View Information Collection Request (ICR) Package
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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:
3206-0212
ICR Reference No:
200911-3206-005
Status:
Historical Active
Previous ICR Reference No:
200810-3206-008
Agency/Subagency:
OPM
Agency Tracking No:
Title:
RI 38-117, Rollover Election, RI 37-118, Rollover Information, and RI 37-22, Special Tax Notice Regarding Rollovers
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved with change
Conclusion Date:
01/29/2010
Retrieve Notice of Action (NOA)
Date Received in OIRA:
11/06/2009
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2013
36 Months From Approved
01/31/2010
Responses
1,500
0
1,500
Time Burden (Hours)
1,000
0
750
Cost Burden (Dollars)
0
0
0
Abstract:
Public Law 107-16 amends the Internal Revenue Code to allow OPM to roll over taxable and non-taxable payments to IRA's, Thrift Savings, or other retirement plans at the option of the payee. Public Law 109-280 allows OPM to rollover taxable payments to Roth IRAs after withholding Federal Income Tax. The payee uses RI 38-117 to inform OPM of his wishes. RI 38-118 explains the election. RI 37-22, Special Tax Notice Regarding Rollovers, provides more detailed information.
Authorizing Statute(s):
PL:
Pub.L. 107 - 16 641
Name of Law: Rollovers allowed among various types of plans
PL:
Pub.L. 107 - 16 643
Name of Law: Rollovers of after-tax contributions
PL:
Pub.L. 107 - 147 411
Name of Law: Amendments related to Economic Growth and Tax Relief Reconciliation Act of 2001
US Code:
5 USC 8432(j)(2)
Name of Law: Lump-sum benefits; designation of beneficiary; order of precedence
US Code:
26 USC 402(f) and 402(c)(2)
Name of Law: Taxability of beneficiary of employees' trust
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:
74 FR 37738
07/29/2009
30-day Notice:
Federal Register Citation:
Citation Date:
74 FR 56673
11/02/2009
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
RI 38-117, Rollover Election
RI 38-118, RI 38-117, RI 37-22
Rollover Election
,
Rollover Information
,
Special Tax Notice Regarding Rollovers
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
1,500
1,500
0
0
0
0
Annual Time Burden (Hours)
1,000
750
0
250
0
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Miscellaneous Actions
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The respondent burden increased because RI 37-22, Special Tax Notice Regarding Rollovers, now includes information regarding the effect of rolling the payment into a Roth IRA. Section 408A of the Internal Revenue Code now permits such a rollover. More time is needed for the applicant to consider this added option.
Annual Cost to Federal Government:
$8,500
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)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Phyllis Pinkney 202-606-0623 phyllis.pinkney@opm.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:
11/06/2009
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