Brief Case
Pension Resource
Pension Resource

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Excel to PBGC XML Generator

Download the Excel to Pension Resource Integration template for populating the values of the PBGC XML. It is designed to help you get data from your valuation software to XML. Paste the valuation results into Excel. You may need to edit the formula to fit the format of the valuation results pasted. Excel will create an URL with that data. Copy that URL and paste it into your web browser to have the XML file generated. Click Download XML here for uploading to myPAA. The XML is intended for uploading the filing data to be completed on MyPAA. Since signatures and banking information are disabled, this XML isn't designed for a complete filing upload to myPAA using the Proceed to Certify option on MyPAA. Use the Import XML PBGC option and Proceed to the Data Entry Screens. Pension Resource is a PBGC approved vendor.

Download PBGC XML File
Once the XML is generated, checks are performed to verify combination of inputs are consistent. These checked are limited. After editing the inputs below, generate the XML again to resolve the issues with the XML file. When uploading to MyPAA, further edits can be done to resolve issues once loaded to the Data Entry Screens.
Validation Issues Identified:
Yes
After resolving press Generate PBGC XML, at the bottom, to recreate the XML file for download. Otherwise bypass the warnings and download here.
Download PBGC XML File

Related Links:
MyPAA Login PBGC Premium Instructions Excel to PBGC XML Template

PBGC Comprehensive Premium Filing

1 Plan Sponsor Information

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2 Plan Administrator Information

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h Contact person

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3 Additional plan contact (optional)

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4 Plan information

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b Premium payment year information:

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and ending
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Yes
No
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Check box if plan qualifies to pay a prorated premium for this premium payment year.

c Employer Identification Number and Plan Number information:

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Multiemployer
Single-employer other than CSECs (including multiple-employer plans)
CSEC Plan
Check box if plan is a new or newly covered plan and provide the following information:
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(2) Date coverage began on
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Yes
No

5 Flat-rate Premium

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b Flat-rate premium calculation

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(2) Participant count as of participant count date:

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Complete item 6 only if the plan is electing, or revoking an election, to use the Alternative Premium Funding Target instead of the Standard Premium Funding Target; otherwise skip to item 7. CSEC plans may not make this election.

6 Alternative Premium Funding Target Election or Revocation

a
Election - Check box to elect to use the Alternative Premium Funding Target instead of the Standard Premium Funding Target. The election will be effective — and the plan will be required to use the Alternative Premium Funding Target — beginning with this premium payment year and for all subsequent plan years unless and until the election is subsequently revoked.
b
Revocation - Check box to revoke a prior election to use the Alternative Premium Funding Target. The revocation will be effective — and the plan will be required to use the Standard Premium Funding Target — beginning with this premium payment year and for all subsequent plan years unless and until a new election is subsequently made.
Note — Elections or Revocations must remain in place for at least five years.

7 Variable-rate Premium (VRP)

a VRP exemptions – If an exemption applies, check applicable box and skip to item 8.
New or newly covered small plan other than a continuation plan
No vested participants
Standard termination with a final distribution during the premium payment year
412(e)(3) plan
Standard termination with a proposed termination date in a prior year (proposed termination date:
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b VRP small employer cap qualification – Check box if this plan qualifies for the small employer cap applicable to certain plans of small employers (those with 25 or fewer employees). If box is checked, items 7c through 7g may, but need not, be omitted.
c Assumptions and methods used to determine premium funding target
(1) Premium funding target method:
Standard
Alternative
NA, CSEC
(2) Discount rate(s):
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N/A, full yield curve used
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(3) UVB valuation date:
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d Premium funding target as of UVB valuation date –
Check box if the reported premium funding target information is an estimate.
(1) Attributable to active participants
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(2) Attributable to terminated vested participants
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(3) Attributable to retirees and beneficiaries receiving payment
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(4) Total premium funding target (item 7d(1) + item 7d(2) + item 7d(3))
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e Market value of assets as of UVB valuation date
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f Unfunded vested benefits (excess, if any, of item 7d(4) over item 7e, rounded up to the next $1,000)
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g Uncapped variable-rate premium (CSEC plans, item 7f x 0.009. Other plans, item 7f x .052
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h Maximum VRP
(1) MAP-21 cap ($652 item 5b(2))
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(2) Small employer cap, if applicable ($5 x item 5b(2) x item 5b(2)) – Omit this item if plan is not eligible for this cap
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(3) Maximum variable-rate premium — If the plan qualifies for the small employer cap, the lesser of item 7h(1) and 7h(2). Otherwise, item 7h(1).
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i Variable-rate premium — If the plan qualifies for the small employer cap and item 7g was omitted, item 7h(3). Otherwise, the lesser of item 7g and item 7h(3).
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8 Premium proration (If the plan does not qualify for premium proration, skip to item 9)

a Number of months (complete and partial) in the short plan year or short coverage year
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b Total premium before reflecting proration (item 5b(3) + item 7i, if applicable)
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9 Total premium — If the plan does not qualify for premium proration, item 5b(3) + item 7i, if applicable. If the plan qualifies for premium proration, item 8b x item 8a ÷ 12.
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10 Premium credit
a Payments made previously for this premium payment year (including credits used)
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b Outstanding credit from prior premium payment years
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c Total (item 10a + item 10b)
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11 Amount Due (excess, if any, of item 9 over item 10c)
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12 Treatment of overpayment
a Excess, if any, of item 10c over item 9
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b Treatment of balance (select one):
Credit towards next year’s premium
Refund by check
Refund by electronic funds transfer (ACH). If you select this option, complete item 12c.
c Information for ACH refund:
Type of account:
Checking
Savings
Bank routing number
Account number

13 Final filing –
If this is the last filing for this plan, enter the date of event
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and check box that best describes why filing obligation is ceasing:
Merger/Consolidation
Trusteeship
Distribution pursuant to termination
Coverage ceased because only remaining participants are substantial owners
Cessation of covered status (enter explanation)
Coverage ceased for some other reason. Enter explanation:
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14 Transfers between plans – If this plan transferred some, or all assets or liabilities to another plan (or vice versa) since the most recent comprehensive premium filing, provide the following information with respect to the plan to (or from) which assets or liabilities were transferred (if transfer involved a new or newly covered plan or if more than one transfer needs to be reported, see instructions).

a Check box for (1) or (2), whichever is applicable box:
(1) This plan is the transferor plan.
(2) This plan is the transferee plan.
b Employer Identification numbers and plan numbers:
Transferor Plan:
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Transferee Plan:
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c Type of transfer:
Merger
Consolidation
Spinoff to/from another plan
Other
d Date of transfer:
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e Additional information for certain transactions. Complete this item only if the transfer occurred on the first day of the plan year and the plan is not a new plan.
(1) Was transfer de minimis?
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No
(2) If plan is the transferee plan in a de minimis merger, was plan smaller than transferor plan (see instructions)?
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No
15 Participation freeze – If, as of the beginning of the premium payment year, this plan is closed to new entrants, enter the date the plan became closed to new entrants
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16 Accrual freeze – If, as of the beginning of the premium payment year, benefit accruals under this plan are partially or totally frozen, enter the date the freeze became effective
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and check box that best describes the nature of the freeze:
For all participants, both pay and service are frozen
For all participants, service is frozen, pay is not
For some participants, both pay and service are frozen
For some participants, service is frozen, pay is not
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17 Risk transfer activity – Do not complete this item if this is the last filing for this plan
a Lump Sum Windows: If the plan provided one or more lump sum windows during the prior premium payment year, report the number of participants eligible to elect a lump sum under all such windows and the number of participants who elected a lump sum:
(1) Participants not in pay status when lump sum was offered:
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(2) Participants in pay status when lump sum was offered:
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b Annuity purchases: If the plan purchased annuities for a group of participants during the prior premium payment year, report the number of participants for whom an annuity was purchased:
(1) Participants not in pay status when lump sum was offered:
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(2) Participants in pay status when annuity was purchased:
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18 Amended filing – Complete this item only if this is an amended filing
a If either the first or last day of the premium payment year reported in this amended filing (item 4b(1)) differs from what was reported in the filing that is being amended, provide the dates that were reported in the original filing:
Date premium payment year commenced
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Date premium payment year commenced
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b If the EIN and PN reported in this amended filing (item 4c(1)) are not both the same as what was reported in the filing that is being amended, enter the EIN and PN from the original filing:
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c If the reason for amending the filing is other than reconciling an estimated Variable-rate Premium and the total premium reported in this amended filing (item 9) is less than the amount reported in the filing that is being amended, provide an explanation of why an amended filing is necessary:
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19 Disaster relief – Complete this item only if this filing is subject to an extended due date per PBGC’s disaster relief announcement.
a Identifying number of applicable IRS Disaster Relief News Release (e.g., CA-2021-01):
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b Is the plan administrator’s address (i.e., address reported in item 2) in the disaster area covered by the applicable IRS News Release?
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c Complete this item only if item 19b is “No”. Enter the information below as it relates to the person affected by the disaster.
(1)
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(2)
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(5)
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20 Certification of Plan Administrator – The plan administrator must sign and complete this item.

I certify under penalty of perjury, to the best of my knowledge and belief, that all the information in the filing is true, correct and complete and has been determined in accordance with PBGC's premium regulations and instructions, except that if the filing reports an estimated premium funding target, the estimate is reasonable, takes into account the most current information available to the enrolled actuary, and has been determined in accordance with generally accepted actuarial principles and practices, and that if I received Variable-rate Premium information certified by an enrolled actuary for this filing, the Variable-rate premium information in the filing is the same as the Variable-rate Premium information certified by the enrolled actuary.

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21 Certification of Enrolled Actuary – An enrolled actuary must sign and complete this item unless the plan is (1) a multiemployer plan, (2) exempt from the Variable-rate Premium, or (3) eligible for the small employer cap, paying the maximum VRP.

I certify under penalty of perjury, to the best of my knowledge and belief, that the Variable-rate Premium information in the filing is true, correct and complete and has been determined in accordance with PBGC's premium regulations and instructions; except that if the premium funding target is estimated, the estimate is reasonable, takes into account the most current information available to me and has been determined in accordance with generally accepted actuarial principles and practices.

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