ERISA Procedure 76-1; Advisory Opinion Procedure

Forms and Documents

Document	Type	Status	Availability
AO Procedure 76-1 ss09.doc	Supporting Statement A	Uploaded 2009-05-01	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
13380	ERISA Procedure 76-1; Advisory Opinion Procedure	Other-ERISA Advisory Opinion 76-1	Modified

ICR Details

OMB Control No: 1210-0066	ICR Reference No: 200904-1210-004
Status: Historical Active	Previous ICR Reference No: 200603-1210-003
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: ERISA Procedure 76-1; Advisory Opinion Procedure
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: 06/15/2009
	Date Received in OIRA: 05/07/2009
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2012	36 Months From Approved	06/30/2009
Responses	63	0	83
Time Burden (Hours)	652	0	855
Cost Burden (Dollars)	1,425,229	0	51,000

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Abstract: Information collection provisions of ERISA Procedure 76-1 are used by persons supplying information needed for the Department to respond to their request for an interpretation as to the applicability of ERISA to a specific set of facts and circumstances. The Department's responses to such requests are called "information letters" and "advisory opinions."

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Authorizing Statute(s): US Code: 29 USC 1001 Name of Law: Employee 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:
	74 FR 4980	01/28/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 21403	05/07/2009
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
ERISA Procedure 76-1; Advisory Opinion Procedure

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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	63	83	0	0	-20	0
Annual Time Burden (Hours)	652	855	0	0	-203	0
Annual Cost Burden (Dollars)	1,425,229	51,000	0	0	1,374,229	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: The methodology used to estimate paperwork burden hours for this submission is essentially the same as for the prior submission in 2006 The Department did however revise its estimate of the cost for outside legal counsel. The Department determined that its previous estimates of outside legal counsel where too low. This resulted in an increase in the cost burden over the previous estimates. In addition the Department updated its estimate of the number of requests it received. Using historical date from the last three years the Department estimates that on average it receives 63 requests per year; this estimate is down from the previous estimate of 83 requests for year. The Department also updated its estimates of labor rates. Finally, discussions with the EBSA office responsible for collecting and storing documents caused a reduction in the estimate of the cost of storing documents.

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Annual Cost to Federal Government: $6,322

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)? No

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: 05/07/2009

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