Rate Increase Disclosure and Review Reporting Requirements (CMS-10379)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Response to Comments document for CMS 10379 8.9.16.doc	Supplementary Document	Uploaded 2016-08-10	Available
CMS-10379 Rate Review - Part A Supporting Statement.rtf	Supporting Statement A	Uploaded 2016-08-10	Available
Crosswalk of Changes for CMS10379 508d 6.3.16pdf.pdf	Supplementary Document	Uploaded 2016-06-29	Available
CMS-10379 - Oversight response to comment letters.doc	Supplementary Document	Uploaded 2016-06-23	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
198022	State Unreasonable Rate Increase Determinations		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: 201606-0938-008
Status: Historical Active	Previous ICR Reference No: 201502-0938-003
Agency/Subagency: HHS/CMS	Agency Tracking No: CMS-10379
Title: Rate Increase Disclosure and Review Reporting Requirements (CMS-10379)
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: 08/11/2016
	Date Received in OIRA: 07/01/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2019	36 Months From Approved	07/31/2017
Responses	4,086	0	9,356
Time Burden (Hours)	41,365	0	84,990
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.

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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:
	81 FR 8498	02/19/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 39644	06/21/2016
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 3

table that charts list of burden

IC Title	Form No.	Form Name
Health Insurance Issuer Submission of Final Justification for Unreasonable Rate Increases
State Unreasonable Rate Increase Determinations
Health Insurance Issuer Submission of the Preliminary Justification

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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	4,086	9,356	0	0	-5,270	0
Annual Time Burden (Hours)	41,365	84,990	0	0	-43,625	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: There is an overall decrease in burden hours associated with this information collection (from 84,150 hours to 41,213 hours). We expect the number of submissions to increase slightly (1%) because most issuers offering single risk pool coverage already submit the Template. The URRT is required when: 1) a plan within the issuer’s single risk pool has a rate increase; 2) the issuer’s State regulator requires submission of the URRT; 3) the issuer is seeking to offer a QHP through a Federally-Facilitated or State Partnership Exchange; or 4) the issuer chooses to use the URRT to satisfy the requirement to annually set an index rate. We believe that requiring the submission of the URRT for all rates, rather than requiring submission of a new document for products with no rate change or rate decreases, will reduce administrative burden for issuers while providing the Secretary and the States with the information necessary to more effectively carry out their responsibilities to monitor rate increases inside and outside of Exchanges. The change in burden for health insurance issuer submission of a Written Description Justifying the Rate Increase for products that contain a plan with a rate increase that meets or exceeds the review threshold is due to regulatory changes finalized in the HHS Notice of Benefit and Payment Parameters for 2016 Final Rule (80 FR 39, February 27, 2015). Total cost to issuers is estimated to increase by approximately $6,732 in plan year 2017. For state unreasonable rate increase determinations the total burden is estimated to increase by approximately $2,040.

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Annual Cost to Federal Government: $319,591

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: 07/01/2016

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