Reporting Schedules A through S - (May 5, 2008) (PDF)
Instructions for Schedules A through S - (May 5, 2008) (PDF)
Reporting Schedules A through S - (November 25, 2008) (ZIP)

The banking agencies have provided a final version of the FFIEC 101 reporting schedules and instructions in response to comments made by the industry to the final Federal Register notice published on January 24, 2008. (See industry response letter below). The changes to the FFIEC 101 reporting schedules include: On Schedule B one data item was added (new data item 29, column G) with the title "Assets Subject to the General Risk-Based Capital Requirements;" for equity exposures, the “Balance Sheet Amount” was eliminated (data items 21-23, column B), and “Risk Weighted Assets” on securitization exposures subject to the RBA and IAA approaches (data items 17-18, column G) will have to be reported separately by an institution since these amounts cannot be calculated by the agencies. On retail schedules K through O the “Total” row (data item 16) of weighted average bureau scores cannot be calculated by the agencies and must be reported by the reporting institution. (Updated May 5, 2008)

Letter to Clearing House/ABA in response to comments on the January 24, 2008 PRA Basel II notice. - published May 5, 2008. (PDF)
Final Federal Register Notice - published January 24, 2008. The comment period expired February 25, 2008. (PDF)
Extension of the comment period for the Initial Federal Register Notice - published December 26, 2006. (PDF)
Initial Federal Register Notice - published September 25, 2006. The comment period expired March 26, 2007. (PDF)

Validation Criteria

Description: Reporting Schedules A through S collect information about the components of reporting entities’ regulatory capital, risk weighted assets by type of credit risk exposure under the Advanced Internal Ratings-Based Approach, and risk weighted assets and operational losses under the Advanced Measurement Approach.

Agency OMB Numbers:

FRB	FDIC	OCC	OTS
7100-0319	3064-0159	1557-0239	1550-0120

Purpose: The agencies will use the reported data to assess and monitor the levels and components of 01/14/2009 2:39 PMthe adequacy of the entity’s capital under the Advanced Capital Adequacy Framework; to evaluate the impact and competitive implications of the Advanced Capital Adequacy Framework on individual reporting entities a01/14/2009 2:51 PMcy study at the end of the second transitional floor period as described more fully in the final rule implementing the Advanced Capital Adequacy Framework; and to supplement on-site examination processes. The reporting schedules will also assist reporting entities in understanding expectations around the system development necessary for implementation and validation of the Advanced Capital Adequacy Framework. Submitted data that is released publicly following a reporting entity’s parallel run period will also provide other interested parties with information about the entity’s risk-based capital.

Background: Schedules A through S represent the reporting requirements associated with the agencies’ Advanced Capital Adequacy Framework, also known as Basel II. The first reporting period for these schedules for each reporting entity would correspond to the end of the first quarter in which an institution seeking to qualify for the advanced approaches enters its parallel run period. The effective date of the Advanced Capital Adequacy Framework is April 1, 2008.

Respondent Panel: The panel consists of banks, savings associations, and bank holding companies that qualify for and adopt the Advanced Capital Adequacy Framework to determine their risk-based capital requirements or are in the parallel run stage of qualifying to adopt this framework.

Frequency: Quarterly, as of the last calendar day of March, June, September, and December.

Public Release: Microdata would be confidential, except that Schedules A and B and data items 1-2 of Schedule S would be released for a reporting entity for periods subsequent to its parallel run period.

 

Validation Criteria:

December 2008:

• Validity Edits: Excel | PDF - Final September 25, 2008
• Quality, Intraseries, and Interseries Edits: Excel | PDF - Final September 25, 2008
• Post Submission Interseries Edits: Excel | PDF- Final September 25, 2008