Department of Labor April 2016 – Federal Register Recent Federal Regulation Documents

Proposed Extension of Information Collection; High-Voltage Continuous Mining Machines Standards for Underground Coal Mines
Document Number: 2016-10169
Type: Notice
Date: 2016-04-29
Agency: Department of Labor, Mine Safety and Health Administration
The Department of Labor, as part of its continuing effort to reduce paperwork and respondent burden, conducts a pre-clearance consultation program to provide the general public and Federal agencies with an opportunity to comment on proposed collections of information in accordance with the Paperwork Reduction Act of 1995, 44 U.S.C. 3506(c)(2)(A). This program helps to assure 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 Mine Safety and Health Administration (MSHA) is soliciting comments on the information collection for High- Voltage Continuous Mining Machines Standards for Underground Coal Mines.
Department of Labor Implementation of OMB Guidance on Nonprocurement Debarment and Suspension
Document Number: 2016-10015
Type: Rule
Date: 2016-04-29
Agency: Department of Labor, Office of the Assistant Secretary for Administration and Management
The U.S. Department of Labor (DOL) is removing its regulations implementing the government-wide common rule on nonprocurement debarment and suspension, currently located in Part 98 of Title 29 of the Code of Federal Regulations (CFR), and adopting the Office of Management and Budget's (OMB) guidance at Title 2 of the CFR. This regulatory action implements the OMB's initiative to streamline and consolidate into one title of the CFR all Federal regulations on nonprocurement debarment and suspension. These changes constitute an administrative simplification that would make no substantive change in DOL policy or procedures for nonprocurement debarment and suspension.
Department of Labor Implementation of OMB Guidance on Nonprocurement Debarment and Suspension
Document Number: 2016-10014
Type: Proposed Rule
Date: 2016-04-29
Agency: Department of Labor
The U.S. Department of Labor (DOL) is proposing to remove its regulations implementing the government-wide common rule on nonprocurement debarment and suspension, currently located in part 98 of title 29 of the Code of Federal Regulations (CFR), and adopting the Office of Management and Budget's (OMB) guidance at title 2 of the CFR. This regulatory action implements the OMB's initiative to streamline and consolidate into one title of the CFR all Federal regulations on nonprocurement debarment and suspension. These changes constitute an administrative simplification that would make no substantive change in DOL policy or procedures for nonprocurement debarment and suspension.
Privacy Act of 1974; Publication in Full of All Notices of Systems of Records, Including Several New Systems, Substantive Amendments to Existing Systems, Decommissioning of Obsolete Legacy Systems, and Publication of Proposed Routines Uses
Document Number: 2016-09510
Type: Notice
Date: 2016-04-29
Agency: Department of Labor, Office of the Secretary
This notice provides a complete publication of all Department of Labor Systems of Records. This notice proposes two new universal routine uses to the systems. This notice will update our last complete publication in full which appeared in the Federal Register on April 8, 2002. In addition to the 21 new systems which are being published for the first time, the notice proposes substantive and nonsubstantive amendments to 108 other systems that have been previously published. The notice also deletes 43 systems. Changes to the systems are summarized in the introductory portion of the Supplementary Information section.
Proposed Exemptions From Certain Prohibited Transaction Restrictions
Document Number: 2016-09946
Type: Notice
Date: 2016-04-28
Agency: Employee Benefits Security Administration, Department of Labor
This document contains notices of pendency before the Department of Labor (the Department) of proposed exemptions from certain of the prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). This notice includes the following proposed exemptions: D-11813, The Michael T. Sewell, M.D., P.S.C. Profit Sharing Plan (the Plan); D-11822, Plumbers' Pension Fund, Local 130, U.A. (the Plan or the Applicant); D-11858, Liberty Media 401(k) Savings Plan (the Plan); and, D-11866, Baxter International Inc. (Baxter or the Applicant).
Agency Information Collection Activities; Submission for OMB Review; Comment Request; ETA Workforce Innovation and Opportunity Act Performance Accountability, Information, and Reporting System
Document Number: 2016-09807
Type: Notice
Date: 2016-04-27
Agency: Department of Labor, Office of the Secretary
The Department of Labor (DOL) is submitting the Employment and Training Administration sponsored information collection request (ICR) proposal titled, ``ETA Workforce Innovation and Opportunity Act Performance Accountability, Information, and Reporting System,'' 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.). Public comments on the ICR are invited.
Petitions for Modification of Application of Existing Mandatory Safety Standards
Document Number: 2016-09798
Type: Notice
Date: 2016-04-27
Agency: Department of Labor, Mine Safety and Health Administration
Section 101(c) of the Federal Mine Safety and Health Act of 1977 and Title 30 of the Code of Federal Regulations Part 44 govern the application, processing, and disposition of petitions for modification. This notice is a summary of petitions for modification submitted to the Mine Safety and Health Administration (MSHA) by the parties listed below.
Petitions for Modification of Application of Existing Mandatory Safety Standards
Document Number: 2016-09797
Type: Notice
Date: 2016-04-27
Agency: Department of Labor, Mine Safety and Health Administration
Section 101(c) of the Federal Mine Safety and Health Act of 1977 and Title 30 of the Code of Federal Regulations Part 44 govern the application, processing, and disposition of petitions for modification. This notice is a summary of petitions for modification submitted to the Mine Safety and Health Administration (MSHA) by the parties listed below.
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Occupational Safety and Health State Plans
Document Number: 2016-09751
Type: Notice
Date: 2016-04-27
Agency: Department of Labor, Office of the Secretary
The Department of Labor (DOL) is submitting Occupational Safety and Health Administration (OSHA) sponsored information collection request (ICR) titled, ``Occupational Safety and Health State Plans,'' to the Office of Management and Budget (OMB) for review and approval for continued use, without change, in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq. Public comments on the ICR are invited.
Agency Information Collection Activities; Announcement of OMB Approvals
Document Number: 2016-09713
Type: Notice
Date: 2016-04-27
Agency: Employee Benefits Security Administration, Department of Labor
The Employee Benefits Security Administration (EBSA) announces that the Office of Management and Budget (OMB) has approved certain collections of information, listed in the Supplementary Information below, following EBSA's submission of requests for such approvals under the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501 et seq.). This notice describes the information collections that have been approved or re-approved, their OMB control numbers, and their current expiration dates.
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Workforce Innovation and Opportunity Act Common Performance Reporting
Document Number: 2016-09637
Type: Notice
Date: 2016-04-26
Agency: Department of Labor
The Department of Labor (DOL) is submitting the Employment and Training Administration (ETA) sponsored information collection request (ICR) proposal titled, ``Workforce Innovation and Opportunity Act Common Performance Reporting,'' 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.). Public comments on the ICR are invited.
Investigations Regarding Eligibility To Apply for Worker Adjustment Assistance
Document Number: 2016-09553
Type: Notice
Date: 2016-04-26
Agency: Employment and Training Administration, Department of Labor
Notice of Determinations Regarding Eligibility To Apply for Worker Adjustment Assistance
Document Number: 2016-09550
Type: Notice
Date: 2016-04-26
Agency: Employment and Training Administration, Department of Labor
Black Lung Benefits Act: Disclosure of Medical Information and Payment of Benefits
Document Number: 2016-09525
Type: Rule
Date: 2016-04-26
Agency: Department of Labor, Office of Workers' Compensation Programs
This final rule revises the regulations implementing the Black Lung Benefits Act to address certain procedural issues that have arisen in claim adjudications and other technical issues. To protect miners' health, assist parties without adequate legal representation, and enhance the accuracy of benefits entitlement decisions, the final rule includes a new provision that requires all parties to exchange with each other any medical information developed in connection with a claim for benefits and allows for the imposition of sanctions for failure to comply with the rule. The final rule also clarifies a liable coal mine operator's obligation to pay effective benefits awards by requiring payment before allowing the operator to challenge the award through the Act's modification procedures. In addition, the final rule resolves an ambiguity regarding how physicians' follow-up reports should be considered under the evidence-limiting rules, and allows the Department to fully participate in claims adjudications after the liable coal mine operator stops participating because of adverse financial developments, such as bankruptcy or insolvency.
Comment Request for Information Collection for the Ready to Work Partnership Grants Evaluation, New Collection
Document Number: 2016-09571
Type: Notice
Date: 2016-04-25
Agency: Department of Labor
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(c)(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 is properly assessed. A copy of the proposed Information Collection Request (ICR) can be obtained by contacting the office listed in the addressee section of this notice.
Amended Certification Regarding Eligibility To Apply for Worker Adjustment Assistance
Document Number: 2016-09552
Type: Notice
Date: 2016-04-25
Agency: Employment and Training Administration, Department of Labor
QPS Evaluation Services: Grant of Expansion of Recognition
Document Number: 2016-09503
Type: Notice
Date: 2016-04-25
Agency: Department of Labor, Occupational Safety and Health Administration
In this notice, OSHA announces its final decision to expand the scope of recognition for QPS Evaluation Services Inc. as a Nationally Recognized Testing Laboratory (NRTL).
Whistleblower Protection Advisory Committee (WPAC) Charter Renewal
Document Number: 2016-09490
Type: Notice
Date: 2016-04-25
Agency: Department of Labor, Occupational Safety and Health Administration
In accordance with the provisions of the Federal Advisory Committee Act (FACA), and after consultation with the General Services Administration, the Secretary of Labor is renewing the charter for the Whistleblower Protection Advisory Committee (WPAC or the Committee). The Committee will better enable OSHA to perform its duties under the Occupational Safety and Health Act (the OSH Act) of 1970, and help to improve the fairness, efficiency, and transparency of OSHA's whistleblower investigations.
QPS Evaluation Services Inc.: Grant of Renewal and Expansion of Recognition
Document Number: 2016-09488
Type: Notice
Date: 2016-04-25
Agency: Department of Labor, Occupational Safety and Health Administration
This notice announces the Occupational Safety and Health Administration's final decision granting renewal and expansion of recognition of QPS Evaluation Services Inc., as a Nationally Recognized Testing Laboratory (NRTL).
Agency Information Collection Activities; Comment Request; Youthful Offender Grants Management Information System, (OMB Control No. 1205-0513) Extension With Revisions
Document Number: 2016-09382
Type: Notice
Date: 2016-04-22
Agency: Employment and Training Administration, Department of Labor
The Department of Labor (DOL) is soliciting comments concerning a proposed extension for the authority to conduct the revision to the information collection request (ICR) titled, ``Youthful Offender Grants Management Information System, (OMB Control No. 1205- 0513).'' This comment request is part of continuing Departmental efforts to reduce paperwork and respondent burden in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq.
Program Reporting and Performance Standards System for Indian and Native American Programs Under Title I, Section 166 of the Workforce Innovation and Opportunity Act (WIOA), Extension With Revision; OMB Control No. 1205-0422
Document Number: 2016-09381
Type: Notice
Date: 2016-04-22
Agency: Employment and Training Administration, Department of Labor
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) [44 U.S.C. 3506(c)(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. This notice utilizes standard clearance procedures in accordance with the Paperwork Reduction Act of 1995 and 5 CFR 1320.12.
Proposed Collection, Comment Request
Document Number: 2016-09380
Type: Notice
Date: 2016-04-22
Agency: Department of Labor, Bureau of Labor Statistics
The Department of Labor, as part of its continuing effort to reduce paperwork and respondent burden, conducts a pre-clearance 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(c)(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. The Bureau of Labor Statistics (BLS) is soliciting comments concerning the proposed revision of the ``Report on Occupational Employment and Wages.'' A copy of the proposed information collection request (ICR) can be obtained by contacting the individual listed below in the ADDRESSES section of this notice.
The Benzene Standard; Extension of the Office of Management and Budget's (OMB) Approval of Information Collection (Paperwork) Requirements
Document Number: 2016-08915
Type: Notice
Date: 2016-04-19
Agency: Department of Labor, Occupational Safety and Health Administration
OSHA solicits public comments concerning its proposal to extend the Office of Management and Budget's (OMB) approval of the information collection requirements specified in the Benzene Standard (29 CFR 1910.1028).
Program Year (PY) 2016 Workforce Innovation and Opportunity Act (WIOA) Allotments; PY 2016 Wagner-Peyser Act Final Allotments and PY 2016 Workforce Information Grants
Document Number: 2016-08747
Type: Notice
Date: 2016-04-18
Agency: Employment and Training Administration, Department of Labor
This notice announces allotments for PY 2016 for WIOA Title I Youth, Adults and Dislocated Worker Activities programs; final allotments for Employment Service (ES) activities under the Wagner- Peyser Act for PY 2016 and Workforce Information Grants allotments for PY 2016. WIOA allotments for States and the State final allotments for the Wagner-Peyser Act are based on formulas defined in their respective statutes. WIOA requires allotments for the outlying areas to be competitively based rather than based on a formula determined by the Secretary of Labor (Secretary) as occurred under the Workforce Investment Act (WIA). For PY 2016, the Consolidated Appropriations Act, 2016 waives the competition requirement, and the Secretary is using the discretionary formula rationale and methodology for allocating PY 2016 funds for the outlying areas (American Samoa, Guam, the Commonwealth of the Northern Mariana Islands, the Republic of Palau, and the United States Virgin Islands) that was published in the Federal Register at 65 FR 8236 (Feb. 17, 2000). WIOA specifically included the Republic of Palau as an outlying area, except during any period for which the Secretary of Labor and the Secretary of Education determine that a Compact of Free Association is in effect and contains provisions for training and education assistance prohibiting the assistance provided under WIOA; no such determinations prohibiting assistance have been made. The formula that the Department of Labor (Department) used for PY 2016 is the same formula used in PY 2015 and is described in the section on Youth Activities program allotments. Comments are invited on the formula used to allot funds to the outlying areas.
Procedures for Handling Retaliation Complaints Under Section 402 of the FDA Food Safety Modernization Act
Document Number: 2016-08724
Type: Rule
Date: 2016-04-18
Agency: Department of Labor, Occupational Safety and Health Administration
This document provides the final text of regulations governing the employee protection (retaliation or whistleblower) provision found at section 402 of the FDA Food Safety Modernization Act (FSMA), which added section 1012 to the Federal Food, Drug, and Cosmetic Act. An interim final rule governing these provisions and requesting public comment was published in the Federal Register on February 13, 2014. Two comments were received that were responsive to the rule. This rule responds to those comments and establishes the final procedures and time frames for the handling of retaliation complaints under FSMA, including procedures and time frames for employee complaints to the Occupational Safety and Health Administration (OSHA), investigations by OSHA, appeals of OSHA determinations to an administrative law judge (ALJ) for a hearing de novo, hearings by ALJs, review of ALJ decisions by the Administrative Review Board (ARB) (acting on behalf of the Secretary of Labor), and judicial review of the Secretary's final decision.
Maritime Advisory Committee for Occupational Safety and Health (MACOSH)
Document Number: 2016-08762
Type: Notice
Date: 2016-04-15
Agency: Department of Labor, Occupational Safety and Health Administration
This Federal Register notice announces meetings of the full Committee and the workgroups on May 3 and 4, 2016 in Washington, DC.
TUV SUD America Inc.: Grant of Expansion of Recognition
Document Number: 2016-08761
Type: Notice
Date: 2016-04-15
Agency: Department of Labor, Occupational Safety and Health Administration
In this notice, OSHA announces its final decision to expand the scope of recognition for TUV SUD America Inc. as a Nationally Recognized Testing Laboratory (NRTL).
Notice of Availability of Funds and Funding Opportunity Announcement for: Pathways to Justice Careers for Youth
Document Number: 2016-08745
Type: Notice
Date: 2016-04-15
Agency: Employment and Training Administration, Department of Labor
The Employment and Training Administration (ETA), U.S. Department of Labor, announces the availability of approximately $5,000,000 in grant funds authorized by the Workforce Innovation and Opportunity Act (WIOA) Section 169 for the Pathways to Justice Careers (PJC) program designed to support access and entry into career pathways for at-risk and court-involved youth ages 16-21. This program supports at-risk and court-involved youth that are still in school (``eligible youth'') by providing: (1) Exposure to the world of work in the career fields of justice and emergency services, (2) mentoring to encourage participants to complete a high school diploma or equivalency, and (3) supportive services that engage participants and deter them from engaging or re-engaging with the criminal justice system. The Department plans to award approximately 5 grants of up to $1,000,000 each. These grants will combine case management, mentoring, career exploration, and exposure to the world of work models in the field of justice and emergency services for in-school youth ages 16 to 21, that are eligible to graduate within 2 years and are at risk of dropping out of school or at risk of entanglement in the criminal justice system, or both; the eligible youth must be enrolled in a public secondary school or alternative secondary school. This grant provides these in-school youth the opportunity to work with and be mentored by professionals currently working in justice and emergency services careers. The complete FOA and any subsequent FOA amendments in connection with this funding opportunity are described in further detail on ETA's Web site at https://www.doleta.gov/grants/find_grants.cfm or on http:// www.grants.gov. The Web sites provide application information, eligibility requirements, review and selection procedures, and other program requirements governing this funding opportunity.
Notice of Availability of Funds and Funding Opportunity Announcement for Women in Apprenticeship and Nontraditional Occupations (WANTO) Technical Assistance (TA) Grants
Document Number: 2016-08744
Type: Notice
Date: 2016-04-15
Agency: Employment and Training Administration, Department of Labor
The Employment and Training Administration (ETA), U.S. Department of Labor, Women's Bureau, and the Office of Apprenticeship announces the availability of approximately $1,988,000.00 in grant funds authorized by the Women in Apprenticeship and Nontraditional Occupations (WANTO) Act of 1992, Public Law 102-530, 29 U.S.C. 2501 et seq. Awards made under this announcement are subject to the availability of Federal funds. The Department plans to disburse Program Year (PY) 2015/16 WANTO grant funds to up to four (4) community-based organization (CBO) grantees with the ceiling amount of up to $650,000 to develop and operate innovative technical assistance projects to improve outreach, recruitment, hiring, training, employment, and retention of women including for, women of color and women with disabilities in apprenticeships and nontraditional occupations, as defined in Section VIII.A of the FOA. These awards will have a 24-month period of performance. The anticipated start date is July 1, 2016. The complete FOA and any subsequent FOA amendments in connection with this funding opportunity are described in further detail on ETA's Web site at https://www.doleta.gov/grants/find_grants.cfm_ or on http:/ /www.grants.gov. The Web sites provide application information, eligibility requirements, review and selection procedures, and other program requirements governing this funding opportunity.
Proposed Extension of Existing Collection; Comment Request
Document Number: 2016-08505
Type: Notice
Date: 2016-04-13
Agency: Department of Labor, Office of Workers' Compensation Programs
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(c)(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 Programs is soliciting comments concerning the proposed collection: Death Gratuity Forms (CA- 40, CA-41, and CA-42). A copy of the proposed information collection request can be obtained by contacting the office listed below in the addresses section of this Notice.
Petitions for Modification of Application of Existing Mandatory Safety Standards
Document Number: 2016-08457
Type: Notice
Date: 2016-04-13
Agency: Department of Labor, Mine Safety and Health Administration
Section 101(c) of the Federal Mine Safety and Health Act of 1977 and Title 30 of the Code of Federal Regulations Part 44 govern the application, processing, and disposition of petitions for modification. This notice is a summary of petitions for modification submitted to the Mine Safety and Health Administration (MSHA) by the parties listed below.
Data Users Advisory Committee; Notice of Meeting and Agenda
Document Number: 2016-08093
Type: Notice
Date: 2016-04-08
Agency: Department of Labor, Bureau of Labor Statistics
Rollins College; AmerenUE (Formerly Union Electric Company); and Outfront Media, LLC (Formerly Gannett Outdoor Companies, Operating as Outdoor Systems, Inc., Subsequently CBS Outdoor Systems, Inc.): Technical Amendment to, and Revocation of, Permanent Variances
Document Number: 2016-08005
Type: Notice
Date: 2016-04-08
Agency: Department of Labor, Occupational Safety and Health Administration
With this notice, the Occupational Safety and Health Administration (``OSHA'' or ``the Agency'') is making a technical amendment to an existing permanent variance, and revoking two others. The technical amendment involves updating the name of one employer granted a variance whose name has changed. The technical amendment and revocations result from an OSHA review to identify variances that are outdated, unnecessary, or otherwise defective.
Nucor Steel Connecticut Incorporated; Grant of a Permanent Variance
Document Number: 2016-08004
Type: Notice
Date: 2016-04-08
Agency: Department of Labor, Occupational Safety and Health Administration
In this notice, OSHA grants a permanent variance to Nucor Steel Connecticut Incorporated from the provisions of OSHA standards that regulate the control of hazardous energy (lockout/tagout).
Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1
Document Number: 2016-07930
Type: Rule
Date: 2016-04-08
Agency: Employee Benefits Security Administration, Department of Labor
This document contains amendments to prohibited transaction exemptions (PTEs) 75-1, 77-4, 80-83 and 83-1. Generally, the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code) prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self- dealing, including using their authority, control or responsibility to affect or increase their own compensation. These exemptions generally permit fiduciaries to receive compensation or other benefits as a result of the use of their fiduciary authority, control or responsibility in connection with investment transactions involving plans or IRAs. The amendments require the fiduciaries to satisfy uniform Impartial Conduct Standards in order to obtain the relief available under each exemption. The amendments affect participants and beneficiaries of plans, IRA owners, and fiduciaries with respect to such plans and IRAs.
Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-Dealers; Amendment to and Partial Revocation of PTE 75-1, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Benefits Plans and Certain Broker-Dealers, Reporting Dealers and Banks.
Document Number: 2016-07929
Type: Rule
Date: 2016-04-08
Agency: Employee Benefits Security Administration, Department of Labor
This document contains amendments to Prohibited Transaction Exemptions (PTEs) 86-128 and 75-1, exemptions from certain prohibited transaction provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code of 1986 (the Code). The ERISA and Code provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing in connection with transactions involving plans and IRAs. PTE 86-128 allows fiduciaries to receive compensation in connection with certain securities transactions entered into by plans and IRAs. The amendments increase the safeguards of the exemption. This document also contains a revocation of PTE 86-128 with respect to transactions involving investment advice fiduciaries and IRAs, and of PTE 75-1, Part II(2), and PTE 75-1, Parts I(b) and I(c), in light of existing or newly finalized relief, including the relief provided in the ``Best Interest Contract Exemption,'' published elsewhere in this issue of the Federal Register. The amendments and revocations affect participants and beneficiaries of plans, IRA owners and certain fiduciaries of plans and IRAs.
Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters
Document Number: 2016-07928
Type: Rule
Date: 2016-04-08
Agency: Employee Benefits Security Administration, Department of Labor
This document amends and partially revokes Prohibited Transaction Exemption (PTE) 84-24, an exemption from certain prohibited transaction provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code of 1986 (the Code). The ERISA and Code provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing in connection with transactions involving these plans and IRAs. Non-fiduciary service providers also may not enter into certain transactions with plans and IRAs without an exemption. The amended exemption allows fiduciaries and other service providers to receive compensation when plans and IRAs purchase insurance contracts, ``Fixed Rate Annuity Contracts,'' as defined in the exemption, securities of investment companies registered under the Investment Company Act of 1940, as well as certain related transactions. The amendments increase the safeguards of the exemption. This document also contains the revocation of the exemption as it applies to plan and IRA purchases of annuity contracts that do not satisfy the definition of a Fixed Rate Annuity Contract, and the revocation of the exemption as it applies to IRA purchases of investment company securities. The amendments and revocations affect participants and beneficiaries of plans, IRA owners, and certain fiduciaries and service providers of plans and IRAs.
Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Benefit Plans and Certain Broker-Dealers, Reporting Dealers and Banks
Document Number: 2016-07927
Type: Rule
Date: 2016-04-08
Agency: Employee Benefits Security Administration, Department of Labor
This document contains an amendment to PTE 75-1, Part V, a class exemption from certain prohibited transactions provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code). The provisions at issue generally prohibit fiduciaries of employee benefit plans and individual retirement accounts (IRAs), from lending money or otherwise extending credit to the plans and IRAs and receiving compensation in return. PTE 75-1, Part V, permits the extension of credit to a plan or IRA by a broker-dealer in connection with the purchase or sale of securities; however, it originally did not permit the receipt of compensation for an extension of credit by broker-dealers that are fiduciaries with respect to the assets involved in the transaction. This amendment permits investment advice fiduciaries to receive compensation when they extend credit to plans and IRAs to avoid a failed securities transaction. The amendment affects participants and beneficiaries of plans, IRA owners, and fiduciaries with respect to such plans and IRAs.
Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs
Document Number: 2016-07926
Type: Rule
Date: 2016-04-08
Agency: Employee Benefits Security Administration, Department of Labor
This document contains an exemption from certain prohibited transactions provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code). The provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from purchasing and selling investments when the fiduciaries are acting on behalf of their own accounts (principal transactions). The exemption permits principal transactions and riskless principal transactions in certain investments between a plan, plan participant or beneficiary account, or an IRA, and a fiduciary that provides investment advice to the plan or IRA, under conditions to safeguard the interests of these investors. The exemption affects participants and beneficiaries of plans, IRA owners, and fiduciaries with respect to such plans and IRAs.
Best Interest Contract Exemption
Document Number: 2016-07925
Type: Rule
Date: 2016-04-08
Agency: Employee Benefits Security Administration, Department of Labor
This document contains an exemption from certain prohibited transactions provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code). The provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing and receiving compensation from third parties in connection with transactions involving the plans and IRAs. The exemption allows entities such as registered investment advisers, broker-dealers and insurance companies, and their agents and representatives, that are ERISA or Code fiduciaries by reason of the provision of investment advice, to receive compensation that may otherwise give rise to prohibited transactions as a result of their advice to plan participants and beneficiaries, IRA owners and certain plan fiduciaries (including small plan sponsors). The exemption is subject to protective conditions to safeguard the interests of the plans, participants and beneficiaries and IRA owners. The exemption affects participants and beneficiaries of plans, IRA owners and fiduciaries with respect to such plans and IRAs.
Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice
Document Number: 2016-07924
Type: Rule
Date: 2016-04-08
Agency: Employee Benefits Security Administration, Department of Labor
This document contains a final regulation defining who is a ``fiduciary'' of an employee benefit plan under the Employee Retirement Income Security Act of 1974 (ERISA or the Act) as a result of giving investment advice to a plan or its participants or beneficiaries. The final rule also applies to the definition of a ``fiduciary'' of a plan (including an individual retirement account (IRA)) under the Internal Revenue Code of 1986 (Code). The final rule treats persons who provide investment advice or recommendations for a fee or other compensation with respect to assets of a plan or IRA as fiduciaries in a wider array of advice relationships.
Interpretation of the “Advice” Exemption in Section 203(c) of the Labor-Management Reporting and Disclosure Act
Document Number: 2016-07883
Type: Rule
Date: 2016-04-07
Agency: Department of Labor, Office of Labor-Management Standards
The Office of Labor-Management Standards of the Department of Labor (``Department'') published a final rule on March 24, 2016. The final rule revises the Form LM-20 Agreement and Activities Report and the Form LM-10 Employer Report, which are filed with the Department pursuant to the Labor-Management Reporting and Disclosure Act (LMRDA). In the final rule, the Department revises its interpretation of the advice exemption in section 203(c) of the LMRDA to better effectuate section 203's requirement that employers and their labor relations consultants report activities undertaken with an object, directly or indirectly, to persuade employees about how to exercise their rights to union representation and collective bargaining. The revised interpretation provides employees with important information that would enable them to consider the source of the information about union representation directed at them when assessing the merits of the arguments and deciding how to exercise their rights. The Department has also revised the forms and instructions to make them more user-friendly and to require more detailed reporting on employer and consultant agreements. Additionally, with this rule, the Department requires that Forms LM-10 and LM-20 be filed electronically. In accordance with the Paperwork Reduction Act (PRA), the Department of Labor announces that the Office of Management and Budget has approved the information collection requirements contained in the final rule.
Agency Information Collection Activities; Comment Extension, Establishing Paid Sick Leave for Federal Contractors
Document Number: 2016-07889
Type: Notice
Date: 2016-04-06
Agency: Wage and Hour Division, Employment Standards Administration, Department of Labor
This document extends the period for filing comments on the Paperwork Reduction Act and Information Collections ONLY, related to Establishing Paid Sick Leave for Federal Contractors. RIN 1235-AA13, until April 25, 2016. The Notice of Proposed Rulemaking (NPRM), and associated Information Collections were published in the Federal Register on February 25, 2016 (81 FR 9592). The affected agency OMB control numbers include: OMB Control Number 1235-0018, Records to be kept by Employers-Fair Labor Standards Act; OMB Control Number 1235- 0021, Employment Information Form, and a proposed new collection identified under 1235-0NEW. The Department of Labor (Department) is taking this action in order to provide interested parties additional time to submit comments on the Paperwork Reduction Act and current Information Collections affected by this Rulemaking and the proposed new Information Collection.
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Application for Prevailing Wage Determination
Document Number: 2016-07887
Type: Notice
Date: 2016-04-06
Agency: Department of Labor, Office of the Secretary
The Department of Labor (DOL) is submitting the Employment and Training Administration (ETA) sponsored information collection request (ICR) titled, ``Application for Prevailing Wage Determination,'' to the Office of Management and Budget (OMB) for review and approval for continued use, without change, in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq. Public comments on the ICR are invited.
Agency Information Collection Activities; Submission for OMB Review; Comment Request; National Medical Support Notice-Part B
Document Number: 2016-07886
Type: Notice
Date: 2016-04-06
Agency: Department of Labor, Office of the Secretary
The Department of Labor (DOL) is submitting the Employee Benefits Security Administration sponsored information collection request (ICR) titled, ``National Medical Support NoticePart B,'' to the Office of Management and Budget (OMB) for review and approval for continued use, without change, in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq. Public comments on the ICR are invited.
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Petition Requirements and Investigative Data Collection: Trade Act of 1974, as Amended
Document Number: 2016-07885
Type: Notice
Date: 2016-04-06
Agency: Department of Labor, Office of the Secretary
The Department of Labor (DOL) is submitting the Employment and Training Administration (ETA) sponsored information collection request (ICR) titled, ``Petition Requirements and Investigative Data Collection: Trade Act of 1974, as Amended,'' to the Office of Management and Budget (OMB) for review and approval for continued use, without change, in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq. Public comments on the ICR are invited.
Claims for Compensation Under the Energy Employees Occupational Illness Compensation Program Act
Document Number: 2016-07488
Type: Proposed Rule
Date: 2016-04-05
Agency: Department of Labor, Office of Workers' Compensation Programs
The Department of Labor is reopening and extending the comment period for the notice of proposed rulemaking it published on November 18, 2015 (80 FR 72296). The Department originally allowed a 60-day comment period that was scheduled to close on January 19, 2016, but on that date extended the comment period another 30 days through February 18, 2016 (81 FR 2787). This notice indicates that the comment period is being reopened as of April 5, 2016 and extended for an additional period. The comment period for the information collection requirements in the proposed rule ended on December 18, 2015, and that period is not being reopened.
MET Laboratories, Inc.: Grant of Expansion of Recognition and Modification to the NRTL Program's List of Appropriate Test Standards
Document Number: 2016-07482
Type: Notice
Date: 2016-04-04
Agency: Department of Labor, Occupational Safety and Health Administration
In this notice, OSHA announces its final decision to expand the scope of recognition for MET Laboratories, Inc. as a Nationally Recognized Testing Laboratory (NRTL).