Administrative Appeals

OMB Control No: 1212-0061	ICR Reference No: 201905-1212-010
Status: Active	Previous ICR Reference No: 201604-1212-001
Agency/Subagency: PBGC	Agency Tracking No:
Title: Administrative Appeals
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 07/08/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 05/30/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2022	36 Months From Approved	08/31/2019
Responses	600	0	900
Time Burden (Hours)	212	0	643
Cost Burden (Dollars)	33,440	0	46,680

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Abstract: The PBGC’s regulation on Rules for Administrative Review of Agency Decisions prescribes rules governing the issuance of initial determinations by the PBGC and the procedures for requesting and obtaining administrative review of initial determinations. For those types of initial determinations subject to administrative appeals, the regulation prescribes rules on who may file appeals, when and where to file appeals, contents of appeals, and other matters relating to appeals. Most appeals filed with the PBGC are filed by individuals (participants, beneficiaries, and alternate payees) in connection with benefit entitlement or amounts. A small number of appeals are filed by employers in connection with other matters, such as plan coverage or employer liability. Appeals may be filed by hand, mail, commercial delivery service, fax or e-mail. For appeals of benefit determinations, the PBGC has developed new optional forms for filing appeals and requests for extensions of time to appeal.

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Authorizing Statute(s): US Code: 29 USC 1303 Name of Law: ERISA

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 10554	03/21/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 24187	05/24/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title Form No. Form Name Administrative Appeals (Employers) Administrative Appeals (Individuals) 724, 723 Request for Additional Time to File an Appeal to a PBGC Benefit Determination ,   Appeal of a PBGC Benefit Determination

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	600	900	0	-300	0	0
Annual Time Burden (Hours)	212	643	0	-431	0	0
Annual Cost Burden (Dollars)	33,440	46,680	0	-13,240	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The change in the estimated annual hourly and cost burden of this collection of information (from 643 hours and $46,680 to 212 hours and $33,440) is attributable to several changes. First, there is a decrease in the estimate of the total average number of appellants that will respond to this collection of information, decreasing from an average of 900 appellants per year to an average of 600 appellants. Second, there is a decrease in the estimate of the average annual burden of this collection of information, with the average amount of time per appellant decreasing (from forty-five minutes to twenty minutes). Taken together, these changes result in an estimated decrease in the total average hourly burden and cost burden of this information collection. Lastly, PBGC has adopted an experience-based burden. PBGC previously estimated the time spent to prepare the information collection and relied on public comments received, if any, on the burden estimates. PBGC has switched to using “experience-based” burden where possible. Experience-based burden uses actual experience — to arrive at estimated burden figures. The information is gathered by contacting nine or fewer people who file appeals and extension requests at PBGC. The resultant burden figures may be higher or lower than PBGC’s previous estimated figures — sometimes much higher or lower — and may fluctuate as time goes by and more experience is available.

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Annual Cost to Federal Government: $0

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

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

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

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

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Karen Levin 202 326-4400 ext. 3559 [email protected]

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
		(a) It is necessary for the proper performance of agency functions;
		(b) It avoids unnecessary duplication;
		(c) It reduces burden on small entities;
		(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
		(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
		(f) It indicates the retention periods for recordkeeping requirements;
		(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
			(i) Why the information is being collected;
			(ii) Use of information;
			(iii) Burden estimate;
			(iv) Nature of response (voluntary, required for a benefit, or mandatory);
			(v) Nature and extent of confidentiality; and
			(vi) Need to display currently valid OMB control number;
		(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
		(i) It uses effective and efficient statistical survey methodology (if applicable); and
		(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date: 05/30/2019

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