FFIEC 101 December 2012 Reporting Form - current version (PDF)
FFIEC 101 Instructions - current version (last update December 2012) (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).

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

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 June 2011 through current:

• 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)