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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
1210-0121
ICR Reference No:
200807-1210-002
Status:
Historical Active
Previous ICR Reference No:
200505-1210-002
Agency/Subagency:
DOL/EBSA
Agency Tracking No:
Title:
Consent To Receive Employee Benefit Plan Disclosures Electronically
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:
08/15/2008
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/09/2008
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2011
36 Months From Approved
08/31/2008
Responses
3,400,000
0
41,000
Time Burden (Hours)
7,000
0
683
Cost Burden (Dollars)
170,000
0
716,000
Abstract:
Regulations at 29 CFR 2520.104b-1 and 2520.107-1 govern the use of electronic technologies to satisfy information disclosure and recordkeeping requirements under Title I of the Employee Retirement Income Security Act of 1974, as amended (ERISA). Generally, consent is required to be obtained prior to providing disclosures electronically to participants and beneficiaries at a location other than the workplace.
Authorizing Statute(s):
US Code:
29 USC 104(b)
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:
73 FR 18001
04/02/2008
30-day Notice:
Federal Register Citation:
Citation Date:
73 FR 39336
07/09/2008
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Consent To Receive Employee Benefit Plan Disclosures Electronically
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
3,400,000
41,000
0
0
3,359,000
0
Annual Time Burden (Hours)
7,000
683
0
0
6,317
0
Annual Cost Burden (Dollars)
170,000
716,000
0
0
-546,000
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 annual burden hours have been adjusted from 683 to 7,000, an increase of 6,317. In the previous information collection request (ICR), the Department assumed that all plan sponsors would choose to have service providers develop consent materials. This submission assumes that all plan sponsors develop consent materials in-house, as the Department does not have data on how many plan sponsors use service providers. The remaining difference reflects the increase in hourly wages for clerical staff. The annual cost burden has been adjusted from $716,000 to $170,000, a decrease of $546,000. As stated above, in the previous ICR, the Department assumed all plan sponsors outsourced the development of consent materials to service providers, thus the cost burden decreased. The remaining difference reflects an increase in the paper costs associated with distributing the consent notification from $0.01 to $0.05.
Annual Cost to Federal Government:
$0
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)?
Uncollected
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Christopher Cosby 202-693-8425 cosby.chris@dol.gov
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:
07/09/2008
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