Advanced Capital Adequacy Framework Regulatory Reporting Requirements - FFIEC 101

Forms and Documents

Document Name	Status
Form FFIEC 101 Advanced Capital Adequacy Framework Regulatory Reporting Requirments Form	Modified
SPST-0159 Advanced Capital Adequacy Framework FFIEC 101 Feb 2019 Revisions.docx Supporting Statement A	2019-02-21
FR2-0159 FFIEC 101 Risk Based Capital Revisions CECL EGRRCPA 84 FR 4131 Feb 14 2019.pdf Supplementary Document	2019-02-21
FR1-0159 FFIEC 101 Risk Based Capital Revisions CECL EGRRCPA 83 FR 49160 Sept 28 2018.pdf Supplementary Document	2019-02-21
Interagency Statement.pdf Supplementary Document	2018-07-30

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: 201902-3064-006
Status: Historical Active	Previous ICR Reference No: 201807-3064-002
Agency/Subagency: FDIC	Agency Tracking No:
Title: Advanced Capital Adequacy Framework Regulatory Reporting Requirements - FFIEC 101
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: 03/25/2019
	Date Received in OIRA: 02/21/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2022	36 Months From Approved	03/31/2019
Responses	8	0	8
Time Burden (Hours)	5,392	0	5,392
Cost Burden (Dollars)	943,600	0	943,600

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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 are limited to removing two credit valuation adjustment (CVA) items from the exposure at default (EAD) column on FFIEC 101 Schedule B, Summary Risk-Weighted Asset Information for Banks Approved to Use Advanced Internal Ratings-Based and Advanced Measurement Approaches for Regulatory Capital Purposes (items 31.a and 31.b, column D). These revisions take effect as of the September 30, 2017, report date. However, reporting entities would be advised that they may elect to adopt the changes by ceasing to report column D of items 31.a and 31.b on FFIEC 101 Schedule B as of the June 30, 2017, report date.

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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:
	83 FR 49160	09/28/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 4131	02/14/2019
Did the Agency receive public comments on this ICR? Yes

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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	Regulatory 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	8	8	0	0	0	0
Annual Time Burden (Hours)	5,392	5,392	0	0	0	0
Annual Cost Burden (Dollars)	943,600	943,600	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: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 02/21/2019

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