Petition for Finding Under Section 3(40) of ERISA

Forms and Documents

Document Name	Status
1210-0119ss07.doc Supporting Statement A	0000-00-00

IC Document Collections

IC ID	Document Title	Status
13496	Petition for Finding Under Section 3(40) of ERISA	Modified

ICR Details

OMB Control No: 1210-0119	ICR Reference No: 200611-1210-003
Status: Historical Active	Previous ICR Reference No: 200401-1210-005
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: Petition for Finding Under Section 3(40) of ERISA
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/17/2007
	Date Received in OIRA: 02/22/2007
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2010	36 Months From Approved	04/30/2007
Responses	45	0	45
Time Burden (Hours)	0	0	1
Cost Burden (Dollars)	120,420	0	104,000

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Abstract: The Department's regulations at 29 CFR 2570.150 et seq. provide procedures for an entity against whom state jurisdiction has been asserts to petition the Secretary to make a finding under section 3(40)(A)(i) of ERISA that the entity is established or maintained under or pursuant to one or more collective bargaining agreements. The regulations establish procedures for initiating an administrative proceeding before the Office of Administrative Law Judges (ALJs) and establish that an ALJ's decision shall constitute a finding under section 3(40)(A)(i) of ERISA. The regulations also provide for an appeal of an ALJ decision to the Secretary.

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Authorizing Statute(s): US Code: 29 USC 1003(40) Name of Law: Employee Retirement Income Security Act of 1974
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	71 FR 70545	12/05/2006
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 8018	02/22/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Petition for Finding Under Section 3(40) of ERISA

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	45	45	0	0	0	0
Annual Time Burden (Hours)	0	1	0	0	-1	0
Annual Cost Burden (Dollars)	120,420	104,000	0	0	16,420	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: There have been no program changes since the prior submission. The estimated number of respondents and rate of response have also remained unchanged. The burden estimates have been adjusted to take into account higher wage rates and higher costs of mailing documents. The Department has also eliminated the prior one hour assigned as a placeholder to hour burden for this information collection, based on its judgment that the burden of this ICR is more appropriately assessed as cost for services of outside parties, rather than time spent by respondent. These adjustments have resulted in an aggregate increase of $16,420 in the cost burden estimate and reduction in the hour burden from 1 hour to 0 hours.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 02/22/2007

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