About the Study

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. The descriptive statistical analysis aims to collect information on Schedule A filings as they relate to welfare contracts, such as health and life benefits, to provide insight into common characteristics of Schedule A plans. Researchers analyzed Schedule A filings for Form Years 2012-2016.

The Form 5500 Series was developed jointly by the U.S. Department of Labor, Internal Revenue Service, and Pension Benefit Guaranty Corporation to satisfy annual reporting requirements under the Employee Retirement Income Security Act of 1974 (ERISA). This series, which is an integral part of ERISA’s reporting and disclosure framework, serves as a research and compliance tool as well as an information source for other Federal agencies, Congress, and the private sector. Form 5500 filers are required to include the Schedule A attachment to report information on insurance contracts used to provide benefits.

This Department of Labor-funded study was a result of the annual process to determine the department’s research priorities for the upcoming year. It contributes to the labor evidence-base to inform data and reporting programs and policies and addresses Departmental strategic goals and priorities.

The Department of Labor’s (DOL) Chief Evaluation Office (CEO) sponsors independent evaluations and research, primarily conducted by external, third-party contractors in accordance with the Department of Labor Evaluation Policy and CEO’s research development process.