Establishment of Qualified Health Plans and American Health Benefit Exchanges (CMS-10400)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
CMS-10400.FINAL-Supporting_Statement_Part_A.docx	Supporting Statement A	Uploaded 2013-03-22	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
220456	Employers		New
198558	Exchanges		Removed
198557	Issuers - Segregation Plan Attestation Reconciliation Termination		Modified

ICR Details

OMB Control No: 0938-1156	ICR Reference No: 201603-0938-005
Status: Historical Active	Previous ICR Reference No: 201205-0938-010
Agency/Subagency: HHS/CMS	Agency Tracking No:
Title: Establishment of Qualified Health Plans and American Health Benefit Exchanges (CMS-10400)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/15/2016
	Date Received in OIRA: 03/04/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2019	36 Months From Approved	06/30/2016
Responses	11,135	0	21,879
Time Burden (Hours)	55,776	0	1,232,237
Cost Burden (Dollars)	0	0	0

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Abstract: The Patient Protection and Affordable Care Act, Public Law 111-148, enacted on March 23, 2010, and the Health Care and Education Reconciliation Act, Public Law 111-152, enacted on March 30, 2010 (collectively, "Affordable Care Act"), expand access to health insurance for individuals and employees of small businesses through the establishment of new Affordable Insurance Exchanges (Exchanges), including the Small Business Health Options Program (SHOP). The Exchanges, which will become operational by January 1, 2014, will enhance competition in the health insurance market, expand access to affordable health insurance for millions of Americans, and provide consumers with a place to easily compare and shop for health insurance coverage. The reporting requirements and data collection in the Exchange rule address Federal requirements that States must meet with respect to the establishment and operation of an Exchange; minimum requirements that health insurance issuers must meet with respect to participation in a State based or Federally-facilitated Exchange; and requirements that employers must meet with respect to participation in the SHOP and compliance with other provisions of the Affordable Care Act. The submission seeks OMB approval of the regulatory PRA requirements associated with 45 CFR parts 155, 156, and 157.

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Authorizing Statute(s): PL: Pub.L. 111 - 148 1321 Name of Law: Affordable Care Act
   PL: Pub.L. 111 - 148 1401 Name of Law: Affordable Care Act
   PL: Pub.L. 111 - 148 1402 Name of Law: Affordable Care Act
   PL: Pub.L. 111 - 148 1411 Name of Law: Affordable Care Act
   PL: Pub.L. 111 - 148 1412 Name of Law: Affordable Care Act
   PL: Pub.L. 111 - 148 1413 Name of Law: Affordable Care Act
   PL: Pub.L. 111 - 148 6005 Name of Law: Affordable Care Act
   PL: Pub.L. 111 - 148 1311 Name of Law: Affordable Care Act
  

Citations for New Statutory Requirements: US Code: 45 USC 157.205 Name of Law: Qualified employer participation process in a SHOP

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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:
	80 FR 72968	11/23/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 11569	03/04/2016
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Issuers - Segregation Plan Attestation Reconciliation Termination
Employers
Exchanges

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ICR Summary of Burden

table that charts list 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	11,135	21,879	10,000	0	-20,744	0
Annual Time Burden (Hours)	55,776	1,232,237	40,000	0	-1,216,461	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Several ICRs previously included in this collection are also included in other collections with different OMB control numbers and have been removed from this collection. One requirement is being discontinued because it has not been implemented. In addition, in order to consolidate similar requirements in the same collection, some ICRs previously included in this collection will now be included under separate collections for which we are seeking OMB approval under new OMB Control Numbers. The burden estimates for the remaining ICRs have also been updated based on recent data. As a result, the burden hours are reduced from 1,232,237 hours to 55,776 for a total reduction of 1,176,461.

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Annual Cost to Federal Government: $10,365

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: 03/04/2016

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