Federal Register / Vol. 62, No. 211 / Friday, October 31, 1997 / Notices 59003

DEPARTMENT OF LABOR

Pension and Welfare Benefits

Administration

Proposed Extension of Information

Collection Request Submitted for

Public Comment and

Recommendations; Summary Plan

Descriptions Under ERISA

ACTION: Notice.

SUMMARY: The Department of Labor, as

part of its continuing effort to reduce

paperwork and respondent burden,

provides the general public and Federal

agencies with an opportunity to

comment on proposed and/or

continuing collections of information in

accordance with the Paperwork

Reduction Act of 1995 (44 U.S.C.

Chapter 35). This program helps to

ensure that requested data can be

provided in the desired format,

reporting burden (time and financial

resources) is minimized, collection

instruments are clearly understood, and

the impact of collection requirements on

respondents can be properly assessed.

Currently, the Pension and Welfare

Benefits Administration is soliciting

comments concerning the proposed

extension of a currently approved

collection of information, Summary

Plan Description Requirements under

the Employee Retirement Income

Security Act (ERISA). A copy of the

proposed ICR can be obtained by

contacting the employee listed below in

the contact section of this notice.

DATES: Written comments must be

submitted on or before December 30,

1997. The Department of Labor 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,

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 submissions

of responses.

ADDRESSES: Gerald B. Lindrew,

Department of Labor, Pension and

Welfare Benefits Administration, 200

Constitution Avenue, NW., Room N–

5647, Washington, DC 20210.

Telephone: 202–219–4782 (this is not a

toll-free number). Fax: 202–219–4745.

SUPPLEMENTARY INFORMATION:

I. Background

The administrator of an employee

benefit plan is required to furnish a

Summary Plan Description (SPD) to

each participant covered under the plan

and to each beneficiary who is receiving

benefits under the plan. The SPD must

be written in a manner calculated to be

understood by the average plan

participant and must be sufficiently

comprehensive to apprise the plan’s

participants and beneficiaries of their

rights and obligations under the plan.

To the extent that there is a material

modification in the terms of the plan or

a change in the information required to

be contained in the SPD, ERISA requires

that the administrator furnish

participants covered under the plan and

beneficiaries receiving benefits with a

summary of such changes (SMM). The

Health Insurance Portability and

Accountability Act (HIPAA) and the

Newborns’ and Mothers’ Health

Protection Act (NMHPA) amend certain

reporting and disclosure provisions of

ERISA. On April 8, 1997, the

Department of Labor issued Interim

Rules Amending ERISA Disclosure

Requirements for Group Health Plans

with an information collection request

(ICR). 62 F.R. 31695. OMB approved

this ICR through December 31, 1997

under OMB control number 1210–0039.

Subsequently, the Department

published the OMB control number in

the Federal Register. 62 FR 36205 (July

7, 1997).

II. Current Actions

Pension and Welfare Benefits

Administration proposes to extend the

currently approved information

collection requirements of ERISA’s

Summary Plan Description

Requirements.

Type of Review: Extension of a

currently approved collection.

Agency: Pension and Welfare Benefits

Administration.

Title: Summary Plan Description

Requirements under ERISA.

OMB Number: 1210–0039.

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

Individuals.

Total Responses (annual): 43,952,715

(1997), 62,728,915 (1998), 31,896,715

(1999).

Total Respondents (annual): 176,315

(1997), 194,235 (1998), 163,515 (1999).

Frequency: On occasion.

Average Time per Response:

Average SPD/SMM—We estimate it

takes an average of 6 hours for

preparation of SPDs/SMMs, including

the time to copy and assemble the

document.

SMM Compliance—We estimate that

preparation of an SMM sufficient to

satisfy the requirements of the Interim

Rules will take an average of 1 hour.

Distribution—We estimate that 2

minutes per participant is the time

needed to distribute an SMM/SPD,

including time spent reproducing the

document and mailing the document.

Estimated Total Burden Hours:

1,007,425 (1997), 1,130,283 (1998),

942,980 (1999).

There is estimated to be no capital/

start-up cost.

Total Burden Cost for operating/

maintenance is estimated to be

$72,310,858 in 1997, $82,338,958 in

1998 and $65,002,858 in 1999.

Note. The average Time Per Response,

Estimated Total Burden Hours, and Total

Burden Cost have been estimated without

accounting for those respondents that will

implement the ‘‘alternative mechanisms to

delivery by mail’’ provision contained in the

interim rules. It is expected that some

respondents will use these alternatives, and

that these alternatives will reduce burden

hours and costs.

Comments submitted in response to

this notice will be summarized and/or

included in the request for Office of

Management and Budget approval of the

ICR; they will also become a matter of

public record.

Dated: October 28, 1997.

Gerald B. Lindrew,

Deputy Director, Pension and Welfare

Benefits Administration, Office of Policy and

Research.

[FR Doc. 97–28917 Filed 10–30–97; 8:45 am]

BILLING CODE 4510–29–M

DEPARTMENT OF LABOR

Pension and Welfare Benefits

Administration

Proposed Extension of Information

Collection Request Submitted for

Public Comment and

Recommendations; Health Insurance

Portability for Group Health Plans

ACTION: Notice.

SUMMARY: The Department of Labor

submits this notice to extend its public

information collection request (ICR)

under the Health Insurance Portability

and Accountability Act of 1996