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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:
201703-1210-001
Status:
Historical Active
Previous ICR Reference No:
201610-1210-001
Agency/Subagency:
DOL/EBSA
Agency Tracking No:
Title:
Annual Information Return/Report of Employee Benefit Plan
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:
04/17/2017
Retrieve Notice of Action (NOA)
Date Received in OIRA:
04/07/2017
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2018
08/31/2018
08/31/2018
Responses
833,575
0
811,575
Time Burden (Hours)
585,765
0
552,765
Cost Burden (Dollars)
266,094,600
0
232,901,599
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:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
79 FR 66741
11/10/2014
30-day Notice:
Federal Register Citation:
Citation Date:
80 FR 26952
05/11/2015
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
3
IC Title
Form No.
Form Name
Annual Information Return/Report of Employee Benefit Plan
Form 5500 Schedule D, Form 5500 Schedule G, Form 5500 Schedule H, Form 5500-SF, Form 5500 Schedule R, Form 5500, Form 5500 Schedule A, Form 5500 Schedule C, Form 5500 Schedule I, Form 5500 Schedule MB, Form 5500 Schedule SB
Annual Return/Report of Employee Benefit Plan
,
Short Form Annual Return/Report of Small Employee Benefit Plan
,
Insurance Information
,
Service Provider Information
,
DFE/Participating Plan Information
,
Financial Transaction Schedules
,
Financial Information
,
Financial Information--Small Plans
,
Multiemployer Defined Benefit Plans and Certain Money Purchase Plan Actuarial Information
,
Single-Employer Defined Benefit Plan Actuarial Information
,
Retirement Plan Information
CSEC Multiple Employer Plan Revision
5500-SF, 5500
Annual Return/Report Employee Benefit Plan (CSEC Revision)
,
Short Form Annual Return/Report of Small Employee Benefit Plan (CSEC Revision)
Multiple Employer Welfare Arrangements Revisions of Form 5500
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
833,575
811,575
0
0
22,000
0
Annual Time Burden (Hours)
585,765
552,765
0
0
33,000
0
Annual Cost Burden (Dollars)
266,094,600
232,901,599
0
0
33,193,001
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The Department has updated the hour and cost burden associated with the annual information return/report of employee benefit plan IC to reflect its most recent data on Form 5500 filings and wage rates. There were 22,000 additional filings, which led the hour burden to increase from 550,000 hours to 583,000 hours. Increased wage rates led the cost burden to increase from $232,880,000 to $266,073,000.
Annual Cost to Federal Government:
$6,900,000
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]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
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:
Allan Beckmann 202 693-8429 beckmann.allan@dol.gov
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:
04/07/2017
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