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The U.S. Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) seeks to identify approaches to measure the impact of its work. The objectives of EBSA and CEO for this Health Outcomes Metrics project were to better understand the current landscape, best practices, and data sources related to approaches that federal and state agencies and the insurance industry use to estimate the impacts of their health-related enforcement actions/interventions.

The U.S. Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA), in conjunction with the Internal Revenue Service (IRS) and the Pension Benefit Guaranty Corporation (PBGC), publishes the Form 5500 Annual Return/Report of Employee Benefit Plan (Form 5500) and the Short Form Annual Return/Report of Small Employee Benefit Plan (Form 5500-SF).

In 2017, the Chief Evaluation Office (CEO) partnered with the Employee Benefits Security Administration (EBSA) and funded contractor Summit Consulting to conduct An Analysis of Benefit Plans Auditors under the Administrative Data Research and Analysis portfolio of studies. The statistical analysis aims to analyze trends in employee benefit plan audit quality, particularly when plan administrators change certified public accountant (CPA) firms.

The report presents findings from a trend analysis of benefit plan auditors using 5500 filing data and audit reviews conducted by Employee Benefits Security Administration (EBSA) between plan years 2011 and 2015. EBSA administers and enforces the reporting, disclosure, and fiduciary requirements of Title I of the Employee Retirement Income Security Act of 1974 (ERISA). EBSA’s Office of the Chief Accountant, Division of Accounting Services enforces annual audit requirements of employee benefit plans.

The report presents findings on plan filings of Form 5500 using data from 2000 to 2016. The Employee Benefits Security Administration (EBSA) administers and enforces the reporting, disclosure, and fiduciary requirements of Title I of the Employee Retirement Income Security Act of 1974. Each year, employee benefit plans are required to submit Form 5500 to EBSA to report information about the plan. Form 5500 captures important employee benefit plan information on plan type, plan administration, and plan benefits.

The U.S. Department of Labor (DOL) Employee Benefits Security Administration (EBSA) administers and enforces the reporting, disclosure, and fiduciary requirements of Title I of the Employee Retirement Income Security Act of 1974 (ERISA). Multiple Employer Welfare Arrangements (MEWAs) and certain Entities Claiming Exception (ECEs) must file the Form M-1 report annually. Form 5500 is an annual report that employee benefit plans must file to satisfy reporting requirements under Title I and Title IV of ERISA and under the Internal Revenue Code.

The report examines the employer-based voluntary retirement system and explores a variety of potential changes through a three-part analysis:

The state-Federal system of Unemployment Insurance (UI) programs has existed for 80 years. The programs in the states are financed by employer payroll taxes paid into state trust fund accounts maintained at the U.S. Treasury. These accounts are the source for benefit payments made to eligible unemployed workers.

As investors increasingly consider environmental, social, and governance (ESG) factors when selecting and managing investments, questions about ESG’s relevance to retirement investing have grown commensurately. With this growth comes greater interest to understand if and to what extent ESG investing might affect American workers' retirement prospects.

In 2017, the Chief Evaluation Office (CEO) partnered with the Employee Benefits Security Administration (EBSA) and funded contractor Summit Consulting LLC to conduct the Form 5500 Schedule A Data Analysis. under the Administrative Data Research and Analysis portfolio of studies.

In 2017, the Chief Evaluation Office (CEO) partnered with the Employee Benefits Security Administration (EBSA) and funded contractor Summit Consulting to conduct the Form 5500 Filing Patterns Analysis under the Administrative Data Research and Analysis portfolio of studies. The statistical analyses aim to better understand why employee benefit plans stop filing Form 5500s. Researchers used data from 2000 to 2016 to conduct two filing pattern-related analyses.

Preparing for retirement is important. For many workers in the United States, a comfortable retirement may depend on the savings decisions they make now. Failing to save today can have very real consequences as people age, reducing the comforts they get to enjoy during retirement and their ability to cope with health and financial shocks. Following broader Federal policy, the U.S. Department of Labor (DOL) has sought effective strategies for encouraging its employees to increase their retirement savings.

The brief presents initial findings on the effects of an email designed to encourage U.S. Department of Labor (DOL) employees to increase their contributions to the Thrift Savings Plan (TSP)—a plan similar to 401(k) plans in the private sector—and take full advantage of the available employer match.

Infographic depicting high-level results of the Using Behavioral Interventions to Increase Retirement Savings Technical Report.

Webinar describing the high-level results of the Using Behavioral Interventions to Increase Retirement Savings Technical Report.

The Chief Evaluation Office (CEO) at the U.S. Department of Labor (DOL) contracted with Mathematica Policy Research to conduct a study to explore potential research designs for determining the impact of the participant assistance program administered by the Office of Outreach, Education, and Assistance (OEA) within DOL’s Employee Benefits Security Administration (EBSA).