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

Forms and Documents

Document Name	Status
Form FFIEC 101 IHCs Form	New
FFIEC101_20200206_omb.pdf Supporting Statement A	2020-02-06
FFIEC101_20200206_18_Question_OMB_SS.pdf Supplementary Document	2020-02-06

IC Document Collections

IC ID	Document Title	Status
45550	SMBs Other-Draft Form	Modified
239501	IHCs Form	New
223012	BHCs and SLHCs (SLR Tables 1 and 2 only) Instruction	Modified
223010	BHCs and SLHCs Other-Draft Form	Modified

ICR Details

OMB Control No: 7100-0319	ICR Reference No: 202001-7100-006
Status: Historical Active	Previous ICR Reference No: 201902-7100-007
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: 03/11/2020
	Date Received in OIRA: 02/06/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2023	36 Months From Approved	03/31/2022
Responses	92	0	112
Time Burden (Hours)	35,276	0	59,576
Cost Burden (Dollars)	0	0	0

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Abstract: The FFIEC 101 collects data regarding the levels and components of risk-based capital from firms subject to the Board’s advanced approaches capital framework (advanced approaches framework), as well as data regarding the supplementary leverage ratio (SLR) from firms subject to that requirement. The FFIEC 101 must be filed quarterly by certain large or internationally active state member banks (SMBs), bank holding companies (BHCs), savings and loan holding companies (SLHCs) that are subject to the advanced approaches framework and other Board-regulated institutions that adopt the framework on a voluntary basis (collectively, advanced approaches banking organizations); additionally, certain BHCs, SLHCs, SMBs, and U.S. intermediate holding companies (IHCs) that are not advanced approaches banking organizations must report only certain information regarding the SLR.

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Authorizing Statute(s): US Code: 12 USC 324 Name of Law: Federal Reserve Act
   US Code: 12 USC 3106(a) Name of Law: International Banking Act of 1978
   US Code: 12 USC 3108(a) Name of Law: International Banking Act of 1978
   US Code: 12 USC 1844(c)(1)(a) Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 1467a(b)(2) Name of Law: Home Owners’ Loan Act
   US Code: 12 USC 1844(c)(1)(A) Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 5311(a)(1) Name of Law: Dodd-Frank Wall Street and Consumer Protection Act
   US Code: 12 USC 5365 Name of Law: Dodd-Frank Wall Street and Consumer Protection 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:
	84 FR 53227	10/04/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 4780	01/27/2020
Did the Agency receive public comments on this ICR? Yes

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

IC Title	Form No.	Form Name
SMBs	FFIEC 101	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
BHCs and SLHCs	FFIEC 101	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
BHCs and SLHCs (SLR Tables 1 and 2 only)	FFIEC 101	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
IHCs	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	92	112	0	0	-20	0
Annual Time Burden (Hours)	35,276	59,576	0	-10,784	-13,516	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: Changing Regulations

Short Statement: The estimated total annual burden for the FFIEC 101 is 46,060 hours, and would decrease to 35,276 hours with the proposed revisions, mostly due to the decrease in the number of advanced approaches banking organizations resulting from the final tailoring rule.

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Annual Cost to Federal Government: $157,700

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.     Yes

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]? 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: 02/06/2020

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