Form 4461, Application for Approval of Master or Prototype Defined Contribution Plan; Form 4461-A, Application for Approval of Master or Prototype Defined Benefit Plan; Form 4461-B,

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form W-8IMY Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding	Form	New	Available
Form W-8EXP Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding	Form	New	Available
Form W-8ECI Certificate of Foreign Person�s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States	Form	New	Available
Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding	Form	Modified	Available
ombat1.doc	Supplementary Document	Uploaded 2007-07-30	Available
W-8BEN.Sup.doc	Supporting Statement A	Uploaded 2010-09-23	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
194664	W-8IMY - Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding	Instruction	New
194664	W-8IMY - Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding	Form	New	Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding
194663	W-8EXP - Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding	Instruction	New
194663	W-8EXP - Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding	Form	New	Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding
194660	W-8ECI - Certificate of Foreign Person’s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States	Instruction	New
194660	W-8ECI - Certificate of Foreign Person’s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States	Form	New	Certificate of Foreign Person�s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States
18937	W-8BEN, Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding	Instruction	Modified
18937	W-8BEN, Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding	Form	Modified	Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding

ICR Details

OMB Control No: 1545-1621	ICR Reference No: 201009-1545-057
Status: Historical Active	Previous ICR Reference No: 200707-1545-009
Agency/Subagency: TREAS/IRS	Agency Tracking No: jg1545-0169
Title: Form 4461, Application for Approval of Master or Prototype Defined Contribution Plan; Form 4461-A, Application for Approval of Master or Prototype Defined Benefit Plan; Form 4461-B,
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 01/27/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/30/2010
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2014	36 Months From Approved	01/31/2011
Responses	3,180,640	0	3,180,640
Time Burden (Hours)	43,280,135	0	43,280,135
Cost Burden (Dollars)	0	0	0

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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).

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Authorizing Statute(s): US Code: 26 USC 414 Name of Law: Definitions and special rules
   US Code: 26 USC 401 Name of Law: Qualified pension, profit-sharing, and stock bonus plans
   US Code: 26 USC 501 Name of Law: Exemption from tax on corporations, certain trusts, etc.
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 5306	02/02/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
W-8BEN, Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding	W-8BEN	Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding
W-8ECI - Certificate of Foreign Person’s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States	W-8ECI	Certificate of Foreign Person�s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States
W-8EXP - Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding	W-8EXP	Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding
W-8IMY - Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding	W-8IMY	Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding

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ICR Summary of Burden

table that charts list 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	3,180,640	3,180,640	0	0	0	0
Annual Time Burden (Hours)	43,280,135	43,280,135	0	0	0	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:

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Annual Cost to Federal Government: $3,187

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

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Common Form ICR:  No

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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: 11/30/2010

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