Advanced Capital Adequacy Framework Regulatory Reporting Requirements

Forms and Documents

Document Name	Status
Form FFIEC 101 Advanced Capital Adequacy Framework Regulatory Reporting Requirements Form	Unchanged
1557-0239 FFIEC 101 Supporting Statement Emergency Clearance.docx Supporting Statement A	2020-05-19
Emergency Clearance Request Memo 5.18.20 v5 FDIC FRB Edits 5-20-20.docx Supplementary Document	2020-05-19
Emergency Clearance Request Cover Sheet 5.18.20.docx Supplementary Document	2020-05-18

IC Document Collections

IC ID	Document Title	Status
181965	Advanced Capital Adequacy Framework Regulatory Reporting Requirements Form	Unchanged

ICR Details

OMB Control No: 1557-0239	ICR Reference No: 202005-1557-003
Status: Historical Active	Previous ICR Reference No: 202004-1557-002
Agency/Subagency: TREAS/OCC	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: Emergency	Approval Requested By: 05/22/2020
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/27/2020
	Date Received in OIRA: 05/20/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2020	6 Months From Approved	10/31/2020
Responses	20	0	20
Time Burden (Hours)	13,480	0	13,480
Cost Burden (Dollars)	0	0	0

---

Abstract: The Federal Deposit Insurance Act (FDI Act) and the International Lending Supervision Act of 1983 (ILSA) require the OCC to have risk-based capital requirements and to ensure that banks maintain adequate capital. The OCC 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 OCC to evaluate the quantitative impact and competitive implications of the framework on individual respondents and on the financial 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.

Emergency Justfication: The Office of the Comptroller of the Currency (OCC), in coordination with the Board of Governors of the Federal Reserve System (Board), and the Federal Deposit Insurance Corporation (FDIC), (collectively, the "agencies"), each of which is submitting a separate request, hereby requests approval for revisions to the following currently approved collection of information pursuant to the Office of Management and Budget's (OMB) Paperwork Reduction Act (PRA) emergency processing procedures at 5 CFR § 1320.13: Consolidated Reports of Condition and Income (Call Report) - FFIEC 031, FFIEC 041, and FFIEC 051 [OMB Nos. 7100-0036 (Board), 3064-0052 (FDIC), and 1557-0081 (OCC)] Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework – FFIEC 101 [OMB Nos. 7100-0319 (Board), 3064-0159 (FDIC), and 1557-0239 (OCC)]. The OCC has determined that (1) the collection of information within the scope of this request is needed prior to the expiration of time periods established under 5 C.F.R. § 1320.12; (2) this collection of information is essential to the mission of the OCC; and (3) the OCC cannot reasonably comply with the normal clearance procedures because an unanticipated event has occurred and the use of normal clearance procedures is reasonably likely to prevent or disrupt the collection of information. Additional justification is contained in the Supporting Statement and other supplementary documents uploaded into this ICR.

---

Authorizing Statute(s): US Code: 12 USC 1 et seq. Name of Law: National Bank 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

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 Requirements	FFIEC 101, FFIEC 101	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework ,   Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework

---

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	20	20	0	0	0	0
Annual Time Burden (Hours)	13,480	13,480	0	0	0	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: No

Burden Reduction Due to:

Short Statement:

---

Annual Cost to Federal Government:

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? Yes

---

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: 05/20/2020

---