Delinquent Filer Voluntary Compliance Program

Forms and Documents

Document Name	Status
30-day FRN (1210-0089) published.pdf Supplementary Document	2021-01-14
DFVC ss20 (clean) 1.7.20.docx Supporting Statement A	2021-01-08
29 CFR § 2560.502c-2 - Civil penalties under section 502(c)(2).pdf Supplementary Document	2021-01-07
29 U.S. Code § 1132 - Civil enforcement.pdf Supplementary Document	2021-01-07
60-day FRN (1210-0089) published.pdf Supplementary Document	2021-01-07

IC Document Collections

IC ID	Document Title	Status
13408	Delinquent Filer Voluntary Compliance Program Other-Final Rule	Modified

ICR Details

OMB Control No: 1210-0089	ICR Reference No: 202011-1210-002
Status: Received in OIRA	Previous ICR Reference No: 201708-1210-001
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: Delinquent Filer Voluntary Compliance Program
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/14/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2021
Responses	10,350	11,554
Time Burden (Hours)	518	578
Cost Burden (Dollars)	778,718	898,265

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Abstract: The Delinquent Filer Voluntary Compliance (DFVC) Program is intended to encourage, through the assessment of reduced civil penalties, delinquent plan administrators to voluntarily comply with their annual reporting obligations under Title I of the Employee Retirement Income Security Act of 1974.

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Authorizing Statute(s): US Code: 29 USC 1132(c)(2) 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:
	85 FR 66580	10/20/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 3203	01/14/2021
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
Delinquent Filer Voluntary Compliance Program

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ICR Summary of Burden

	Total Request	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	10,350	11,554	0	0	-1,204	0
Annual Time Burden (Hours)	518	578	0	0	-60	0
Annual Cost Burden (Dollars)	778,718	898,265	0	0	-119,547	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 total cost and hour burdens have been adjusted to reflect updated information on the number of plans utilizing the DFVC Program and updated postage and labor costs.

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Annual Cost to Federal Government: $495,434

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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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: 01/14/2021

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