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OMB Control No: 1210-0112	ICR Reference No: 202402-1210-001
Status: Active	Previous ICR Reference No: 202101-1210-002
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: Furnishing Documents to the Secretary of Labor on Request Under Employee Retirement Income Security Act Section 104(a)(6)
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: 06/25/2024
	Date Received in OIRA: 05/17/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2027	36 Months From Approved	06/30/2024
Responses	1,181	0	893
Time Burden (Hours)	53	0	41
Cost Burden (Dollars)	826	0	721

Abstract: Prior to the enactment of the Taxpayer Relief Act of 1997 (Pub. L. 105–34, August 5, 1997) (TRA `97), section 104(a) of the Employee Retirement Security Act of 1974 (ERISA) required administrators of employee benefit plans automatically to file the plan's summary plan description (SPD) and any summaries of material modification (SMMs) with the Secretary of the Department of Labor (the Department). TRA `97 eliminated the requirement that these documents be filed automatically with the Department, but added ERISA section 104(a)(6), requiring a plan administrator to furnish documents related to an employee benefit plan to the Department upon request. The requirement that administrators furnish the Department requested plan documents other than SPDs and SMMs was part of section 104(a) prior to enactment of TRA '97; that requirement was moved by TRA '97 to section 104(a)(6) and consolidated with the new furnishing requirement pertaining to SPDs and SMMs. Pursuant to the regulation, the Department requests documents under section 104(a)(6) when a participant or beneficiary has previously requested the documents directly from the plan administrator and the administrator has failed or refused to provide them. The Department therefore uses the requested information to respond to participants' requests to the Department for documents that the participants were unable to obtain from their plan administrators.

Authorizing Statute(s): US Code: 29 USC 1024(a)(6) 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:
	88 FR 58312	08/25/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 43435	05/17/2024
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
Furnishing Documents to the Secretary of Labor on Request Under ERISA Section 104(a)(6)

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,181	893	288
Annual Time Burden (Hours)	53	41	12
Annual Cost Burden (Dollars)	826	721	105

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: There are no program changes or reporting adjustments. The estimated number of requested SPDs and SMMs has been adjusted to incorporate updated recovery data from EBSA’s Office of Outreach, Education, and Assistance. The estimates above also reflect updated postage and material costs and wage rates. Additionally, the Department updated its assumption about electronic disclosure to 96.1 percent of respondents will provide the requested documents electronically to reflect updated regulations. As a result, the number of responses increased by 288 responses, the hour burden increased by 12 hours, and the cost burden increased by $105.

Annual Cost to Federal Government: $39,252

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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