View Information Collection Request (ICR) Package
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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:
1545-0169
ICR Reference No:
201907-1545-006
Status:
Historical Active
Previous ICR Reference No:
201509-1545-003
Agency/Subagency:
TREAS/IRS
Agency Tracking No:
Title:
Form 4461: Application for Approval of Master or Prototype Defined Contribution Plan; Form 4461-A: Application for Approval of Master or Prototype or Volume Defined; Form 4461-B: Application for Ap
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:
10/29/2019
Retrieve Notice of Action (NOA)
Date Received in OIRA:
08/28/2019
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
10/31/2022
36 Months From Approved
10/31/2019
Responses
3,300
0
5,250
Time Burden (Hours)
35,846
0
65,765
Cost Burden (Dollars)
0
0
0
Abstract:
The IRS uses these forms to determine from the information submitted whether the applicant plan qualifies under section 401(a) of the Internal Revenue Code for plan approval. The application is also used to determine if the related trust qualifies for tax exempt status under Code section 501(a).
Authorizing Statute(s):
US Code:
26 USC 401
Name of Law: Qualified pension, profit-sharing, and stock bonus plans
US Code:
26 USC 414
Name of Law: Definitions and special rules
US Code:
26 USC 501
Name of Law: Exemption from tax on corporations, certain trusts, etc.
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:
84 FR 25607
06/03/2019
30-day Notice:
Federal Register Citation:
Citation Date:
84 FR 45212
08/28/2019
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
3
IC Title
Form No.
Form Name
F4461 - Application for Approval of Standardized or Nonstandardized Pre-Approved Defined Contribution Plans
4461
Application for Approval of Standardized or Nonstandardized Pre-Approved Defined Contribution Plans
Form 4461-A - Application for Approval of Master or Prototype Defined Benefit Plan
4461-A
Application for Approval or Master or Prototype or Volume Submitter Defined Benefit Plan
Form 4461-B - Application for Approval of Master or Prototype Plan, Mass Submitter Adopting Sponsor
4461-B
Application for Approval of Standardized or Nonstandardized Pre-Approved Plans
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
3,300
5,250
0
0
-1,950
0
Annual Time Burden (Hours)
35,846
65,765
0
0
-29,919
0
Annual Cost Burden (Dollars)
0
0
0
0
0
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:
Minor editorial changes were made to forms 4461 and 4461-B, since last renewal that included: renumbering, revising , adding and deleting of boxes to the forms . There are no editorial changes to Form 4461-A since last renewal, however, there is a 2020 revision in process. There have been changes made to adjustment in agency estimate concerning all three forms that will result in a decrease in the number of responses (3300) per year and the total annual burden hours decrease by (35,846) .
Annual Cost to Federal Government:
$51,945
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.
Yes
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.
Yes
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:
Vikki Vrooman 202 317-5884
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:
08/28/2019
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