[Federal Register Volume 72, Number 35 (Thursday, February 22, 2007)]
[Notices]
[Pages 8018-8019]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-2895]


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DEPARTMENT OF LABOR

Office of the Secretary


Submission for OMB Review: Comment Request

February 15, 2007.
    The Department of Labor (DOL) has submitted the following public 
information collection requests (ICR) to the Office of Management and 
Budget (OMB) for review and approval in accordance with the Paperwork 
Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. chapter 35). A copy of 
each ICR, with applicable supporting documentation, may be obtained 
from RegInfo.gov at http://www.reginfo.gov/public/do/PRAMain or by 
contacting Darrin King on 202-693-4129 (this is not a toll-free number) 
/ e-mail: [email protected].
    Comments should be sent to Office of Information and Regulatory 
Affairs, Attn: OMB Desk Officer for the Employee Benefits Security 
Administration (EBSA), Office of Management and Budget, Room 10235, 
Washington, DC 20503, Telephone: 202-395-7316 / Fax: 202-395-6974 
(these are not toll-free numbers), within 30 days from the date of this 
publication in the Federal Register.
    The OMB is particularly interested in comments which:
     Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
     Evaluate the accuracy of the agency's estimate of the 
burden of the proposed collection of information, including the 
validity of the methodology and assumptions used;
     Enhance the quality, utility, and clarity of the 
information to be collected; and
     Minimize the burden of the collection of information on 
those who are to respond, including through the use of appropriate 
automated, electronic, mechanical, or other technological collection 
techniques or other forms of information technology, e.g., permitting 
electronic submission of responses.
    Agency: Employee Benefits Security Administration.
    Type of Review: Extension without change of currently approved 
collection.
    Title: Employee Benefit Plan Claims Procedure Under ERISA.
    OMB Number: 1210-0053.
    Type of Response: Third party disclosure.
    Affected Public: Private Sector: Business or other for-profits and 
Not-for-profit institutions.
    Estimated Number of Respondents: 5,900,000.
    Estimated Number of Annual Responses: 320,999,996.
    Estimated Total Burden Hours: 529,000.
    Estimated Total Annualized Capital/Startup Costs: $0.
    Estimated Total Annual Costs (operating/maintaining systems or 
purchasing services): $423,051,994.
    Description: Section 503 of the Employee Retirement Income Security 
Act of 1974 and the Department's regulations at 29 CFR 2560.503-1 
require employee benefit plans to establish procedures for resolving 
benefit claims under the plan, including

[[Page 8019]]

initial claims and appeal of denied claims. The regulation requires 
specific information to be disclosed at different stages of the claims 
process. It also requires claims denial notices to be provided within 
specific time frames and to include specific information.
    Agency: Employee Benefits Security Administration.
    Type of Review: Extension without change of currently approved 
collection.
    Title: PTE 80-83--Sale of Securities to Reduce Indebtedness of 
Party in Interest.
    OMB Number: 1210-0064.
    Type of Response: Recordkeeping.
    Affected Public: Private Sector: Business or other for-profits.
    Estimated Number of Respondents: 25.
    Estimated Number of Annual Responses: 25.
    Estimated Total Burden Hours: 2.
    Estimated Total Annualized Capital/Startup Costs: $0.
    Estimated Total Annual Costs (operating/maintaining systems or 
purchasing services): $0.
    Description: Section 408(a) of the Employee Retirement Income 
Security Act of 1974 authorizes the Secretary of Labor ``to grant a 
conditional or unconditional exemption of any fiduciary or class of 
fiduciaries or transactions, from all or part of the restrictions 
imposed by section 406 and 407(a).'' In order to grant such exemptions 
under 408(a), however, the Secretary must determine that the exemption 
is administratively feasible, in the interest of the plan and its 
participants and beneficiaries, and protects the rights of participants 
and beneficiaries. To insure the exemption is not abused, that the 
rights of participants and beneficiaries are protected, and that 
compliance with exemption's conditions is taking place, the Department 
often requires minimal information collection pertaining to the 
exempted transactions.
    Agency: Employee Benefits Security Administration.
    Type of Review: Extension without change of currently approved 
collection.
    Title: Prohibited Transaction Class Exemption 75-1 Security 
Transactions with Broker-Dealers, Reporting Dealers and Banks.
    OMB Number: 1210-0092.
    Type of Response: Recordkeeping.
    Affected Public: Private Sector: Business or other for-profits.
    Estimated Number of Respondents: 9,752.
    Estimated Number of Annual Responses: 9,750.
    Estimated Total Burden Hours: 1,625.
    Estimated Total Annualized Capital/Startup Costs: $0.
    Estimated Total Annual Costs (operating/maintaining systems or 
purchasing services): $0.
    Description: This class exemption from the prohibited transaction 
provisions of the Employee Retirement Income Security Act of 1974 
permits certain banks, registered broker-dealers, and reporting dealers 
in government securities who are parties in interest to employee 
benefit plans to engage in specified kinds of securities transactions 
with the plans.
    Agency: Employee Benefits Security Administration.
    Type of Review: Extension without change of currently approved 
collection.
    Title: Petition for Finding Under Section 3(40) of ERISA.
    OMB Number: 1210-0119.
    Type of Response: Reporting.
    Affected Public: Private Sector: Business or other for-profits.
    Estimated Number of Respondents: 45.
    Estimated Number of Annual Responses: 45.
    Estimated Total Burden Hours: 0.
    Estimated Total Annualized capital/startup costs: $0.
    Estimated Total Annual Costs (operating/maintaining systems or 
purchasing services): $120,420.
    Description: The Department's regulations at 29 CFR 2570.150 et 
seq. provide procedures for an entity against whom state jurisdiction 
has been asserts to petition the Secretary to make a finding under 
section 3(40)(A)(i) of ERISA that the entity is established or 
maintained under or pursuant to one or more collective bargaining 
agreements. The regulations establish procedures for initiating an 
administrative proceeding before the Office of Administrative Law 
Judges (ALJs) and establish that an ALJ's decision shall constitute a 
finding under section 3(40)(A)(i) of ERISA. The regulations also 
provide for an appeal of an ALJ decision to the Secretary.
    Agency: Employee Benefits Security Administration.
    Type of Review: New collection (Request for a new OMB control 
number).
    Title: HDCI 2 Survey of Group Health Plans.
    OMB Number: 1210-0NEW.
    Type of Response: Reporting.
    Affected Public: Private Sector: Business or other for-profits.
    Estimated Number of Respondents: 5,000.
    Estimated Number of Annual Responses: 5,000.
    Estimated Total Burden Hours: 417.
    Estimated Total Annualized capital/startup costs: $0.
    Estimated Total Annual Costs (operating/maintaining systems or 
purchasing services): $0.
    Description: EBSA exercises delegated authority under ERISA to 
protect workers' pensions and group health benefits and has issued 
regulations under Part 7, codified at 29 CFR 2590.701-1 et seq., to 
effectuate these rights and provide guidance to affected group health 
plans pertaining to a number of laws applicable to group health plans, 
including Health Insurance Portability and Accountability Act of 1996 
(HIPAA), the Newborns' and Mothers' Health Protection Act of 1996, the 
Mental Health Parity Act of 1996, and the Women's Health and Cancer 
Rights Act of 1998. In 2001, EBSA conducted a program to increase 
compliance with these laws, the Health Disclosure and Clainms.
    Issues: Fiscal Year 2001 Compliance Project (HDCI). EBSA is now 
planning to conduct a follow-up program to assess the effectiveness of 
its compliance assistance efforts that will involve the examination of 
a number and variety of group health plans that is sufficient to 
constitute a representative sample of existing plans from which EBSA 
can extrapolate compliance rates for group health plans in general. 
However, in order to make its assessment meaningful, EBSA must first 
identify ERISA-covered single-employer group health plans in two 
groups: (1) Plans sponsored by firms with 3-99 employees, and (2) plans 
sponsored by firms with 100 or more employees. EBSA intends to conduct 
a narrow-scope, one-time telephone survey of business firms in order to 
identify a representative sample of large and small group health plans 
sponsored by private-sector employers. The agency intends to ask each 
firm a limited number of questions designed to determine whether the 
firm sponsors a group health plan covered by Title I of ERISA and how 
many employees are covered under the plan.

Darrin A. King,
Acting Departmental Clearance Officer.
 [FR Doc. E7-2895 Filed 2-21-07; 8:45 am]
BILLING CODE 4510-29-P