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Form 5500 Version Selection Tool Instructions

What to File for Prior Year Form 5500s or to Amend Prior Year Filings

With the change to an all electronic filing system and changes to the Form 5500 as well, you may have questions about what to file for plan years prior to the current year or how to amend prior year filings. The Form 5500 Version Selection Tool will help you to determine which version of the Form 5500 and which schedules you should use. For informational copies of the Forms, visit www.dol.gov/ebsa/5500main.html. To file, go to www.efast.dol.gov. For more information on filing electronically, visit the EFAST2 FAQs.

There are four easy steps to use this tool:

  1. In the plan filing field, enter the first day of the plan year for which you want to file. For Direct Filing Entity (DFE) filings, enter the last day of the plan year for which you want to file. The date should be entered in the mm/dd/yyyy format.
  2. If you are amending a previously filed Form 5500, check the box.
  3. If your plan is a Code 403(b) arrangement or if you are filing for a DFE, other than a Group Insurance Arrangement (GIA), check the appropriate box. If neither applies to your plan, leave the boxes unmarked.
  4. Select the get results box. A general description of what you are required to file will be displayed. The form year(s) that are available for you to file will be displayed in bold. If there are any prior year schedules that must be attached, they will be listed in the "Exceptions". Any prior year schedules must be attached as a PDF file and are generally available at both www.efast.dol.gov and www.irs.gov.

Note: This tool will not provide detailed instructions specific to your plan's filing requirements. Review the instructions to the Form 5500/5500-SF for instructions that are applicable to your plan.

Caution: Under no circumstances should you ever submit the Schedule SSA or any form containing information concerning separated or deferred vested participants electronically to the Department of Labor. All such information must be filed separately to the IRS. Visit www.irs.gov for further information.

Important: If you are intending to file a delinquent Form 5500/5500-SF annual return report under the Delinquent Filer Voluntary Compliance Program (DFVCP), we encourage you to use the online DFVCP Penalty Calculator to be certain you have calculated the amount due correctly. You also have the option to pay the DFVCP penalty electronically. Simply select the "Continue to DFVCP Penalty Calculator and Online Payment" box in this tool to get started.