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Microlesson · 5-min read

Asset Classification of Advances and Provisioning Norms

## Asset Classification and Provisioning Norms

### Four Categories of Loan Assets

CategoryDescription
StandardPerforming account; no NPA; borrower is current on all dues
SubstandardNPA for ≤ 12 months
DoubtfulNPA for > 12 months
LossNPA where loss is identified by bank/auditor/RBI; little or no recovery expected

### Deterioration Timeline

```

Standard → SMA-0 → SMA-1 → SMA-2 → Substandard → Doubtful D1 → D2 → D3 → Loss

(NPA ≤12 mo) (1yr) (1-3yr) (>3yr)

```

---

### Provisioning Requirements

#### Substandard Assets

  • Flat 15% on the outstanding loan balance (no split into secured/unsecured).

---

#### Doubtful Assets — Secured vs. Unsecured Split First

Step 1 — Identify Secured and Unsecured Portions:

> Secured Portion = Lesser of (Outstanding Loan Amount, Realisable Value of Security)

> Unsecured Portion = Outstanding Loan Amount − Secured Portion

Step 2 — Apply Provision %:

Sub-categoryNPA DurationProvision on SecuredProvision on Unsecured
D1Up to 1 year in Doubtful25%100%
D21–3 years in Doubtful40%100%
D3More than 3 years100%100%

---

#### Loss Assets

  • 100% provision on the entire outstanding balance.

---

### Why the Secured/Unsecured Split Matters

The bank can potentially recover the secured portion by selling the collateral. The unsecured portion has no backing and is treated as fully lost from Day 1 of Doubtful classification — hence 100% provision regardless of D1/D2/D3.

Worked example

### Example 1

Provisioning for a D1 Doubtful Asset:

Loan outstanding = ₹100 lakh

Realisable value of security = ₹60 lakh

Secured portion = Lesser of (₹100 lakh, ₹60 lakh) = ₹60 lakh

Unsecured portion = ₹100 − ₹60 = ₹40 lakh

Provision on secured (D1 rate = 25%) = 25% × ₹60 lakh = ₹15 lakh

Provision on unsecured (always 100%) = 100% × ₹40 lakh = ₹40 lakh

Total Provision = ₹55 lakh

### Example 2

Provisioning for a D3 Doubtful Asset (same loan):

Loan outstanding = ₹100 lakh, Security value = ₹60 lakh (same figures)

Secured portion = ₹60 lakh; Unsecured = ₹40 lakh

Provision on secured (D3 rate = 100%) = 100% × ₹60 = ₹60 lakh

Provision on unsecured = 100% × ₹40 = ₹40 lakh

Total Provision = ₹100 lakh (fully provided)

### Example 3

Timeline — When does Substandard become Doubtful?

A term loan becomes NPA on 01-Nov-2022.

  • 01-Nov-2022 to 31-Oct-2023 → Substandard (NPA for ≤12 months), provision = 15%
  • 01-Nov-2023 → moves to Doubtful D1, provision = 25% (secured) + 100% (unsecured)
  • 01-Nov-2024 → moves to Doubtful D2, provision = 40% (secured) + 100% (unsecured)
  • 01-Nov-2025 → moves to Doubtful D3, provision = 100% + 100%

⚠️ Common exam mistakes

  • Using the full loan amount (instead of the LESSER of loan outstanding and realisable security value) as the secured portion.
  • Applying the D1/D2/D3 secured percentages to the unsecured portion — the unsecured portion is ALWAYS 100% in all Doubtful sub-categories.
  • Applying a 15% provision (substandard rate) to Doubtful assets — once an asset moves to Doubtful, the split and higher rates apply.
  • Thinking a Loss Asset has been written off — it remains on the bank's books but is fully provided (100%); write-off is a separate decision.
  • Confusing the 12-month threshold as being from the date of loan disbursement — it is 12 months from the date of NPA classification.
Bare-Act text Para 4 — Asset Classification · RBI Master Circular — Prudential Norms on Income Recognition, Asset Classification and Provisioning pertaining to Advances · click to expand
Sub-standard Assets: A sub-standard asset is one which has remained NPA for a period less than or equal to 12 months. In such cases, the current net worth of the borrower/guarantor or the current market value of the security charged is not enough to ensure recovery of the dues to the banks in full. Doubtful Assets: An asset would be classified as doubtful if it has remained in the sub-standard category for a period of 12 months.
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