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
FR2-0159 FFIEC 101 1-14-14.pdf Supplementary Document	2014-01-17
FR1-0159 FFIEC 101 2013-08-12_notice.pdf Supplementary Document	2014-01-17
SPST-0159 FFIEC 101 Supporting Statement 1-17-14 (Updated 3-11-14).doc Supporting Statement A	2014-03-11

IC Document Collections

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

ICR Details

OMB Control No: 3064-0159	ICR Reference No: 201312-3064-006
Status: Historical Active	Previous ICR Reference No: 201012-3064-010
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 without change	Conclusion Date: 03/12/2014
	Date Received in OIRA: 01/17/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2017	36 Months From Approved	03/31/2014
Responses	32	0	36
Time Burden (Hours)	21,600	0	22,500
Cost Burden (Dollars)	0	0	0

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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. The revisions to the FFIEC 101 report would align the report with the revised regulatory capital rules, often referred to as Basel III, that were approved by the FDIC, the FRB, and the OCC during July 2013. In summary, the revisions to the FFIEC 101 report would: • Incorporate into Schedule A–Advanced Approaches Regulatory Capital, the Basel III common disclosure template that was adopted by the Basel Committee on Banking Supervision in June 2012 and include additional line items, such as the supplementary leverage ratio, to collect data on the new requirements established by the revised regulatory capital rules. • Make the information collected on revised Schedule A, except for a few specific line items, available to the public starting with the March 31, 2014, report date to ensure transparency of regulatory capital information reported by internationally active institutions. • Revise nine of the risk-weighted assets schedules in the FFIEC 101 report (Schedules B, C, D, H, I, J, P, Q, and R) to ensure that the data reported in these schedules are consistent with the Advanced Capital Adequacy Framework's revised regulatory capital rules, thereby facilitating the timely implementation of these revised rules in 2014.

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

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 48932	08/12/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 2509	01/14/2014
Did the Agency receive public comments on this ICR? No

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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

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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	32	36	0	-4	0	0
Annual Time Burden (Hours)	21,600	22,500	0	1,600	-2,500	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Currently, there are 8 FDIC-supervised institutions subject to the FFIEC 101 reporting requirements compared to the 9 institutions in the currently approved information collection inventory. The analysis of the change in burden requested in this submission is as follows: Currently approved burden 22,500 hours Revisions to content of report (program change) + 1,600 hours Adjustment (change in use) - 2,500 hours Requested (revised) burden: 21,600 hours

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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

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Common Form ICR:  No

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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: 01/17/2014

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