Agency Information Collection Activities; Submission for OMB Review; Comment Request; Prohibited Transaction Class Exemption for Certain Transactions Between Investment Companies and Employee Benefit Plans, 35325-35326 [2013-13830]
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Federal Register / Vol. 78, No. 113 / Wednesday, June 12, 2013 / Notices
Handbook and worksheet can also be
reviewed at the Web site.
Review Considerations: Applications
received under this announcement will
be subject to the NIC Review Process.
Proposals which fail to provide
sufficient information to allow
evaluation under the criteria below may
be judged non-responsive and
disqualified.
The criteria for the evaluation of each
application will be as follows:
Programmatic (40%)
Are all of the project tasks adequately
discussed? Is there a clear statement of
how each task will be accomplished to
include the overall project goal(s), major
tasks to achieve the goals(s), the
strategies to be employed in completing
the tasks, required staffing, and other
required resources? Are there any
approaches, techniques, or design
aspects proposed that are new to NIC
and will enhance the project?
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Organizational (35%)
Do the proposed project staff members
possess the skills, knowledge, and
expertise necessary to complete the
tasks listed under the scope of work?
Does the applicant organization, group,
or individual have the organizational
capacity to achieve all project tasks?
Does the proposal contain project
management and staffing plans that are
realistic and sufficient to complete the
project within the project time frame?
Project Management/Administration
(25%)
Does the applicant identify reasonable
objectives, milestones, and measures to
track progress? If consultants and/or
partnerships are proposed, is there a
reasonable justification for their
inclusion in the project, and a clear
structure to ensure effective
coordination? Is the proposed budget
realistic, does it provide a sufficient cost
detail/narrative, and does it represent
good value relative to the anticipated
results?
Specific Requirements: Documents or
other media that are produced under
this award must follow these guidelines:
Prior to the preparation of the final draft
of any document or other media, the
awardee must consult with NIC’s
Writer/Editor concerning the acceptable
formats for manuscript submissions and
the technical specifications for
electronic media. For all awards in
which a document will be a deliverable,
the awardee must follow the guidelines
listed herein, as well as follow the
Guidelines for Preparing and Submitting
Manuscripts for Publication as found in
the ‘‘General Guidelines for Cooperative
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Agreements,’’ which can be found on
our Web site at www.nicic.gov/
cooperativeagreements.
All final documents and other media
submitted for posting on the NIC Web
site must meet the federal government’s
requirement for accessibility (508 PDF
or HTML file). The awardee must
provide descriptive text interpreting all
graphics, photos, graphs, and/or
multimedia to be included with or
distributed alongside the materials and
must provide transcripts for all
applicable audio/visual works.
Note Concerning Catalog of Federal
Domestic Assistance Number: This number
should be entered in section 10 of the
Application for Federal Assistance (SF–424).
If your application is for Training and Staff
Development, enter 16.601 in section 10 of
the SF–424. If your application is for
Research and Policy Formulation, enter
16.602 in the section. If you have entered
16.601 or 16.602 in section 10 of the SF–424,
you are not subject to the provisions of
Executive Order 12372 and should check Box
b. in section 16.
Robert M. Brown, Jr.,
Acting Director, National Institute of
Corrections.
Required Expertise: The successful
applicant, and if there are identified
partner(s) will, at a minimum, have a
thorough understanding of the applicable
research specific to evidence-based, genderresponsive research and knowledge and can
provide examples of how this knowledge has
been applied to projects specific to justiceinvolved women; the ability to identify and
access relevant research resources and
organize materials into a bibliography;
expertise in meeting facilitation; the ability to
translate content of the working group
discussion into a record of the meeting;
demonstrated experience in developing and
conducting remote training events; and the
organizational capacity to carry out the
deliverables of this project.
The narrative portion of the application
should include, at a minimum, a statement
indicating the applicant’s understanding of
the project’s purpose and objectives. The
applicant should state this in language that
is not merely a restatement of that used in
the solicitation.
Project Design and Implementation: This
section should describe the design and
implementation of the project and how the
awardee aims to address key design and
implementation issues and challenges.
Project Management: Chart of measurable
project milestones and timelines must be
prepared and detail the tasks necessary for
the completion of each milestone.
Capabilities and Competencies: This
section should describe the qualifications of
the applicant organization, any partner
organizations to do the work proposed, and
the expertise of key staff to be involved in the
project. Attach resumes that document
relevant knowledge, skills, and abilities
needed for each staff member assigned to
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complete the project. If the applicant
organization has completed similar projects
in the past, please include the URL/Web site
or ISBN number for accessing a copy of the
referenced work.
Budget: The budget should detail all costs
for the project, show consideration for all
contingencies for the project, note a
commitment to work within the proposed
budget, and demonstrate the ability to
provide deliverables according to schedule.
Among the criteria used to evaluate the
applications are indication of a clear
understanding of the project requirements as
stated in the solicitation; background,
experience, and expertise of the proposed
project staff, including any sub-contractors;
effectiveness of an innovative approach to
the project; a clear, concise description of all
elements and tasks of the project, with
sufficient and realistic timeframes necessary
to complete the tasks; technical soundness of
project design and methodology; financial
and administrative integrity of the proposal,
including adherence to federal financial
guidelines and processes; a sufficiently
detailed budget that shows consideration of
all contingencies for this project and
commitment to work within the proposed
budget; and indication of availability to work
with NIC staff.
[FR Doc. 2013–13950 Filed 6–11–13; 8:45 am]
BILLING CODE 4410–36–P
DEPARTMENT OF LABOR
Office of the Secretary
Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Prohibited
Transaction Class Exemption for
Certain Transactions Between
Investment Companies and Employee
Benefit Plans
ACTION:
Notice.
SUMMARY: The Department of Labor
(DOL) is submitting the Employee
Benefits Security Administration
(EBSA) sponsored information
collection request (ICR) revision titled,
‘‘Prohibited Transaction Class
Exemption for Certain Transactions
between Investment Companies and
Employee Benefit Plans,’’ to the Office
of Management and Budget (OMB) for
review and approval for use in
accordance with the Paperwork
Reduction Act (PRA) of 1995 (44 U.S.C.
3501 et seq.).
DATES: Submit comments on or before
July 12, 2013.
ADDRESSES: A copy of this ICR with
applicable supporting documentation;
including a description of the likely
respondents, proposed frequency of
response, and estimated total burden
may be obtained free of charge from the
RegInfo.gov Web site at https://
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35326
Federal Register / Vol. 78, No. 113 / Wednesday, June 12, 2013 / Notices
www.reginfo.gov/public/do/
PRAViewICR?ref_nbr=201304-1210-009
(this link will only become active on the
day following publication of this notice)
or by contacting Michel Smyth by
telephone at 202–693–4129 (this is not
a toll-free number) or sending an email
to DOL_PRA_PUBLIC@dol.gov.
Submit comments about this request
to the Office of Information and
Regulatory Affairs, Attn: OMB Desk
Officer for DOL–EBSA, Office of
Management and Budget, Room 10235,
725 17th Street NW., Washington, DC
20503, Fax: 202–395–6881 (this is not a
toll-free number), email:
OIRA_submission@omb.eop.gov.
FOR FURTHER INFORMATION CONTACT:
Contact Michel Smyth by telephone at
202–693–4129 (this is not a toll-free
number) or by email at
DOL_PRA_PUBLIC@dol.gov.
Authority: 44 U.S.C. 3507(a)(1)(D).
The
prohibited transaction class exemption
applicable to certain transactions
between investment companies and
employee benefit plans (PTE 77–4)
permits an employee benefit plan to
purchase and sell shares of an open-end
investment company (mutual fund)
when a fiduciary with respect to the
plan is also the investment advisor for
the mutual fund. There are three basic
disclosure requirements incorporated
within PTE 77–4. The first requirement
is to disclose any redemption fees in the
current prospectus of the open-end
mutual fund. The second requirement is
that, at the time of the purchase or sale
of such mutual fund shares, an
independent fiduciary receive a copy of
the current prospectus issued by the
open-end mutual fund and full written
disclosure of the investment advisory
fees charged to or paid by the plan and
the open-end mutual fund to the
investment advisor. The third
requirement is that the independent
fiduciary (1) be notified of any changes
in the fees and (2) give written approval
for the plan to purchase or sell affected
mutual fund shares or the plan to
continue possession of any such mutual
fund shares acquired before the fee
changes.
The ICR has been classified as a
revision, because—pursuant to an
advisory opinion request—the DOL
interprets the term, prospectus, in PTE
77–4 to include a summary prospectus
if the summary prospectus meets
revised Securities and Exchange
Commission (SEC) disclosure provisions
for mutual funds, including the
Summary Prospectus Rule. See 74 FR
4546 (January 26, 2009). Pursuant to the
revised SEC disclosure provisions,
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SUPPLEMENTARY INFORMATION:
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16:32 Jun 11, 2013
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mutual funds also are required to send
the full prospectus to the investor upon
an investor’s request and to provide the
full prospectus on-line at a specified
internet site. For additional substantive
information about this ICR, see the
related notice published in the Federal
Register on February 14, 2013 (78 FR
10638).
This information collection is subject
to the PRA. A Federal agency generally
cannot conduct or sponsor a collection
of information, and the public is
generally not required to respond to an
information collection, unless it is
approved by the OMB under the PRA
and displays a currently valid OMB
Control Number. In addition,
notwithstanding any other provisions of
law, no person shall generally be subject
to penalty for failing to comply with a
collection of information that does not
display a valid Control Number. See 5
CFR 1320.5(a) and 1320.6. The DOL
obtains OMB approval for this
information collection under Control
Number 1210–0049. Existing
information collection requirements
submitted to the OMB will continue to
apply while the ICR undergoes review.
Revisions would only take effect under
the PRA upon OMB authorization.
Interested parties are encouraged to
send comments to the OMB, Office of
Information and Regulatory Affairs at
the address shown in the ADDRESSES
section within 30 days of publication of
this notice in the Federal Register. In
order to help ensure appropriate
consideration, comments should
mention OMB Control Number 1210–
0049. The OMB 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 submission of
responses.
Agency: DOL–EBSA.
Title of Collection: Prohibited
Transaction Class Exemption for Certain
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Transactions between Investment
Companies and Employee Benefit Plans.
OMB Control Number: 1210–0049.
Affected Public: Private Sector—
businesses or other for-profits and notfor-profit institutions.
Total Estimated Number of
Respondents: 700.
Total Estimated Number of
Responses: 399,300.
Total Estimated Annual Burden
Hours: 33,640.
Total Estimated Annual Other Costs
Burden: $219,000.
Dated: June 5, 2013.
Michel Smyth,
Departmental Clearance Officer.
[FR Doc. 2013–13830 Filed 6–11–13; 8:45 am]
BILLING CODE 4510–29–P
DEPARTMENT OF LABOR
Office of Workers’ Compensation
Programs
Division of Longshore and Harbor
Workers’ Compensation; Proposed
Extension of Existing Collection;
Comment Request
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
(PRA95) [44 U.S.C. 3506©(2)(A)]. 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 Office
of Workers’ Compensation (OWCP) is
soliciting comments concerning the
proposed collection: Securing Financial
Obligations under the Longshore and
Harbor Workers’ Compensation Act and
its Extension (LS–276, LS–275–IC and
LS–275–SI) A copy of the proposed
information collection request can be
obtained by contacting the office listed
below in the address section of this
Notice.
DATES: Written comments must be
submitted to the office listed in the
addresses section below on or before
August 12, 2013.
ADDRESSES: Mr. Vincent Alvarez, U.S.
Department of Labor, 200 Constitution
E:\FR\FM\12JNN1.SGM
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]]>Agencies
[Federal Register Volume 78, Number 113 (Wednesday, June 12, 2013)]
[Notices]
[Pages 35325-35326]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-13830]
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DEPARTMENT OF LABOR
Office of the Secretary
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Prohibited Transaction Class Exemption for
Certain Transactions Between Investment Companies and Employee Benefit
Plans
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The Department of Labor (DOL) is submitting the Employee
Benefits Security Administration (EBSA) sponsored information
collection request (ICR) revision titled, ``Prohibited Transaction
Class Exemption for Certain Transactions between Investment Companies
and Employee Benefit Plans,'' to the Office of Management and Budget
(OMB) for review and approval for use in accordance with the Paperwork
Reduction Act (PRA) of 1995 (44 U.S.C. 3501 et seq.).
DATES: Submit comments on or before July 12, 2013.
ADDRESSES: A copy of this ICR with applicable supporting documentation;
including a description of the likely respondents, proposed frequency
of response, and estimated total burden may be obtained free of charge
from the RegInfo.gov Web site at https://
[[Page 35326]]
www.reginfo.gov/public/do/PRAViewICR?ref--nbr=201304-1210-009 (this
link will only become active on the day following publication of this
notice) or by contacting Michel Smyth by telephone at 202-693-4129
(this is not a toll-free number) or sending an email to DOL_PRA_PUBLIC@dol.gov.
Submit comments about this request to the Office of Information and
Regulatory Affairs, Attn: OMB Desk Officer for DOL-EBSA, Office of
Management and Budget, Room 10235, 725 17th Street NW., Washington, DC
20503, Fax: 202-395-6881 (this is not a toll-free number), email:
OIRA_submission@omb.eop.gov.
FOR FURTHER INFORMATION CONTACT: Contact Michel Smyth by telephone at
202-693-4129 (this is not a toll-free number) or by email at DOL_PRA_PUBLIC@dol.gov.
Authority: 44 U.S.C. 3507(a)(1)(D).
SUPPLEMENTARY INFORMATION: The prohibited transaction class exemption
applicable to certain transactions between investment companies and
employee benefit plans (PTE 77-4) permits an employee benefit plan to
purchase and sell shares of an open-end investment company (mutual
fund) when a fiduciary with respect to the plan is also the investment
advisor for the mutual fund. There are three basic disclosure
requirements incorporated within PTE 77-4. The first requirement is to
disclose any redemption fees in the current prospectus of the open-end
mutual fund. The second requirement is that, at the time of the
purchase or sale of such mutual fund shares, an independent fiduciary
receive a copy of the current prospectus issued by the open-end mutual
fund and full written disclosure of the investment advisory fees
charged to or paid by the plan and the open-end mutual fund to the
investment advisor. The third requirement is that the independent
fiduciary (1) be notified of any changes in the fees and (2) give
written approval for the plan to purchase or sell affected mutual fund
shares or the plan to continue possession of any such mutual fund
shares acquired before the fee changes.
The ICR has been classified as a revision, because--pursuant to an
advisory opinion request--the DOL interprets the term, prospectus, in
PTE 77-4 to include a summary prospectus if the summary prospectus
meets revised Securities and Exchange Commission (SEC) disclosure
provisions for mutual funds, including the Summary Prospectus Rule. See
74 FR 4546 (January 26, 2009). Pursuant to the revised SEC disclosure
provisions, mutual funds also are required to send the full prospectus
to the investor upon an investor's request and to provide the full
prospectus on-line at a specified internet site. For additional
substantive information about this ICR, see the related notice
published in the Federal Register on February 14, 2013 (78 FR 10638).
This information collection is subject to the PRA. A Federal agency
generally cannot conduct or sponsor a collection of information, and
the public is generally not required to respond to an information
collection, unless it is approved by the OMB under the PRA and displays
a currently valid OMB Control Number. In addition, notwithstanding any
other provisions of law, no person shall generally be subject to
penalty for failing to comply with a collection of information that
does not display a valid Control Number. See 5 CFR 1320.5(a) and
1320.6. The DOL obtains OMB approval for this information collection
under Control Number 1210-0049. Existing information collection
requirements submitted to the OMB will continue to apply while the ICR
undergoes review. Revisions would only take effect under the PRA upon
OMB authorization.
Interested parties are encouraged to send comments to the OMB,
Office of Information and Regulatory Affairs at the address shown in
the ADDRESSES section within 30 days of publication of this notice in
the Federal Register. In order to help ensure appropriate
consideration, comments should mention OMB Control Number 1210-0049.
The OMB 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 submission of responses.
Agency: DOL-EBSA.
Title of Collection: Prohibited Transaction Class Exemption for
Certain Transactions between Investment Companies and Employee Benefit
Plans.
OMB Control Number: 1210-0049.
Affected Public: Private Sector--businesses or other for-profits
and not-for-profit institutions.
Total Estimated Number of Respondents: 700.
Total Estimated Number of Responses: 399,300.
Total Estimated Annual Burden Hours: 33,640.
Total Estimated Annual Other Costs Burden: $219,000.
Dated: June 5, 2013.
Michel Smyth,
Departmental Clearance Officer.
[FR Doc. 2013-13830 Filed 6-11-13; 8:45 am]
BILLING CODE 4510-29-P
