20650 Federal Register / Vol. 77, No. 66 / Thursday, April 5, 2012 / Notices 

Wednesday, April 18, 2012. Upon 

registration, information will be sent to 

you at the email you provide to enable 

you to connect to the webinar. If you 

cannot access the registration using the 

link provided above, please try to access 

the online registration via the link on 

the FACJJ Web site at www.facjj.org. 

Should problems arise with webinar 

registration, call Michelle Duhart-Tonge 

at 703–789–4712. [Note: this is not a 

toll-free telephone number.] Members of 

the public will be able to listen to and 

view the webinar as observers but will 

not be able to actively participate. 

Written Comments: Interested parties 

may submit written comments in 

advance by Monday, April 16, 2012, to 

Robin Delany-Shabazz, Designated 

Federal Official for the Federal Advisory 

Committee on Juvenile Justice, OJJDP, 

by email to Robin.DelanyShabazz@usdoj.gov. Alternatively, fax 

your comments to 202–307–2819 and 

call Joyce Mosso Stokes at 202–305– 

4445 to ensure its receipt. [Note: These 

are not toll-free numbers.] 

Melodee Hanes, 

Acting Administrator, Office of Juvenile 

Justice and Delinquency Prevention. 

[FR Doc. 2012–8132 Filed 4–4–12; 8:45 am] 

BILLING CODE 4410–18–P 

DEPARTMENT OF LABOR 

Employee Benefits Security 

Administration 

Proposed Extension of Information 

Collection Requests Submitted for 

Public Comment: Definition of ‘‘Plan 

Assets’’—Participant Contributions; 

Final Rules and Class Prohibited 

Transaction Exemption 2006–16 

Relating to Terminated Individual 

Account Plans; Etc. 

AGENCY: Employee Benefits Security 

Administration, Department of Labor. 

ACTION: Notice. 

SUMMARY: The Department of Labor (the 

Department), in accordance with the 

Paperwork Reduction Act of 1995 (PRA 

95) (44 U.S.C. 3506(c)(2)(A)), provides 

the general public and Federal agencies 

with an opportunity to comment on 

proposed and continuing collections of 

information. This helps the Department 

assess the impact of its information 

collection requirements and minimize 

the public’s reporting burden. It also 

helps the public understand the 

Department’s information collection 

requirements and provide the requested 

data in the desired format. The 

Employee Benefits Security 

Administration (EBSA) is soliciting 

comments on the proposed extension of 

the information collection requests 

(ICRs) contained in the documents 

described below. A copy of the ICRs 

may be obtained by contacting the office 

listed in the ADDRESSES section of this 

notice. ICRs also are available at 

reginfo.gov (http://www.reginfo.gov/ 

public/do/PRAMain). 

DATES: Written comments must be 

submitted to the office shown in the 

Addresses section on or before June 4, 

2012. 

ADDRESSES: G. Christopher Cosby, 

Department of Labor, Employee Benefits 

Security Administration, 200 

Constitution Avenue NW., Washington, 

DC 20210, (202) 693–8410, FAX (202) 

693–4745 (these are not toll-free 

numbers). 

I. Supplementary Information 

This notice requests public comment 

on the Department’s request for 

extension of the Office of Management 

and Budget’s (OMB) approval of ICRs 

contained in the rules and prohibited 

transactions described below. The 

Department is not proposing any 

changes to the existing ICRs at this time. 

An agency may not conduct or sponsor, 

and a person is not required to respond 

to, an information collection unless it 

displays a valid OMB control number. A 

summary of the ICRs and the current 

burden estimates follows: 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: Definition of ‘‘Plan Assets’’— 

Participant Contributions. 

Type of Review: Extension of a 

currently approved information 

collection. 

OMB Number: 1210–0100. 

Affected Public: Business or other forprofit; not-for-profit institutions; 

individuals. 

Respondents: 1. 

Responses: 251. 

Estimated Total Burden Hours: 1. 

Estimated Total Burden Cost 

(Operating and Maintenance): $1,025. 

Description: The regulation 

concerning plan assets and participant 

contributions provides guidance for 

fiduciaries, participants, and 

beneficiaries of employee benefit plans 

regarding how participant contributions 

to pension plans must be handled when 

they are either paid to the employer by 

the participant or directly withheld by 

the employer from the employee’s 

wages for transmission to the pension 

plan. In particular, the regulation sets 

standards for the timely delivery of such 

participant contributions, including an 

outside time limit for the employer’s 

holding of participant contributions. In 

addition, for those employers who may 

have difficulty meeting the regulation’s 

outside deadlines for transmitting 

participant contribution, the regulation 

(29 CFR 2510.3–102(d) provides the 

opportunity for the employer to obtain 

an extension of the time limit by 

providing participants and the 

Department with a notice that contains 

specified information. The ICR pertains 

to this notice requirement. The 

Department previously requested review 

of this information collection and 

obtained approval from the Office of 

Management and Budget (OMB) under 

OMB control number 1210–0100. That 

approval is scheduled to expire on July 

31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: Final Rules and Class Prohibited 

Transaction Exemption 2006–16 relating 

to Terminated Individual Account 

Plans. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0127. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 37,822. 

Responses: 100. 

Estimated Total Burden Hours: 7,433. 

Estimated Total Burden Cost 

(Operating and Maintenance): 

$3,366,300. 

Description: The abandoned plan 

initiative includes the following actions, 

which impose the following information 

collections: 

1. Qualified Termination 

Administrator (QTA) Regulation: The 

QTA regulation creates an orderly and 

efficient process by which a financial 

institution that holds the assets of a plan 

that is deemed to have been abandoned 

may undertake to terminate the plan 

and distribute its assets to participants 

and beneficiaries holding accounts 

under the plan, with protections and 

approval of the Department under the 

standards of the regulation. The 

regulation requires the QTA to provide 

certain notices to the Department, to 

participants and beneficiaries, and to 

the plan sponsor (or service providers to 

the plan, if necessary), and to keep 

certain records pertaining to the 

termination. 

2. Abandoned Plan Terminal Report 

Regulation: The terminal report 

regulation provides an alternative, 

simplified method for a QTA to satisfy 

the annual report requirement otherwise 

applicable to a terminating plan by 

filing a special simplified terminal 

report with the Department after 

terminating an abandoned plan and 


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distributing its accounts to participants 

and beneficiaries. 

3. Terminated Plan Distribution 

Regulation: The terminated plan 

distribution regulation establishes a safe 

harbor method by which fiduciaries 

who are terminating individual account 

pension plans (whether abandoned or 

not) may select an investment vehicle to 

receive account balances distributed 

from the terminated plan when the 

participant has failed to provide 

investment instructions. The regulation 

requires the fiduciaries to provide 

advance notice to participants and 

beneficiaries of how such distributions 

will be invested, if no other investment 

instructions are provided. 

4. Abandoned Plan Class Exemption: 

The exemption permits a QTA that 

terminates an abandoned plan under the 

QTA regulation to receive payment for 

its services from the abandoned plan 

and to distribute the account balance of 

a participant who has failed to provide 

investment direction into an individual 

retirement account (IRA) maintained by 

the QTA or an affiliate. Without the 

exemption, financial institutions could 

be unable to receive payment for 

services rendered out of plan assets 

without violating ERISA’s prohibited 

transaction provisions and would 

therefore be highly unlikely to 

undertake the termination of abandoned 

plans. The exemption includes the 

condition that the QTA keep records of 

the distributions for a period of six years 

and make such records available on 

request to interested persons (including 

the Department and participants and 

beneficiaries). If a QTA wishes to be 

paid out of plan assets for services 

provided prior to becoming a QTA, the 

exemption requires that the QTA enter 

into a written agreement with a plan 

fiduciary or the plan sponsor prior to 

receiving payment and that a copy of 

the agreement be provided to the 

Department. 

5. PTE 2004–16 (Automatic Rollover 

Exemption): Also included in this ICR 

are the notice and recordkeeping 

requirements contained in PTE 2004– 

16, which permits a pension plan 

fiduciary that is a financial institution 

and is also the employer maintaining an 

individual account pension plan for its 

employees to establish, on behalf of its 

separated employees, an IRA at a 

financial institution that is either the 

employer or an affiliate, which IRA 

would receive mandatory distributions 

that the fiduciary ‘‘rolls over’’ from the 

plan when an employee terminates 

employment. 

Because all of these regulations and 

exemptions relate to terminating or 

abandoned plans and/or to distribution 

and rollover of distributed benefits for 

which no participant investment 

election has been made, the Department 

has combined the paperwork burden for 

all of these actions into one ICR. In the 

Department’s view, this combination 

allows the public to have a better 

understanding of the aggregate burden 

imposed on the public for these related 

regulatory actions. OMB approved the 

ICR under OMB control number 1210– 

0127, which is scheduled to expire on 

July 31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: ERISA Summary Annual 

Report. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0040. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 716,000. 

Responses: 156,047,000. 

Estimated Total Burden Hours: 

2,142,100. 

Estimated Total Burden Cost 

(Operating and Maintenance): 

$46,551,000. 

Description: Section 104(b)(3) of 

ERISA and the regulation published at 

29 CFR 2520.104b–10 require, with 

certain exceptions, that administrators 

of employee benefit plans furnish 

annually to each participant and certain 

beneficiaries a summary annual report 

(SAR) meeting the requirements of the 

statute and regulation. The regulation 

prescribes the content and format of the 

SAR and the timing of its delivery. The 

SAR provides current information about 

the plan and assists those who receive 

it in understanding the plan’s current 

financial operation and condition. It 

also explains participants’ and 

beneficiaries’ rights to receive further 

information on these issues. 

EBSA previously submitted the 

information collection provisions in the 

regulation at 29 CFR 2520.104b–10 to 

the Office of Management and Budget 

(OMB) for review in an information 

collection request (ICR). OMB approved 

the ICR under OMB Control No. 1210– 

0040. The ICR approval is scheduled to 

expire on August 31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: Prohibited Transaction 

Exemption 2002–12, Cross-Trades of 

Securities by Index and Model-Driven 

Funds. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0115. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 60. 

Responses: 840. 

Estimated Total Burden Hours: 855. 

Estimated Total Burden Cost 

(Operating and Maintenance): $509. 

Description: PTE 2002–12 exempts 

certain transactions that would be 

prohibited under the Employee 

Retirement Income Security Act of 1974 

(the Act or ERISA) and the Federal 

Employees’ Retirement System Act 

(FERSA), and provides relief from 

certain sanctions of the Internal 

Revenue Code of 1986 (the Code). The 

exemption permits cross-trades of 

securities among Index and ModelDriven Funds (Funds) managed by 

managers (Managers), and among such 

Funds and certain large accounts (Large 

Accounts) that engage such Managers to 

carry out a specific portfolio 

restructuring program or to otherwise 

act as a ‘‘trading adviser’’ for such a 

program. By removing existing barriers 

to these types of transactions, the 

exemption increases the incidences of 

cross-trading, thereby lowering the 

transaction costs to plans in a number 

of ways from what they would be 

otherwise. 

In order for the Department to grant 

an exemption for a transaction or class 

of transactions that would otherwise be 

prohibited under ERISA, the statute 

requires the Department to make a 

finding that the exemption is 

administratively feasible, in the interest 

of the plan and its participants and 

beneficiaries, and protective of the 

rights of the participants and 

beneficiaries. To ensure that Managers 

have complied with the requirements of 

the exemption, the Department has 

included in the exemption certain 

recordkeeping and disclosure 

obligations that are designed to 

safeguard plan assets by periodically 

providing information to plan 

fiduciaries, who generally must be 

independent about the cross-trading 

program. Initially, where plans are not 

invested in Funds, Managers must 

furnish information to plan fiduciaries 

about the cross-trading program, 

provide a statement that the Manager 

will have a potentially conflicting 

division of loyalties, and obtain written 

authorization from a plan fiduciary for 

a plan to participate in a cross-trading 

program. For plans that are currently 

invested in Funds, the Manager must 

provide annual notices to update the 

plan fiduciary and provide the plan 

with an opportunity to withdraw from 

the program. For Large Accounts, prior 

to the cross-trade, the Manager must 


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provide information about the crosstrading program and obtain written 

authorization from the fiduciary of a 

Large Account to engage in cross-trading 

in connection with a portfolio 

restructuring program. Following 

completion of the Large Account’s 

restructuring, information must be 

provided by the Manager about all 

cross-trades executed in connection 

with a portfolio-restructuring program. 

Finally, the exemption requires that 

Managers maintain for a period of 6 

years from the date of each cross-trade 

the records necessary to enable plan 

fiduciaries and certain other persons 

specified in the exemption (e.g., 

Department representatives or 

contributing employers), to determine 

whether the conditions of the 

exemption have been met. 

EBSA previously submitted the 

information collection provisions of 

PTE 2002–12 to the Office of 

Management and Budget (OMB) for 

review in connection with promulgation 

of the prohibited transaction exemption. 

OMB approved the information 

collection request (ICR) under OMB 

Control No. 1210–0115. The ICR 

approval is currently scheduled to 

expire on August 31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: Prohibited Transaction Class 

Exemption 91–38; Exemption for 

Certain Transactions Involving Bank 

Collective Investment Funds. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0082. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 3,600. 

Responses: 3,600. 

Estimated Total Burden Hours: 600. 

Estimated Total Burden Cost 

(Operating and Maintenance): $0. 

Description: PTE 91–38 provides an 

exemption from the prohibited 

transaction provisions of the Employee 

Retirement Income Security Act of 1974 

(ERISA) for certain transactions between 

a bank collective investment fund and 

persons who are parties in interest with 

respect to an employee benefit plan. 

Without the exemption, sections 406 

and 407(a) of ERISA and section 

4975(c)(1) of the Internal Revenue Code 

may prohibit transactions between the 

collective investment fund (CIF) and a 

party in interest to one or more of the 

employee benefit plans participating in 

the collective investment fund. Under 

PTE 91–38, a collective investment fund 

generally may engage in transactions 

with parties in interest to a plan that 

invests in the fund as long as the plan’s 

total investment in the fund does not 

exceed a specified percentage of the 

total assets of the fund. The PTE also 

contains more limited or differently 

defined relief for funds holding more 

than the specified percentage, for 

multiemployer plans, and for 

transactions involving employer 

securities and employer real property. 

In order to ensure that the rights of 

participants and beneficiaries are 

protected, and that bank collective 

investment funds can demonstrate 

compliance with the terms of the 

exemption, the Department requires a 

bank to maintain records regarding the 

exempted transactions and make them 

available for inspection to specified 

interested persons (including the 

Department and the Internal Revenue 

Service) on request for a period of six 

years. 

EBSA previously submitted the 

information collection provisions of 

PTE 91–38 to the Office of Management 

and Budget (OMB) for review in an ICR 

that was approved under the OMB 

Control No. 1210–0083. The current 

approval is scheduled to expire on 

August 31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: PTE 90–1—Pooled Separate 

Accounts. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0083. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 60. 

Responses: 60. 

Estimated Total Burden Hours: 100. 

Estimated Total Burden Cost 

(Operating and Maintenance): $0. 

Description: PTE 90–1 provides an 

exemption from certain provisions of 

the Employee Retirement Income 

Security Act of 1974 (ERISA) relating to 

transactions involving insurance 

company pooled separate accounts in 

which employee benefit plans 

participate. Without the exemption, 

sections 406 and 407(a) of ERISA and 

section 4975(c)(1) of the Internal 

Revenue Code might prohibit a party in 

interest to a plan from furnishing goods 

or services to an insurance company 

pooled separate account in which the 

plan has an interest, or prohibit 

engaging in other transactions. Under 

the exemption, persons who are parties 

in interest to a plan that invests in a 

pooled separate account, such as a 

service provider, may engage in 

otherwise prohibited transactions with 

the separate account if the plan’s 

participation in the separate account 

does not exceed specified limits and 

other conditions are met. These other 

conditions include a requirement that 

the party in interest not be the insurance 

company, or an affiliate thereof, that 

holds the plan assets in its pooled 

separate account or other separate 

account. The terms of the transaction to 

which the exemption is applied must be 

at least as favorable to the pooled 

separate account as those that would be 

obtained in a separate arms-length 

transaction with an unrelated party, and 

the insurance company must maintain 

records of any transaction to which the 

exemption applies for a period of six 

years. This ICR covers this 

recordkeeping requirement. 

The Department previously submitted 

this information collection to the Office 

of Management and Budget (OMB) in an 

ICR that was approved under the OMB 

Control Number 1210–0083. The current 

approval is scheduled to expire on 

August 31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: Foreign Exchange Transactions; 

PTE 94–20. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0085. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for profit institutions. 

Respondents: 279. 

Responses: 1,395. 

Estimated Total Burden Hours: 230. 

Estimated Total Burden Cost 

(Operating and Maintenance): $0. 

Description: PTE 94–20 permits the 

purchase and sale of foreign currencies 

between an employee benefit plan and 

a bank, broker-dealer, or an affiliate 

thereof, that is a trustee, custodian, 

fiduciary, or other party in interest with 

respect to the plan. The exemption is 

available provided that the transaction 

is directed (within the meaning of 

section IV(e) of the exemption) by a plan 

fiduciary that is independent of the 

bank, broker-dealer, or affiliate and all 

other conditions of the exemption are 

satisfied. Without this exemption, 

certain aspects of these transactions 

might be prohibited by section 406(a) of 

ERISA. To protect the interests of 

participants and beneficiaries of the 

employee benefit plan, the exemption 

requires that the party wishing to take 

advantage of the exemption (1) Develop 

written policies and procedures 

applicable to trading in foreign 

currencies on behalf of an employee 


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benefit plan; (2) provide a written 

confirmation with respect to each 

transaction in foreign currency to the 

independent plan fiduciary, disclosing 

specified information; and (3) maintain 

records pertaining to the transaction for 

a period of six years. This ICR relates to 

the foregoing disclosure and 

recordkeeping requirements. 

EBSA previously submitted the 

information collection provisions of 

PTE 94–20 to the Office of Management 

and Budget (OMB) for review in 

connection with promulgation of the 

prohibited transaction exemption. OMB 

approved the information collection 

request (ICR) under OMB Control No. 

1210–0085. The ICR approval is 

currently scheduled to expire on August 

31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: PTE 97–41, Collective 

Investment Funds Conversion 

Transactions. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0104. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 50. 

Responses: 105. 

Estimated Total Burden Hours: 1,756. 

Estimated Total Burden Cost 

(Operating and Maintenance): $310,000. 

Description: Prohibited Transaction 

Exemption (PTE) 97–41 provides an 

exemption from the prohibited 

transaction provisions of the 

Employment Retirement Income 

Security Act of 1974 (ERISA) and from 

certain taxes imposed by the Internal 

Revenue Code of 1986. The exemption 

permits employee benefit plans to 

purchase shares of one or more openend investment companies (funds) 

registered under the Investment 

Advisers Act of 1940 by transferring inkind, to the investment company, assets 

of the plan that are part of a collective 

investment fund (CIF) maintained by a 

bank or plan advisor that is both a 

fiduciary of the plan and an investment 

advisor to the investment company 

offering the fund. 

The exemption requires that an 

independent fiduciary receive advance 

written notice of any covered 

transaction, as well as specific written 

information concerning the mutual 

funds to be purchased. The independent 

fiduciary must also provide written 

advance approval of conversion 

transactions and receive written 

confirmation of each transaction, as well 

as additional on-going disclosures as 

defined in PTE 97–41. These disclosures 

are the basis for this ICR. 

EBSA previously submitted the 

information collection provisions of 

PTE 97–41 to the Office of Management 

and Budget (OMB) for review in 

connection with promulgation of the 

prohibited transaction exemption. OMB 

approved the information collection 

request (ICR) under OMB Control No. 

1210–0104. The ICR approval is 

currently scheduled to expire on August 

31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: Prohibited Transaction 

Exemption 2004–07, Transactions with 

Trust REIT Shares. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0124. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 38. 

Responses: 79,800. 

Estimated Total Burden Hours: 3,990. 

Estimated Total Burden Cost 

(Operating and Maintenance): $201,894. 

Description: PTE 2004–07 exempts 

from certain prohibited transaction 

restrictions of the Employee Retirement 

Income Security Act of 1974 (ERISA) 

and from certain taxes imposed by the 

Internal Revenue Code of 1986 (the 

Code), the acquisition, holding, sale, 

and contribution in kind of publicly 

traded shares of beneficial interest in a 

real estate investment trust that is 

structured under State law as a business 

trust (Trust REIT), on behalf of and to 

individual account plans sponsored by 

the REIT or its affiliates, provided that 

certain conditions are met. 

The exemption allows individual 

account plans (Plans) established by 

Trust REITS to offer a beneficial interest 

in the Trust REIT in the form of 

Qualifying REIT Shares, as defined in 

the exemption, to participants in Plans 

sponsored by the REIT or its employer 

affiliates, to require that employer 

contributions be used to purchase such 

shares, and to permit ‘‘contributions in 

kind’’ of such shares to these Plans by 

employers. 

The exemption conditions relief on 

compliance with a number of 

information collection requirements. 

These information collections are to be 

provided or made available to plan 

participants and fiduciaries in order to 

inform them about investments in 

Qualifying REIT Shares and the 

conditions of the exemption permitting 

share transactions. Records sufficient to 

allow them to determine whether the 

exemption conditions are met must also 

be maintained, and made available to 

them upon request, for a period of six 

years. These records must also be made 

available on request to employers and 

employee organizations with employees 

and members covered by a Plan of the 

Trust REIT or one of its employer 

affiliates, and to authorized employees 

and representatives of the Department 

and the Internal Revenue Service. EBSA 

submitted an ICR for the information 

collections in PTE 2004–07 to the Office 

of Management and Budget (OMB) for 

review and clearance in connection 

with proposal of the class exemption, 

which was published in the Federal 

Register on June 3, 2003 (68 FR 33185). 

OMB approved the ICR under OMB 

control number 1210–0124. The ICR 

approval is currently scheduled to 

expire on August 31, 2012. 

Agency: Employee Benefits Security 

Administration, Department of Labor. 

Title: Notice of Research Exception 

Under The Genetic Information 

Nondiscrimination Act. 

Type of Review: Extension of a 

currently approved collection of 

information. 

OMB Number: 1210–0136. 

Affected Public: Individuals or 

households; Business or other for-profit; 

Not-for-profit institutions. 

Respondents: 3. 

Responses: 3. 

Estimated Total Burden Hours: 1. 

Estimated Total Burden Cost 

(Operating and Maintenance): $10. 

Description: The Genetic Information 

Nondiscrimination Act of 2008 (GINA), 

Public Law 110–233, was enacted on 

May 21, 2008. Title I of GINA amended 

the Employee Retirement Income 

Security Act of 1974 (ERISA), the Public 

Health Service Act (PHS Act), the 

Internal Revenue Code of 1986 (Code), 

and the Social Security Act (SSA) to 

prohibit discrimination in health 

coverage based on genetic information. 

Sections 101 through 103 of Title I of 

GINA prevent employment-based group 

health plans and health insurance 

issuers in the group and individual 

markets from discriminating based on 

genetic information, and from collecting 

such information. The interim final 

regulations, which are codified at 29 

CFR 2590.702A, only interpret Sections 

101 through 103 of Title I of GINA. 

While GINA does not mandate any 

specific benefits for health care services 

related to genetic tests, diseases, 

conditions, or genetic services, GINA 

establishes rules that generally prohibit 

a group health plan and a health 

insurance issuer in the group market 

from: 


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• Increasing the group premium or 

contribution amounts based on genetic 

information; 

• Requesting or requiring an 

individual or family member to undergo 

a genetic test; and 

• Requesting, requiring or purchasing 

genetic information prior to or in 

connection with enrollment, or at any 

time for underwriting purposes. 

GINA and the interim final 

regulations (29 CFR 2590.702A(c)(5)) 

provide a research exception to the 

limitations on requesting or requiring 

genetic testing that allow a group health 

plan or group health insurance issuer to 

request, but not require, a participant or 

beneficiary to undergo a genetic test if 

all of the following conditions of the 

research exception are satisfied: 

• The request must be made pursuant 

to research that complies with 45 CFR 

Part 46 (or equivalent Federal 

regulations) and any applicable State or 

local law or regulations for the 

protection of human subjects in 

research. To comply with the informed 

consent requirements of 45 CFR 

46.116(a)(8), a participant must receive 

a disclosure that participation in the 

research is voluntary, refusal to 

participate cannot involve any penalty 

or loss of benefits to which the 

participant is otherwise entitled, and 

the participant may discontinue 

participation at any time without 

penalty or loss of benefits to which the 

participant is entitled (the Participant 

Disclosure). The interim final 

regulations provide that when the 

Participant Disclosure is received by 

participants seeking their informed 

consent, no additional disclosures are 

required for purposes of the GINA 

research exception. 

• The plan or issuer must make the 

request in writing and must clearly 

indicate to each participant or 

beneficiary (or in the case of a minor 

child, to the legal guardian of such 

beneficiary) to whom the request is 

made that compliance with the request 

is voluntary and noncompliance will 

have no effect on eligibility for benefits 

or premium or contribution amounts. 

• None of the genetic information 

collected or acquired as a result of the 

research may be used for underwriting 

purposes. 

• The plan or issuer must complete a 

copy of the ‘‘Notice of Research 

Exception under the Genetic 

Information Nondiscrimination Act’’ 

(the Notice) and provide it to the 

address specified in its instructions. The 

Notice and instructions are available on 

the Department of Labor’s Web site 

(http://www.dol.gov/ebsa). 

The Participant Disclosure and the 

Notice are the information collection 

requests (ICRs) contained in the interim 

final rules. The Department previously 

requested review of this information 

collection and obtained approval from 

the Office of Management and Budget 

(OMB) under OMB control number 

1210–0136. The ICR is scheduled to 

expire on August 31, 2012. 

II. Focus of Comments 

The Department is particularly 

interested in comments that: 

• Evaluate whether the collections of 

information are 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 collections 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., by permitting electronic 

submissions of responses. 

Comments submitted in response to 

this notice will be summarized and/or 

included in the ICRs for OMB approval 

of the extension of the information 

collection; they will also become a 

matter of public record. 

Dated: March 30, 2012. 

Joseph S. Piacentini, 

Director, Office of Policy and Research, 

Employee Benefits Security Administration. 

[FR Doc. 2012–8206 Filed 4–4–12; 8:45 am] 

BILLING CODE 4510–29–P 

DEPARTMENT OF LABOR 

Office of Workers’ Compensation 

Programs 

Proposed Extension of Existing 

Collection; Comment Request; 

Correction 

ACTION: Notice; Correction. 

SUMMARY: The Department of Labor, 

Office of Workers’ Compensation 

Programs is submitting a correction to 

the notice published in the Federal 

Register of February 9, 2012 (77 FR 

6824). The document contained 

incorrect information. 

FOR FURTHER INFORMATION CONTACT: 

Yoon Ferguson, 202–693–0701. 

Corrections 

1. In the Federal Register of February 

9, 2012, in FR Doc. 2012–2997, on page 

6824, in the first column, correct the 

‘‘Dates’’ caption to read: 

DATES: Written comments must be 

submitted to the office listed in the 

ADDRESSES section below on or before 

June 4, 2012. 

2. In the Federal Register of February 

9, 2012, in FR Doc. 2012–2997, on page 

6824, in the second column, correct the 

’’Supplementary Information’’ caption 

to read: 

I. Background: The Office of Workers’ 

Compensation Programs (OWCP) 

administers the Federal Employees’ 

Compensation Act (FECA) and the 

Longshore and Harbor Workers’ 

Compensation Act (LHWCA). These acts 

provide vocational rehabilitation 

services to eligible workers with 

disabilities. 5 U.S.C. 8111(b) of the 

FECA provides that OWCP may pay an 

individual undergoing vocational 

rehabilitation a maintenance allowance, 

not to exceed $200 a month. 33 U.S.C. 

908(g) of the LHWCA provides that 

person(s) undergoing such vocational 

rehabilitation shall receive maintenance 

allowances as additional compensation, 

not to exceed $25 a week. Form OWCP– 

17 is used to collect information 

necessary to decide the amount of any 

maintenance allowance to be paid. This 

information collection is currently 

approved for use through June 30, 2012. 

II. Review Focus: 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. 

III. Current Actions: The Department 

of Labor seeks the approval for the 

extension of this currently approved 

information collection in order to carry 

out its responsibility to assure payment 


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