Annual Information Return/Report

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Form 5500 Annual Return/Report of Employee Benefit Plans	Form and Instruction	Unchanged	Available
Form Form 5500 Schedule Single-Employer Defined Benefit Plan Actuarial Information	Form	Unchanged	Available
Form Form 5500 Schedule Retirement Plan Information	Form	Unchanged	Available
Form Form 5500 Schedule Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information	Form	Unchanged	Repair queued
Form Form 5500 Schedule Financial Information--Small Plan	Form	Unchanged	Repair queued
Form Form 5500 Schedule Financial Information	Form	Unchanged	Available
Form Form 5500 Schedule Financial Transaction Schedules	Form	Unchanged	Available
Form Form 5500 Schedule DFE/Participating Plan Information	Form	Unchanged	Available
Form Form 5500 Schedule Service Provider Information	Form	Unchanged	Available
Form Form 5500 Schedule Insurance Information	Form	Unchanged	Available
Form Form 5500-SF Short Form Annual Return/Report of Small Employee Benefit Plan	Form	Unchanged	Available
Form Form 5500 Annual Return/Report of Employee Benefit Plan	Form	Unchanged	Available
Bonding Letter Schedule.doc	Supplementary Document	Uploaded 2013-11-18	Available
Form 5500 Bonding Letter Justification for No-material Change.doc	Justification for No Material/Nonsubstantive Change	Uploaded 2013-11-18	Available
EBSAF5500ss 020113.docx	Supporting Statement A	Uploaded 2013-02-01	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
205399	Multiple Employer Welfare Arrangements Revisions of Form 5500	Form and Instruction	Unchanged	Annual Return/Report of Employee Benefit Plans
13467	Annual Information Return/Report	Form	Unchanged	Single-Employer Defined Benefit Plan Actuarial Information
13467	Annual Information Return/Report	Form	Unchanged	Retirement Plan Information
13467	Annual Information Return/Report	Form	Unchanged	Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information
13467	Annual Information Return/Report	Form	Unchanged	Financial Information--Small Plan
13467	Annual Information Return/Report	Form	Unchanged	Financial Information
13467	Annual Information Return/Report	Form	Unchanged	Financial Transaction Schedules
13467	Annual Information Return/Report	Form	Unchanged	DFE/Participating Plan Information
13467	Annual Information Return/Report	Form	Unchanged	Service Provider Information
13467	Annual Information Return/Report	Form	Unchanged	Insurance Information
13467	Annual Information Return/Report	Form	Unchanged	Short Form Annual Return/Report of Small Employee Benefit Plan
13467	Annual Information Return/Report	Form	Unchanged	Annual Return/Report of Employee Benefit Plan
13467	Annual Information Return/Report	Instruction	Unchanged

ICR Details

OMB Control No: 1210-0110	ICR Reference No: 201311-1210-003
Status: Historical Active	Previous ICR Reference No: 201305-1210-003
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: 12/04/2013
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/20/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2016	05/31/2016	05/31/2016
Responses	800,048	0	800,048
Time Burden (Hours)	563,001	0	563,001
Cost Burden (Dollars)	216,021,600	0	216,021,600

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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.

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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

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1210-AB12	Final or interim final rulemaking	78 FR 13781	03/01/2013

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Annual Information Return/Report	Form 5500 Schedule C, Form 5500 Schedule D, Form 5500 Schedule G, Form 5500-SF, Form 5500, Form 5500 Schedule A, Form 5500 Schedule H, Form 5500 Schedule I, Form 5500 Schedule MB, Form 5500 Schedule R, 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 Plan ,   Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information ,   Retirement Plan Information ,   Single-Employer Defined Benefit Plan Actuarial Information
Multiple Employer Welfare Arrangements Revisions of Form 5500	Form 5500	Annual Return/Report of Employee Benefit Plans

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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	800,048	800,048	0	0	0	0
Annual Time Burden (Hours)	563,001	563,001	0	0	0	0
Annual Cost Burden (Dollars)	216,021,600	216,021,600	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: The increased burden numbers reflect the most current reporting data available, as well as increased wage rates resulting from inflation since the last submission. The Department received 20,000 additional filings, which produced an additional 43,000 hours of burden. Further, these additional filings, plus increased wage rates, resulted in the $32 million increase in costs.

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Annual Cost to Federal Government: $6,550,000

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

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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: 11/20/2013

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