Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework

Forms and Documents

Document Name	Status
Form FFIEC 101 State Member Banks Form	Modified
Form FFIEC 101 Intermediate Holding Companies Form	New
Form FFIEC 101 Bank Holding Companies and Savings and Loan Holding Companies Form	New
FFIEC101_20160818_omb.pdf Supporting Statement A	2016-08-18

IC Document Collections

IC ID	Document Title	Status
45550	State Member Banks Form	Modified
223013	Intermediate Holding Companies (one-time) Instruction	New
223012	Intermediate Holding Companies Form	New
223010	Bank Holding Companies and Savings and Loan Holding Companies Form	New

ICR Details

OMB Control No: 7100-0319	ICR Reference No: 201608-7100-008
Status: Historical Active	Previous ICR Reference No: 201401-7100-003
Agency/Subagency: FRS	Agency Tracking No: FFIEC 101
Title: Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
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: 09/27/2016
	Date Received in OIRA: 08/18/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2019	36 Months From Approved	03/31/2017
Responses	118	0	80
Time Burden (Hours)	61,376	0	54,000
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Deposit Insurance Act (FDI Act) and the International Lending Supervision Act of 1983 (ILSA) require the agencies to have risk-based capital requirements and to ensure that banks maintain adequate capital. The Board uses these data to assess and monitor the levels and components of each reporting entity’s risk-based capital requirements and the adequacy of the entity’s capital under the framework. These data also allow the Board to evaluate the quantitative impact and competitive implications of the framework on individual respondents and on the industry. The reporting schedules also assist banks in understanding expectations surrounding the system development necessary for implementation and validation of the framework. The submitted data that is released publicly also provide other interested parties with information about banks’ risk-based capital. Finally, the submitted data supplement on-site examination processes.

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Authorizing Statute(s): US Code: 12 USC 324 Name of Law: Federal Reserve Act
   US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act
   US Code: 12 USC 1467a(b)(2) Name of Law: Homeowners’ Loan Act
   US Code: 12 USC 165 Name of Law: Dodd-Frank 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:
	81 FR 22702	04/18/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 55260	08/18/2016
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Bank Holding Companies and Savings and Loan Holding Companies	FFIEC 101	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
Intermediate Holding Companies	FFIEC 101	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
Intermediate Holding Companies (one-time)	FFIEC 101	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
State Member Banks	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	118	80	0	30	8	0
Annual Time Burden (Hours)	61,376	54,000	0	1,976	5,400	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: Changing Regulations

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

Burden Reduction Due to: Changing Regulations

Short Statement: The current total annual burden for the FFIEC 101 is estimated to be 59,400 hours and would increase to 61,376 hours. The estimated average hours per response for state member banks would decrease from 675 hours to 674 hours and bank holding companies and savings and loan holding companies would increase from 675 hours to 677 hours due to the proposed changes. The estimated average hours per response for intermediate holding companies would be 300 hours for the one-time setup and 3 hours for ongoing. The increase of 5,400 hours is due a increase in the respondent count.

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Annual Cost to Federal Government: $157,694

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]? Yes

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: 08/18/2016

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