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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
1210-0110
ICR Reference No:
200907-1210-001
Status:
Historical Active
Previous ICR Reference No:
200807-1210-003
Agency/Subagency:
DOL/EBSA
Agency Tracking No:
Title:
Annual Information Return/Report
Type of Information Collection:
No material or nonsubstantive change to a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
11/06/2009
Retrieve Notice of Action (NOA)
Date Received in OIRA:
09/25/2009
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
09/30/2010
09/30/2010
09/30/2010
Responses
780,000
0
780,000
Time Burden (Hours)
530,000
0
521,000
Cost Burden (Dollars)
178,000,000
0
190,000,000
Abstract:
Section 104 and 4065 of ERISA require plan administrators to file an annual report containing the information described in section 103 of ERISA. The Form 5500 provides a standard format for fulfilling that requirement.
Authorizing Statute(s):
US Code:
29 USC 1023
Name of Law: Employee Retirement Income Security Act of 1974
Citations for New Statutory Requirements:
PL: Pub.L. 109 - 280 1103(b) Name of Law: Pension Protection Act of 2006
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
1210-AB06
Final or interim final rulemaking
72 FR 64709
11/16/2007
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
71 FR 41392
07/21/2006
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Annual Information Return/Report
2009 Form 5500-SF, Form 5500, 2010 Form 5500 and 2010 Form 5500-SF
Annual Return/Report of Employee Benefit Plan and Short Form Annual Return/Report of Small Employee
,
Short Form Annual Return/Report of Small Employee
,
Annual Return/Report of Employee Benefit Plan
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
780,000
780,000
0
0
0
0
Annual Time Burden (Hours)
530,000
521,000
0
9,000
0
0
Annual Cost Burden (Dollars)
178,000,000
190,000,000
0
-12,000,000
0
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Miscellaneous Actions
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The main difference from the 2008 Forms are: (a) all forms will be required to be filed electronically; (b) Schedule E and Schedule SSA will be removed; (c) the new Short Form 5500 (5500-SF) will be established; (d) the special limited reporting rules for Code section 403(b) plans will be eliminated; (e) Schedule C will be revised; (f) additional data elements will be added to Schedule R; and (g) various smaller technical revisions will be made to the Schedule A, Schedule H, and Schedule I. There will be no change between the 2009 and 2010 forms and burden.
Annual Cost to Federal Government:
$8,200,000
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
Uncollected
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Uncollected
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Chris Cosby 202 693-8540
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
09/25/2009
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