Attachment 01 - QA Log - Form 5500 - Responses to Vendor Questions (3.18.2026) r1.xlsx
XLSX spreadsheet 19 KB Posted
- Attached to
- 00161 - Form 5500 Data Subscription
- Solicitation number
- OAA-26-00161
About this file
This is a Question and Answer log documenting vendor inquiries and EBSA responses regarding the Form 5500 Data Subscription Services RFI (Solicitation Number OAA-26-00161). The Department of Labor, Employee Benefit Security Administration seeks a contractor to build and maintain a comprehensive database integrating Form 5500 filing data with regulatory linkages to support analyst and investigator research activities.
Key requirements and clarifications include: the contractor must have all primary data elements operational on Day 1 of the contract, with a reasonable mobilization period permitted between award and Period of Performance start; either commercially licensed or contractor-built datasets sourced from public data are acceptable; and the must-have dataset includes four years of recent 401(k) plan filings (approximately 30,000-40,000 filings), with additional historical data beyond four years classified as nice-to-have up to ten years. The database must enable analyst queries on plan investments, fees, performance, service provider linkages, plan design features, historical trends, and specific investment types. EBSA/CRD mapping for approximately 9,000 entities (including both firms and individuals) is required, along with FINRA data integration; individual-level disciplinary history tied to CRD is desired as a nice-to-have. Third-party datasets such as Morningstar, Lipper, or Preqin are classified as optional enhancements rather than base evaluation requirements. This RFI was originally due March 24, 2026, but Amendment 01 extended the response deadline to March 30, 2026 at 2:00 PM EST.
View the file
Other files
| File | Type | Posted |
|---|---|---|
| Revised PWS Form 5500 Data Subscription and Analyst Support.docx | DOCX document | |
| RFI PWS Form 5500 Data Subscription and Analyst Support.docx | DOCX document | |
| RFI - Form 5500.doc | DOC document | |
| Attachment 01 - QA Log - Form 5500.xlsx | XLSX spreadsheet |
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Text version
Sheet1
| Section | Question | Response |
| PWS: Scope | Will The Department allow a reasonable time period between date of award and POP Start date for the awarded contractor to build, test, and prep the requested database? | The POP start date would need to be soon after the date of award. The requested database would need to be ready for staff to use as soon as the contract starts. The contractor would already need to have access to financial datasets as well. |
| PWS: Scope | Does EBSA require a commercially licensed dataset, or will they accept a contractor-built integration sourced from public data? . | Either approach is acceptable to EBSA as long as the requirement is met. |
| Overall | What are the top 10 recurring questions your analysts ask about DC plans and service providers? | a. Though specific ad-hoc queries are not possible to share in this response due to the sensitivity with describing investigative issues and approaches, analysts are interested in the following issues: |
| i. | Plan investments, including share classes and fees | ||
| ii. | Plan costs | ||
| iii. | Investment performance | ||
| iv. | Linkages between service providers and plans and the specific roles provided | ||
| v. | Plan design, such as employer contribution provisions | ||
| vi. | Data on historical trends | ||
| vii. | Specific types of investments, such as target date funds or index funds. | ||
| viii. | Specific types of investment vehicles, such as collective investment trusts (CITs). | ||
| 5.1.1 | The PWS references ~30k–40k filings as a significant portion. Which filing years and plan types are must-have vs nice-to-have? | a. Must-have: 401(k) plans. Nice-to-have: Other types of defined contribution plans, as well as defined benefit plans. |
b. Must-have: Four years of the most recent filing data (current and past several filing years). Nice-to-have: Every additional year of data beyond the most recent four years (must-have) would be nice-to-have and valuable to EBSA’s analysts and investigators, though it’s unlikely we would need to look back further than 10 years for any project.
| Scope | The PWS mentions IARD/CRD mapping for at least ~9,000 entities—does that represent firms only, or also individuals? | This represents individuals as well, since we are often interested in the advisor, recordkeeper, etc. |
| Are there any current data points that are a particular stress point that need to be fixed? | No, EBSA is not aware of any data points that currently need to be fixed. | |
| 5.1.1 | Which data elements must be available on Day 1 vs. acceptable to phase in? | The main data elements must be available on the first day of the contract. The database would need to have everything in order not to disrupt operations. |
| 5.1.1 | For the ‘edited adviser name’ requirement, do you want a persistent unique ID per entity that survives name changes, mergers, and DBAs? | That would be a nice-to-have but is not essential. |
| Scope | For FINRA data, is the requirement limited to firm-level summary, or do you need individual-level disciplinary/event history tied to CRD? | It would be nice to have individual-level disciplinary/event history tied to CRD. |
| 5.1.1.2 | Are third‑party datasets (e.g., Morningstar/Lipper/Preqin) required for base evaluation, or considered optional enhancements if core Form 5500 + regulatory linkage needs are fully met? | Optional enhancements. |
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