DEPARTMENT OF LABOR 

Fall 2013 Statement of Regulatory Priorities 

For over 100 years, the Labor Department has been central to safe guarding and expanding the 

American Dream for American working families. The Department’s Fall 2013 Regulatory Agenda 

supports that mission – specifically, Secretary Perez’s goal to develop and implement policies that 

create opportunity for everyone who wants it. These include policies that provide the opportunities 

for: 

• Workers to acquire the skills they need to succeed; 

• Employers to have the skilled workforce required to compete in a global economy; 

• Employees to earn a fair day’s pay for a fair day’s work; 

• Veterans to thrive in the civilian economy; 

• Persons with disabilities to contribute productively to the workforce; 

• Improved health benefits and a dignified retirement; and, 

• Safe and healthy work environments, fully protected by anti-discrimination laws. 

This narrative describes several of the Department’s Plan/Prevent/Protect, Openness and 

Transparency, Risk Reduction, and Regulatory Review and Burden Reduction initiatives. The Fall 

2013 Regulatory Agenda utilizes this combination of approaches as one piece of the strategy to 

advance the Department’s mission and the Secretary’s goal. 

Plan/Prevent/Protect. The regulatory actions that comprise the Department’s Plan/Prevent/Protect 

approach are designed to ensure employers and other regulated entities are in full compliance with 

the law every day, not just when the Department of Labor engages an employer. First announced 

with the Spring 2010 Regulatory Agenda, this strategy shifts the burden of ensuring compliance 

from the Department – which cannot and does not want to inspect every workplace – to the 

regulated entity itself. Employers, unions, and others who follow the Department's 

Plan/Prevent/Protect strategy will assure compliance with employment laws before Labor 

Department enforcement personnel ever have to arrive at their doorsteps. Most important, rules 

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published under this strategy will continue to assure that workers get the safe, healthy, diverse, 

family-friendly, and fair workplaces they deserve. In the Fall 2013 Regulatory Agenda, the 

Occupational Safety and Health Administration (OSHA) and the Mine Safety and Health 

Administration (MSHA) will propose regulatory actions furthering the Department’s implementation 

of the Plan/Prevent/Protect strategy. 

Openness and Transparency. Greater openness and transparency also continue to be central to 

the Department's compliance and regulatory strategies. The Fall 2013 Regulatory Plan 

demonstrates the Department's continued commitment to these two goals, not only as stakeholder 

engagement strategies, but also an important means to achieve compliance in the regulated 

community. The Department believes that when employers, workers, advocates, and members of 

the public have greater access to information concerning workplace conditions and expectations, 

achieving compliance is not only possible but often also becomes a cooperative exercise. 

Openness and transparency encourage greater levels of compliance by the regulated community, 

enhance awareness among workers of their rights and benefits, and provide employers with clear 

expectations, actionable data, and a level playing field on which to build their businesses. 

Risk Reduction. When the Department identifies specific hazards and risks to worker health, 

safety, security, or fairness, the Department will utilize its regulatory powers to limit the risk to 

workers. The Fall 2013 Regulatory Agenda includes risk reduction initiatives to address such 

specific concerns, many of which are discussed in this document.

Regulatory Review and Burden Reduction. On January 18, 2011, the President issued Executive 

Order (E.O.) 13563 entitled “Improving Regulation and Regulatory Review.” The E.O. aims to strike 

the right balance between protecting the health, welfare, safety, and the environment for all 

Americans – a goal at the core of the Labor Department’s mission -- while fostering economic 

growth, job creation, and competitiveness. The Department’s Fall 2013 Regulatory Agenda also 

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aims to achieve more efficient and less burdensome regulations through a retrospective review of 

the Labor Department regulations 

In August 2011, as part of a Government wide response to E.O. 13563, the Department published 

its “Plan for Retrospective Analysis of Existing Rules.” The plan identified several burden-reducing 

regulatory projects. Projects such as OSHA’s Standard Improvement Project – Phase IV (SIP IV) 

and OSHA’s Revising to Record Requirements in the Mechanical Power Presses Standard are both 

expected to produce savings for the covered community. 

The Department is also taking action to eliminate regulations that are no longer effective or 

enforceable. This effort has included the removal of obsolete ETA’s Job Training Partnership Act 

program regulations. The effort will continue with the removal of attestation requirements for 

facilities using nonimmigrant aliens as registered nurses in the H-1A program (authorized by the 

Immigration Nursing Relief Act of 1999); removal of attestation requirements for employers using 

F-1 students in off-campus work (authorized by the Immigration Act of 1990); and removal of 

remove obsolete regulations regarding labor certification process requirements for logging 

employment and non-H-2A agricultural employment. This agenda includes 13 retrospective review 

projects. 

Pursuant to section 6 of E.O. 13563, the following Regulatory Identifier Numbers (RINs) are 

associated with the Department’s Plan for Retrospective Analysis of Existing Rules. More 

information about completed rulemakings, which are no longer included in the plan, can be found 

on Reginfo.gov. The original August 2011 DOL Plan for Retrospective Analysis of Existing Rules 

and each subsequent update can be found at http://www.dol.gov/regulations/ 

Regulatory Identifier 

Number 

Title of Rulemaking Whether it is Expected to 

Significantly Reduce 

Burdens on Small 

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Businesses 

1218-AC34 Bloodborne Pathogens No 

1218-AC67 Standard Improvement Project 

– Phase IV (SIP IV) 

Yes 

1218-AC74 Review/Lookback of OSHA 

Chemical Standards 

To Be Determined 

1218-AC80 Revising Record 

Requirements in the 

Mechanical Power Presses 

Standard 

No 

1218-AC81 Cranes and Derricks in 

Construction: Amendments 

No 

1219-AB72 Criteria and Procedures for 

Proposed Assessment of Civil 

Penalties (Part 100) 

To Be Determined 

1250-AA05 Sex Discrimination Guidelines To Be Determined 

1210-AB47 Amendment of Abandoned 

Plan Program 

Yes 

1205-AB59 Equal Employment 

Opportunity in Apprenticeship 

and Training, Amendment of 

Regulations 

To Be Determined 

1205-AB62 Implementation of Total 

Unemployment Rate Extended 

Benefits Trigger and Rounding 

No 

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Rule 

1205-AB65 Labor Certification Process for 

Logging Employment and 

Non-H-2A Agricultural 

Employment 

No, action will not increase 

burden to small businesses as 

regulatory provisions are no 

longer operative 

1205-AB66 Attestations by Employers 

Using F-1 Students in OffCampus Work 

No, action will not increase 

burden to small businesses as 

regulatory provisions are no 

longer operative 

1205-AB67 Attestations by Facilities Using 

Nonimmigrant Aliens as 

Registered Nurses 

No, action will not increase 

burden to small businesses as 

regulatory provisions are no 

longer operative 

 

The Department’s Plan/Prevent/Protect, Openness and Transparency, and Risk Reduction

initiatives work in concert with its implementation of E.O. 13563. These regulations strengthen 

protections for workers while maintaining flexibility for businesses to comply. By requiring 

employers and other regulated entities to take full ownership of their compliance with clearly 

defined Department regulations; by promoting greater openness and transparency for employers 

and workers alike; and by encouraging regulated entities to adopt a strategy that includes planning 

and prevention, the Labor Department believes it can increase compliance with its regulations 

across all regulated entities. The increased effectiveness of this compliance strategy will enable 

the Department to create opportunity -- both for businesses to comply in the way that is most 

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efficient, least burdensome, and in line with their existing business practices, and for workers to 

labor in safe and healthy environments. A discussion of several of these initiatives follows. 

Occupational Safety and Health Administration (OSHA) 

OSHA's regulatory program is designed to help workers and employers identify hazards in the 

workplace, prevent the occurrence of injuries and adverse health effects, and communicate with the 

regulated community regarding hazards and how to effectively control them. Long-recognized 

health hazards and emerging hazards that place American workers at risk of serious injury, illness, 

and death are the focus of several initiatives on OSHA's regulatory agenda. In addition to targeting 

specific hazards, OSHA is focusing on proposing changes to systematic processes that would 

modernize the culture of safety in America's workplaces. OSHA continues work on its retrospective 

review projects that when completed will both update outdated regulations and reduce burdens on 

regulated employers. OSHA’s retrospective review projects include consideration of the 

Bloodborne Pathogens standard, updating consensus standard references in OSHA standards, 

phase IV of OSHA’s standard improvement project (SIP IV), and reviewing Permissible Exposure 

Limits of various hazardous chemicals. 

OSHA Plan/Prevent/Protect Initiatives

• Infectious Diseases. OSHA is considering the need for regulatory action to address the 

risk to workers exposed to infectious diseases in healthcare and other related high-risk 

environments. Healthcare workplaces can range from small private practices of physicians 

to hospitals that employ thousands of workers. In addition, healthcare is increasingly being 

provided in other settings such as nursing homes, free-standing surgical and outpatient 

centers, emergency care clinics, patients’ homes, and pre-hospitalization emergency care 

settings. OSHA is concerned with the movement of healthcare delivery from the traditional 

hospital setting, with its greater infrastructure and resources to effectively implement 

infection control measures, into more diverse and smaller workplace settings with less 

infrastructure and fewer resources, but with an expanding worker population. 

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OSHA is interested in all routes of infectious disease transmission in healthcare settings 

not already covered by its bloodborne pathogens standard (e.g. contact, droplet, and 

airborne routes of transmission.) The agency is particularly concerned by studies that 

indicate that transmission of infectious diseases to both patients and healthcare workers 

may be occurring as a result of incomplete adherence to recognized, but voluntary, 

infection control measures and is considering an approach that would combine elements of 

the Department’s Plan/Prevent/Protect strategy with established infection control practices. 

The agency received strong stakeholder participation in response to its May 2010 request 

for information and July 2011 stakeholder meetings on this topic. 

• Injury and Illness Prevention Program. OSHA’s Injury and Illness Prevention Program is 

the prototype for the Department’s Plan/Prevent/Protect strategy. OSHA’s first step in this 

important rulemaking was to hold four well attended stakeholder meetings across the 

country. The proposed rule will explore requiring employers to provide their employees with 

opportunities to participate in the development and implementation of an injury and illness 

prevention program, including a systematic process to proactively and continuously 

address workplace safety and health hazards. This rule will involve planning, implementing, 

evaluating, and improving processes and activities that promote worker safety and health 

hazards. OSHA has substantial evidence showing that employers who have implemented 

similar injury and illness prevention programs have reduced significantly injuries and 

illnesses in their workplaces. The new rule would build on OSHA’s existing Safety and 

Health Program Management Guidelines and lessons learned from successful approaches 

and best practices that have been applied by companies participating in OSHA’s Voluntary 

Protection Program and Safety and Health Achievement Recognition Program, and similar 

industry and international initiatives.

OSHA Openness and Transparency Initiatives

• Modernizing Recordkeeping. OSHA held informal meetings to gather information from 

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experts and stakeholders regarding the modification of its current injury and illness data 

collection system that will help the agency, employers, employees, researchers, and the 

public prevent workplace injuries and illnesses. Under the proposed rule, OSHA will 

explore requiring employers to submit electronically to the Agency data required by its part 

1904 regulations governing the Recording and Reporting of Occupational Injuries. OSHA 

learned from stakeholders that most large employers already maintain their part 1904 data 

electronically. As a result, electronic submission will constitute only a minimal additional 

burden on these employers, while providing a wealth of data to help OSHA, employers, 

employees, researchers, and the public prevent workplace injuries and illnesses. The 

proposed rule would not add to or change the recording criteria or definitions in part 1904. 

The proposed rule would only modify employers’ obligations to transmit information from 

these records to OSHA.

• Whistleblower Protection Regulations. The ability of workers to speak out and exercise 

their legal rights without fear of retaliation is essential to many of the legal protections and 

safeguards that all Americans value. Whether the goal is the safety of our food, drugs, or 

workplaces, the integrity of our financial system, or the security of our transportation 

systems, whistleblowers have been essential to ensuring that our laws are fully and fairly 

executed. In the Fall 2013 Regulatory Agenda, OSHA proposes to issue procedural rules 

that will establish consistent and transparent procedures for the filing of whistleblower 

complaints under seven statutes. These procedural rules will strengthen OSHA’s 

enforcement of its whistleblower program by providing specific timeframes and guidance for 

filing a complaint with OSHA, issuing a finding, avenues of appeal, and allowable 

remedies. 

OSHA Risk Reduction Initiatives 

• Silica. OSHA has announced a proposed rule aimed at curbing lung cancer, silicosis, 

chronic obstructive pulmonary disease and kidney disease in America’s workers. The 

proposal seeks to lower worker exposure to crystalline silica, which kills hundreds of 

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workers and sickens thousands more each year. Once the full effects of the rule are 

realized, OSHA estimates that the proposed rule would result in saving nearly 700 lives per 

year and prevent 1,600 new cases of silicosis annually. Reducing these hazardous 

exposures through promulgation and enforcement of a comprehensive health standard will 

contribute to OSHA’s goal of reducing occupational fatalities and illnesses. As a part of the 

Secretary’s strategy for securing safe and healthy work environments, MSHA will also 

utilize information provided by OSHA to undertake regulatory action related to silica 

exposure in mines. 

• Preventing Backover Injuries and Fatalities. According to the Department’s Bureau of 

Labor Statistics, backing accidents caused at least 75 occupational deaths in 2011. 

Emerging technologies that address the risks of backing operations include cameras, radar, 

and sonar—to help view or detect the presence of workers on foot in blind areas—and new 

monitoring technology, such as tag-based warning systems that use radio frequency 

(RFID) and magnetic field generators on equipment to detect electronic tags worn by 

workers. OSHA is collecting information on this hazard and researching emerging 

technologies that may help reduce this risk. OSHA published an RFI on March 27, 2012 

seeking information from the public; the comment period ended on July 27, 2012. The 

Agency has held stakeholder meetings in Washington, DC and Arlington, TX, and is also 

conducting site visits to employers. 

• Reinforced Concrete in Construction. Currently, workers performing steel reinforcing 

suffer injuries caused by unsafe material handling, structural collapse, and impalement by 

protruding reinforcing steel dowels, among others. OSHA IMIS data indicates that 31 

workers died while performing work on or near post-tensioning operations or reinforcing 

steel between 2000 and 2009. Current rules regarding reinforcing steel and post-tensioning 

activities may not adequately address hazards facing workers engaged in these activities. 

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OSHA has published an RFI seeking information about the hazards associated with 

reinforcing operations in construction. 

 OSHA Regulatory Review and Burden Reduction Initiatives

• Bloodborne Pathogens. OSHA will undertake a review of the Bloodborne Pathogen 

Standard in accordance with the requirements of the Regulatory Flexibility Act, section 5 of 

Executive Order 12866, and E.O. 13563. The review will consider the continued need for 

the rule; whether the rule overlaps, duplicates, or conflicts with other Federal, State or local 

regulations; and the degree to which technology, economic conditions, or other factors may 

have changed since the rule wasimplemented. 

• Standard Improvement Project-- Phase IV (SIP IV). OSHA’s Standards Improvement 

Projects (SIPs) are intended to remove or revise duplicative, unnecessary, and inconsistent 

safety and health standards. The Agency has published three earlier final standards to 

remove unnecessary provisions, thus reducing costs or paperwork burden on affected 

employers without diminishing employee protections. OSHA has published an RFI in the 

Federal Register asking the public for candidate ideas for improvements in its construction 

safety standards (77 FR 72781: December 6, 2012). Candidate ideas were presented to 

the Advisory Committee on Construction Safety and Health at its May and August 2013 

meetings.

• Review-Lookback of OSHA Chemical Standards. The majority of OSHA’s Permissible 

Exposure Limits (PELs) were adopted in 1971 under section 6(a) of the 

OSH Act, and only a few have been successfully updated since that time. There is 

widespread agreement among industry, labor, and professional occupational safety and 

health organizations that OSHA’s PELs are outdated and need revising to reflect newer 

scientific data that indicate that significant occupational health risks exist at levels below 

OSHA’s current PELs. As part of the Department’s Regulatory Review and Lookback 

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Efforts, OSHA is developing a Request for Information (RFI), seeking input from the public 

to help the Agency identify effective ways to address occupational exposure to chemicals. 

Mine Safety and Health Administration (MSHA) 

The Department believes that every worker has a right to a safe and healthy workplace. Workers 

should never have to sacrifice their lives for their livelihood. All workers deserve to come home to 

their families at the end of their shift safe and whole. MSHA’s approach to reducing workplace 

fatalities and injuries includes promulgating and enforcing mandatory health and safety standards. 

MSHA’s retrospective review project under E.O.13563 addresses revising the process for 

proposing civil penalties. 

MSHA Plan/Prevent/Protect Initiatives 

• Proximity Detection Systems for Continuous Mining Machines in Underground Coal 

Mines. From 1984 to 2012, there have been 33 fatalities resulting from pinning, crushing or 

striking accidents involving continuous mining machines. Proximity detection technology 

can prevent these types of accidents. Proximity detection systems can be installed on 

mining machinery to detect the presence of personnel or equipment within a certain 

distance of the machine. MSHA published a proposed rule to address the danger that 

miners face when working near continuous mining machines in underground coal mines. 

The rule would strengthen the protection for underground miners by reducing the potential 

for pinning, crushing, or striking hazards associated with working close to continuous 

mining machines.

• Proximity Detection Systems for Mobile Machines in Underground Mines. MSHA 

plans to publish a proposed rule to require underground mine operators to equip certain 

mobile machines, with proximity detection systems. Miners working near mobile machines 

face pinning, crushing, and striking hazards that have resulted, and continue to result, in 

accidents involving life threatening injuries and death. Proximity detection technology can 

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prevent these types of accidents by detecting the presence of personnel or equipment 

within a certain distance of the machine. The proposal would strengthen protections for 

miners by reducing the potential for pinning, crushing, or striking accidents in underground 

mines.

MSHA Risk Reduction Initiatives 

• Lowering Miners’ Exposure to Coal Mine Dust, including Continuous Personal Dust 

Monitors. MSHA will continue its regulatory action related to preventing Black Lung 

disease. Data from the National Institute for Occupational Safety and Health (NIOSH) 

indicate increased prevalence of coal workers pneumoconiosis (CWP) “clusters” in several 

geographical areas, particularly in the Southern Appalachian Region. MSHA published a 

notice of proposed rulemaking to address continued risk to coal miners from exposure to 

respirable coal mine dust. This regulatory action is part of MSHA’s Comprehensive Black 

Lung Reduction Strategy for reducing miners’ exposure to respirable dust. This strategy 

includes enhanced enforcement, education and training, and health outreach and 

collaboration. 

• Regulatory Actions in Response to Recommendations Resulting From the 

Investigation of the Upper Big Branch Explosion. On April 5, 2010, a massive coal dust 

explosion occurred at the Upper Big Branch Mine. Following the explosion, MSHA 

conducted its investigation under the authority of the Federal Mine Safety and Health Act 

of 1977, for the purpose of obtaining, using, and disseminating information relating to the 

causes of accidents. The accident report included recommendations for regulatory actions 

to prevent a recurrence of this type of accident. MSHA also conducted an internal review 

(IR) into the Agency’s actions leading to the explosion. The IR report also included 

recommendations for regulatory actions. In response to the recommendations, MSHA 

expects to address issues associated with rock dusting, ventilation, the operator’s 

responsibility for certain mine examinations and certified persons. 

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• Respirable Crystalline Silica Standard. The Agency’s regulatory actions demonstrate its 

commitment to protecting the most vulnerable populations while assuring broad-based 

compliance. Health hazards are pervasive in both coal and metal/nonmetal mines, 

including surface and underground mines and large and small mines. Overexposure to 

crystalline silica can result in some miners developing silicosis, an irreversible but 

preventable lung disease, which ultimately may be fatal. In its proposed rule, MSHA plans 

to follow the recommendations of the Secretary of Labor’s Advisory Committee on the 

Elimination of Pneumoconiosis Among Coal Mine Workers, the NIOSH, and other groups 

to address the exposure limit for respirable crystalline silica. As an example of intradepartmental collaboration, MSHA intends to consider OSHA’s work on the health effects 

of occupational exposure to silica and OSHA’s risk assessment in developing the 

appropriate standard for the mining industry. 

 MSHA Regulatory Review and Burden Reduction Initiative 

• Criteria and Procedures for Proposed Assessment of Civil Penalties (Part 100).

MSHA plans to publish a proposed rule to revise the process for proposing civil penalties. 

The assessment of civil penalties is a key component in MSHA’s strategy to enforce safety 

and health standards. The Congress intended that the imposition of civil penalties would 

induce mine operators to be proactive in their approach to mine safety and health, and take 

necessary action to prevent safety and health hazards before they occur. MSHA believes 

that the procedures for assessing civil penalties can be revised to improve the efficiency of 

the Agency’s efforts and to facilitate the resolution of enforcement issues. 

Office of Federal Contract Compliance Programs (OFCCP) 

Through the work of OFCCP, DOL ensures that contractors and subcontractors doing business with 

the Federal Government provide equal employment opportunity and take affirmative action to 

create fair and diverse workplaces. OFCCP also combats discrimination based on race, color, 

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religion, sex, national origin, disability, or status as a protected veteran by ensuring that federal 

contractors recruit, hire, train, promote, terminate, and compensate workers in a nondiscriminatory 

manner. DOL, through OFCCP, protects workers, promotes diversity and enforces civil rights laws. 

OFCCP Plan/Prevent/Protect Initiative 

• Construction Contractor Affirmative Action Requirements. OFCCP plans to publish a 

proposed rule that would enhance the effectiveness of the affirmative action programs of 

Federal and federally assisted construction contractors and subcontractors. The existing 

regulations provide that the Director is to issue goals and timetables for the utilization of 

minorities and women based on appropriate workforce, demographic or other relevant data. 

The existing minority goals for construction were issued in 1980 based on 1970 Census 

data, the most current data available at the time. The goals for the utilization of women in 

construction occupations were issued in 1978, and extended indefinitely in 1980, were also 

developed using 1970 Census data. The proposed rule would remove these outdated 

goals and provide contractors increased flexibility to assess their workforce and determine 

whether disparities in the utilization of women or the utilization of a particular racial or 

ethnic group in an on-site construction job group exist. The proposed rule would also 

provide contractors and subcontractors the tools to assess their progress and appropriately 

tailor their affirmative action plans. The proposed rule would strengthen affirmative action 

programs particularly in the areas of recruitment, training, and apprenticeships. The 

proposed rule would also allow contractors and subcontractors to focus on their affirmative 

action obligations earlier in the contracting process. 

 OFCCP Regulatory Review and Burden Reduction Initiative 

• Sex Discrimination Guidelines. OFCCP proposes updating regulations setting forth 

contractors’ obligations not to discriminate on the basis of sex under Executive Order 

11246, as amended. The Sex Discrimination Guidelines, found at 41 CFR Part 60-20, 

have not been updated in more than 30 years. Since that time, the nature and extent of 

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women’s participation in the labor force and employer policies and practices have changed 

significantly. In addition, extensive changes in the law regarding sex-based employment 

discrimination have taken place. Title VII of the Civil Rights Act of 1964, which generally 

governs the law of sex-based employment discrimination, has been amended twice. 

OFCCP will issue a Notice of Proposed Rulemaking to create sex discrimination 

regulations that reflect the current state of the law in this area. 

Employee Benefits Security Administration (EBSA) 

The Employee Benefits Security Administration (EBSA) is responsible for administering and 

enforcing the fiduciary, reporting and disclosure, and health coverage provisions of title I of the 

Employee Retirement Income Security Act of 1974 (ERISA). This includes recent amendments and 

additions to ERISA enacted in the Pension Protection Act of 2006, as well as new health coverage 

provisions under the Patient Protection and Affordable Care Act of 2010 (the Affordable Care Act). 

EBSA’s regulatory plan initiatives are intended to improve health benefits and retirement security 

for workers in every type of job at every income level. EBSA is charged with protecting 

approximately 141 million individuals covered by an estimated 701,000 private retirement plans, 2.3 

million health plans, and similar numbers of other welfare benefit plans, which together hold $7.3 

trillion in assets. 

EBSA will continue to issue guidance implementing the health reform provisions of the Affordable 

Care Act to help provide better quality health care for America’s workers and their families. EBSA's 

regulations reduce discrimination in health coverage, promote better access to quality coverage, 

and protect the ability of individuals and businesses to keep their current health coverage. Many 

regulations are joint rulemakings with the Departments of Health and Human Services and the 

Treasury. 

Using regulatory changes to produce greater openness and transparency is an integral part of 

EBSA's contribution to a department-wide compliance strategy. These efforts will not only enhance 

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EBSA's enforcement toolbox but will also encourage greater levels of compliance by the regulated 

community and improve awareness among workers of their rights and benefits. EBSA’s Fall 2013 

agenda expands disclosure requirements, substantially enhancing the availability of information to 

employee benefit plan participants and beneficiaries and employers, and strengthening the 

retirement security of America's workers. EBSA’s retrospective review project under E.O.13563 is 

the Abandoned Plan Program amendments. 

EBSA Risk Reduction Initiative 

• Health Reform Implementation. Since the passage of health care reform, EBSA has 

helped put the employment-based health provisions into action. Working with HHS and 

Treasury, EBSA has issued regulations covering issues such as the elimination of 

preexisting condition exclusions for children under age 19, internal and external appeals of 

benefit denials, the extension of coverage for children up to age 26, and a ban on 

rescissions (which are retroactive terminations of health care coverage). These regulations 

will eventually impact up to 129 million individuals in employer-sponsored plans. EBSA will 

continue its work to ensure a smooth implementation of the legislation’s market reforms, 

minimize disruption to existing plans and practices, and strengthen America’s health care 

system. 

• Enhancing Participant Protections by Reducing Conflicts of Interest. EBSA plans to 

re-propose amendments to its regulations to reduce harmful conflicts of interest by 

clarifying the circumstances under which a person will be considered a "fiduciary" when 

providing investment advice to retirement plans and other employee benefit plans, to 

participants and beneficiaries of such plans, and to owners of individual retirement 

accounts (IRAs). The amendments would consider current practices of investment advisers 

and the expectations of plan officials and participants who receive investment advice, as 

well as changes that have occurred in the investment marketplace and in the ways advisers 

are compensated since the current regulation’s issuance. These compensation 

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arrangements frequently subject advisers to harmful conflicts of interest that can 

compromise the quality of advice given to plan participants and IRA owners. This initiative 

is intended to assure retirement security for workers in all jobs regardless of income level 

by ensuring that financial advisers and similar persons are required to meet ERISA's 

standards of care and not to act on conflicts of interest when providing the investment 

advice relied upon by millions of plan sponsors and workers. 

EBSA Openness and Transparency Initiative 

In addition to its health care reform and participant protection initiatives discussed above, EBSA is 

pursuing a regulatory program that, as reflected in the Unified Agenda, is designed to encourage, 

foster, and promote openness, transparency, and communication with respect to the management 

and operations of pension plans, as well as participant rights and benefits under such plans. Among 

other things, EBSA will be issuing a final rule addressing the requirement that administrators of 

defined benefit pension plans annually disclose the funding status of their plan to the plan's 

participants and beneficiaries (RIN l210-AB18). In addition, EBSA will be finalizing amendments to 

the disclosure requirements applicable to plan investment options, including Qualified Default 

Investment Alternatives, to better ensure that participants understand the operations and risks 

associated with investments in target date funds (RIN 1210-AB38). 

• Lifetime Income Options. In 2010 EBSA published a request for information concerning 

steps it can take by regulation, or otherwise, to encourage the offering of lifetime annuities 

or similar lifetime benefit distribution options for participants and beneficiaries of defined 

contribution plans. EBSA also held a hearing with the Department of the Treasury and 

Internal Revenue Service to further explore these possibilities. This initiative is intended to 

assure retirement security for workers in all jobs regardless of income level by helping to 

ensure that participants and beneficiaries have the benefit of their plan savings throughout 

retirement. EBSA now has established a public record that supports further consideration 

or action in a number of areas including pension benefit statements, participant education, 

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and fiduciary guidance. With regard to pension benefit statements specifically, EBSA 

published an advance notice of proposed rulemaking under ERISA section 105 relating to 

the presentation of a participant’s accrued benefits; i.e., the participant’s account balance, 

as a lifetime income stream of payments, in addition to presenting the benefits as an 

account balance(RIN 1210:AB20). In further support of this initiative, EBSA also is 

developing proposed amendments to a safe harbor regulation (29 CFR section 2550.404a4) that will provide plan fiduciaries with more certainty that they have discharged their 

obligations under section 404(a)(1)(B) of ERISA in selecting an annuity plan provider and 

contract for benefit distributions from an individual account retirement plan (RIN: 1210-

AB58). 

EBSA Regulatory Review and Burden Reduction Initiative 

• Abandoned Plan Program Amendment. In 2006, the Department published regulations 

that facilitate the termination and winding up of 401(k)-type retirement plans that have been 

abandoned by their plan sponsors. The regulation establishes a streamlined program 

under which plans are terminated with very limited involvement of EBSA regional offices. 

EBSA has six years of experience with this program and believes certain changes would 

improve the efficiency of the program and increase its usage. EBSA expects that the cost 

burden reduction that will result from this initiative will be approximately $500,000 because 

the prompt, efficient termination of abandoned plans will eliminate future administrative 

expenses charged to the plans that otherwise would diminish plan assets. Moreover, by 

following the specific standards and procedures set forth in the rule, the Department 

expects that overall plan termination costs will be reduced because of increased efficiency. 

EBSA intends to revise the regulations to expand the program to include plans of 

businesses in liquidation proceedings to reflect recent changes in the U.S. Bankruptcy 

Code. The Department believes that this expansion has the potential to substantially 

reduce burdens on these plans and bankruptcy trustees. Plans of businesses in liquidation 

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currently do not have the option of using the streamlined termination and winding-up 

procedures under the program. This is true even though bankruptcy trustees, pursuant to 

the Bankruptcy Code, can have a legal duty to administer the plan. Expanding the program 

to cover these plans will allow eligible bankruptcy trustees to use the streamlined 

termination process to better discharge their obligations under the law. The use of 

streamlined procedures will reduce the amount of time and overall cost it would take to 

terminate and wind up such plans. This will result in larger benefit distributions to 

participants and beneficiaries in such plans. The expansion also will eliminate government 

filings ordinarily required of terminating plans. Participation in the program will reduce the 

overall cost of terminating and winding-up such plans, which will result in larger benefit 

distributions to participants and beneficiaries in such plans. EBSA estimates that 

approximately 165 additional plans will benefit from the Amended Abandoned Plan 

Program allowing bankruptcy trustees to participate in the program. The amendment 

expanding the program will provide substantial benefits to plans of sponsors in Chapter 7 

bankruptcy liquidation and bankruptcy trustees through the orderly termination of plans, 

less service provider fees, and preservation of assets for participants and beneficiaries, 

while imposing minimal costs. 

Office of Labor-Management Standards (OLMS) 

The Office of Labor-Management Standards (OLMS) administers and enforces most provisions of 

the Labor-Management Reporting and Disclosure Act of 1959 (LMRDA). The LMRDA promotes 

labor-management transparency by requiring unions, employers, labor-relations consultants, and 

others to file reports, which are publicly available. The LMRDA includes provisions protecting union 

member rights to participate in their union's governance, to run for office and fully exercise their 

union citizenship, as well as procedural safeguards to ensure free and fair union elections. Besides 

enforcing these provisions, OLMS also ensures the financial accountability of unions, their officers 

and employees, through enforcement and voluntary compliance efforts. Because of these activities, 

OLMS better ensures that workers have a more effective voice in the governance of their unions, 

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which in turn affords them a more effective voice in their workplaces. OLMS also administers 

Executive Order 13496, which requires Federal contractors to notify their employees concerning 

their rights to organize and bargain collectively under Federal labor laws. OLMS also implements a 

federal transportation law by ensuring that workplace rights of mass transit employees will be 

protected whenever federal funds are used to acquire, improve, or operate a transit system. 

OLMS Openness and Transparency

• Persuader Agreements - Employer and Labor Relations Consultant Reporting under 

the LMRDA. OLMS published a proposed regulatory initiative in June 2011, which is a 

transparency regulation intended to provide workers with information critical to their 

effective participation in the workplace. The proposed regulations would better implement 

the public disclosure objectives of the LMRDA in situations where an employer engages a 

consultant in order to persuade employees concerning their rights to organize and bargain 

collectively. Under LMRDA section 203, an employer must report any agreement or 

arrangement with a consultant to persuade employees concerning their rights to organize 

and collectively bargain, or to obtain certain information concerning activities of employees 

or a labor organization in connection with a labor dispute involving the employer. The 

consultant is also required to report such an agreement or arrangement with an employer. 

Statutory exceptions to these reporting requirements are set forth in LMRDA section 

203(c), which provides, in part, that employers and consultants are not required to file a 

report by reason of the consultant’s giving or agreeing to give “advice” to the employer. 

The Department in its proposal reconsidered the current policy concerning the scope of the 

“advice” exception. When workers have the necessary information about arrangements 

that have been made by their employer to persuade them whether or not to form, join, or 

assist a union, they are better able to make a more informed choice about representation. 

Employment and Training Administration (ETA) 

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The Employment and Training Administration (ETA) administers and oversees programs that 

prepare workers for good jobs at good wages by providing high quality job training, employment, 

labor market information, and income maintenance services through its national network of 

American Job Centers. The programs within ETA promote ladders of opportunity to economic 

independence for individuals and families. Through several laws, ETA is charged with administering 

numerous employment and training programs designed to assist the American worker in developing 

the knowledge, skills, and abilities sought in the 21st century's economy. 

ETA Regulatory Review and Burden Reduction 

• Equal Employment Opportunity in Apprenticeship and Training, Amendment of 

Regulations. The revision of the National Apprenticeship Act’s Equal Opportunity in 

Apprenticeship and Training (EEO) regulations is a critical element in the Department’s 

vision to promote and expand registered apprenticeship opportunities, and to meet the 

changing workforce, demographic and industry needs. The regulation will help eliminate 

much of the uncertainty around the current regulations; simplifying outdated procedures 

and requirements, while establishing clearer expectations with regard to EEO on behalf of 

apprenticeship sponsors. In October 2008, ETA issued a final rule updating 29 CFR part 

29, the regulatory framework for registration of apprenticeship programs and apprentices, 

and administration of the National Apprenticeship System. The companion EEO 

regulations, 29 CFR part 30, have not been amended since 1978, and the proposed 

regulation will provide consistency with Federal EEO laws developed over the last 35 

years. ETA proposes to update part 30 EEO in the Apprenticeship and Training regulations 

to ensure that they act in concert with the 2008 revised part 29 rule. The proposed EEO 

regulations also will further Secretary Perez’s vision to create more opportunities for 

everyone by ensuring that apprenticeship program sponsors develop and fully implement 

nondiscrimination and affirmative action efforts that provide equal opportunity for all 

applicants to apprenticeship and apprentices, regardless of race, gender, national origin, 

color, religion, or disability. 

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• Federal-State Unemployment Compensation Program; Implementing the Total 

Unemployment Rate As An Extended Benefits Indicator and Amending For Technical 

Corrections. This rule will update regulations to conform to existing law and State practice. 

It will benefit State Unemployment Insurance systems by removing any potential confusion 

between complying with guidance and current Federal law. 

• Elimination of several obsolete program regulations from the Code of Federal 

Regulations. ETA plans to pursue four regulatory projects that will eliminate regulations 

that are no longer effective or enforceable because their underlying program authority was 

superseded or no longer exists. These include the Labor Certification Process for Logging 

Employment and Non-H-2A Agricultural Employment (RIN 1205-AB65), Attestations by 

Employers Using F-1 Students in Off-Campus Work (RIN 1205-AB66), and Attestations by 

Facilities Using Nonimmigrant Aliens as Registered Nurses (RIN 1205-AB67). 

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