Rate Increase Disclosure and Review Reporting Requirements (45 CFR Part 154)

Forms and Documents

Document Name	Status
CMS-10379 Emergency Justification Memo Rate Review (10-28-11).doc Supplementary Document	2011-10-31
CMS-10379_Supporting_Statement_Part_A.pdf Supporting Statement A	2011-10-12

IC Document Collections

IC ID	Document Title	Status
198023	Ongoing Compliance (2012-2013)	Modified
198022	State Unreasonable Rate Increase Determinations	Modified
198021	One-Time Health Insurance Issuer Start-Up Costs	Modified
198020	Health Insurance Issuer Submission of Final Justification for Unreasonable Rate Increases Other-Microsoft Word	Modified
198019	Health Insurance Issuer Submission of the Preliminary Justification Other-Microsoft Word	Modified

ICR Details

OMB Control No: 0938-1141	ICR Reference No: 201110-0938-005
Status: Historical Active	Previous ICR Reference No: 201106-0938-008
Agency/Subagency: HHS/CMS	Agency Tracking No:
Title: Rate Increase Disclosure and Review Reporting Requirements (45 CFR Part 154)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Emergency	Approval Requested By: 10/21/2011
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/31/2011
	Date Received in OIRA: 10/12/2011
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for 6 months. In their next submission, the agency must identify the specific regulatory provisions, citing the appropriate section or provision of the CFR for each IC, for which they are requesting PRA approval and provide any instructions or guidance to the respondents. The agency is also reminded to provide burden estimates based on the annual average of burden imposed over 3 years. Finally, the prior terms of clearance remain in effect: By the time of the next submission, the agency will provide an overview of the steps taken to minimize burden and avoid duplicative collections, especially with regard to the preliminary and secondary justifications.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2012	6 Months From Approved	08/31/2014
Responses	3,901	0	3,435
Time Burden (Hours)	91,219	0	86,656
Cost Burden (Dollars)	0	0	0

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Abstract: This information collection request covers the Rate Increase Disclosure and Review Reporting Requirements of 45 CFR Part 154.

Emergency Justfication: Please see the attached emergency justification.

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Authorizing Statute(s): PL: Pub.L. 111 - 148 1003 Name of Law: Affordable Care Act
  

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:
	76 FR 63302	10/07/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 63302	10/07/2011
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Health Insurance Issuer Submission of the Preliminary Justification
Health Insurance Issuer Submission of Final Justification for Unreasonable Rate Increases
One-Time Health Insurance Issuer Start-Up Costs
State Unreasonable Rate Increase Determinations
Ongoing Compliance (2012-2013)

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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	3,901	3,435	0	466	0	0
Annual Time Burden (Hours)	91,219	86,656	0	4,563	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The number of respondents has increased to include association plans and the burden has been adjusted accordingly. We also corrected an arithmetic error regarding the one-Time health insurance issuer start-up costs.

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Annual Cost to Federal Government: $3,886,920

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

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Yes

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

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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: 10/12/2011

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