Proposed Extension of Information Collection Request Submitted for Public Comment and Recommendations; Delinquent Filer Voluntary Compliance Program, 72761-72762 [E7-24802]

Download as PDF mstockstill on PROD1PC66 with NOTICES Federal Register / Vol. 72, No. 245 / Friday, December 21, 2007 / Notices Type of Review: Extension without change of currently approved collection. Title of Collection: Request for Information on Earnings, Dual Benefits, Dependents and Third Part Settlements. OMB Control Number: 1215–0151. Agency Form Number: CA–1032. Estimated Number of Annual Respondents: 50,000. Estimated Total Annual Burden Hours: 16,667. Total Estimated Annual Cost Burden: $22,000. Affected Public: Individuals or households. Description: In accordance with 20 CFR 10.528, DOL periodically requires each employee who is receiving compensation benefits to complete an affidavit as to any work, or activity indicating an ability to work, which the employee has performed for the prior 15 months. If an employee who is required to file such a report fails to do so within 30 days of the date of the request, his or her right to compensation for wage loss under 5 U.S.C. 8105 or 8106 is suspended until DOL receives the requested report. The information collected through the Form CA–1032 is used to ensure that compensation being paid is correct. Without this information, claimants might receive compensation to which they were not entitled, resulting in an overpayment of compensation. For additional information, see related notice published on August 29, 2007 at 72 FR 49737. Agency: Employment Standards Administration. Type of Review: Extension without change of currently approved collection. Title of Collection: Worker Information—Terms and Conditions of Employment. OMB Control Number: 1215–0187. Agency Form Numbers: WH–516 and WH–516–Espanol. Estimated Number of Annual Respondents: 129,250. Estimated Total Annual Burden Hours: 77,550. Total Estimated Annual Cost Burden: $93,060. Affected Public: Private Sector: Farms. Description: Various sections of the Migrant and Seasonal Agricultural Worker Protection Act (MSPA), 29 U.S.C. 1801 et seq., require respondents [i.e., Farm Labor Contractors (FLCs), Agricultural Employers (AGERs), and Agricultural Associations (AGASs)] to disclose employment terms and conditions in writing to: (1) Migrant agricultural workers at the time of recruitment [MSPA section 201(a)]; (2) seasonal agricultural workers, upon request, at the time an offer of VerDate Aug<31>2005 18:37 Dec 20, 2007 Jkt 214001 employment is made [MSPA section 301(a)(1)]; and (3) seasonal agricultural workers employed through a day-haul operation at the place of recruitment [MSPA section 301(a)(2)]. See 29 CFR 500.75–.76. Moreover, MSPA sections 201(b) and 301(b) require respondents to provide each migrant worker, upon request, with a written statement of the terms and conditions of employment. See 29 CFR 500.75(d). MSPA sections 201(g) and 301(f) require providing such information in English or, as necessary and reasonable, in a language common to the workers and that the U.S. Department of Labor (DOL) make forms available to provide such information. The DOL prints and makes Optional Form WH–516, Worker Information— Terms and Conditions of Employment, available for these purposes. See 29 CFR 500.75(a), 500.76(a). MSPA sections 201(a)(8) and 301(a)(1)(H) require disclosure of certain information regarding whether State workers’ compensation or state unemployment insurance is provided to each migrant or seasonal agricultural worker. See 29 CFR 500.75(b)(6). For example, if State workers’ compensation is provided, the respondents must disclose the name of the State workers’ compensation insurance carrier, the name of the policyholder of such insurance, the name and the telephone number of each person who must be notified of an injury or death, and the time period within which this notice must be given. See 29 CFR 500.75(b)(6)(i). Respondents may also meet this disclosure requirement, by providing the worker with a photocopy of any notice regarding workers’ compensation insurance required by law of the state in which such worker is employed. See 29 CFR 500.75 (b)(6)(ii). The Form WH–516 is an optional form that allows respondents to disclose employment terms and conditions in writing to migrant and seasonal agricultural workers, as required by the MSPA. Respondents may either complete the optional form and use it to make the required disclosures to workers or use the form as a written reflection of the information workers may request from employers under the MSPA. Disclosure of the information on this form is beneficial to both parties in that it enables workers to understand their employment terms and conditions, while also providing respondents with an easy way to disclose the information required by the MSPA and its regulations. For additional information, PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 72761 see related notice published on September 12, 2007 at 72 FR 52166. Darrin A. King, Acting Departmental Clearance Officer. [FR Doc. E7–24810 Filed 12–20–07; 8:45 am] BILLING CODE 4510–27–P DEPARTMENT OF LABOR Employee Benefits Security Administration Proposed Extension of Information Collection Request Submitted for Public Comment and Recommendations; Delinquent Filer Voluntary Compliance Program Employee Benefits Security Administration, Department of Labor. ACTION: Notice. AGENCY: SUMMARY: The Department of Labor, as part of its continuing effort to reduce paperwork and respondent burden, conducts a preclearance consultation program to provide the general public and Federal agencies with an opportunity to comment on proposed and/or continuing collections of information in accordance with the Paperwork Reduction Act of 1995 (PRA 95) (Pub. L. 104–13, 44 U.S.C. Chapter 35). This program helps to ensure that requested data can be provided in the desired format, reporting burden (time and financial resources) is minimized, collection instruments are clearly understood, and the impact of collection requirements on respondents can be properly assessed. Currently, the Employee Benefits Security Administration is soliciting comments concerning the proposed extension of a currently approved collection of information included in the Delinquent Filer Voluntary Compliance Program. A copy of the proposed information collection request (ICR) can be obtained by contacting the individual listed in the ADDRESSES section of this notice. DATES: Written comments must be submitted to the office listed in the ADDRESSES section below on or before February 19, 2008. ADDRESSES: Gerald B. Lindrew, Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue, NW., Room N– 5718, Washington, DC 20210, (202) 693– 8410, FAX (202) 693–4745 (these are not toll-free numbers). SUPPLEMENTARY INFORMATION: I. Background The Secretary of Labor has the authority, under section 502(c)(2) of the E:\FR\FM\21DEN1.SGM 21DEN1 mstockstill on PROD1PC66 with NOTICES 72762 Federal Register / Vol. 72, No. 245 / Friday, December 21, 2007 / Notices Employee Retirement Income Security Act of 1974 (ERISA), to assess civil penalties of up to $1,000 a day 1 against plan administrators who fail or refuse to file complete and timely annual reports (Form 5500 Series Annual Return/ Reports) as required under section 101(b)(4) of ERISA related regulations. Pursuant to 29 CFR 2560.502c–2 and 2570.60 et seq., EBSA has maintained a program for the assessment of civil penalties for noncompliance with the annual reporting requirements. Under this program, plan administrators filing annual reports after the date on which the report was required to be filed may be assessed $50 per day for each day an annual report is filed after the date on which the annual report(s) was required to be filed, without regard to any extensions for filing. Plan administrators who fail to file an annual report may be assessed a penalty of $300 per day, up to $30,000 per year, until a complete annual report is filed. Penalties are applicable to each annual report required to be filed under Title I of ERISA. The Department may, in its discretion, waive all or part of a civil penalty assessed under section 502(c)(2) upon a showing by the administrator that there was reasonable cause for the failure to file a complete and timely annual report. The Department has determined that the possible assessment of these civil penalties may deter certain delinquent filers from voluntarily complying with the annual reporting requirements under Title I of ERISA. In an effort to encourage annual reporting compliance, therefore, the Department implemented the Delinquent Filer Voluntary Compliance (DFVC) Program (the Program) on April 27, 1995 (60 FR 20873). Under the Program, administrators otherwise subject to the assessment of higher civil penalties are permitted to pay reduced civil penalties for voluntarily complying with the annual reporting requirements under Title I of ERISA. This ICR covers the requirement of providing data necessary to identify the plan along with the penalty payment. This data is the means by which each penalty payment is associated with the appropriate plan. With respect to most pension plans and welfare plans, the requirement is satisfied by sending a photocopy of the delinquent Form 5500 annual report 2 that has been filed, along with the penalty payment. 1 Adjusted to $1,100 per day pursuant to the Federal Civil Penalties Inflation Adjustment Act of 1990 and the Debt Collection Improvement Act of 1996. See 62 FR 40696, July 29, 1997. 2 DFVC information collection provisions originally required submission of the first page of VerDate Aug<31>2005 18:37 Dec 20, 2007 Jkt 214001 Under current regulations, apprenticeship and training plans may be exempted from the reporting and disclosure requirements of Part 1 of Title I, and certain pension plans maintained for highly compensated employees, commonly called ‘‘top hat’’ plans may comply with these reporting and disclosure requirements by using an alternate method by filing a one-time identifying statement with the Department. The DFVC Program provides that apprenticeship and training plans and top hat plans may, in lieu of filing any past due annual reports and paying otherwise applicable civil penalties, complete and file specific portions of a Form 5500, file the identifying statements that were required to be filed, and pay a one-time penalty. II. Review Focus The Department of Labor is particularly interested in comments that: • 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 submissions of responses. III. Current Actions The Office of Management and Budget’s (OMB) approval of this ICR will expire on April 30, 2008. After considering comments received in response to this notice, the Department intends to submit the ICR to OMB for continuing approval. No change to the existing ICR is proposed or made at this time. Comments submitted in response to this notice will be summarized and/ or included in the request for OMB. the Form 5500 annual report. Because of the recent revisions to the Form 5500, the information needed to process the DFVC filing is no longer confined to the first page of the Form 5500. DFVC filers using a 1999 or later Form 5500 must submit a copy of all pages of the Form 5500 (generally 4), dated with original signature but without any schedules or attachments. PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 Type of Review: Extension of a currently approved collection. Agency: U.S. Department of Labor, Employee Benefits Security Administration. Title: Delinquent Filer Voluntary Compliance Program. OMB Number: 1210–0089. Affected Public: Business or other forprofit; Not-for-profit institutions. Frequency: On occasion. Average Burden Hours/Minutes Per Response: 21 minutes. Number of Respondents: 4,100. Total Annual Responses: 4,100. Total Annual Burden Hours: 145. Total Burden Cost (Operating and Maintenance): $107,300. Dated: December 7, 2007. Joseph S. Piacentini, Director, Office of Policy and Research, Employee Benefits Security Administration. [FR Doc. E7–24802 Filed 12–20–07; 8:45 am] BILLING CODE 4510–29–P DEPARTMENT OF LABOR Employee Benefits Security Administration Proposed Extension of Information Collection Request Submitted for Public Comment and Recommendations; Prohibited Transaction Class Exemption 77–4 ACTION: Notice. SUMMARY: The Department of Labor, as part of its continuing effort to reduce paperwork and respondent burden, conducts a preclearance consultation program to provide the general public and Federal agencies with an opportunity to comment on proposed and continuing collections of information in accordance with the Paperwork Reduction Act of 1995 (PRA 95). This program helps to ensure that requested data can be provided in the desired format, reporting burden (time and financial resources) is minimized, collection instruments are clearly understood, and the impact of collection requirements on respondents can be properly assessed. Currently, the Employee Benefits Security Administration (EBSA) is soliciting comments concerning the proposed extension of a currently approved collection of information, Class Exemption 77–4 for certain transactions between investment companies and employee benefit plans. A copy of the proposed information collection request (ICR) can be obtained by contacting the office listed below in the ADDRESSES section of this notice. E:\FR\FM\21DEN1.SGM 21DEN1

Agencies

[Federal Register Volume 72, Number 245 (Friday, December 21, 2007)]
[Notices]
[Pages 72761-72762]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-24802]


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DEPARTMENT OF LABOR

Employee Benefits Security Administration


Proposed Extension of Information Collection Request Submitted 
for Public Comment and Recommendations; Delinquent Filer Voluntary 
Compliance Program

AGENCY: Employee Benefits Security Administration, Department of Labor.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: The Department of Labor, as part of its continuing effort to 
reduce paperwork and respondent burden, conducts a preclearance 
consultation program to provide the general public and Federal agencies 
with an opportunity to comment on proposed and/or continuing 
collections of information in accordance with the Paperwork Reduction 
Act of 1995 (PRA 95) (Pub. L. 104-13, 44 U.S.C. Chapter 35). This 
program helps to ensure that requested data can be provided in the 
desired format, reporting burden (time and financial resources) is 
minimized, collection instruments are clearly understood, and the 
impact of collection requirements on respondents can be properly 
assessed. Currently, the Employee Benefits Security Administration is 
soliciting comments concerning the proposed extension of a currently 
approved collection of information included in the Delinquent Filer 
Voluntary Compliance Program.
    A copy of the proposed information collection request (ICR) can be 
obtained by contacting the individual listed in the ADDRESSES section 
of this notice.

DATES: Written comments must be submitted to the office listed in the 
ADDRESSES section below on or before February 19, 2008.

ADDRESSES: Gerald B. Lindrew, Department of Labor, Employee Benefits 
Security Administration, 200 Constitution Avenue, NW., Room N-5718, 
Washington, DC 20210, (202) 693-8410, FAX (202) 693-4745 (these are not 
toll-free numbers).

SUPPLEMENTARY INFORMATION:

I. Background

    The Secretary of Labor has the authority, under section 502(c)(2) 
of the

[[Page 72762]]

Employee Retirement Income Security Act of 1974 (ERISA), to assess 
civil penalties of up to $1,000 a day \1\ against plan administrators 
who fail or refuse to file complete and timely annual reports (Form 
5500 Series Annual Return/Reports) as required under section 101(b)(4) 
of ERISA related regulations. Pursuant to 29 CFR 2560.502c-2 and 
2570.60 et seq., EBSA has maintained a program for the assessment of 
civil penalties for noncompliance with the annual reporting 
requirements. Under this program, plan administrators filing annual 
reports after the date on which the report was required to be filed may 
be assessed $50 per day for each day an annual report is filed after 
the date on which the annual report(s) was required to be filed, 
without regard to any extensions for filing.
---------------------------------------------------------------------------

    \1\ Adjusted to $1,100 per day pursuant to the Federal Civil 
Penalties Inflation Adjustment Act of 1990 and the Debt Collection 
Improvement Act of 1996. See 62 FR 40696, July 29, 1997.
---------------------------------------------------------------------------

    Plan administrators who fail to file an annual report may be 
assessed a penalty of $300 per day, up to $30,000 per year, until a 
complete annual report is filed. Penalties are applicable to each 
annual report required to be filed under Title I of ERISA. The 
Department may, in its discretion, waive all or part of a civil penalty 
assessed under section 502(c)(2) upon a showing by the administrator 
that there was reasonable cause for the failure to file a complete and 
timely annual report.
    The Department has determined that the possible assessment of these 
civil penalties may deter certain delinquent filers from voluntarily 
complying with the annual reporting requirements under Title I of 
ERISA. In an effort to encourage annual reporting compliance, 
therefore, the Department implemented the Delinquent Filer Voluntary 
Compliance (DFVC) Program (the Program) on April 27, 1995 (60 FR 
20873). Under the Program, administrators otherwise subject to the 
assessment of higher civil penalties are permitted to pay reduced civil 
penalties for voluntarily complying with the annual reporting 
requirements under Title I of ERISA.
    This ICR covers the requirement of providing data necessary to 
identify the plan along with the penalty payment. This data is the 
means by which each penalty payment is associated with the appropriate 
plan. With respect to most pension plans and welfare plans, the 
requirement is satisfied by sending a photocopy of the delinquent Form 
5500 annual report \2\ that has been filed, along with the penalty 
payment.
---------------------------------------------------------------------------

    \2\ DFVC information collection provisions originally required 
submission of the first page of the Form 5500 annual report. Because 
of the recent revisions to the Form 5500, the information needed to 
process the DFVC filing is no longer confined to the first page of 
the Form 5500. DFVC filers using a 1999 or later Form 5500 must 
submit a copy of all pages of the Form 5500 (generally 4), dated 
with original signature but without any schedules or attachments.
---------------------------------------------------------------------------

    Under current regulations, apprenticeship and training plans may be 
exempted from the reporting and disclosure requirements of Part 1 of 
Title I, and certain pension plans maintained for highly compensated 
employees, commonly called ``top hat'' plans may comply with these 
reporting and disclosure requirements by using an alternate method by 
filing a one-time identifying statement with the Department. The DFVC 
Program provides that apprenticeship and training plans and top hat 
plans may, in lieu of filing any past due annual reports and paying 
otherwise applicable civil penalties, complete and file specific 
portions of a Form 5500, file the identifying statements that were 
required to be filed, and pay a one-time penalty.

II. Review Focus

    The Department of Labor is particularly interested in comments 
that:
     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 submissions of responses.

III. Current Actions

    The Office of Management and Budget's (OMB) approval of this ICR 
will expire on April 30, 2008. After considering comments received in 
response to this notice, the Department intends to submit the ICR to 
OMB for continuing approval. No change to the existing ICR is proposed 
or made at this time. Comments submitted in response to this notice 
will be summarized and/or included in the request for OMB.
    Type of Review: Extension of a currently approved collection.
    Agency: U.S. Department of Labor, Employee Benefits Security 
Administration.
    Title: Delinquent Filer Voluntary Compliance Program.
    OMB Number: 1210-0089.
    Affected Public: Business or other for-profit; Not-for-profit 
institutions.
    Frequency: On occasion.
    Average Burden Hours/Minutes Per Response: 21 minutes.
    Number of Respondents: 4,100.
    Total Annual Responses: 4,100.
    Total Annual Burden Hours: 145.
    Total Burden Cost (Operating and Maintenance): $107,300.

    Dated: December 7, 2007.
Joseph S. Piacentini,
Director, Office of Policy and Research, Employee Benefits Security 
Administration.
 [FR Doc. E7-24802 Filed 12-20-07; 8:45 am]
BILLING CODE 4510-29-P