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OMB Control No: 1210-0153	ICR Reference No: 202205-1210-002
Status: Historical Active	Previous ICR Reference No: 201902-1210-001
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: Alternative Reporting Methods for Apprenticeship and Training Plans and Top Hat Plans
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: 08/08/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/22/2022
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2025	36 Months From Approved	08/31/2022
Responses	1,800	0	1,872
Time Burden (Hours)	300	0	312
Cost Burden (Dollars)	0	0	0

Abstract: Section 29 CFR 2520.104-22 provides an exemption to the reporting and disclosure provision of Part 1 of Title I of ERISA for employee welfare benefit plans that provide exclusively apprenticeship and training benefits if the plan administrator meets the following requirements: (1) files a notice with the Secretary that provides the name of the plan, the plan sponsor's Employer Identification Number, the plan administrator's name, and the name and location of an office or person from whom interested individuals can obtain certain info about courses offered by the plan; and (2) take steps reasonably designed to ensure that the information required to be contained in the notice is disclosed to employees of employers contribution to the plan who may be eligible to enroll in any course of study sponsored or establish by the plan; (3) and make the notice available to employees upon request. Under 2520.104-23, the Department provides an alternative method of compliance with the reporting and disclosure of Title I of ERISA for unfunded or insured plan established for a select group of management of highly compensated employees (i.e., top hat plans). In order to satisfy the alternative method of compliance, the plan administrator must file a statement with the Secretary of Labor that includes the name and address of the employer, the employer EIN, a declaration that the employer maintains a plan or plans primarily for the purpose of providing deferred compensation for a select group of management or highly compensated employees, and a statement of the number of such plans and the employees covered by each. Plan documents must be made available to the Secretary upon request, and only one statement needs to be filed for each employer maintaining one or more of the plans. The procedures for filing apprenticeship and training plan notices and "top hat" plan statements with the Secretary of Labor to require electronic submission of these notices and statements. The final rule is not intended to express any view on, and does not change, the current content requirements in the exemption under § 2520.104-22 for apprenticeship and training plans or the alternative method of compliance under § 2520.104-23 for top hat plans. The final rule revised § 2520.104-22(c) and § 2520.104-23(c) to require Internet-based electronic filing of apprenticeship and training plan notices and top hat plan statements with the Secretary through EBSA's Web site. Once they are filed, these notices and statements would be posted on the Department's Web site at http://www.dol.gov/ebsa and be available to the public.

Authorizing Statute(s): US Code: 29 USC 1023 Name of Law: Employee Retirement 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:
	87 FR 15267	03/17/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 37360	06/22/2022
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
Alternative Reporting Method	Alternative to Form 5500, Alternative to Form 5500	Apprenticeship and Training Plan Registration Form , Top Hat Plan Registration Form

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,800	1,872	-72
Annual Time Burden (Hours)	300	312	-12
Annual Cost Burden (Dollars)	0	0	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: These updated burden estimates reflect the most current data available on the number of filings. As a result of these changes, the number of respondents decreased from 1872 to 1800 and the corresponding hour burden decreased from 312 to 300 hours.

Annual Cost to Federal Government: $14,956

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

Agency Contact: James Butikofer 202 693-8434 Butikofer.James@dol.gov

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