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 Advanced Capital Adequacy Framework Regulatory Reporting Requirments	Form	Modified	Repair queued
FR2 0159 Advanced Capital Adequacy Framework Regulatory Reporting Requirements - FFIEC 101 88FR 71083 October 13 2023.pdf	Supplementary Document	Uploaded 2023-10-13	Repair queued
FR1 0159 Advanced Capital Adequacy Framework Regulatory Reporting Requirements - FFIEC 101 88FR 42131 June 29 2023.pdf	Supplementary Document	Uploaded 2023-10-13	Repair queued
SPST-0159 Advanced Capital Adequacy Framework FFIEC 101 2023 Renewal.docx	Supporting Statement A	Uploaded 2023-10-13	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
183512	Advanced Capital Adequacy Framework Regulatory Reporting Requirments	Form	Modified

ICR Details

OMB Control No: 3064-0159	ICR Reference No: 202306-3064-009
Status: Received in OIRA	Previous ICR Reference No: 202011-3064-008
Agency/Subagency: FDIC	Agency Tracking No: FFIEC 101
Title: Advanced Capital Adequacy Framework Regulatory Reporting Requirements - FFIEC 101
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/13/2023

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2023
Responses	4	4
Time Burden (Hours)	2,696	2,696
Cost Burden (Dollars)	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 information is collected using the form “FFIEC 101.” The FFIEC 101 contains nineteen schedules, A through S, for banks to submit detailed data on the components of their capital and risk-weighted assets. The FDIC uses the information collected through these reporting requirements in the following ways: • To assess and monitor the levels and components of each reporting bank’s regulatory capital requirements and the adequacy of the bank’s capital under the Advanced Capital Adequacy Framework and the supplementary leverage ratio, as applicable; • To evaluate the impact and competitive implications of the Advanced Capital Adequacy Framework and the supplementary leverage ratio, as applicable, on individual reporting banks and on an industry-wide basis; and • To supplement on-site examination processes at individual reporting banks. The reporting schedules also assist banks in understanding expectations around the system development necessary for implementation and validation of the Advanced Capital Adequacy Framework and the supplementary leverage ratio, as applicable. Submitted FFIEC 101 report data that are released publicly on an individual institution basis also provide other interested parties with information about advanced approaches institutions’ and Category III institutions’ regulatory capital. By incorporating the complete international leverage ratio common disclosure template into SLR Tables 1 and 2 of FFIEC 101 Schedule A, the agencies also ensure transparency and comparability of reporting of regulatory capital elements among internationally active banks.

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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:
	88 FR 42131	06/29/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 71803	10/13/2023
Did the Agency receive public comments on this ICR? No

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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 Currently Approved Version September 202	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 Request	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: 10/13/2023

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