Furnishing Documents to the Secretary of Labor on Request Under Employee Retirement Income Security Act Section 104(a)(6)

Forms and Documents

Document Name	Status
30-day FRN (1210-0112) published.pdf Supplementary Document	2021-04-23
29 USC 1024.pdf Supplementary Document	2021-04-22
60-day FRN (1210-0112) published.pdf Supplementary Document	2021-04-22
1210-0112 Supporting Statement 1-11-21.docx Supporting Statement A	2021-04-22

IC Document Collections

IC ID	Document Title	Status
13473	Furnishing Documents to the Secretary of Labor on Request Under ERISA Section 104(a)(6)	Modified

ICR Details

OMB Control No: 1210-0112	ICR Reference No: 202101-1210-002
Status: Received in OIRA	Previous ICR Reference No: 201801-1210-002
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: Furnishing Documents to the Secretary of Labor on Request Under Employee Retirement Income Security Act Section 104(a)(6)
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: 04/23/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2021
Responses	893	831
Time Burden (Hours)	41	55
Cost Burden (Dollars)	721	3,451

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Abstract: The purpose of the collection is to obtain employee benefit plan information when a participant or beneficiary has requested the documents from their plan administrator and the administrator has failed or refused to provide them. Section 104(a)(6) of the Employee Retirement Income Security Act of 1974 (ERISA) and related regulations at 29 CFR 2520.104a-8 require the administrator of an employee benefit plan covered by Title I of ERISA to furnish certain documents relating to the plan on request to the Secretary of Labor.

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Authorizing Statute(s): US Code: 29 USC 1024(a)(6) 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 21770	04/23/2021
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
Furnishing Documents to the Secretary of Labor on Request Under ERISA Section 104(a)(6)

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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	893	831	0	0	62	0
Annual Time Burden (Hours)	41	55	0	0	-14	0
Annual Cost Burden (Dollars)	721	3,451	0	0	-2,730	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 estimated number of requested SPDs and SMMs has been adjusted to incorporate updated recovery data from EBSA’s Office of Outreach, Education, and Assistance. The estimates above also reflect updated postage and material costs and wage rates. Additionally, the Department assumes that 92.7 percent of respondents will provide the requested documents electronically.

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Annual Cost to Federal Government: $27,556

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: 04/23/2021

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