Pensions – Forms

Forms for individuals - financial hardship unlocking

Financial hardship unlocking documents and form

• Financial Hardship Unlocking Program documents:
  • Summary (September 1, 2014)
  • General program and process (updated January 1, 2021)
  • Reasons to unlock (updated January 1, 2021)
• Application to Unlock Alberta Funds Due to Financial Hardship (Form 23) (PDF, 236 KB) (fillable version, effective January 1, 2021)
• If you have trouble opening this form, see the instructions above. Alternatively, you may use the non-fillable version (PDF, 163 KB), which you may print and complete by hand.

Other provisions for accessing pension funds

For information on other provisions that can provide owners with access to funds, see Information for individuals - unlocking pension funds.

Forms for individuals - pension partner waivers

• Pension Partner Waiver of Entitlement to a 60% Joint and Survivor Pension from a Pension Plan (PDF, 195 KB) (Form 4, updated December 19, 2014)
• Pension Partner Waiver of Entitlement to a Death Benefit Before Pension Commencement in a Pension Plan (PDF, 194 KB) (Form 5, updated December 19, 2014)
• Pension Partner Waiver to Permit Unlocking From a Pension Plan Due to Shortened Life Expectancy or Non‑Residency (PDF, 194 KB) (Form 6, updated December 19, 2014)
• Pension Partner Waiver to Permit Up to 50% Unlocking From a Pension Plan on Establishment of a Life Income Type Benefit Account or Life Income Fund (PDF, 194 KB) (Form 7, updated December 19, 2014)
• Pension Partner Waiver to Establish a Life Income Type Benefits Account (PDF, 194 KB) (Form 8, updated December 19, 2014)
• Pension Partner Waiver of Entitlement to a Death Benefit After Pension Commencement from a Pension Plan (PDF, 204 KB) (Form 9, updated December 19, 2014)
• Pension Partner Waiver to Establish a Life Income Fund from a Locked‑in Retirement Account (PDF, 206 KB) (Form 10, updated August 10, 2016)
• Pension Partner Waiver of Entitlement to a 60% Joint and Survivor Annuity from a Locked‑in Account (PDF, 195 KB) (Form 11, updated December 19, 2014)
• Pension Partner Waiver of Entitlement to a Death Benefit From a LIRA (PDF, 194 KB) (Form 12, updated December 19, 2014)
• Pension Partner Waiver to Permit Unlocking From a Locked‑in Product Due to Shortened Life Expectancy or Non‑Residency (PDF, 194 KB) (Form 13, updated December 19, 2014)
• Pension Partner Waiver to Permit Up to 50% Unlocking from a Locked‑in Retirement Account on Establishment of a Life Income Fund or Transfer to a Life Income Type Benefit Fund (PDF, 194 KB) (Form 14, updated December 19, 2014)
• Pension Partner Waiver to Establish a Life Income Fund from a Pension Plan (PDF, 194 KB) (Form 15, updated December 19, 2014)
• Pension Partner Waiver of Entitlement to a Death Benefit After Establishment of a Life Income Fund (PDF, 194 KB) (Form 16, updated December 19, 2014)

Forms for pension plan administrators

Annual Information Return and Cost Certificate

Forms to be completed and submitted online

In accordance with Section 38(1)(a) of the Employment Pension Plans Act (EPPA) and Section 47 of the Employment Pension Plans Regulation (Regulation):

• the annual information return (AIR) must be filed within 180 days of the fiscal year end of the plan
• the cost certificate (CC) and actuarial valuation must be filed within 270 days of the review date of a plan with one or more benefit formula provisions

The following forms are working copies only, to assist you with online filing using the Pension Online Filing System:

• Annual Information Return (PDF, 752 KB) (Form 19, updated September 29, 2020)
  • See related EPPA Update 18-02 (PDF, 138 KB)
• Cost Certificate (PDF, 729 KB) (Form 20, updated October 23, 2018)
  • See related EPPA Update 18-04 (PDF, 242 KB)

Administrator Statement of Compliance

• Plan Registration (PDF, 150 KB) (Form 1, effective September 1, 2014)
• Plan Text Document Amendment (PDF, 150 KB) (Form 2, effective September 1, 2014)
• Amendment to Supporting Plan Documents (PDF, 150 KB) (Form 3, effective September 1, 2014)

Application for Registration of a Pension Plan

• Application for Registration of a Pension Plan (PDF, 861 KB) (Form 18, updated September 29, 2020)

Application for Inclusion on List of Acknowledged Financial Institutions

All banks, credit unions, trust companies and insurance companies offering Locked-in Retirement Accounts (LIRAs), Life Income Funds (LIFs) and Locked-in Retirement Income Funds (LRIFs) to customers must be on the Superintendent’s List of Financial Institutions offering locked-in pension products, in order to accept transfers of locked-in funds.

• Application for Inclusion on List of Acknowledged Financial Institutions (PDF, 161 KB) (Form 22, effective January 1, 2015)

Once approved to offer Alberta LIF and LIRA contracts, a copy of the appropriate LIRA or LIF addendum below must be provided to LIRA and LIF owners.

• Schedule 1, Locked in Retirement Account (LIRA) Addendum (PDF, 85 KB) (Form 24, effective January 1, 2015)
• Schedule 2, Life Income Fund (LIF) Addendum (PDF, 85 KB) (Form 25, effective January 1, 2015)

Interim Cost Certificate

• Interim Cost Certificate (PDF, 67 KB) (Form 20A, updated April 2019)

Other forms

• Schedule of Expected Pension Contributions (PDF, 159 KB) (Form 21, effective September 1, 2014)
• Notice of Unremitted and Unexpected Pension Contributions (PDF, 171 KB) (Form 21A, effective September 1, 2014)
• Alberta Employment Pension Tribunal – Application to Appeal (PDF, 189 KB) (Form 17, effective September 1, 2014) – for more information, see the Tribunal web page

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Contact

Pension plans registered under the Employment Pension Plans Act (EPPA)

Connect with the Office of the Alberta Superintendent of Pensions:

Hours: 8:15 am to 4:30 pm (open Monday to Friday, closed statutory holidays)
Phone: 780-427-8322 
Toll free: 310-0000 before the phone number (in Alberta)
Email: [email protected]

Address:
Alberta Superintendent of Pensions
Alberta Treasury Board and Finance
Financial Sector Regulation and Policy
402 Terrace Building
9515 107 Street
Edmonton, Alberta  T5K 2C3

Public sector pensions

Contact the following for information on:

• Alberta Teachers’ Pension Plans: Alberta Teachers’ Retirement Fund Board
• Local Authorities Pension Plan: LAPP Contact
• Public Service Pension Plan: PSPP Contact
• Special Forces Pension Plan: SFPP Contact
• Universities Academic Pension Plan: UAPP Contact
• All other Alberta Public Sector Pension Plans: Alberta Pensions Services Corporation
• Federal pension plans: Canada Pension Plan or Old Age Security