has the following general borrowings during the year:

LoanPrincipal (₹)RateMonths Outstanding
Loan A4,00,0009%12
Loan B5,00,00011%12
Loan C3,00,00014%12

Step 1 — Weighted Average Interest:

  • Loan A: 4,00,000 × 9% × 12/12 = ₹36,000
  • Loan B: 5,00,000 × 11% × 12/12 = ₹55,000
  • Loan C: 3,00,000 × 14% × 12/12 = ₹42,000
  • Total = ₹1,33,000

Step 2 — Weighted Average Borrowings:

  • Loan A: 4,00,000 × 12/12 = 4,00,000
  • Loan B: 5,00,000 × 12/12 = 5,00,000
  • Loan C: 3,00,000 × 12/12 = 3,00,000
  • Total = ₹12,00,000

Step 3 — Cap Rate:

= 1,33,000 / 12,00,000 × 100 = 11.08% p.a.

### Example 2

### Example 2: Overdraft with Varying Amounts (Ques 4 pattern)

General borrowings during FY 2021-22:

  • Corporate Deposit: ₹20,00,000 @ 9% for 12 months
  • Overdraft: ₹4,00,000 @ 10% for 9 months (April–February)
  • Overdraft: ₹4,00,000 @ 12% for 2 months (drawn additionally)
  • Overdraft: ₹8,00,000 @ 12% for 1 month

Step 1 — Weighted Average Interest:

  • Deposit: 20,00,000 × 9% × 12/12 = ₹1,80,000
  • OD tranche 1: 4,00,000 × 10% × 9/12 = ₹30,000
  • OD tranche 2: 4,00,000 × 12% × 2/12 = ₹8,000
  • OD tranche 3: 8,00,000 × 12% × 1/12 = ₹8,000
  • Total = ₹2,26,000

Step 2 — Weighted Average Borrowings:

  • Deposit: 20,00,000 × 12/12 = 20,00,000
  • OD tranche 1: 4,00,000 × 9/12 = 3,00,000
  • OD tranche 2: 4,00,000 × 2/12 = 66,667
  • OD tranche 3: 8,00,000 × 1/12 = 66,667
  • Total = ₹24,33,334

Step 3 — Cap Rate:

= 2,26,000 / 24,33,334 × 100 = 9.29% p.a.

Note: The construction start date of 1st December is irrelevant for computing the annual cap rate — it only affects how much expenditure you apply the rate to.

⚠️ Common exam mistakes

  • Including specific borrowings in the cap rate calculation — they must be excluded from both numerator and denominator.
  • Forgetting to time-weight loans that were outstanding for less than 12 months (e.g., a loan drawn in July must be weighted for 9/12, not 12/12).
  • Treating the cap rate as a monthly rate and not adjusting when applying it to expenditure — the cap rate is always an annual rate.
  • Using planned/budgeted borrowing amounts instead of actual outstanding amounts for the weighted average.
  • Computing one cap rate that includes both specific and general borrowings, then applying it to all expenditure.
Bare-Act text Para 11 · AS 16 – Borrowing Costs · click to expand
The capitalization rate should be the weighted average of the borrowing costs applicable to the borrowings of the enterprise that are outstanding during the period, other than borrowings made specifically for the purpose of obtaining a qualifying asset.
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