Submission for OMB Review; Comment Request

DEPARTMENT OF LABOR

Office of the Secretary

Submission for OMB Review; Comment Request

October 2, 1998.

The Department of Labor (DOL) has submitted the following public

information collection requests (ICRs) to the Office of Management and

Budget (OMB) for review and approval in accordance with the Paperwork

Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. Chapter 35). A copy of

each individual ICR, with applicable supporting documentation, may be

obtained by calling the Department of Labor, Departmental Clearance

Officer, Todd, R. Owen [{202} 219-5096 ext. 143) or by E-Mail to Owen-

T[email protected].

Comments should be sent to the Office of Information and Regulatory

Affairs, Attn: OMB Desk Officer for BLS, DM, ESA, ETA, MSHA, OSHA,

PWBA, or VETS, Office of Management and Budget, Room 10235, Washington,

DC 20503 ({202} 395-7316), within 30 days from the date of this

publication in the Federal Register. The OMB is particularly interested

in comments which:

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,

[[Page 53931]]

including the validity of the methodology and assumptions used;

Enhance the quality, utility, and clarity of the

information to be collected; and

Minimize the burden of the collection of information on

those who are to respond, including through the use of appropriate

automated, electronic, mechanical, or other technological collection

techniques or other forms of information technology e.g., permitting

electronic submission of responses.

Agency: Bureau of Labor Statistics.

Title: BLS/OSHS Federal/State Cooperative Agreement (Application

Package).

OMB Number: 1220-0149 (revision).

Agency Number: BLS-OSHS1; BLS-OSHS2.

Frequency: BLS-OSHS1 Annually; BLS-OSHS Quarterly.

Affected Public: States.

Number of Respondents: 57.

Estimated Time per Respondent: BLS-OSHS1 2 hours; BLS-OSHS2 1 hour.

Total Burden Hours: 342 hours.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The BLS signs cooperative agreements with States, and

political subdivisions thereof, to assist them in developing and

administering programs that deal with occupational safety and health

statistics and to arrange through these agreements for research to

further the objectives of the Occupational Safety and Health Act. Cost

information by object class and a description of activities are needed

to evaluate cost effectiveness and to ensure that program objectives

are being met. Data will become part of a ``management information

system'' to generate summaries for authorized users.

Agency: Employment and Training Administration.

Title: Labor Condition Application and Requirement for Employers

Using Nonimmigrants on H-1B Visas.

OMB Number: 1205-0310 (extension).

Agency Number: ETA 9035.

Frequency: Other.

Affected Public: Individuals or households; State or Local

governments; Businesses or other for-profit; Federal agencies or

employees; Non-profit institutions; Small businesses or organizations.

Number of Respondents: 200,000.

Estimated Time per Respondent: 1 hour and 15 minutes.

Total Burden Hours: 200,050.

Total annualized capital/startup costs: 0.

Total annual costs (operating./maintaining systems or purchasing

services): 0.

Description: The application form and other requirements in these

regulations for employers seeking to use H-1 nonimmigrants in

speciality occupations and as fashion models will permit DOL to meet

its statutory responsibilities for program administration, management,

and oversight.

Agency: Employment and Training Administration.

Title: Welfare to Work (WtW), Employment & Training Administration,

monitoring guide.

OMB Number: 1205-ONEW.

Agency Number: None.

Frequency: Annually.

Affected Public: State, Local, or Tribal Governments; Business or

other for-profit; Not-for-profit institutions.

Number of Respondents: 184.

Estimated Time per Respondent: 4 hours.

Total Burden Hours: 828.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The WtW Monitoring and Oversight Guide is solely an

instrument developed to assist the Department of Labor in meeting the

responsibilities of the Secretary for oversight and monitoring WtW

Formula and competitive Grants. This document focuses on WtW program

performance, fiscal accountability, and service strategies and

coordination with other service providers.

Agency: Employment Training Administration.

Title: Standardized Program Information Reporting for Job Training

Partnership Act (JTPA) Titles II and III.

OMB Number: 1205-0321 (revision).

Agency Number: None.

Frequency: Quarterly.

Affected Public: State, Local or Tribal Government.

Number of Respondents: 52.

Total Responses: ETA receives one data set from each of the 52

reporting units. Each of these sets contains one record for each

individual who has terminated from participation in JTPA program

included in the Standardized Program Information Reporting (SPIR)

reporting requirements during the reporting period.

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

Average Average

Activity Affected hours per burden

respondents year hours

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

Currently Authorized............. ........... ........... 439,365

Change in Record volume.......... 52 310 455,485

Quarterly Reporting.............. 52 30 457,045

New and Revised Data Elements.... 52 80 461,205

Start-up Requirements for Wage

Records......................... 5 100 461,705

Routine Data Gathering for Wage

Records......................... 5 50 461,955

Decrease in Burden Associated

with Move to Wage............... 5 -1203 455,940

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

Total Burden Hours: 454,380.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): $7,500.

Description: Selected standardized information pertaining to

participants in the Job Training Partnership Act Titles II and III

programs will be collected and reported for the purpose of general

program oversight/evaluation and performance assessment.

Agency: Occupational Safety and Health Administration.

Title: Fire Brigades (29 CFR 1910.156.

OMB Number: 1218-0075 (extension).

Agency Number: None.

Frequency: On Occasion.

Affected Public: Business or other for-profit; Not for-profit

institutions; Federal Government; State, Local or Tribal Government.

Number of Respondents: 1,670.

Estimated Time per Respondent: Varies from five minutes to two

hours.

Total Burden Hours: 172 hours.

Total annualized capital/startup costs: 0.

[[Page 53932]]

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The Occupational Safety and Health Act of 1970 (the

Act) authorizes the promulgation of such health and safety standards as

are necessary or appropriate to provide safe or healthful employment

and places of employment. The statute specifically authorizes

information collection by employers as necessary or appropriate for the

enforcement of the Act or for developing information regarding the

causes and prevention of occupational injuries, illnesses, and

accidents.

Fighting fires as members of a fire brigade presents a significant

risk of harm to employees. In fact, fire fighting continues to be one

of the Nations' most hazardous occupations. The mitigate the risks of

employees fighting fires, OSHA promulgated a standard for fire brigades

in 1980 (29 CFR 1910.156). The Fire Brigade standard does not require

the employer to organize a fire brigade. However, if the employer does

decide to organize a fire brigade, the provisions of the standard must

be met.

There are various types of fire brigades. Some fire brigades merely

monitor and assist in evacuation, others perform incipient fire

fighting, while others perform interior structural fire fighting. The

tasks, responsibility, training, and personal protective equipment

needs differ according to the type of fire brigade organized at the

workplace. Therefore, 1910.156(b)(1) requires the employer to develop

and maintain an organizational statement which defines the type of fire

brigade being organized and describes the functions that the employer

expects the fire brigade to perform.

The use of personal protective equipment and the level of training

is dependent upon the type of fire brigade organized at the workplace.

Consequently, the organizational statement is one of the most important

provisions of the Fire Brigades standard because it must describe the

tasks that the fire brigade members are expected to perform (which in

turn determines the personal protective equipment necessary); and

because it describes the type, amount, and frequency of training

provided to fire brigade members (level of training).

Agency: Occupational Safety and Health Administration.

Title: Construction Crane or Derrick Annual Inspection Record

(Sec. 1926.550(a)(6)).

OMB Number: 1218-0113 (extension).

Agency Number: None.

Frequency: On Occasion.

Affected Public: Business or other for-profit.

Number of Respondents: 32,900.

Estimated Time per Respondent: 3.5 hours.

Total Burden Hours: 115,167 hours.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The construction crane and derrick standard, under

Sec. 1926.550(a)(6), requires that employers perform a thorough annual

inspection of cranes or derricks used in construction, and to record

and maintain the dates and results of the inspections.

Agency: Occupational Safety and Health Administration.

Title: Construction Crane Rating chart Limitations Instructions and

Hand Signal Illustrations (Sec. 1926.550(a)(1) and (2), (4), (16)).

OMB Number: 1218-0115 (extension).

Agency Number: None.

Frequency: On Occasion.

Affected Public: Business or other for-profit.

Number of Respondents: 5,944.

Estimated Time per Respondent: 5 minutes.

Total Burden Hours: 4,966 hours.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): $333.

Description: The construction crane and derrick standard has

several provisions that require employers to obtain information and

post it on the crane or derrick. The information required under

Sec. 1926.550(a)(1), and (2), (4), (16)) is for rating chart

limitations instructions and hand-signal illustrations.

Agency: Occupational Safety and Health Administration.

Title: Powered Platforms for Building Maintenance (29 CFR 1910.66).

OMB Number: 1218-0121 (extension).

Agency Number: None.

Frequency: Varies (Initially, Annually, Monthly, On Occasion).

Affected Public: Business or other for-profit; Not for-profit

institutions, Federal Government; State, Local or Tribal Government.

Number of Respondents: 51,687.

Estimated Time per Respondent: Varies from 5 minutes to generate,

maintain and disclose records to eight hours to prepare plans (average

2 hours).

Total Burden Hours: 129,763.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The Occupational Safety and Health Act of 1970 (the

Act) authorizes the promulgation of such health and safety standards as

are necessary or appropriate to provide safe or healthful employment

and places of employment. The statute specifically authorizes

information collection by employers as necessary or appropriate for the

enforcement of the Act or for developing information regarding the

causes and prevention of occupational injuries, illnesses, and

accidents.

One of the information collection requirements is for the employer

to develop written work procedures to be used to train employees

(Sec. 1910.66(i)(1)(iv)). The employer would then prepare a

certification record to verify that the training has been given

(Sec. 1910.66(i)(1)(iv)). The written work procedures would address the

operation, safe use, and inspection of powered platforms.

Another information collection requirement is that employers

develop a written emergency action plan for employees who work on

powered platforms at different building sites (Sec. 1910.66(e)(9)).

OSHA believes it is necessary for the employer to prepare for

emergencies so that employees using powered platforms know what actions

are required of them during emergency situations. Employers would also

certify that employees had been trained in the emergency action plan.

OSHA also requires employers to conduct inspections and tests

(Secs. 1910.66(g)(2)(i), (g)(2)(ii), (g)(3)(i), and (g)(5)(iii)) and to

certify that these inspections and tests had been conducted

(Secs. 1910.66(g)(2)(iii), (g)(3)(ii) and (g)(5)(v)). Certification

records are required to show inspections: (1) of the building supports

(once a year); (2) of the equipment used on the platform--the hoist,

control systems, bearings, gears, and governors, for example (as

recommended by the manufacturer or supplier, but at least once a year

inspection and tested as needed); (3) of the installation of the

platform (every 30 days or when used less frequently, before each work

cycle); (4) of the wire rope every month or before being used; and (5)

to demonstrate employee training.

The final group of information collection requirements in the

standard pertains to a number of provisions requiring tags and labels.

Section 1910.66(f)(5)(i)(C) requires a load rating plate to be affixed

to each suspended unit. Section 1910.66(f)(5)(ii)(N) requires the

compartment for an

[[Page 53933]]

emergency electric operating device to be labeled with instructions for

use. Sections 1910.66(f)(7)(vi), 1910.66(f)(7)(vii), and

1910.66(f)(7)(viii) require the attachment of a tag on a suspension

wire rope when it is installed, renewed or resocketed. The information

collected would also be used by OSHA compliance officers to ensure that

employers are complying with the requirements set forth in 29 CFR

1910.66.

Agency: Occupational Safety and Health Administration.

Title: Accident Prevention Tags (29 CFR 1910.145).

OMB Number: 1218-0132 (extension).

Agency Number: None.

Frequency: On occasion.

Affected Public: Business or other for-profit; Not for profit

institutions; Federal Government; State, Local or Tribal Government.

Number of Respondents: 112,000.

Estimated Time per Respondent: 3 minutes.

Total Burden Hours: 5,600.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The Occupational Safety and Health Act of 1970 (the

Act) authorizes the promulgation of such health and safety standards as

are necessary or appropriate to provide safe or healthful employment

and places of employment. The statute specifically authorizes

information collection by employers as necessary or appropriate for the

enforcement of the Act or for developing information regarding the

causes and prevention of occupational injuries, illnesses, and

accidents.

In the standard on Accident Prevention Tags (29 CFR 1910.145),

information concerning the degree of hazard associated with a workplace

condition is used by the employer to select the type of accident tag

(sign) to be used on a workplace hazard. The tag (sign) selected will

identify the workplace hazard and convey the severity of hazard and any

accident prevention instruction to the employee.

Agency: Occupational Safety and Health Administration.

Title: Construction Oxygen and Toxic Test (Sec. 1926.550(a)(11)).

OMB Number: 1218-0054 (extension).

Agency Number: None.

Frequency: On occasion.

Affected Public: Business or other for-profit.

Number of Respondents: 50.

Estimated Time per Respondent: 2 minutes.

Total Burden Hours: 100 hours.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

service): $9,000.

Description: The construction standard (Sec. 1926.550(a)(11))

requires employers to keep a record of oxygen and toxic gas tests made

when internal combustion engines of construction cranes or derricks

exhaust into enclosed work spaces.

Agency: Occupational Safety and Health Administration.

Title: Crane or Derrick-Suspended Personal Platforms Used in

Construction Sec. 1926.550(g)(4)(ii)(1)).

OMB Number: 1218-0151 (extension).

Agency Number: None.

Frequency: On occasion.

Affected Public: Business or other for-profit.

Number of Respondents: 2,750.

Estimated Time per Respondent: 5 minutes.

Total Burden Hours: 229 hours.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services: 0.

Description: The standard for crane or derrick-suspended personnel

platforms used in construction (Sec. 1926.550(g)(4)(ii)(1)) requires

that these platforms carry plates or other conspicuous permanent

markings indicating the weight of the platform and its related load

capacity or maximum intended load.

Agency: Occupational Safety and Health Administration.

Title: Storage of Anhydrous Ammonia (29 CFR 1910.111).

OMB Number: 1218-0208 (extension).

Agency Number: None.

Frequency: On occasion.

Affected Public: Business or other for-profit, Farms; State, Local

or Tribal Government.

Number of Respondents: 300.

Estimated Time per Respondent: 5 minutes.

Total Burden Hours: 24.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services: 0.

Description: The standard and Handling of Anhydrous Ammonia

standard requires the identification of anhydrous ammonia containers

and systems through the use of permanent nameplates. The purpose of the

information is to insure that only properly designed and tested

anhydrous ammonia containers and systems are used. This will help to

prevent any accidental release of (employee exposure to) anhydrous

ammonia, which is a highly corrosive and toxic material.

Agency: Occupational Safety and Health Administration.

Title: Logging Operations (29 CFR 1910.266).

OMB Number: 1218-0198 (extension).

Agency Number: None.

Frequency: Varies (Initially, On occasion).

Affected Public: Business or other for-profit; Farm; Not-for-profit

institutions; State, Local or Tribal Governments.

Number of Respondents: 79.200.

Estimated Time per Respondent: Varies from two minutes to 1 hour

and five minutes.

Total Burden Hours: 9,936.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services: 0.

Description: Section 6(b) of the Occupational Safety and Health Act

of 1970 (the Act) authorizes the promulgation of such health and safety

standards as are necessary or appropriate to provide safe or healthful

employment and places of employment. The statute specifically

authorizes information collection by employers as necessary or

appropriate for the enforcement of the Act or for developing

information regarding the causes and prevention of occupational

injuries, illnesses, and accidents.

In the standard Logging Operations, Sec. 1910.266(i)(1) requires an

employer to provide training for each employee, including supervisors,

as soon as possible, but not later than the effective date of this

section for initial training for each current and new employee: prior

to initial assignment for each new employee; whenever the employee is

assigned new work tasks, etc.; and whenever an employee demonstrates

unsafe job performance. Section 1910.266(i)(10)(i) requires an employer

to verify that employees have been trained in the safe performance of

assigned work tasks, first-aid and CPR by preparing written

certification records. Section 1910.266(i)(10)(ii) requires an employer

to maintain the certification records.

Agency: Occupational Safety and Health Administration.

Title: Welding, Cutting and Brazing (29 CFR part 1910).

OMB Number: 1218-0207 (extension).

Agency Number: None.

Frequency: Annually.

[[Page 53934]]

Affected Public: Business or other for-profit; Farms; State, Local

or Tribal Government.

Number of Respondents: 35,307.

Estimated Time per Respondent: 10 minutes.

Total Burden Hours: 6,002.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The Occupational Safety and Health Act of 1970 (the

Act) authorizes the promulgation of such health and safety standards as

are necessary or appropriate to provide safe or healthful employment

and places of employment. The statute specifically authorizes

information collection by employers as necessary or appropriate for the

enforcement of the Act or for developing information regarding the

causes and prevention of occupational injuries, illnesses, and

accidents.

In 29 CFR part 1910, Welding, Cutting and Brazing, the information

to be collected is used by employers and employees whenever resistance

welding is performed. The purpose of the information is to ensure that

employers evaluate hazards associated with resistance welding and

ensure that adequate measures are taken to make the process safe.

Agency: Occupational Safety and Health Administration.

Title: Grain Handling Facilities.

OMB Number: 1218-0206 (extension).

Agency Number: None.

Frequency: Monthly, Annually.

Affected Public: Business or other for-profit.

Number of Respondents: 23,770.

Estimated Time per Respondent: 6 hours.

Total Burden Hours: 138,921.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The requirements are directed toward assuring the

safety of employees through the development of a housekeeping plan,

emergency action plan, use of tags/locks, hot work permits and permits

for entry into grain structures. Certification records are also

required after inspections of mechanical and safety control equipment

of dryers, processing equipment, dust collection equipment and bucket

elevators.

Agency: Occupational Safety and Health Administration.

Title: Construction Posting Requirements--Emergency Numbers and

Floor Load Limits (Secs. 1926.50(f) and 1926.250(a)(2)).

OMB Number: 1218-0093 (extension).

Agency Number: None.

Frequency: Once.

Affected Public: Business or other for-profit.

Number of Respondents: 187,562.

Estimated Time per Respondent: Sec. 1926.50(f) = 2 minutes;

Sec. 1926.250(a)(2) = 5 minutes.

Total Burden Hours: 5.555 hours.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): 0.

Description: The construction standard for medical services and

first aid (Sec. 1926.50(f)) requires that employers post emergency

phone numbers for medical services at construction sites. The

construction standard for (Sec. 1926.250(a)(2)) requires the posting of

the maximum safe floor load limits and that the limits are not to be

exceeded when materials are stored on that floor.

Agency: Occupational Safety and Health Administration.

Title: Design of Cave in Protective Systems (Sec. 1926.652 (b) and

(c)).

OMB Number: 1218-0137 (extension).

Agency Number: None.

Frequency: On occasion.

Affected Public: Business or other for-profit.

Number of Respondents: 10,000.

Estimated Time per Respondent: Ranges from 0 to 2 hours.

Total Burden Hours: 20,080 hours.

Total annualized capital/startup costs: 0.

Total annual costs (operating/maintaining systems or purchasing

services): $301,300.

Description: In OSHA's construction standard for excavations,

employers are required to protect employees from cave-in hazards by

using one of several protective systems. The information required to be

collected by this standard is used by employers or engineers to design

proper cave-in systems that will support the walls of the excavation or

trench.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Alternative Method of Compliance for Certain SEPs pursuant

to 29 CFR 2520.104-49.

OMB Number: 1210-0034 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 5,533.

Number of Responses : 5,533.

Total Burden Hours: 2,441.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $29,303.

Description: Section 110 of the Employee Retirement Income Security

Act of 1974 (ERISA) authorizes the Secretary of Labor to prescribe

alternative methods of compliance with the reporting and disclosure

requirements of Title I of ERISA for pension plans, although simplified

employee pensions (SEPs) are established in section 408(k) of the

Internal Revenue Code. This regulation provides an alternative method

of disclosure for sponsors of certain types of SEPs that is easier to

comply with than otherwise required under ERISA.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: ERISA Summary Annual Report Requirement.

OMB Number: 1210-0040 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 817,000.

Number of Responses: 235,000,000.

Total Burden Hours: 1,929,620.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $127,725,530.

Description: ERISA section 104(b)(3) and regulations at 29 CFR

2520.104b-10 requires employee benefit plans to furnish a summary of

the plan's annual report to participants and beneficiaries for purposes

of disclosure of basic financial information.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Suspension of Pension Benefits Regulation Pursuant to 29 CFR

Sec. 2530.203-3.

OMB Number: 1210-0048 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for profit

institutions, Individuals or households.

Number of Respondents: 74,000.

Number of Responses: 75,401.

Total Burden Hours: 14,344.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): 61,828.

Description: Section 203 (a)(3)(B) of the Employee Retirement

Income Security Act (ERISA) and regulations thereunder govern the

circumstances under which pension plans may suspend pension benefit

payments to retirees that return to work, or of participants that

continue to work beyond normal retirement age.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: ERISA Claims Procedure Regulation.

[[Page 53935]]

OMB Number: 1210-0053 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

Institutions, Individuals or households.

Number of Respondents: 6,690,345.

Number of Responses: 63,317,000.

Total Burden Hours: 496.000.

Total Annual costs (O&M): $53,710,000.

Description: This regulation (29 CFR Sec. 2560.503-1) establishes

certain minimum requirements for employee benefit plan procedures

pertaining to claims by participants and beneficiaries for plan

benefits, consideration of such claims, and review of claim denials.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Class Exemption 86-128 for Certain Transactions Involving

Employee Benefit Plans and Securities Broker-Dealers.

OMB Number: 1210-0059 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 165,500.

Number of Responses: 289,625.

Total Burden Hours: 65,510.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $211,012.

Description: Class Exemption 81-128 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 benefit of employee benefit plans.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Class Exemption 77-4 for Certain transactions between

Investment Companies and Employee Benefit Plans.

OMB Number: 1210-0049 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or household.

Number of Respondents: 414.

Number of Responses: 77,633.

Total Burden Hours: 6,676.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $0.

Description: Class Exemption 77-4 permits the purchase and sale by

an employee benefit plan of shares of an open-end investment company

(mutual fund) when a fiduciary with respect to the plan (e.g.,

investment manager) is also the investment advisor for the investment

company. In absence of the exemption, certain aspects of these

transactions might be prohibited by section 406 of the Employee

Retirement Income Security Act (ERISA).

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Procedure for Application for Exemption from the Prohibited

Transaction Provisions of Section 408(a) of the Employee Retirement

Income Security Act (ERISA).

OMB Number: 1210-0060 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 167.

Number of Responses: 167.

Total Burden Hours. 0.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $141,892.

Description: Section 408(a) of the Employee Retirement Income

Security Act of 1974 (ERISA) authorizes the Secretary of Labor to grant

exemptions from the prohibited transaction provisions of sections 406

and 407(a) of ERISA and directs the Secretary to establish an exemption

procedure with respect to such provisions. This regulation provides

this procedure which requires applicants for exemption to make certain

disclosures to the Department of Labor and participants and

beneficiaries.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Class Exemption 81-8 for Investment of Plan Assets in

Certain Types of Short-Term Investments.

OMB Number: 1210-0061 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 25,600.

Number of Responses: 128,000.

Total Burden Hours: 21,333.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $0.

Description: Class Exemption 81-8 permits the investment of plan

assets which involve the purchase or other acquisition, holding, sale,

exchange or redemption by or on the behalf of an employee benefit plan

of certain types of short-term investments. In absence of the

exemption, certain aspects of these transactions might be prohibited by

section 406 of the Employee Retirement Income Security Act (ERISA).

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Class Exemption 82-63.

OMB Number: 1210-0062 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 25,600.

Number of Responses: 51,200.

Total Burden Hours: 4,267.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $0.

Description: Class Exemption 81-8 permits the payment of

compensation to fiduciaries for the provision to plans of securities

lending services. In the absence of this exemption, certain

compensation arrangements would be prohibited under section 406 of the

Employee Retirement Income Security Act (ERISA).

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Prohibited Transaction Class Exemption 92-6.

OMB Number: 1210-0063 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 7,656.

Number of Responses: 7,656.

Total Burden Hours: 1,276.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $0.

Description: This class exemption exempts from the prohibited

transaction provisions of the Employee Retirement Income Security Act

(ERISA), the sale of individual life insurance or annuity contracts by

a plan to participants, relatives of participants, employers, any of

whose employees are covered by the plan, other employee benefit plans,

owner-employees, or shareholder-employees, for the cash surrender value

of the contracts, provided certain conditions set forth in the

exemption are met.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Prohibited Transaction Class Exemption 81-6.

OMB Number: 1210-0065 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 25,600.

Number of Responses: 51,200.

Total Burden Hours: 4,267.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $0.

Description: This class exemption permits an employee benefit plan

to lend securities to a broker dealer registered under the Securities

Act of

[[Page 53936]]

1934 or to a bank, provided certain conditions are met. In the absence

of this exemption, certain aspects of these transactions might be

prohibited under section 406 of the Employee Retirement Income Security

Act (ERISA)

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Prohibited Transaction Class Exemption T88-1.

OMB Number: 1210-0074 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 1.

Number of Responses: 1.

Total Burden Hours: 1.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $0.

Description: Prohibited Transaction Class Exemption T88-1 adopts,

for purposes of the prohibited transaction provisions of section

8477(c)(2) of the Federal Employees' Retirement System Act of 1986

(FERSA), certain prohibited transaction class exemptions granted

pursuant to section 408(a) of ERISA.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Final Regulation Relating to Loans to Plan Participants and

Beneficiaries who are Parties in Interest with Respect to the Plan.

OMB Number: 1210-0076 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 1,232.

Number of Responses: 1,232.

Total Burden Hours: 1.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $277,200.

Description: This regulation (29 CFR 2550.408b-1) sets out the

terms of Section 408(b)(1) of the Employee Retirement Income Security

Act (ERISA), under which loans from a plan to participants and

beneficiaries who are parties in interest are permitted. For purposes

of this information collection the regulation clarifies the ``specific

provisions'' regarding such loans that must be set forth in the plan.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Prohibited Transaction Class Exemption 91-55.

OMB Number: 1210-0079 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 5.

Number of Responses: 5.

Total Burden Hours: 36,666.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $0.

Description: This class exemption permits purchases and sales by

certain ``individual retirement accounts,'' of American Eagle bullion

coins (Coins) in principal transactions from or to broker-dealers in

Coins which are authorized purchasers of coins dealers of Coins in bulk

quantities from the U.S. Mint and which are also ``disqualified

persons,'' within the meaning of Code section 4975(e) with respect to

IRAs.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: ERISA Technical Release 91-1.

OMB Number: 1210-0084 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 36.

Number of Responses: 36.

Total Burden Hours: 3,136.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $45,880.

Description: ERISA Technical Release 9101 alerts the public to

amendments to section 101(e) of ERISA which, among other things,

require that a plan provide advance written notification to the

Secretaries of Labor and Treasury, as well as participants and

beneficiaries, of an intended transfer of excess assets from a defined

benefit plan to a retiree health account as otherwise permissible after

satisfying the conditions set forth in section 420 of the Internal

Revenue Code.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Delinquent Filer Voluntary Compliance Program.

OMB Number: 1210-0089 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions.

Number of Respondents: 3,100.

Number of Responses: 3,100.

Total Burden Hours: 109.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $74,384.50.

Description: The Delinquent Filer Voluntary Compliance Program is

intended to encourage, through the assessment of reduced civil

penalties, delinquent plan administrators to voluntarily comply with

their annual reporting obligations under Title I of ERISA.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Regulation Regarding Participant Directed Individual Account

Plans (ERISA section 404(c) Plans).

OMB Number: 1210-0090 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 165,600.

Number of Responses: 20,000,000.

Total Burden Hours: 79,261.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $8,156,344.

Description: ERISA section 404(c) provides that where a pension

plan with the individual accounts permits a participant or beneficiary

(P or B) to exercise control over assets in his account and the P or B

does so, that the P or B will not be deemed to be a fiduciary by such

actions, and that no person otherwise a fiduciary shall be liable for

any loss or breach which results from this exercise of control, if

certain conditions are met.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Prohibited Transaction Class Exemption 94-71.

OMB Number: 1210-0091 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 5.

Number of Responses: 5.

Total Burden Hours: 88.

Total Annualized Capital/Startup Costs: 0.

Total Annual Costs (O&M): $1,000.

Description: Prohibited Transaction Class Exemption 94-71 exempts

from the restrictions of sections 406(a)(1)(A)-(D), 406(a)(2),

406(b)(1) and 406(b)(2) of the Employee Retirement Income Security Act

(ERISA) (and the taxes imposed by section 4975(c)(1))(A)-(E) of the

Internal Revenue Code) a transaction or activity which is authorized,

prior to the occurrence of such transaction or activity, by a

settlement agreement resulting from an investigation of an employee

benefit plan conducted by the Department under the authority of section

504(a) of ERISA.

Agency: Pension and Welfare Benefits Administration (PWBA).

Title: Prohibited Transaction Class Exemption 85-68 to Permit

Employee Benefit Plans to Invest in Customer Notes of Employers.

OMB Number: 1210-0094 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 1.

Number of Responses: 1.

Total Burden Hours: 1.

[[Page 53937]]

Total Annualized Capital/Startup costs: 0.

Total Annual Costs (O&M): 0.

Description: This class exemption exempts from the prohibited

transaction provisions of the Employee Retirement Income Security Act

(ERISA), certain transactions involving the purchase of customer notes

of an employer by an employee benefit plan.

Agency: Department of Labor, Pension and Welfare Benefits

Administration (PWBA).

Title: Prohibited Transaction Class Exemption 96-62.

OMB Number: 1210-0098 (extension).

Frequency: On occasion.

Affected Public: Business or other for-profit, Not-for-profit

institutions, Individuals or households.

Number of Respondents: 47.

Number of Responses: 1,050.

Total Burden Hours: 1.

Total Annualized Capital/Startup Costs: $0.

Total Annual Costs (O&M): $69,952.

Description: This class exemption permits a plan to seek approval

on an accelerated basis of otherwise prohibited transactions by

providing the Department and interested persons with information

demonstrating that the proposed transaction is substantially similar to

at least two individual exemptions previously granted by the

Department, and presents little, if any, opportunity for abuse or risk

of loss to a plan's participants and beneficiaries.

Agency: The Office of the Solicitor.

Title: Equal Access to Justice Act.

OMB Number: 1225-0013 (extension).

Frequency: On occasion.

Affected Public: Individuals or households; Business or other for-

profit, Not-for-profit institutions, Individuals or households.

Number of Respondents: 10.

Estimated Time per Respondent: 5 hours.

Totlal Burden Hours: 50 hours.

Total Annualized Capital/Startup Costs: 0.

Total Annual Costs (O&M): 0.

Description: The Equal Access to Justice Act provides for payment

of fees and expenses to eligible parties who have prevailed against the

Department in certain administrative proceedings. In order to obtain an

award, the statute and regulations require the filing of an

application.

Todd R. Owen,

Departmental Clearance Officer.

[FR Doc. 98-26884 Filed 10-6-98; 8:45 am]

BILLING CODE 4510-29-M