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Proposed
Rule - This proposed regulation would implement recent amendments to ERISA under which a participant of a plan will be deemed to have exercised control over assets in his account if, in the absence of investment directions from the participant, the plan invests in a qualified default investment alternative.
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Charge
to Peer Reviewers - This charge provides instructions to the
selected peer reviewers as required by OMB Final Information Quality
Bulletin for Peer Review, 70 FR 2664 (Jan 14, 2005).
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Documents Submitted for Evaluation
by Independent Peer Reviewers
EBSA
Automatic-Enrollment Impact Study: Final Results
Martin R. Holmer, Policy Simulation Group, January 31, 2006
PENSIM
Analysis of Impact of Regulation on Defined-Contribution Default
Investments
Martin R. Holmer, Policy Simulation Group, February 16, 2006
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Reports by Peer Reviewers
Peer
Review for Default Investment Safe Harbor Regulation
David I. Laibson, Harvard University, Department of
Economics, June 5, 2006
Peer
Review for Default Investment Safe Harbor Regulation
Nellie Liang, Div of Research & Statistics, Board of
Governors of the Federal Reserve System, March, 2006
Peer
Review for Default Investment Safe Harbor Regulation
John Philip Rust, University of Maryland, Department of
Economics, August 14, 2006
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EBSA's
Response to Peer Review Reports - Response to peer reviews of
highly influential scientific assessment that underlies EBSAs
Regulatory Impact Analysis of its Notice of Proposed Rulemaking.
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Biographies of Peer Reviewers
David
I. Laibson, Harvard University, Department of Economics
Nellie
Liang, Division of Research & Statistics, Board of
Governors of the Federal Reserve System
John
Philip Rust, University of Maryland, Department of Economics
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Proposed Rule – Annual Reporting and Disclosure – The Proposed Rule would conform the
Department's annual reporting regulations to the proposed changes to
the Form 5500 Annual Return/Report.
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Notice of
Proposed Forms Revisions – The Notice of Proposed Forms Revisions describes proposed changes to the Form 5500 Annual Return/Report for reporting years beginning on or after January 1, 2008, including a new Short Form 5500 (5500-SF) for eligible plans.
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Proposed Revisions for 2008 Form 5500 and Schedules Instructions -
Mark-up showing the proposed changes for the 2008 Form 5500
and Schedules and Instructions that are itemized in Appendices
C and D to the Notice of Proposed Forms Revisions.
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Technical
Appendix providing supporting documentation for the Regulatory
Impact Analysis included in the Proposed Rule – Annual Reporting
and Disclosure.
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Estimates
of the Burden for Filing Form 5500: The Change in Burden from the
1997 to the 1999 Forms - A 1999 report prepared for EBSA by
Mathematica Policy Research, which documents cost estimates of prior
reporting requirements and serves as the basis for the current unit
cost estimates.
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Instructions
provided by EBSA to the peer reviewer pursuant to the OMB Final
Information Quality Bulletin for Peer Review.
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Peer
Review Report - Completed pursuant to the OMB Final Information
Quality Bulletin for Peer Review and cited in the Regulatory Impact
Analysis included in the Proposed Rule - Annual Reporting and
Disclosure.
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