Advanced Capital Adequacy Framework Regulatory Reporting Requirements

Forms and Documents

Document Name	Status
Form FFIEC 101 Advanced Capital Adequacy Framework Regulatory Reporting Requirments Form	Modified
FFIEC 101 Supporting Statement 012811 (2).doc Supporting Statement A	2011-01-28
2011-1945.pdf Supplementary Document	2011-01-28
10Notice1022.pdf Supplementary Document	2010-12-10

IC Document Collections

IC ID	Document Title	Status
183512	Advanced Capital Adequacy Framework Regulatory Reporting Requirments Form	Modified
183510	Advanced Capital Adequacy Framework Regulatory Reporting Requirments	Removed

ICR Details

OMB Control No: 3064-0159	ICR Reference No: 201012-3064-010
Status: Historical Active	Previous ICR Reference No: 200801-3064-001
Agency/Subagency: FDIC	Agency Tracking No:
Title: Advanced Capital Adequacy Framework Regulatory Reporting Requirements
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 03/25/2011
	Date Received in OIRA: 01/28/2011
Terms of Clearance: Burden modified to reflect elimination of information collection instrument uploaded in error.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	36 Months From Approved	04/30/2011
Responses	36	0	152
Time Burden (Hours)	22,500	0	95,000
Cost Burden (Dollars)	0	0	0

---

Abstract: These quarterly reporting requirements were established by the Federal Financial Institutions Examination Council (FFIEC)for banks that quality for and adopt the Advanced Capital Adequacy Framework or are in the parallel run state of qualifying for the framework. Certain portions of the FFIEC 101 report are being revised, beginning with the March 31, 2011, report date, to align reporting of qualifying restricted core capital elements held by bank holding companies and qualifying mandatory convertible preferred securities held by internationally active bank holding companies to the Consolidated Financial Statements for Bank Holding Companies by separately including both capital elements in Schedule A of the FFIEC 101 report; require all banks, bank holding companies, and savings associations to report capital numerator information on a common Schedule A of the FFIEC 101 report; and revise the way equity exposures are reported in a reformatted Schedule R of the FFIEC 101 report.

---

Authorizing Statute(s): US Code: 12 USC 1811 et seq. Name of Law: Federal Deposit Insurance Act
  

Citations for New Statutory Requirements: None

---

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:
	75 FR 65402	10/22/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 5251	01/28/2011
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Advanced Capital Adequacy Framework Regulatory Reporting Requirments	FFIEC 101	Risk-Based Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
Advanced Capital Adequacy Framework Regulatory Reporting Requirments

---

ICR Summary of Burden

	Total Approved	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	36	152	0	-76	-40	0
Annual Time Burden (Hours)	22,500	95,000	0	-47,500	-25,000	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The burden change of -72,500 hours is the result of two factors: (1) a decrease from 19 to 9 in the number of FDIC-supervised institutions subject to the FFIEC 101 reporting requirements; and (2) correction of a double-counting error in the FDIC's 2007 submission, specifically a double reporting in 2007 of the actual burden of 47,500 hours (i.e., 19 banks x 4 reports per year x 625 hours per report).

---

Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

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: 01/28/2011

---