Annual Information Return/Report of Employee Benefit Plan

Forms and Documents

Document Name	Status
Form 5500 CSEC Multiple Employer Plan Revision Form	Removed
Justification for Nonmaterial Nonsubstantive Change 3-25-2019.docx Justification for No Material/Nonsubstantive Change	2019-03-28
EBSA Supporting Statement Form 5500 2018 Renewal 8-2.docx Supporting Statement A	2018-08-15

IC Document Collections

IC ID	Document Title	Status
211856	CSEC Multiple Employer Plan Revision Form	Removed
205399	Multiple Employer Welfare Arrangements Revisions of Form 5500	Removed
13467	Annual Information Return/Report of Employee Benefit Plan Instruction	Modified

ICR Details

OMB Control No: 1210-0110	ICR Reference No: 201903-1210-001
Status: Historical Active	Previous ICR Reference No: 201807-1210-002
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: 04/09/2019
	Date Received in OIRA: 03/28/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2021	11/30/2021	11/30/2021
Responses	804,000	0	809,882
Time Burden (Hours)	574,000	0	576,688
Cost Burden (Dollars)	254,079,000	0	254,308,050

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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: 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:
	83 FR 15635	04/11/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 46191	08/31/2018
Did the Agency receive public comments on this ICR? No

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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 Schedule G, Form 5500 Schedule H, Form 5500 Schedule D, 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
Multiple Employer Welfare Arrangements Revisions of Form 5500
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)

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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	804,000	809,882	0	0	-5,882	0
Annual Time Burden (Hours)	574,000	576,688	0	0	-2,688	0
Annual Cost Burden (Dollars)	254,079,000	254,308,050	0	0	-229,050	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: Department is deleting two legacy information collections in this ICR, “Multiple Employer Welfare Arrangements Revisions of Form 5500” and “CSEC Multiple Employer Plan Revision” because the content of the collections themselves have been included in the “Annual Information Return/Report of Employee Benefit Plan” information collection for a number of years and the burden for these information collections has been double-counted. This change reduces the total burden attributed to 1210-0110 by 5,882 responses, 2,688 hours, and $229,050. This change more accurately reflects the information collected under 1210-0110 and the burden imposed on the public.

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Annual Cost to Federal Government: $6,100,000

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? 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: 03/28/2019

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