60-day FRN (1210-0117) published

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control numbers and inform
respondents of their legal significance
after OMB has approved an agency’s
information collections. In accordance
with those requirements, EBSA hereby
notifies the public that the following
information collections have been reapproved by OMB following EBSA’s
submission of an information collection
request (ICR) for extension of a prior
approval:
• OMB Control No. 1210–0064, Class
Exemption for Certain Transactions
Involving Purchase of Securities where
Issuer May Use Proceeds to Reduce or
Retire Indebtedness to Parties in Interest
(PTE 1980–83). The expiration date for
this information collection is January
31, 2023.
• OMB Control No. 1210–0119,
Petition for Finding under the Employee
Retirement Income Security Act Section
3(40). The expiration date for this
information collection is January 31,
2023.
• OMB Control No. 1210–0123,
Notice Requirements of the Health Care
Continuation Coverage Provisions. The
expiration date for this information
collection is January 31, 2023.
• OMB Control No. 1210–0130,
Statutory Exemption for Cross-Trading
of Securities. The expiration date for
this information collection is January
31, 2023.
• OMB Control No. 1210–0137,
Model Employer Children’s Health
Insurance Program Notice. The
expiration date for this information
collection January 31, 2023.
• OMB Control No. 1210–0145, Plan
Asset Transactions Determined by InHouse Asset Managers under Prohibited
Transaction Class Exemption 96–23.
The expiration date for this information
collection is January 31, 2023.
• OMB Control No. 1210–0049,
Prohibited Transaction Class Exemption
for Certain Transactions Between
Investment Companies and Employee
Benefit Plans (PTE 1977–4). The
expiration date for this information
collection is February 28, 2023.
• OMB Control No. 1210–0128, Plan
Asset Transactions Determined by
Independent Qualified Professional
Asset Managers under Prohibited
Transaction Exemption 1984–14. The
expiration date for this information
collection is February 28, 2023.
• OMB Control No. 1210–0053,
Employee Benefit Plan Claims
Procedure Under the Employee
Retirement Income Security Act. The
expiration date for this information
collection is April 30, 2023.
• OMB Control No. 1210–0063,
Prohibited Transaction Class Exemption
1992–6: Sale of Individual Life

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Insurance or Annuity Contracts by a
Plan. The expiration date for this
information collection is June 30, 2023.
• OMB Control No. 1210–0149,
Notice to Employees of Coverage
Options Under Fair Labor Standards Act
Section 18B. The expiration date for this
information collection is June 30, 2023.
• OMB Control No. 1210–0161, EBSA
Participant Assistance Program
Customer Survey. The expiration date
for this information collection is June
30, 2023;
• OMB Control No. 1210–0040,
Employee Retirement Income Security
Act Summary Annual Report
Requirement. The expiration date for
this information collection is July 31,
2023.
• OMB Control No. 1210–0076, Loans
to Plan Participants and Beneficiaries
Who Are Parties In Interest With
Respect to The Plan Regulation. The
expiration date for this information
collection is July 31, 2023.
• OMB Control No. 1210–0094,
Prohibited Transaction Class Exemption
1985–68 to Permit Employee Benefit
Plans to Invest in Customer Notes of
Employers. The expiration date for this
information collection is July 31, 2023.
• OMB Control No. 1210–0039,
Summary Plan Description
Requirements Under the Employee
Retirement Income Security Act of 1974,
as amended. The expiration date for this
information collection is August 31,
2023.
• OMB Control No. 1210–0090,
Disclosures for Participant Directed
Individual Account Plans. The
expiration date for this information
collection is August 31, 2023.
• OMB Control No. 1210–0121,
Consent to Receive Employee Benefit
Plan Disclosures Electronically. The
expiration date for this information
collection is August 31, 2023.
• OMB Control No. 1210–0126,
Defined Benefit Plan Annual Funding
Notice. The expiration date for this
information collection is August 31,
2023.
• OMB Control No. 1210–0132,
Default Investment Alternatives under
Participant Directed Individual Account
Plans. The expiration date for this
information collection is August 31,
2023.
EBSA also notifies the public that the
following new information collection
has been approved by OMB following
EBSA’s submission of an ICR:
• OMB Control No. 1210–0164,
Registration Requirements to Serve as a
Pooled Plan Provider to Pooled
Employer Plans. The expiration date for
this information collection is November
30, 2023.

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The PRA provides that an agency may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless it displays a
currently valid OMB control number.
Publication of this notice satisfies this
requirement with respect to the abovelisted information collections, as
provided in 5 CFR 1320.5(b)(2)(C).
Dated: March 25, 2021.
Ali Khawar,
Principal Deputy Assistant Secretary,
Employee Benefits Security Administration.
Department of Labor.
[FR Doc. 2021–06598 Filed 3–30–21; 8:45 am]
BILLING CODE 4510–29–P

DEPARTMENT OF LABOR
Employee Benefits Security
Administration
Proposed Extension of Information
Collection Requests Submitted for
Public Comment
Employee Benefits Security
Administration, Department of Labor.
ACTION: Notice.
AGENCY:

The Department of Labor (the
Department), in accordance with the
Paperwork Reduction Act, provides the
general public and Federal agencies
with an opportunity to comment on
proposed and continuing collections of
information. This helps the Department
assess the impact of its information
collection requirements and minimize
the public’s reporting burden. It also
helps the public understand the
Department’s information collection
requirements and provide the requested
data in the desired format. The
Employee Benefits Security
Administration (EBSA) is soliciting
comments on the proposed extension of
the information collection requests
(ICRs) contained in the documents
described below. A copy of the ICRs
may be obtained by contacting the office
listed in the ADDRESSES section of this
notice. ICRs also are available at
reginfo.gov (http://www.reginfo.gov/
public/do/PRAMain).
DATES: Written comments must be
submitted to the office shown in the
Addresses section on or before June 1,
2021.
ADDRESSES: G. Christopher Cosby,
Department of Labor, Employee Benefits
Security Administration, 200
Constitution Avenue NW, Room
N– 5718, Washington, DC 20210,
[email protected], (202) 693–8425 (this
is not toll-free numbers).
SUPPLEMENTARY INFORMATION: This
notice requests public comment on the
SUMMARY:

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Department’s request for extension of
the Office of Management and Budget’s
(OMB) approval of ICRs contained in
the rules and prohibited transaction
exemptions described below. The
Department is not proposing any
changes to the existing ICRs at this time.
An agency may not conduct or sponsor,
and a person is not required to respond
to, an information collection unless it
displays a valid OMB control number. A
summary of the ICRs and the current
burden estimates follows:
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Employee Retirement Income
Security Act Section 408(b)(2)
Regulation.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0133.
Affected Public: Private Sector.
Respondents: 55,703.
Responses: 1,483,062.
Estimated Total Burden Hours:
1,045,680.
Estimated Total Burden Cost
(Operating and Maintenance):
1,251,649.
Description: The prohibited
transaction described in section
406(a)(1)(C) of ERISA generally
prohibits the furnishing of goods,
services, or facilities between a plan and
a party in interest to the plan. Because
ERISA defines any person furnishing
services to the plan as a ‘‘party in
interest’’ to the plan, a service
relationship between a plan and a
service provider would constitute a
prohibited transaction under section
406(a)(1)(C) in the absence of relief.
Section 408(b)(2) of ERISA provides
relief, however, for service contracts or
arrangements if the contract or
arrangement is ‘‘reasonable,’’ if the
services are necessary for the
establishment or operation of the plan,
and if no more than ‘‘reasonable’’
compensation is paid for the services.
This information collection relates to
the final rule under ERISA section
408(b)(2), which was published in the
Federal Register on February 3, 2012
(77 FR 5632). Under the final rule, for
a contract or arrangement to be
‘‘reasonable,’’ certain service providers
must disclose specified information to a
pension plan, in writing, before the plan
may enter into, extend, or renew the
contract or arrangement. The
Department also issued a class
prohibited transaction exemption
contained in paragraph (c)(1)(ix) of the
final rule, which provides relief from
ERISA’s prohibited transaction rules for
plan fiduciaries that enter into a

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contract or arrangement with service
providers upon a mistaken belief that
they have received all of the disclosures
required by the final rule. Upon
discovering that a covered service
provider failed to disclose all of the
required information, the responsible
plan fiduciary must take reasonable
steps to obtain such information,
including requesting in writing that the
covered service provider furnish the
information in order to rely on the
exemption and notify the Department if
the service provider fails to comply with
the written request within 90 days. The
Department has received approval from
OMB for this ICR under OMB Control
No. 1210–0133. The current approval is
scheduled to expire on August 31, 2021.
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Employee Retirement Income
Security Act Procedure 1976–1;
Advisory Opinion Procedure.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0066.
Affected Public: Private Sector.
Respondents: 17.
Responses: 17.
Estimated Total Burden Hours: 175.
Estimated Total Burden Cost
(Operating and Maintenance): 459,091.
Description: This information
collection relates to ERISA Procedure
76–1, which provides specific guidance
to the public on issues arising under
ERISA, particularly when needed to
guide specific transactions involving
employee benefit plans and plan assets.
The information required by ERISA
Procedure 76–1 is used by EBSA to
understand and analyze the issues and
develop the response, as well as to
determine whether EBSA’s response
should be in the form of an advisory
opinion or information letter. Section 6
of ERISA Procedure 76–1 lists the
information that must be supplied by
the party requesting an advisory
opinion. This information includes
identifying information (name, type of
plan, EIN Number, etc.), a detailed
description of the act(s) or transaction(s)
with respect to which an advisory
opinion is being requested, a discussion
of the issues presented by the act(s) or
transaction(s), a statement of the party’s
views concerning the issues to be
resolved and the legal basis for such
views. The requesting party must also
include copies of the relevant
documents and may also request a
conference with EBSA in the event that
EBSA is considering issuing an adverse
opinion. The Department has received
approval from OMB for this ICR under

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OMB Control No. 1210–0066. The
current approval is scheduled to expire
on November 30, 2021.
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Employee Retirement Income
Security Act of 1974 Technical Release
1991–1.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0084.
Affected Public: Private Sector.
Respondents: 4.
Responses: 26,966.
Estimated Total Burden Hours: 422.
Estimated Total Burden Cost
(Operating and Maintenance): 6,917.
Description: Section 101(e) of ERISA
establishes notice requirements that
must be satisfied before an employer
may transfer excess assets from a
defined benefit pension plan to a retiree
health benefit account, as permitted
under the conditions set forth in section
420 of the Internal Revenue Code of
1986, as amended (the Code). On May
8, 1991, the Department published
ERISA Technical Release 91–1, to
provide guidance on how to satisfy the
notice requirements prescribed by this
section. This information collection
involves third-party disclosures and
reporting to the federal government.
First, information must be disclosed to
plan participants and beneficiaries by
plan administrators. This requirement is
designed to protect the rights of
participants and beneficiaries in their
retirement benefits by providing them
with advance notice of any anticipated
transfer of defined benefit plan assets
(under section 420 of the Code). Second,
advance notification must also be
provided by employers to plan
administrators, employee organizations
that represent participants, and the
Department. Plan administrators and
employee organizations have an interest
in protecting the interests of plan
participants and beneficiaries with their
retirement benefits. The Department
also has the duty to enforce the
protections provided to participants and
beneficiaries under ERISA. The
Department has received approval from
OMB for this ICR under OMB Control
No. 1210–0084. The current approval is
scheduled to expire on November 30,
2021.
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Annual Information Return/
Report of Employee Benefit Plan.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0110.

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Affected Public: Private Sector.
Respondents: 814,000.
Responses: 814,000.
Estimated Total Burden Hours:
582,000.
Estimated Total Burden Cost
(Operating and Maintenance):
278,555,000.
Description: This information
collection relates to section 104 of
ERISA, which requires administrators of
employee benefit pension and welfare
plans (collectively referred to as
employee benefit plans) to file returns
or reports annually with the federal
government. The Form 5500 return/
reports are the principal source of
information and data available to the
Department, the Internal Revenue
Service, and the Pension Benefit
Guaranty Corporation (the Agencies)
concerning the operation of employee
benefit plans. For this reason, the Form
5500 constitutes an integral part of the
Agencies’ enforcement, research, and
policy formulation programs. The
Department has received approval from
OMB for this ICR under OMB Control
No. 1210–0110. The current approval is
scheduled to expire on November 30,
2021.
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Disclosures by Insurers to
General Account Policyholders.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0114.
Affected Public: Private Sector.
Respondents: 368.
Responses: 27,009.
Estimated Total Burden Hours:
114,789.
Estimated Total Burden Cost
(Operating and Maintenance): 10,128.
Description: Section 1460 of the Small
Business Job Protection Act of 1996
(Pub. L. 104–188) (SBJPA) amended
ERISA by adding section 401(c). This
section requires the Department to
promulgate a regulation providing
guidance, applicable only to insurance
policies issued on or before December
31, 1998, to or for the benefit of
employee benefit plans, to clarify the
extent to which assets held in an
insurer’s general account under such
contracts are ‘‘plan assets’’ within the
meaning of ERISA, because the policies
are not ‘‘guaranteed benefit policies’’
within the meaning of section 401(b) of
ERISA. SBJPA further directed the
Department to set standards for how
insurers should manage the specified
insurance policies (called Transition
Policies). Pursuant to the authority and
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Department promulgated a final rule on
January 5, 2000 (65 FR 714) that is
codified at 29 CFR 2550.401c–1.
Regulation section 29 CFR
2550.401(c)–1 imposes specific
requirements on insurers that are parties
to Transition Policies in order to ensure
that the fiduciaries acting on behalf of
plans have adequate information and
understanding of how the Transition
Policies work. This information
collection requires that an insurer that
issues and maintains a Transition Policy
to or for the benefit of an employee
benefit plan must disclose to the plan
fiduciary, initially upon issuance of the
policy and on an annual basis, to the
extent that the policy is not a
guaranteed benefit policy: (1) The
methods by which income and expenses
of the insurer’s general account are
allocated to the policy, the actual
annual return to the plan, and other
pertinent information; (2) the extent to
which alternative arrangements
supported by the assets of the insurer’s
separate accounts are available; (3) any
rights under the policy to transfer funds
to a separate account and the terms
governing such right; and (4) the extent
to which support by assets of the
insurer’s separate accounts might pose
differing risks to the plan. The
Department has received approval from
OMB for this ICR under OMB Control
No. 1210–0114. The current approval is
scheduled to expire on November 30,
2021.
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Registration for EFAST–2
Credentials.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0117.
Affected Public: Private Sector.
Respondents: 279,894.
Responses: 279,894.
Estimated Total Burden Hours:
93,298.
Estimated Total Burden Cost
(Operating and Maintenance): 0.
Description: ERISA section 104
requires administrators of pension and
welfare plans and employers sponsoring
certain fringe benefit plans and other
plans of deferred compensation to file
returns/reports annually with the
Secretary of Labor concerning the
financial condition and operation of
plans. Reporting requirements are
satisfied by filing the Form 5500 in
accordance with its instructions and the
related regulations.
This information collection relates to
the ERISA Filing Acceptance System 2
(EFAST–2), which is designed to

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simplify and expedite the receipt and
processing of the Form 5500 by relying
on internet-based forms and electronic
filing technologies. In order to file
electronically, employee benefit plan
Filing authors, Schedule authors, Filing
signers, Form 5500 transmitters, and
entities developing software to complete
and/or transmit the Form 5500 are
required to register for EFAST–2
credentials through the EFAST2
website. The information requested for
registration includes: Applicant type
(Filing Author, Filing Signer, Schedule
Author, Transmitter, or software
developer); mailing address; fax number
(optional); email address; company
name, contact person; and daytime
telephone number. Registrants must also
provide an answer to a challenge
question (‘‘What is your date of birth?’’
or ‘‘Where is your place of birth?’’),
which enables users to retrieve forgotten
credentials. In addition, registrants must
accept a Privacy Agreement; PIN
Agreement; and, under penalty of
perjury, a Signature Agreement. The
Department has received approval from
OMB for this ICR under OMB Control
No. 1210–0117. The current approval is
scheduled to expire on November 30,
2021.
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Employee Retirement Income
Security Act Blackout Period Notice.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0122.
Affected Public: Private Sector.
Respondents: 48,575.
Responses: 9,439,000.
Estimated Total Burden Hours:
218,553.
Estimated Total Burden Cost
(Operating and Maintenance):
2,403,893.
Description: The Sarbanes-Oxley Act
(SOA), enacted on July 30, 2002,
amended ERISA to include a blackout
period disclosure requirement in
subsection 101(i). This information
collection requires administrators of
individual account pension plans (e.g.,
a profit sharing plan, 401(k) type plan
or money purchase pension plan) to
provide at least 30 days advance written
notice to the affected participants and
beneficiaries in advance of any
‘‘blackout period’’ during which their
existing rights to direct or diversify their
investments under the plan, or obtain a
loan or distribution from the plan will
be temporarily suspended. The
Department has received approval from
OMB for this ICR under OMB Control
No. 1210–0122. The current approval is

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scheduled to expire on November 30,
2021.
Agency: Employee Benefits Security
Administration, Department of Labor.
Title: Coverage of Certain Preventive
Services under the Affordable Care
Act—Private Sector.
Type of Review: Extension of a
currently approved collection of
information.
OMB Number: 1210–0150.
Affected Public: Private Sector.
Respondents: 223.
Responses: 777,363.
Estimated Total Burden Hours: 181.
Estimated Total Burden Cost
(Operating and Maintenance): 197,955.
Description: The Patient Protection
and Affordable Care Act, Public Law
111–148, (the Affordable Care Act) was
enacted on March 23, 2010 and
amended by the Health Care and
Education Reconciliation Act of 2010,
Public Law 111–152 on March 30, 2010.
The Affordable Care Act added section
2713 to the Public Health Service (PHS)
Act and incorporated this provision into
ERISA and the Code. The Departments
of Health and Human Services, Labor,
and Treasury first published interim
final rules on July 19, 2010, requiring
non-grandfathered group health
insurance coverage to provide benefits
for certain preventive services without
cost sharing, including benefits for
certain women’s preventive health
services as provided for in
comprehensive guidelines supported by
the Health Resources and Services
Administration. Additional interim final
rules were issued on November 15,
2018, that finalize expanded exemptions
to protect moral and religious beliefs for
certain entities and individuals whose
health plans are subject to a mandate of
contraceptive coverage through
guidance issued pursuant to the
Affordable Care Act (83 FR 57536 and
83 FR 57592).
The regulations contain the following
collections of information:
(1) Each organization seeking to be
treated as an eligible organization to use
the optional accommodation process
offered under the regulation must either
notify an issuer or third party
administrator using the EBSA Form 700
method of self-certification or provide
notice to HHS of its religious or moral
objection to coverage of all or a subset
of contraceptive services.
(2) A health insurance issuer or third
party administrator providing or
arranging separate payments for
contraceptive services for participants
and beneficiaries in insured plans (or
student enrollees and covered
dependents in student health insurance

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coverage) of eligible organizations is
required to provide a written notice to
plan participants and beneficiaries (or
student enrollees and covered
dependents) informing them of the
availability of such payments. The
notice must be separate from but,
contemporaneous with (to the extent
possible) any application materials
distributed in connection with
enrollment (or re-enrollment) in group
or student coverage of the eligible
organization in any plan year to which
the accommodation is to apply and will
be provided annually. To satisfy the
notice requirement, issuers may, but are
not required to, use the model language
set forth previously or substantially
similar language.
(3) An eligible organization may also
revoke its use of the accommodation
process and must provide participants
and beneficiaries written notice of such
revocation as soon as possible.
The Department has received
approval from OMB for this ICR under
OMB Control No. 1210–0150. The
current approval is scheduled to expire
on November 30, 2021.
Dated: March 25, 2021.
Ali Khawar,
Principal Deputy Assistant Secretary,
Employee Benefits Security Administration,
Department of Labor.
[FR Doc. 2021–06599 Filed 3–30–21; 8:45 am]
BILLING CODE 4510–29–P

DEPARTMENT OF LABOR
Employment and Training
Administration
Notice on Reallotment of Workforce
Innovation Opportunity Act (WIOA)
Title I Formula Allotted Funds for
Dislocated Worker Activities for
Program Year (PY) 2020
Employment and Training
Administration (ETA), Labor.
ACTION: Notice.
AGENCY:

The Workforce Innovation
Opportunity Act (WIOA), requires the
Secretary of Labor (Secretary) to
conduct reallotment of certain WIOA
formula allotted funds based on ETA
9130 financial reports submitted by
states as of the end of the prior Program
Year (PY). This notice publishes the
Dislocated Worker PY 2020 funds for
recapture by state and the amount to be
reallotted to eligible states.
DATES: This notice is effective March 31,
2021.
FOR FURTHER INFORMATION CONTACT: Ms.
Kimberly Vitelli, Administrator, U.S.
Department of Labor, Office of
SUMMARY:

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Workforce Investment, Employment and
Training Administration, Room C–4510,
200 Constitution Avenue NW,
Washington, DC Telephone (202) 693–
3980 (this is not a toll-free number) or
fax (202) 693–3981.
In the
Fiscal Year (FY) 2020 Appropriations
Act, Congress appropriated WIOA PY
2020 funds in two portions: (1) Funds
available for obligation July 1, 2020 (i.e.,
PY 2020 ‘‘base’’ funds), and (2) funds
available for obligation October 1, 2020
(i.e., FY 2021 ‘‘advance’’ funds).
Together, these two portions make up
the complete PY 2020 WIOA funding.
Training and Employment Guidance
Letter (TEGL) No. 16–19 announced
WIOA allotments based on this
appropriation and TEGL No. 16–18
alerted states to the recapture and
reallotment of funds’ provisions based
on obligations of PY 2019 funding, as
required under WIOA Section 132(c).
This section and 127(c) of WIOA
requires the Secretary to conduct
reallotment of excess unobligated WIOA
Adult, Youth, and Dislocated Worker
formula funds based on ETA 9130
financial reports submitted by states at
the end of the prior program year (i.e.,
PY 2019).
WIOA regulations at 20 CFR 683.135
describe the procedures the Secretary
uses for recapture and reallotment of
funds. ETA will not recapture any PY
2020 funds for the Adult and Youth
programs because there is no state
where PY 2019 unobligated funds
exceeds the statutory requirements of 20
percent of state allotted funds. However,
for the Dislocated Worker program,
Kentucky, Nevada, Puerto Rico, and
West Virginia had unobligated PY 2019
funds in excess of 20 percent of their
allotments. Therefore, ETA will
recapture a total of $4,993,277 from PY
2020 funding from Kentucky, Nevada,
Puerto Rico, and West Virginia, and
reallot those funds to the remaining
eligible states, as required by WIOA
Section 132(c).
ETA will issue a Notice of Award to
the states to reflect the recapture and
reallotment of these funds. The
adjustment of funds will be made to the
FY 2021 advance portion of the PY 2020
allotments, which ETA issued in
October 2020. The attached tables
display the net changes to PY 2020
formula allotments.
WIOA and its implementing
regulations do not provide specific
requirements by which states must
distribute realloted funds, so states have
flexibility to determine the methodology
used. For any state subject to recapture

SUPPLEMENTARY INFORMATION:

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