Employee Retirement Income Security Act Procedure 1976-1; Advisory Opinion Procedure

Forms and Documents

Document Name	Status
30-day FRN (1210-0066) published.pdf Supplementary Document	2021-09-30
60-day FRN (1210-0066) published.pdf Supplementary Document	2021-09-27
1210-0066 SS ERISA Advisory Opinion Procedure 76-1 9-22-2021.docx Supporting Statement A	2021-09-22

IC Document Collections

IC ID	Document Title	Status
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: 202107-1210-004
Status: Received in OIRA	Previous ICR Reference No: 201805-1210-001
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: Employee Retirement Income Security Act Procedure 1976-1; Advisory Opinion Procedure
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/30/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2021
Responses	18	17
Time Burden (Hours)	182	175
Cost Burden (Dollars)	477,089	459,091

---

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."

---

Authorizing Statute(s): US Code: 29 USC 1001 Name of Law: Employee Income Security Act of 1974
  

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 16787	03/31/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 54246	09/30/2021
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
ERISA Procedure 76-1; Advisory Opinion Procedure

---

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	18	17	0	0	1	0
Annual Time Burden (Hours)	182	175	0	0	7	0
Annual Cost Burden (Dollars)	477,089	459,091	0	0	17,998	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. The Department updated its estimate of the number of requests it received. Using historical data from the last three years the Department estimates that it will receive 18 requests per year; this estimate is up from the previous estimate of 17 requests for year. The Department also updated its estimates of labor rates and other costs

---

Annual Cost to Federal Government: $2,403

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

---

Common Form ICR:  No

---

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: 09/30/2021

---