Advanced Capital Adequacy Framework Regulatory Reporting Requirements - FFIEC 101

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FFIEC 101 Currentl Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework	Form	Modified	Available
Form FFIEC 101 Redlined Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework	Form	Modified	Available
FR2 0052 and 0159 Call Report FFIEC 101 4Q2020 Revisions 85 FR 74784 Nov 23 2020.pdf	Supplementary Document	Uploaded 2020-11-25	Available
FR1 0159 FFIEC 101 Coronavirus Revisions 85 FR 44361 July 22 2020.pdf	Supplementary Document	Uploaded 2020-11-25	Available
FR1 0052 Call Report TLAC Revisions 84 FR 53227 October 4 2019.pdf	Supplementary Document	Uploaded 2020-11-25	Available
SPST-0159 Advanced Capital Adequacy Framework FFIEC 101 4Q2020 Revisions FINAL.docx	Supporting Statement A	Uploaded 2020-11-25	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
183512	Advanced Capital Adequacy Framework Regulatory Reporting Requirments	Form	Modified	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
183512	Advanced Capital Adequacy Framework Regulatory Reporting Requirments	Form	Modified	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework
183512	Advanced Capital Adequacy Framework Regulatory Reporting Requirments	Instruction	Modified

ICR Details

OMB Control No: 3064-0159	ICR Reference No: 202011-3064-008
Status: Historical Active	Previous ICR Reference No: 202005-3064-004
Agency/Subagency: FDIC	Agency Tracking No: FFIEC 101
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: 12/30/2020
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/25/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2023	36 Months From Approved	12/31/2020
Responses	4	0	4
Time Burden (Hours)	2,696	0	2,696
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 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:
	85 FR 44361	07/22/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 74784	11/23/2020
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Advanced Capital Adequacy Framework Regulatory Reporting Requirments	FFIEC 101 Redlined, FFIEC 101 Currently Approved Version Sept 2020	Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework ,   Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework

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ICR Summary of Burden

table that charts list 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	4	4	0	0	0	0
Annual Time Burden (Hours)	2,696	2,696	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:

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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? Yes

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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: 11/25/2020

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