Petition for Finding under Employee Retirement Income Security Act Section 3(40)

Forms and Documents

Document Name	Status
1210-0119ss2013.doc Supporting Statement A	2013-05-07

IC Document Collections

IC ID	Document Title	Status
13496	Petition for Finding Under Section 3(40) of ERISA	Modified

ICR Details

OMB Control No: 1210-0119	ICR Reference No: 201304-1210-008
Status: Historical Active	Previous ICR Reference No: 201003-1210-004
Agency/Subagency: DOL/EBSA	Agency Tracking No:
Title: Petition for Finding under Employee Retirement Income Security Act Section 3(40)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/26/2013
	Date Received in OIRA: 05/26/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2016	36 Months From Approved	07/31/2013
Responses	10	0	45
Time Burden (Hours)	50	0	225
Cost Burden (Dollars)	38,454	0	163,268

---

Abstract: The Department's regulations at 29 CFR 2570.150 et seq. provide procedures for an entity against whom state jurisdiction has been asserts to petition the Secretary to make a finding under section 3(40)(A)(i) of ERISA that the entity is established or maintained under or pursuant to one or more collective bargaining agreements. The regulations establish procedures for initiating an administrative proceeding before the Office of Administrative Law Judges (OALJ) and establish that an OALJ decision shall constitute a finding under section 3(40)(A)(i) of ERISA. The regulations also provide for an appeal of an OALJ decision to the Secretary.

---

Authorizing Statute(s): US Code: 29 USC 1003(40) Name of Law: Employee Retirement Income Security Act of 1974
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 70828	11/27/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 31579	05/24/2013
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Petition for Finding Under Section 3(40) of ERISA

---

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	10	45	0	0	-35	0
Annual Time Burden (Hours)	50	225	0	0	-175	0
Annual Cost Burden (Dollars)	38,454	163,268	0	0	-124,814	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated number of respondents and rate of response have been adjusted to reflect improved data collection and decreases in the number of applicable entities. The burden estimates have been adjusted to take into account higher wage rates and higher costs of mailing documents.

---

Annual Cost to Federal Government: $60

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 05/26/2013

---