Form 5330 for excess contributions from 2011

[AKconsult]

I have a client who just found out the plan failed ADP for 2011. We have calculated refund to HCE and will use self-correction to deposit a QNEC to the NHCEs of around $700 + interest.

It looks like the 10% penalty on the 5330 is only calculated on the excess, not the earnings - correct?

Also, since the correction is being made in 2013, do we have to file 5330s for multiple years? I am thinking it is only 1 filing, for 2011, and the IRS will assess penalties/interest due to the fact that the filing and penalty payment are late. Or do we have to file a 5330 for 2011, 2012, 2013... like you do when you have late deferrals that go more than 1 plan year?

Thanks!