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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:
202112-1210-003
Status:
Historical Active
Previous ICR Reference No:
202108-1210-010
Agency/Subagency:
DOL/EBSA
Agency Tracking No:
Title:
Annual Information Return/Report of Employee Benefit Plan
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
12/29/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
12/15/2021
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
12/31/2024
36 Months From Approved
11/30/2024
Responses
840,923
0
822,134
Time Burden (Hours)
3,031,649
0
586,314
Cost Burden (Dollars)
0
0
280,700,898
Abstract:
Section 101 and 104 of Title I 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. 116 - 94 O Name of Law: The Setting Every Community Up for Retirement Enhancement Act of 2019 (SECURE Act)
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
1210-AB97
Final or interim final rulemaking
86 FR 73976
12/29/2021
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
86 FR 51488
09/15/2021
30-day Notice:
Federal Register Citation:
Citation Date:
86 FR 73976
12/29/2021
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 of Employee Benefit Plan
Form 5500, Form 5500 Schedule G, Form 5500 Schedule H, Form 5500 Schedule D, Form 5500-SF, Form 5500 Schedule R, 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
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
840,923
822,134
18,789
0
0
0
Annual Time Burden (Hours)
3,031,649
586,314
2,313
0
2,443,022
0
Annual Cost Burden (Dollars)
0
280,700,898
0
0
-280,700,898
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 is updating the burden estimates to reflect the most current data on filing counts due to the creation of pooled employer plans and new filing requirements for defined contribution MEPs. Note that to reflect OMB’s guidance that burden incurred by service providers be reported as hour burden instead of cost burden, burden that has historically been included as cost burden has been included here as hour burden. This change led to a large increase in reported hour burden and an offsetting decrease in cost burden.
Annual Cost to Federal Government:
$6,600,000
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
No
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
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?
No
Agency Contact:
James Butikofer 202 693-8434 Butikofer.James@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:
12/15/2021
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