QRG: External Document Identifiers – FedEZFile Fluent

INTRODUCTION

External Document Identifier (Document ID)

All documents in FedEZFile must be given a Document ID. Document IDs are terms that generally describe 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. Whether you are attaching the document as part of the initial or existing document set, you may make up to three selections per document 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 external Document IDs with their definitions can be found below. You can choose up to three Document IDs from the dropdown list for each document.

On the Documents tab of the filing you have selected, click on Upload Document.
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.
Click on the appropriate Document ID(s). You may select up to three.

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

*External Document Identifiers*	*Definition*
Abandonment Letter	Correspondence 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 the filer’s own initiative.
Application/Notice Form(s)	The Federal Reserve System requires or suggests the use of various forms in the application’s process. The forms’ instructions usually include questions that the filer is expected to answer in an attachment to the form. The completed form and any related attachment(s) 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	Formal executed commitments submitted by a filer (or related party) with respect to an application.
Competitive Analysis	Data provided on the effect an expansionary proposal will have on competition in relevant markets.
Confidential Treatment Request Letter	A request for confidential treatment of certain information in the filing. A request may be a separate document (e.g., a letter), or incorporated in a cover letter, or included as an attachment to the confidential materials. If the confidential treatment request is included in the cover letter, choose both the Cover Letter document ID and the Confidential Treatment Request Letter ID.
Consummation Extension Request	A request to extend the time period for consummating a transaction that has been approved by the Federal Reserve.
Consummation Letter	A notification, often accompanied with associated information, that a proposed transaction approved by the Federal Reserve has been completed.
Convenience and Needs/CRA Analysis	Information provided on the effect the proposal will have on the convenience and needs of the communities served by the filer and/or target institutions, including under applicable criteria of the Community Reinvestment Act.
Cover Letter	A letter transmitting the initial filing or supplemental information, which may also incorporate a request for confidential treatment.
Deregistration	Notice by a bank holding company or savings and loan holding company to deregister as an institution supervised by the Federal Reserve System. Documents with this type of identifier are typically also included with an associated filing.
FHC Decertification	Notice by a bank holding company or savings and loan holding company to decertify as a financial holding company. Documents with this type of identifier are typically also included with an associated filing.
FHC Election	An application by a bank holding company or savings and loan holding company to elect (or declare) the status of a financial holding company.
Financial Statement	Past, present, pro forma, or projected financial information of 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 Form (“IBFR”, FR 2081c) and supporting schedules or information, if any.
IBFR - Additional Information Response(s)	Clarification and/or other supplemental information submitted independently or in response to an additional information request directly related to the IBFR.
Legal/Transaction Document	Legal documents that are integral to the proposal. Examples include, but are not limited to, stock purchase agreements, agreements and plans of merger, non-compete agreements, and trust agreements.
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 (including clippings, tear sheets, and PDFs of notices downloaded from public notice sites and newspapers’ online editions) and publishers’ affidavits for a proposal requiring a public comment period.
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 filing-related correspondence between other regulators and their regulated entity.
Reconsideration Request Letter	Request for reconsideration of certain actions taken by the Federal Reserve on applications.
Registration	Following consummation, bank holding companies are required to register pursuant to Regulation Y (12 C.F.R 225.5(a)). Following consummation, savings and loan holding companies are required to register 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 registration-related documentation.
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.

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