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Reporting Forms - FFIEC 101
Risk-Based Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework

FFIEC 101 March 2014 Reporting Form - current version (PDF)
FFIEC 101 Instructions - current version (last update March 2014) (PDF)

Final Federal Register notice for the revisions to the FFIEC 101 - published January 14, 2014. The comment period expires February 13, 2014.(PDF)

Initial Federal Register notice for the proposed revisions to the FFIEC 101 - published August 12, 2013. The comment period expiredS October 11, 2013. (PDF)

FIL-3-2014 Revisions to the FFIEC 101 Report (PDF)

FIL-41-2013 Proposed Regulatory Capital Reporting Changes (PDF)

Historical Versions
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
7100-0319 3064-0159 1557-0239

Purpose: The agencies will use the reported data to assess and monitor the levels and components of the 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 agency 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.

 

Historical Versions:
Documents are in Portable Document Format (PDF).

2013
December September June March
2012
December September June March
2011
December September June March
2010
December September June
2008
    June  


FFIEC 101 Instructions - issued June 2013

FFIEC 101 Instructions - issued December 2012

FFIEC 101 Instructions - issued September 2012

FFIEC 101 Instructions - issued March 2011

FFIEC 101 Instructions - issued September 2010

FFIEC 101 Instructions - issued June 2009

FFIEC 101 Instructions - issued June 2008

 

Validation Criteria:


Effective for report dates March 2014 through current:
  • Validity Edits: Excel | PDF - Final (updated April 9, 2014)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated April 9, 2014)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated April 9, 2014)

Effective for report dates June 2013 through December 2013:
  • Validity Edits: Excel | PDF - Final (updated July 3, 2013)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated July 3, 2013)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated July 3, 2013)

Effective for report date March 2013:
  • Validity Edits: Excel | PDF - Final (updated March 22, 2013)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated March 22, 2013)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated March 22, 2013)

Effective for report date June 2011 through December 2012:
  • Validity Edits: Excel | PDF - Final (updated June 1, 2011)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated June 1, 2011)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated June 1, 2011)
Effective for report date March 2011:
  • Validity Edits: Excel | PDF - Final (updated March 21, 2011)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated March 21, 2011)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated March 21, 2011)

Effective for report dates June 2010 through December 2010:

  • Validity Edits: Excel | PDF - Final (updated May 28, 2010)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated May 28, 2010)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated May 28, 2010)

Effective for report dates December 2008 through March 2010:


  • Validity Edits: Excel | PDF - Final (updated July 22, 2009)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated July 22, 2009)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated July 22, 2009)