QRG: External Document Identifiers

INTRODUCTION

External Document Identifiers

All documents in FedEZFile must be given Document Identifiers. Document Identifiers are terms that describe generally the information contained in a document.

Whether you are adding documents to a new or existing filing, choose at least one Document ID from the dropdown list (they are in alphabetical order grouped by the context of the document attachment). Whether you are attaching the document as part of the initial or existing document set, you may make multiple selections from the set of Document IDs included in the table below. Consult your FedEZFile contact if you have questions about Document ID choices. 

STEPS

Selecting an External Document Identifier

A comprehensive table of all external Document IDs with their definitions, which will be used in FedEZFile, can be found below. You can choose up to three Document IDs from the dropdown list for each document.

1. A comprehensive table of all external Document IDs with their definitions, which will be used in FedEZFile, can be found below. You can choose up to three Document IDs from the dropdown list for each document.
   
2. The “Upload File” screen will now populate. In order to quickly find the appropriate Document ID, you can begin typing the Document ID name in the search field. See Initial File Submission or Additional Document Submission Quick Reference Guides for more information on how to upload a document.
   
3. Click on the Document ID(s) to select up to three.
   

   The table of all external Document IDs and definitions is located below
   
   

   External Document Identifiers	Definition
   Abandonment Letter	Correspondence from the filer informing the Federal Reserve that an approved proposal will not be consummated
   Additional Information Response(s)	Clarification and other information needed to complete the analysis of the statutory factors related to the filing. Additional (or supplemental) information is provided by the filer, either in response to a Federal Reserve System request or on its own initiative.
   Application/Notice Form(s)	The Federal Reserve System requires or suggests the use of various forms in the applications process and attachments containing responses to a number of questions.  The form cover sheet and the required questions should be scanned and profiled together as a single document.
   Business Plan	A document that may be included as part of the initial filing, containing management’s strategic and tactical business plans.  Often will include proposed policies and procedures, market identification, management, and succession plans, projected financial performance, or similar forward-looking information.
   Commitments	Correspondence or document containing a filer’s (or related party’s) formal executed commitments submitted with respect to an application.
   Competitive Analysis	The Federal Reserve System, in reviewing certain types of proposals, must consider the effect the proposal will have on competition in relevant markets.  The competitive analysis is required to be included as part of the initial filing.
   Confidential Treatment Request Letter	A filer’s request for confidential treatment of certain information provided by the filer.  The request must be separate from the information for which such treatment is requested.  Often such a request comes in the form of a letter also separate from, or incorporated within, a submitted public document.  Filer should choose both the document identifier for the document (i.e., if request is incorporated in a Cover Letter for example) and confidential Treatment Request Letter if document is requesting confidential treatment for other documents.
   Consummation Extension Request	Filer’s request to extend the time period for consummating a transaction that has been approved by the Federal Reserve.
   Consummation Letter	A filer’s notification, often accompanied with associated information, that a proposed transaction approved by the Federal Reserve has been completed.
   Convenience and Needs/CRA Analysis	The Federal Reserve System, in reviewing certain types of proposals, must consider the effect the proposal will have on the convenience and needs of the communities served.  This identifier is intended to be used to label the CRA Analysis portion of the initial filing in instances in which the initial filing is split into multiple subparts for scanning.
   Cover Letter	A letter from the filer transmitting the initial filing or other information, such as additional or supplemental information, provided by the filer.  Usually, a cover letter contains little substance regarding a proposal and acts as a formal transmittal by the filer/submitter.  Cover letters often also incorporate requests for confidential treatment of all or a portion of the information being transmitted.
   Deregistration	Notification by an existing bank holding company or savings and loan holding company to deregister as such as part of the documentation of an associated filing.
   FHC Decertification	A letter submitted by an existing financial holding company’s expressing the FHC’s intent to decertify as such as part of the documentation of an associated filing.
   FHC Election	A financial Holding Company declaration submitted in letter form
   Financial Statement	Past, present, pro forma, or projected financial information on holding companies, banks, subsidiaries, and affiliates.  Such documents would include, but are not limited to, parent company balance sheets, consolidated financial statements, and Call Reports.
   IBFR	Interagency Biographical and Financial Report Forms (“IBFR”, FR 2081c) and supporting schedules or information, if any.
   IBFR - Additional Information Response(s)	Clarification and other information needed to complete the analysis directly related to the IBFR. Additional (or supplemental) information is provided by the filer, either in response to a Federal Reserve System request or on its own initiative.
   Legal/Transaction Document	Legal documents that are integral to the proposal, and often submitted as part of an initial filing. This identifier should be used only for documents submitted separately and not incorporated elsewhere.  Examples include, but are not limited to, stock purchase agreements, agreement and plan of merger, non-compete agreements, trust agreements, etc.
   Miscellaneous	Any documents for which no other document identifiers are applicable.  This category should only be used in rare instances.
   Newspaper Notice/Affidavit	Newspaper notices and publisher’s affidavits of an application filing.  This includes tear sheets of newspaper publications which are submitted prior to the affidavit of publication being submitted.
   One-Year Processing Waiver Confirmation Letter	Under 12 U.S.C. 4807(a), each federal banking agency must take final action on any application to the agency before the end of the one-year period, beginning on the date on which a completed application is received by the agency.  This identifier refers to a letter from a filer to the Board of Governors waiving this one-year deadline for action.
   Other Agency Filing	Filings submitted to other regulators and incorporated as part of a filing made to the Federal Reserve or correspondence between other regulators and their regulated entity.
   Reconsideration Request Letter	Request for reconsideration of certain actions taken by the Board of Governors on applications
   Registration	Following consummation, bank holding companies are required to register as such pursuant to Regulation Y (12 C.F.R 225.5(a)).  Following consummation, savings and loan holding companies are required to register as such pursuant to Section 10(b)(1) of the Home Owners’ Loan Act, as amended, and 12 C.F.R. Section 584.1(a)(1).  This document identifier may be used for labeling such documents.
   Suspension Request Letter	Correspondence from the filer requesting suspension or waiver of statutory processing thresholds applicable to the filing.
   Withdrawal Letter	Correspondence submitted by the filer requesting withdrawal of a filing from further consideration by the Federal Reserve.