Proposed Extension of Information Collection Requests Submitted for Public Comment, 61903-61907 [2014-24447]

Download as PDF tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 199 / Wednesday, October 15, 2014 / Notices 1977 sections 101(a)(7) and 103(h) authorize this information collection. See 30 U.S.C. 811(a)(7), 813(h). 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 1219–0133. OMB authorization for an ICR cannot be for more than three (3) years without renewal, and the current approval for this collection is scheduled to expire on October 31, 2014. The DOL seeks to extend PRA authorization for this information collection for three (3) more years, without any change to existing requirements. The DOL notes that existing information collection requirements submitted to the OMB receive a month-to-month extension while they undergo review. For additional substantive information about this ICR, see the related notice published in the Federal Register on June 5, 2014 (79 FR 32576). 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 thirty (30) days of publication of this notice in the Federal Register. In order to help ensure appropriate consideration, comments should mention OMB Control Number 1219–0133. 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 VerDate Sep<11>2014 18:00 Oct 14, 2014 Jkt 235001 other forms of information technology, e.g., permitting electronic submission of responses. Agency: DOL–MSHA. Title of Collection: Hazard Communication. OMB Control Number: 1219–0133. Affected Public: Private Sector— businesses or other for-profits. Total Estimated Number of Respondents: 23,834. Total Estimated Number of Responses: 1,093,530. Total Estimated Annual Time Burden: 187,230 hours. Total Estimated Annual Other Costs Burden: $13,281. Dated: October 8, 2014. Michel Smyth, Departmental Clearance Officer. [FR Doc. 2014–24458 Filed 10–14–14; 8:45 am] BILLING CODE 4510–43–P DEPARTMENT OF LABOR Employee Benefits Security Administration Proposed Extension of Information Collection Requests Submitted for Public Comment Employee Benefits Security Administration, Department of Labor. ACTION: Notice. AGENCY: The Department of Labor (the Department), in accordance with the Paperwork Reduction Act of 1995 (PRA 95) (44 U.S.C. 3506(c)(2)(A)), provides the general public and Federal agencies with an opportunity to comment on proposed and continuing collections of information. This helps the Department assess the impact of its information collection requirements and minimize the public’s reporting burden. It also helps the public understand the Department’s information collection requirements and provide the requested data in the desired format. The Employee Benefits Security Administration (EBSA) is soliciting comments on the proposed extension of the information collection requests (ICRs) contained in the documents described below. A copy of the ICRs may be obtained by contacting the office listed in the ADDRESSES section of this notice. ICRs also are available at reginfo.gov (http://www.reginfo.gov/ public/do/PRAMain). DATES: Written comments must be submitted to the office shown in the Addresses section on or before December 15, 2014. ADDRESSES: G. Christopher Cosby, Department of Labor, Employee Benefits SUMMARY: PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 61903 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: This notice requests public comment on the Department’s request for extension of the Office of Management and Budget’s (OMB) approval of ICRs contained in the rules and prohibited transactions described below. The Department is not proposing any changes to the existing ICRs at this time. An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid OMB control number. A summary of the ICRs and the current burden estimates follows: Agency: Employee Benefits Security Administration, Department of Labor. Title: Prohibited Transaction Exemption 86–128. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0059. Affected Public: Businesses or other for-profits; Not-for-profit institutions. Respondents: 27,900. Responses: 1,199,800. Estimated Total Burden Hours: 63,800. Estimated Total Burden Cost (Operating and Maintenance): $736,800. Description: Prohibited Transaction Class Exemption 86–128 permits persons who serve as fiduciaries for employee benefit plans to effect or execute securities transactions on behalf of employee benefit plans. The exemption also allows sponsors of pooled separate accounts and other pooled investment funds to use their affiliates to effect or execute securities transactions for such accounts in order to recapture brokerage commissions for the benefit of employee benefit plans whose assets are maintained in pooled separate accounts managed by insurance companies. This exemption provides relief from certain prohibitions in section 406(b) of the Employee Retirement Income Security Act of 1974 (ERISA) and from the taxes imposed by section 4975(a) and (b) of the Internal Revenue Code of 1986 (the Code) by reason of Code section 4975(c)(1)(E) or (F). In order to insure that the exemption is not abused, that the rights of participants and beneficiaries are protected, and that the exemption’s conditions are being complied with, the Department has included in the exemption five information collection requirements. The first requirement is E:\FR\FM\15OCN1.SGM 15OCN1 tkelley on DSK3SPTVN1PROD with NOTICES 61904 Federal Register / Vol. 79, No. 199 / Wednesday, October 15, 2014 / Notices written authorization executed in advance by an independent fiduciary of the plan whose assets are involved in the transaction with the brokerfiduciary. The second requirement is, within three months of the authorization, the broker-fiduciary furnish the independent fiduciary with any reasonably available information necessary for the independent fiduciary to determine whether an authorization should be made. The information must include a copy of the exemption, a form for termination, and a description of the broker-fiduciary’s brokerage placement practices. The third requirement is that the broker-fiduciary must provide a termination form to the independent fiduciary annually so that the independent fiduciary may terminate the authorization without penalty to the plan; failure to return the form constitutes continuing authorization. The fourth requirement is for the brokerfiduciary to report all transactions to the independent fiduciary, either by confirmation slips or through quarterly reports. The fifth requirement calls for the broker-fiduciary to provide an annual summary of the transactions. The annual summary must contain all security transaction-related charges incurred by the plan, the brokerage placement practices, and a portfolio turnover ratio. The ICR was approved by the Office of Management and Budget (OMB) under OMB Control Number 1210–0059 and is scheduled to expire on January 31, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: Consent to Receive Employee Benefit Plan Disclosures Electronically. Type of Review: Extension of a currently approved information collection. OMB Number: 1210–0121. Affected Public: Businesses or other for-profits. Respondents: 37,086. Responses: 3,176,585. Estimated Total Burden Hours: 15,453. Estimated Total Burden Cost (Operating and Maintenance): $158,829. Description: The Department established a safe harbor pursuant to which all pension and welfare benefit plans covered by Title I of ERISA may use electronic media to satisfy disclosure obligations under Title I of ERISA (29 CFR 2520.104b–1). Employee benefit plan administrators will be deemed to satisfy their disclosure obligations when furnishing documents electronically only if a participant who does not have access to the employer’s electronic information system in the VerDate Sep<11>2014 18:00 Oct 14, 2014 Jkt 235001 normal course of his duties, or a beneficiary or other person entitled to documents, has affirmatively consented to receive disclosure documents. Prior to consenting, the participant or beneficiary must also be provided with a clear and conspicuous statement indicating the types of documents to which the consent would apply, that consent may be withdrawn at any time, procedures for withdrawing consent and updating necessary information, the right to obtain a paper copy, and any hardware and software requirements. In the event of a hardware or software change that creates a material risk that the individual will be unable to access or retain documents that were the subject of the initial consent, the individual must be provided with information concerning the revised hardware or software, and an opportunity to withdraw a prior consent. The ICR was approved by OMB under OMB Control Number 1210–0121 and is scheduled to expire on January 31, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: Furnishing Documents to the Secretary of Labor on Request Under ERISA 104(a)(6). Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0112. Affected Public: Businesses or other for-profits; Not-for-profit institutions. Respondents: 300. Responses: 300. Estimated Total Burden Hours: 22. Estimated Total Burden Cost (Operating and Maintenance): $1,300. Description: As a result of the Taxpayer Relief Act of 1997 (TRA 97), the plan administrators of ERISAcovered employee benefit plans no longer need to file copies of the summary plan descriptions and summaries of material modifications that are publicly available. TRA 97 added paragraph (6) to section 104(a) of ERISA. Prior to the TRA 97 amendments, ERISA required certain documents be filed with the Department so that plan participants and beneficiaries could obtain the documents without having to turn to the plan administrator. The new section 104(a)(6) authorizes the Department to request these documents on behalf of plan participants and beneficiaries. The Department issued a final implementing guidance on this matter on January 7, 2002 (67 FR 772). The ICR was approved by OMB under OMB Control Number 1210–0112 and is scheduled to expire on February 28, 2015. PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 Agency: Employee Benefits Security Administration, Department of Labor. Title: Affordable Care Act Section 2715 Summary Disclosures. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0147. Affected Public: Businesses or other for-profits; Not-for-profit institutions. Respondents: 858. Responses: 79,500,000. Estimated Total Burden Hours: 622,750. Estimated Total Burden Cost (Operating and Maintenance): $4,842,500. Description: Section 2715 of the PHS Act directs the Department of Health and Human Services (HHS), the Department of Labor (DOL), and the Department of the Treasury (collectively, the Departments), in consultation with the National Association of Insurance Commissioners (NAIC) and a working group comprised of stakeholders, to ‘‘develop standards for use by a group health plan and a health insurance issuer in compiling and providing to applicants, enrollees, and policyholders and certificate holders a summary of benefits and coverage explanation that accurately describes the benefits and coverage under the applicable plan or coverage.’’ To implement these disclosure requirements, collection of information requests relate to the provision of the following: Summary of benefits and coverage, which includes coverage examples; a uniform glossary of health coverage and medical terms; and a notice of modifications. The ICR was approved by OMB under OMB Control Number 1210–0147 and is scheduled to expire on February 28, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: ERISA Section 408(b)(2) Regulation. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0133. Affected Public: Businesses or other for-profits. Respondents: 62,137. Responses: 1,274,255. Estimated Total Burden Hours: 1,643,941. Estimated Total Burden Cost (Operating and Maintenance): $4,199,584. Description: On February 3, 2012, the Department published a final regulation under ERISA section 408(b)(2) (the ‘‘408(b)(2) regulation’’), requiring that certain service providers to pension E:\FR\FM\15OCN1.SGM 15OCN1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 199 / Wednesday, October 15, 2014 / Notices plans disclose information about the service providers’ compensation and potential conflicts of interest. These disclosure requirements were established to provide guidance for compliance with a statutory exemption from ERISA’s prohibited transaction provisions. If the disclosure requirements of the 408(b)(2) regulation are not satisfied, a prohibited provision of services under ERISA section 406(a)(1)(C) will occur, with consequences for both the responsible plan fiduciary and the covered service provider. The ICR was approved by OMB under OMB Control Number 1210–0133 and is scheduled to expire on March 31, 2015. Note: The Department issued a proposed amendment to this ICR on March 12, 2014, that would, upon adoption, require covered service providers to furnish a guide to assist plan fiduciaries in reviewing the disclosures required by the final rule if the disclosures are contained in multiple or lengthy documents. The comment period for the proposal closed on June 10, 2014, and the Department currently is reviewing the comments. Agency: Employee Benefits Security Administration, Department of Labor. Title: ERISA Procedure 76–1 Advisory Opinion Procedure. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0066. Affected Public: Businesses or other for-profits. Respondents: 56. Responses: 56. Estimated Total Burden Hours: 573. Estimated Total Burden Cost (Operating and Maintenance): $1,250,218. Description: Under ERISA, the Department has responsibility to administer the reporting, disclosure, fiduciary and other standards for pension and welfare benefit plans. In 1976, the Department issued ERISA Procedure 76–1, Procedure for ERISA Advisory Opinions (ERISA Procedure), in order to establish a public process for requesting guidance from EBSA on the application of ERISA to particular circumstances. The ERISA Procedure sets forth specific administrative procedures for requesting either an advisory opinion or an information letter and describes the types of questions that may be submitted. As part of the ERISA Procedure, requesters are instructed to provide information to EBSA concerning the circumstances governing their request. EBSA relies on the information provided by the VerDate Sep<11>2014 18:00 Oct 14, 2014 Jkt 235001 requester to analyze the issue presented and provide guidance. The ERISA Procedure has been in use since 1976, and the Department has issued hundreds of advisory opinions and information letters under its rules. The ICR was approved by OMB under OMB Control Number 1210–0066 and is scheduled to expire on June 30, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: ERISA Technical Release 91–1. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0084. Affected Public: Businesses or other for-profits. Respondents: 12. Responses: 82,518. Estimated Total Burden Hours: 1,392. Estimated Total Burden Cost (Operating and Maintenance): $20,715. Description: The information collection requirements arise from ERISA section 101(e), which establishes notice requirements that must be satisfied before an employer may transfer excess assets from a defined benefit pension plan to a retiree health benefit account, as permitted under the conditions set forth in section 420 of the Internal Revenue Code of 1986. The notice requirements of section 101(e) are two-fold. First, subsection (e)(1) requires plan administrators to provide advance written notification of such transfers to participants and beneficiaries. Second, subsection (e)(2)(A) requires employers to provide advance written notification of such transfers to the Secretaries of Labor and the Treasury, the plan administrator, and each employee organization representing participants in the plan. Both notices must be given at least 60 days before the transfer date. The two subsections prescribe the information to be included in each type of notice and further give the Secretary of Labor the authority to prescribe how notice to participants and beneficiaries must be given and any additional reporting requirements deemed necessary. Although the Department of Labor has not issued regulations under section 101(e), on May 8, 1991, the Department published ERISA Technical Release 91– 1, to provide guidance on how to satisfy the notice requirements prescribed by this section. The Technical Release made two changes in the statutory requirements for the second type of notice. First, it required the notice to include a filing date and the intended asset transfer date. Second, it simplified the statutory filing requirements by providing that PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 61905 filing with the Department of Labor would be deemed sufficient notice to both the Department and the Department of the Treasury as required under the statute. The ICR was approved by OMB under OMB Control Number 1210–0084 and is scheduled to expire on June 30, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: Disclosures by Insurers to General Account Policyholders. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0114. Affected Public: Businesses or other for-profits. Respondents: 104. Responses: 96,223. Estimated Total Burden Hours: 408,948. Estimated Total Burden Cost (Operating and Maintenance): $33,678. Description: Section 1460 of the Small Business Job Protection Act of 1996 (Pub. L. 104–188) (SBJPA) amended added a new section 401(c) to the Employee Income Security Act of 1974 (ERISA). This new section, inter alia, required the Department to promulgate a regulation providing guidance, applicable only to insurance policies issued on or before December 31, 1998, to or for the benefit of employee benefit plans, to clarify the extent to which assets held in an insurer’s general account under such contracts are ‘‘plan assets’’ within the meaning of the Employee Retirement Income Security Act (ERISA), because the policies are not ‘‘guaranteed benefit policies’’ within the meaning of section 401(b) of ERISA. SBJPA further directed the Department to set standards for how insurers should manage the specified insurance policies (called Transition Policies). Pursuant to the authority and direction given under SBJPA, the Department promulgated a regulation, issued in final form on January 5, 2000 (65 FR 714), and codified at 29 CFR 2550.401c–1. This regulation has not been amended subsequently. The ICR was approved by OMB under OMB Control Number 1210–0114 and is scheduled to expire on June 30, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: Registration for EFAST–2 Credentials. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0117. Affected Public: Businesses or other for-profits. Respondents: 400,000. E:\FR\FM\15OCN1.SGM 15OCN1 tkelley on DSK3SPTVN1PROD with NOTICES 61906 Federal Register / Vol. 79, No. 199 / Wednesday, October 15, 2014 / Notices Responses: 400,000. Estimated Total Burden Hours: 133,333. Estimated Total Burden Cost (Operating and Maintenance): $0. Description: ERISA Section 104 requires administrators of pension and welfare benefit plans (collectively, employee benefit plans), and employers sponsoring certain fringe benefit plans and other plans of deferred compensation, to file returns/reports annually with the Secretary of Labor (the Secretary) concerning the financial condition and operation of the plans. Reporting requirements are satisfied by filing the Form 5500 in accordance with its instructions and the related regulations. Beginning with plan year filings for 1999, Form 5500 filings were processed under the ERISA Filing Acceptance System (EFAST), which was designed to simplify and expedite the receipt and processing of the Form 5500 by relying on computer scannable forms and electronic filing technologies. Beginning with plan year filings for 2009, Form 5500 filings are processed under a new system, the ERISA Filing Acceptance System 2 (EFAST–2), which is designed to simplify and expedite the receipt and processing of the Form 5500 by relying on Internet-based forms and electronic filing technologies. In order to file electronically, employee benefit plan filing authors, schedule authors, filing signers, Form 5500 transmitters, and entities developing software to complete and/or transmit the Form 5500 are required to register for EFAST–2 credentials through the EFAST–2 Web site. Requested information includes: Applicant type (filing author, filing signer, schedule author, transmitter, or software developer); mailing address; fax number (optional); email address; company name, contact person; and daytime telephone number. Registrants must also provide an answer to a challenge question (‘‘What is your date of birth?’’ or ‘‘Where is your place of birth?’’), which enables users to retrieve forgotten credentials. In addition, registrants must accept a Privacy Agreement; PIN Agreement; and, under penalty of perjury, a Signature Agreement. The ICR was approved by OMB under OMB Control Number 1210–0117 and is scheduled to expire on June 30, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: Notice of Blackout Period Under ERISA. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0122. VerDate Sep<11>2014 18:00 Oct 14, 2014 Jkt 235001 Affected Public: Businesses or other for-profits. Respondents: 46,200. Responses: 6,100,000. Estimated Total Burden Hours: 195,800. Estimated Total Burden Cost (Operating and Maintenance): $1,900,000. Description: The Sarbanes-Oxley Act (SOA), enacted on July 30, 2002, added ERISA section 101(i), which requires individual account pension plans to furnish a written notice to participants and beneficiaries in advance of any ‘‘blackout period’’ during which their existing rights to direct or diversify their investments under the plan, or obtain a loan or distribution from the plan will be temporarily suspended. Under 306(b)(2) of SOA, the Secretary of Labor was directed to issue interim final rules necessary to implement the SOA amendments. The Department’s regulation for this purpose is codified at 29 CFR 2520.101–3. The ICR was approved by OMB under OMB Control Number 1210–0122 and is scheduled to expire on June 30, 2015. Agency: Employee Benefits Security Administration, Department of Labor. Title: Affordable Care Act Internal Claims and Appeals and External Review Procedures for NonGrandfathered Plans. Type of Review: Extension of a currently approved collection of information. OMB Number: 1210–0144. Affected Public: Businesses or other for-profits; Not-for-profit institutions. Respondents: 1,020,074. Responses: 117,864. Estimated Total Burden Hours: 886. Estimated Total Burden Cost (Operating and Maintenance): $642,461. Description: The Patient Protection and Affordable Care Act, Public Law 111–148, (the Affordable Care Act) was enacted by President Obama on March 23, 2010. As part of the Act, Congress added Public Health Service Act (PHS Act) section 2719, which provides rules relating to internal claims and appeals and external review processes. The Department, in conjunction with the Departments of the Treasury and Department of Health and Human Services (collectively, the Departments), issued interim final regulations on July 23, 2010 (75 FR 43330), which set forth rules implementing PHS Act section 2719 for internal claims and appeals and external review processes. With respect to internal claims and appeals processes for group health coverage, PHS Act section 2719 and paragraph (b)(2)(i) of the interim final regulations PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 provide that group health plans and health insurance issuers offering group health insurance coverage must comply with the internal claims and appeals processes set forth in 29 CFR 2560.503– 1 (the DOL claims procedure regulation) and update such processes in accordance with standards established by the Secretary of Labor in paragraph (b)(2)(ii) of the regulations. Also, PHS Act section 2719 and the interim final regulations provide that group health plans and issuers offering group health insurance coverage must comply either with a State external review process or a Federal review process. The regulations provide a basis for determining when plans and issuers must comply with an applicable State external review process and when they must comply with the Federal external review process. The claims procedure regulation imposes information collection requirements as part of the reasonable procedures that an employee benefit plan must establish regarding the handling of a benefit claim. These requirements include third-party notice and disclosure requirements that the plan must satisfy by providing information to participants and beneficiaries of the plan. On June 24, 2011, the Department amended the interim final regulations. Two amendments revised the ICR. The first amendment provides that plans no longer are required to include diagnosis and treatment codes on notices of adverse benefit determination and final internal adverse benefit determination. Instead, they must notify claimants of the opportunity to receive the codes on request and plans and issuers must provide the codes upon request. The second amendment also changes the method plans and issuers must use to determine who is eligible to receive a notice in a culturally and linguistically appropriate manner, and the information that must be provided to such persons. The previous rule was based on the number of employees at a firm. The new rule is based on whether a participant or beneficiary resides in a county where ten percent or more of the population residing in the county is literate only in the same non-English language. The ICR was approved by OMB under OMB Control Number 1210–0144 and is scheduled to expire on July 31, 2015. II. Focus of Comments The Department is particularly interested in comments that: • Evaluate whether the collections of information are necessary for the proper performance of the functions of the E:\FR\FM\15OCN1.SGM 15OCN1 Federal Register / Vol. 79, No. 199 / Wednesday, October 15, 2014 / Notices agency, including whether the information will have practical utility; • Evaluate the accuracy of the agency’s estimate of the collections 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., by permitting electronic submissions of responses. Comments submitted in response to this notice will be summarized and/or included in the ICRs for OMB approval of the extension of the information collection; they will also become a matter of public record. Joseph S. Piacentini, Director, Office of Policy and Research, Employee Benefits Security Administration. [FR Doc. 2014–24447 Filed 10–14–14; 8:45 am] BILLING CODE 4510–29–P DEPARTMENT OF LABOR Employment and Training Administration Investigations Regarding Eligibility To Apply for Worker Adjustment Assistance Petitions have been filed with the Secretary of Labor under Section 221(a) of the Trade Act of 1974 (‘‘the Act’’) and are identified in the Appendix to this notice. Upon receipt of these petitions, the Director of the Office of Trade Adjustment Assistance, Employment and Training Administration, has instituted investigations pursuant to Section 221 (a) of the Act. The purpose of each of the investigations is to determine whether the workers are eligible to apply for adjustment assistance under Title II, Chapter 2, of the Act. The investigations will further relate, as appropriate, to the determination of the date on which total or partial separations began or threatened to begin and the subdivision of the firm involved. 61907 The petitioners or any other persons showing a substantial interest in the subject matter of the investigations may request a public hearing, provided such request is filed in writing with the Director, Office of Trade Adjustment Assistance, at the address shown below, not later than October 27, 2014. Interested persons are invited to submit written comments regarding the subject matter of the investigations to the Director, Office of Trade Adjustment Assistance, at the address shown below, not later than October 27, 2014. The petitions filed in this case are available for inspection at the Office of the Director, Office of Trade Adjustment Assistance, Employment and Training Administration, U.S. Department of Labor, Room N–5428, 200 Constitution Avenue NW., Washington, DC 20210. Signed at Washington, DC this 2nd day of October 2014. Michael W. Jaffe, Certifying Officer, Office of Trade Adjustment Assistance. Appendix 16 TAA PETITIONS INSTITUTED BETWEEN 9/22/14 AND 9/26/14 Subject firm (petitioners) Location Rural Metro Ambulance (Workers) ........................................ Boston Scientific (Workers) ................................................... Foxconn Assembly LLC/Hon Hai Logistics LLC (Workers) .. Trega Corporation (Company) ............................................... Humana (State/One-Stop) ..................................................... Rcad Milling (Company) ........................................................ Harte Hanks Market Intelligence (State/One-Stop) ............... Ferrara Candy Company (Company) .................................... YUSA Corporation (Company) .............................................. Caraustar (State/One-Stop) ................................................... Arcic Timber Inc. (State/One-Stop) ....................................... Optiscan (State/One-Stop) .................................................... Conesys Aero-Electric (State/One-Stop) ............................... Speedline Technologies Inc. (State/One-Stop) ..................... Weatherford International LLC (State/One-Stop) .................. Heraeus Shin Etsu America (State/One-Stop) ...................... Indianapolis, IN .................................. San Clemente, CA ............................. Houston, TX ....................................... Hamburg, PA ..................................... Louisville, KY ..................................... Champaign, IL ................................... San Diego, CA ................................... Chattanooga, TN ............................... Washington Court House, OH ........... Rogersville, AL .................................. Cosmopolis, WA ................................ Phoenix, AZ ....................................... Torrance, CA ..................................... Franklin, MA ...................................... Houston, TX ....................................... Camas, WA ....................................... TA–W 85545 85546 85547 85548 85549 85550 85551 85552 85553 85554 85555 85556 85557 85558 85559 85560 .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. [FR Doc. 2014–24449 Filed 10–14–14; 8:45 am] BILLING CODE 4510–FN–P NATIONAL AERONAUTICS AND SPACE ADMINISTRATION tkelley on DSK3SPTVN1PROD with NOTICES [Notice 14–101] NASA Advisory Council; Science Committee; Planetary Science Subcommittee; Meeting National Aeronautics and Space Administration. ACTION: Notice of meeting. AGENCY: VerDate Sep<11>2014 18:00 Oct 14, 2014 Jkt 235001 In accordance with the Federal Advisory Committee Act, Public Law 92–463, as amended, the National Aeronautics and Space Administration (NASA) announces a meeting of the Planetary Science Subcommittee of the NASA Advisory Council (NAC). This Subcommittee reports to the Science Committee of the NAC. The meeting will be held for the purpose of soliciting, from the scientific community and other persons, scientific and technical information relevant to program planning. SUMMARY: Friday, November 21, 2014, 12:00 noon to 3:00 p.m., Local Time. DATES: PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 Date of institution 09/22/14 09/23/14 09/23/14 09/23/14 09/23/14 09/24/14 09/25/14 09/25/14 09/25/14 09/25/14 09/25/14 09/26/14 09/26/14 09/26/14 09/26/14 09/26/14 Date of petition 09/22/14 09/22/14 09/22/14 09/22/14 09/22/14 09/23/14 09/24/14 09/24/14 09/24/14 09/24/14 09/24/14 09/25/14 09/25/14 09/25/14 09/25/14 09/23/14 This meeting will take place telephonically and by WebEx. Any interested person may call the USA toll free conference call number 888–989– 3378, passcode 4988706, to participate in this meeting by telephone. The WebEx link is https://nasa.webex.com/; the meeting is 993 684 123, password is PSS@Nov21. ADDRESSES: Ms. Ann Delo, Science Mission Directorate, NASA Headquarters, Washington, DC 20546, (202) 358–0750, fax (202) 358– 2779, or ann.b.delo@nasa.gov. FOR FURTHER INFORMATION CONTACT: E:\FR\FM\15OCN1.SGM 15OCN1

Agencies

[Federal Register Volume 79, Number 199 (Wednesday, October 15, 2014)]
[Notices]
[Pages 61903-61907]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-24447]


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DEPARTMENT OF LABOR

Employee Benefits Security Administration


Proposed Extension of Information Collection Requests Submitted 
for Public Comment

AGENCY: Employee Benefits Security Administration, Department of Labor.

ACTION: Notice.

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

SUMMARY: The Department of Labor (the Department), in accordance with 
the Paperwork Reduction Act of 1995 (PRA 95) (44 U.S.C. 3506(c)(2)(A)), 
provides the general public and Federal agencies with an opportunity to 
comment on proposed and continuing collections of information. This 
helps the Department assess the impact of its information collection 
requirements and minimize the public's reporting burden. It also helps 
the public understand the Department's information collection 
requirements and provide the requested data in the desired format. The 
Employee Benefits Security Administration (EBSA) is soliciting comments 
on the proposed extension of the information collection requests (ICRs) 
contained in the documents described below. A copy of the ICRs may be 
obtained by contacting the office listed in the ADDRESSES section of 
this notice. ICRs also are available at reginfo.gov (http://www.reginfo.gov/public/do/PRAMain).

DATES: Written comments must be submitted to the office shown in the 
Addresses section on or before December 15, 2014.

ADDRESSES: G. Christopher Cosby, 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: This notice requests public comment on the 
Department's request for extension of the Office of Management and 
Budget's (OMB) approval of ICRs contained in the rules and prohibited 
transactions described below. The Department is not proposing any 
changes to the existing ICRs at this time. An agency may not conduct or 
sponsor, and a person is not required to respond to, an information 
collection unless it displays a valid OMB control number. A summary of 
the ICRs and the current burden estimates follows:

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Prohibited Transaction Exemption 86-128.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0059.
    Affected Public: Businesses or other for-profits; Not-for-profit 
institutions.
    Respondents: 27,900.
    Responses: 1,199,800.
    Estimated Total Burden Hours: 63,800.
    Estimated Total Burden Cost (Operating and Maintenance): $736,800.
    Description: Prohibited Transaction Class Exemption 86-128 permits 
persons who serve as fiduciaries for employee benefit plans to effect 
or execute securities transactions on behalf of employee benefit plans. 
The exemption also allows sponsors of pooled separate accounts and 
other pooled investment funds to use their affiliates to effect or 
execute securities transactions for such accounts in order to recapture 
brokerage commissions for the benefit of employee benefit plans whose 
assets are maintained in pooled separate accounts managed by insurance 
companies. This exemption provides relief from certain prohibitions in 
section 406(b) of the Employee Retirement Income Security Act of 1974 
(ERISA) and from the taxes imposed by section 4975(a) and (b) of the 
Internal Revenue Code of 1986 (the Code) by reason of Code section 
4975(c)(1)(E) or (F).
    In order to insure that the exemption is not abused, that the 
rights of participants and beneficiaries are protected, and that the 
exemption's conditions are being complied with, the Department has 
included in the exemption five information collection requirements. The 
first requirement is

[[Page 61904]]

written authorization executed in advance by an independent fiduciary 
of the plan whose assets are involved in the transaction with the 
broker-fiduciary. The second requirement is, within three months of the 
authorization, the broker-fiduciary furnish the independent fiduciary 
with any reasonably available information necessary for the independent 
fiduciary to determine whether an authorization should be made. The 
information must include a copy of the exemption, a form for 
termination, and a description of the broker-fiduciary's brokerage 
placement practices. The third requirement is that the broker-fiduciary 
must provide a termination form to the independent fiduciary annually 
so that the independent fiduciary may terminate the authorization 
without penalty to the plan; failure to return the form constitutes 
continuing authorization. The fourth requirement is for the broker-
fiduciary to report all transactions to the independent fiduciary, 
either by confirmation slips or through quarterly reports. The fifth 
requirement calls for the broker-fiduciary to provide an annual summary 
of the transactions. The annual summary must contain all security 
transaction-related charges incurred by the plan, the brokerage 
placement practices, and a portfolio turnover ratio. The ICR was 
approved by the Office of Management and Budget (OMB) under OMB Control 
Number 1210-0059 and is scheduled to expire on January 31, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Consent to Receive Employee Benefit Plan Disclosures 
Electronically.
    Type of Review: Extension of a currently approved information 
collection.
    OMB Number: 1210-0121.
    Affected Public: Businesses or other for-profits.
    Respondents: 37,086.
    Responses: 3,176,585.
    Estimated Total Burden Hours: 15,453.
    Estimated Total Burden Cost (Operating and Maintenance): $158,829.
    Description: The Department established a safe harbor pursuant to 
which all pension and welfare benefit plans covered by Title I of ERISA 
may use electronic media to satisfy disclosure obligations under Title 
I of ERISA (29 CFR 2520.104b-1). Employee benefit plan administrators 
will be deemed to satisfy their disclosure obligations when furnishing 
documents electronically only if a participant who does not have access 
to the employer's electronic information system in the normal course of 
his duties, or a beneficiary or other person entitled to documents, has 
affirmatively consented to receive disclosure documents. Prior to 
consenting, the participant or beneficiary must also be provided with a 
clear and conspicuous statement indicating the types of documents to 
which the consent would apply, that consent may be withdrawn at any 
time, procedures for withdrawing consent and updating necessary 
information, the right to obtain a paper copy, and any hardware and 
software requirements. In the event of a hardware or software change 
that creates a material risk that the individual will be unable to 
access or retain documents that were the subject of the initial 
consent, the individual must be provided with information concerning 
the revised hardware or software, and an opportunity to withdraw a 
prior consent. The ICR was approved by OMB under OMB Control Number 
1210-0121 and is scheduled to expire on January 31, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Furnishing Documents to the Secretary of Labor on Request 
Under ERISA 104(a)(6).
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0112.
    Affected Public: Businesses or other for-profits; Not-for-profit 
institutions.
    Respondents: 300.
    Responses: 300.
    Estimated Total Burden Hours: 22.
    Estimated Total Burden Cost (Operating and Maintenance): $1,300.
    Description: As a result of the Taxpayer Relief Act of 1997 (TRA 
97), the plan administrators of ERISA-covered employee benefit plans no 
longer need to file copies of the summary plan descriptions and 
summaries of material modifications that are publicly available. TRA 97 
added paragraph (6) to section 104(a) of ERISA. Prior to the TRA 97 
amendments, ERISA required certain documents be filed with the 
Department so that plan participants and beneficiaries could obtain the 
documents without having to turn to the plan administrator. The new 
section 104(a)(6) authorizes the Department to request these documents 
on behalf of plan participants and beneficiaries. The Department issued 
a final implementing guidance on this matter on January 7, 2002 (67 FR 
772). The ICR was approved by OMB under OMB Control Number 1210-0112 
and is scheduled to expire on February 28, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Affordable Care Act Section 2715 Summary Disclosures.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0147.
    Affected Public: Businesses or other for-profits; Not-for-profit 
institutions.
    Respondents: 858.
    Responses: 79,500,000.
    Estimated Total Burden Hours: 622,750.
    Estimated Total Burden Cost (Operating and Maintenance): 
$4,842,500.
    Description: Section 2715 of the PHS Act directs the Department of 
Health and Human Services (HHS), the Department of Labor (DOL), and the 
Department of the Treasury (collectively, the Departments), in 
consultation with the National Association of Insurance Commissioners 
(NAIC) and a working group comprised of stakeholders, to ``develop 
standards for use by a group health plan and a health insurance issuer 
in compiling and providing to applicants, enrollees, and policyholders 
and certificate holders a summary of benefits and coverage explanation 
that accurately describes the benefits and coverage under the 
applicable plan or coverage.'' To implement these disclosure 
requirements, collection of information requests relate to the 
provision of the following: Summary of benefits and coverage, which 
includes coverage examples; a uniform glossary of health coverage and 
medical terms; and a notice of modifications. The ICR was approved by 
OMB under OMB Control Number 1210-0147 and is scheduled to expire on 
February 28, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: ERISA Section 408(b)(2) Regulation.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0133.
    Affected Public: Businesses or other for-profits.
    Respondents: 62,137.
    Responses: 1,274,255.
    Estimated Total Burden Hours: 1,643,941.
    Estimated Total Burden Cost (Operating and Maintenance): 
$4,199,584.
    Description: On February 3, 2012, the Department published a final 
regulation under ERISA section 408(b)(2) (the ``408(b)(2) 
regulation''), requiring that certain service providers to pension

[[Page 61905]]

plans disclose information about the service providers' compensation 
and potential conflicts of interest. These disclosure requirements were 
established to provide guidance for compliance with a statutory 
exemption from ERISA's prohibited transaction provisions. If the 
disclosure requirements of the 408(b)(2) regulation are not satisfied, 
a prohibited provision of services under ERISA section 406(a)(1)(C) 
will occur, with consequences for both the responsible plan fiduciary 
and the covered service provider. The ICR was approved by OMB under OMB 
Control Number 1210-0133 and is scheduled to expire on March 31, 2015. 
Note: The Department issued a proposed amendment to this ICR on March 
12, 2014, that would, upon adoption, require covered service providers 
to furnish a guide to assist plan fiduciaries in reviewing the 
disclosures required by the final rule if the disclosures are contained 
in multiple or lengthy documents. The comment period for the proposal 
closed on June 10, 2014, and the Department currently is reviewing the 
comments.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: ERISA Procedure 76-1 Advisory Opinion Procedure.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0066.
    Affected Public: Businesses or other for-profits.
    Respondents: 56.
    Responses: 56.
    Estimated Total Burden Hours: 573.
    Estimated Total Burden Cost (Operating and Maintenance): 
$1,250,218.
    Description: Under ERISA, the Department has responsibility to 
administer the reporting, disclosure, fiduciary and other standards for 
pension and welfare benefit plans. In 1976, the Department issued ERISA 
Procedure 76-1, Procedure for ERISA Advisory Opinions (ERISA 
Procedure), in order to establish a public process for requesting 
guidance from EBSA on the application of ERISA to particular 
circumstances. The ERISA Procedure sets forth specific administrative 
procedures for requesting either an advisory opinion or an information 
letter and describes the types of questions that may be submitted. As 
part of the ERISA Procedure, requesters are instructed to provide 
information to EBSA concerning the circumstances governing their 
request. EBSA relies on the information provided by the requester to 
analyze the issue presented and provide guidance. The ERISA Procedure 
has been in use since 1976, and the Department has issued hundreds of 
advisory opinions and information letters under its rules. The ICR was 
approved by OMB under OMB Control Number 1210-0066 and is scheduled to 
expire on June 30, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: ERISA Technical Release 91-1.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0084.
    Affected Public: Businesses or other for-profits.
    Respondents: 12.
    Responses: 82,518.
    Estimated Total Burden Hours: 1,392.
    Estimated Total Burden Cost (Operating and Maintenance): $20,715.
    Description: The information collection requirements arise from 
ERISA section 101(e), which establishes notice requirements that must 
be satisfied before an employer may transfer excess assets from a 
defined benefit pension plan to a retiree health benefit account, as 
permitted under the conditions set forth in section 420 of the Internal 
Revenue Code of 1986.
    The notice requirements of section 101(e) are two-fold. First, 
subsection (e)(1) requires plan administrators to provide advance 
written notification of such transfers to participants and 
beneficiaries. Second, subsection (e)(2)(A) requires employers to 
provide advance written notification of such transfers to the 
Secretaries of Labor and the Treasury, the plan administrator, and each 
employee organization representing participants in the plan. Both 
notices must be given at least 60 days before the transfer date. The 
two subsections prescribe the information to be included in each type 
of notice and further give the Secretary of Labor the authority to 
prescribe how notice to participants and beneficiaries must be given 
and any additional reporting requirements deemed necessary.
    Although the Department of Labor has not issued regulations under 
section 101(e), on May 8, 1991, the Department published ERISA 
Technical Release 91-1, to provide guidance on how to satisfy the 
notice requirements prescribed by this section.
    The Technical Release made two changes in the statutory 
requirements for the second type of notice. First, it required the 
notice to include a filing date and the intended asset transfer date. 
Second, it simplified the statutory filing requirements by providing 
that filing with the Department of Labor would be deemed sufficient 
notice to both the Department and the Department of the Treasury as 
required under the statute. The ICR was approved by OMB under OMB 
Control Number 1210-0084 and is scheduled to expire on June 30, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Disclosures by Insurers to General Account Policyholders.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0114.
    Affected Public: Businesses or other for-profits.
    Respondents: 104.
    Responses: 96,223.
    Estimated Total Burden Hours: 408,948.
    Estimated Total Burden Cost (Operating and Maintenance): $33,678.
    Description: Section 1460 of the Small Business Job Protection Act 
of 1996 (Pub. L. 104-188) (SBJPA) amended added a new section 401(c) to 
the Employee Income Security Act of 1974 (ERISA). This new section, 
inter alia, required the Department to promulgate a regulation 
providing guidance, applicable only to insurance policies issued on or 
before December 31, 1998, to or for the benefit of employee benefit 
plans, to clarify the extent to which assets held in an insurer's 
general account under such contracts are ``plan assets'' within the 
meaning of the Employee Retirement Income Security Act (ERISA), because 
the policies are not ``guaranteed benefit policies'' within the meaning 
of section 401(b) of ERISA. SBJPA further directed the Department to 
set standards for how insurers should manage the specified insurance 
policies (called Transition Policies). Pursuant to the authority and 
direction given under SBJPA, the Department promulgated a regulation, 
issued in final form on January 5, 2000 (65 FR 714), and codified at 29 
CFR 2550.401c-1. This regulation has not been amended subsequently. The 
ICR was approved by OMB under OMB Control Number 1210-0114 and is 
scheduled to expire on June 30, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Registration for EFAST-2 Credentials.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0117.
    Affected Public: Businesses or other for-profits.
    Respondents: 400,000.

[[Page 61906]]

    Responses: 400,000.
    Estimated Total Burden Hours: 133,333.
    Estimated Total Burden Cost (Operating and Maintenance): $0.
    Description: ERISA Section 104 requires administrators of pension 
and welfare benefit plans (collectively, employee benefit plans), and 
employers sponsoring certain fringe benefit plans and other plans of 
deferred compensation, to file returns/reports annually with the 
Secretary of Labor (the Secretary) concerning the financial condition 
and operation of the plans. Reporting requirements are satisfied by 
filing the Form 5500 in accordance with its instructions and the 
related regulations. Beginning with plan year filings for 1999, Form 
5500 filings were processed under the ERISA Filing Acceptance System 
(EFAST), which was designed to simplify and expedite the receipt and 
processing of the Form 5500 by relying on computer scannable forms and 
electronic filing technologies.
    Beginning with plan year filings for 2009, Form 5500 filings are 
processed under a new system, the ERISA Filing Acceptance System 2 
(EFAST-2), which is designed to simplify and expedite the receipt and 
processing of the Form 5500 by relying on Internet-based forms and 
electronic filing technologies. In order to file electronically, 
employee benefit plan filing authors, schedule authors, filing signers, 
Form 5500 transmitters, and entities developing software to complete 
and/or transmit the Form 5500 are required to register for EFAST-2 
credentials through the EFAST-2 Web site. Requested information 
includes: Applicant type (filing author, filing signer, schedule 
author, transmitter, or software developer); mailing address; fax 
number (optional); email address; company name, contact person; and 
daytime telephone number. Registrants must also provide an answer to a 
challenge question (``What is your date of birth?'' or ``Where is your 
place of birth?''), which enables users to retrieve forgotten 
credentials. In addition, registrants must accept a Privacy Agreement; 
PIN Agreement; and, under penalty of perjury, a Signature Agreement. 
The ICR was approved by OMB under OMB Control Number 1210-0117 and is 
scheduled to expire on June 30, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Notice of Blackout Period Under ERISA.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0122.
    Affected Public: Businesses or other for-profits.
    Respondents: 46,200.
    Responses: 6,100,000.
    Estimated Total Burden Hours: 195,800.
    Estimated Total Burden Cost (Operating and Maintenance): 
$1,900,000.
    Description: The Sarbanes-Oxley Act (SOA), enacted on July 30, 
2002, added ERISA section 101(i), which requires individual account 
pension plans to furnish a written notice to participants and 
beneficiaries in advance of any ``blackout period'' during which their 
existing rights to direct or diversify their investments under the 
plan, or obtain a loan or distribution from the plan will be 
temporarily suspended. Under 306(b)(2) of SOA, the Secretary of Labor 
was directed to issue interim final rules necessary to implement the 
SOA amendments. The Department's regulation for this purpose is 
codified at 29 CFR 2520.101-3. The ICR was approved by OMB under OMB 
Control Number 1210-0122 and is scheduled to expire on June 30, 2015.

    Agency: Employee Benefits Security Administration, Department of 
Labor.
    Title: Affordable Care Act Internal Claims and Appeals and External 
Review Procedures for Non-Grandfathered Plans.
    Type of Review: Extension of a currently approved collection of 
information.
    OMB Number: 1210-0144.
    Affected Public: Businesses or other for-profits; Not-for-profit 
institutions.
    Respondents: 1,020,074.
    Responses: 117,864.
    Estimated Total Burden Hours: 886.
    Estimated Total Burden Cost (Operating and Maintenance): $642,461.
    Description: The Patient Protection and Affordable Care Act, Public 
Law 111-148, (the Affordable Care Act) was enacted by President Obama 
on March 23, 2010. As part of the Act, Congress added Public Health 
Service Act (PHS Act) section 2719, which provides rules relating to 
internal claims and appeals and external review processes. The 
Department, in conjunction with the Departments of the Treasury and 
Department of Health and Human Services (collectively, the 
Departments), issued interim final regulations on July 23, 2010 (75 FR 
43330), which set forth rules implementing PHS Act section 2719 for 
internal claims and appeals and external review processes. With respect 
to internal claims and appeals processes for group health coverage, PHS 
Act section 2719 and paragraph (b)(2)(i) of the interim final 
regulations provide that group health plans and health insurance 
issuers offering group health insurance coverage must comply with the 
internal claims and appeals processes set forth in 29 CFR 2560.503-1 
(the DOL claims procedure regulation) and update such processes in 
accordance with standards established by the Secretary of Labor in 
paragraph (b)(2)(ii) of the regulations.
    Also, PHS Act section 2719 and the interim final regulations 
provide that group health plans and issuers offering group health 
insurance coverage must comply either with a State external review 
process or a Federal review process. The regulations provide a basis 
for determining when plans and issuers must comply with an applicable 
State external review process and when they must comply with the 
Federal external review process.
    The claims procedure regulation imposes information collection 
requirements as part of the reasonable procedures that an employee 
benefit plan must establish regarding the handling of a benefit claim. 
These requirements include third-party notice and disclosure 
requirements that the plan must satisfy by providing information to 
participants and beneficiaries of the plan.
    On June 24, 2011, the Department amended the interim final 
regulations. Two amendments revised the ICR. The first amendment 
provides that plans no longer are required to include diagnosis and 
treatment codes on notices of adverse benefit determination and final 
internal adverse benefit determination. Instead, they must notify 
claimants of the opportunity to receive the codes on request and plans 
and issuers must provide the codes upon request.
    The second amendment also changes the method plans and issuers must 
use to determine who is eligible to receive a notice in a culturally 
and linguistically appropriate manner, and the information that must be 
provided to such persons. The previous rule was based on the number of 
employees at a firm. The new rule is based on whether a participant or 
beneficiary resides in a county where ten percent or more of the 
population residing in the county is literate only in the same non-
English language.
    The ICR was approved by OMB under OMB Control Number 1210-0144 and 
is scheduled to expire on July 31, 2015.

II. Focus of Comments

    The Department is particularly interested in comments that:
     Evaluate whether the collections of information are 
necessary for the proper performance of the functions of the

[[Page 61907]]

agency, including whether the information will have practical utility;
     Evaluate the accuracy of the agency's estimate of the 
collections 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., by 
permitting electronic submissions of responses.

Comments submitted in response to this notice will be summarized and/or 
included in the ICRs for OMB approval of the extension of the 
information collection; they will also become a matter of public 
record.

Joseph S. Piacentini,
Director, Office of Policy and Research, Employee Benefits Security 
Administration.
[FR Doc. 2014-24447 Filed 10-14-14; 8:45 am]
BILLING CODE 4510-29-P