Reporting Requirements for Grants to States for Rate Review Cycle IV and Effective Rate Review Program (CMS-10380)

Forms and Documents

Document Name	Status
Form CMS-10380 Transaction Data Collection Form	Modified
Form CMS-10380 Rate Review Grant - Cycle IV Annual Report Form and Instruction	Modified
Form CMS-10380 Rate Review Program Grant - Quarterly Report Form and Instruction	Modified
CMS-10380 Supporting Statement 30-day Final.docx Supporting Statement A	2019-07-18

IC Document Collections

IC ID	Document Title	Status
212866	Rate Review Program Grant - Cycle IV Application	Removed
212865	Effective Rate Review Program	Modified
212864	Transaction Data Collection Form	Modified
212863	Rate Review Program Grant - Cycle IV Final Report	Modified
212861	Rate Review Grant - Cycle IV Annual Report Form and Instruction	Modified
212860	Rate Review Program Grant - Quarterly Report Form and Instruction	Modified

ICR Details

OMB Control No: 0938-1121	ICR Reference No: 201802-0938-006
Status: Active	Previous ICR Reference No: 201609-0938-018
Agency/Subagency: HHS/CMS	Agency Tracking No: 20262
Title: Reporting Requirements for Grants to States for Rate Review Cycle IV and Effective Rate Review Program (CMS-10380)
Type of Information Collection: Reinstatement without change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/26/2019
	Date Received in OIRA: 07/23/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2022	36 Months From Approved
Responses	249	0	0
Time Burden (Hours)	14,405	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: On May 23, 2011, CMS published a final rule with comment period (76 FR 29964) to implement the annual review of unreasonable increases in premiums for health insurance coverage called for by section 2794. Under the regulation, if CMS determines that a state has an effective rate review program in a given market, using the criteria set forth in the rule, CMS will adopt that state's determinations regarding whether rate increases in that market are unreasonable, provided that the state reports its final determinations to CMS and explains the bases of its determinations. The final rule titled "Patient Protection and Affordable Care Act; Health Insurance Market Rules; Rate Review" (78 FR 13406, February 27, 2013) amends the standards under the rate review program. Currently, CMS relies on publicly available information and annual calls with individual States to obtain the information needed to determine whether a State has an effective rate review program. CMS is proposing to instead collect the information in writing from all States that would like to request effective status.

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Authorizing Statute(s): PL: Pub.L. 111 - 148 1003 Name of Law: Ensuring that consumers get value for their dollars
  

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:
	82 FR 25607	06/02/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 1036	01/09/2018
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
Rate Review Program Grant - Cycle IV Final Report
Transaction Data Collection	CMS-10380	Grant Program Data Dictionary
Effective Rate Review Program
Rate Review Program Grant - Quarterly Report	CMS-10380	Rate Review Program Quarterly Report
Rate Review Grant - Cycle IV Annual Report	CMS-10380	Rate Review Grant cycle IV - Annual Report
Rate Review Program Grant - Cycle IV Application

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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	249	0	0	2	-306	553
Annual Time Burden (Hours)	14,405	0	0	210	-6,756	20,951
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: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The reduction in burden hours is primarily due to the removal of Cycle IV application requirements. The burden hours decreased from 20,951 to 14,405 hours. The application period has ceased; however, the necessary reporting requirements remain active. The number of burden hours and annual cost were updated to reflect current Cycle II, Cycle III, and Cycle IV states, as well as eliminate the burden hours and annual cost for Cycle I, as no states are still in the Cycle I program. The decreased burden hours and cost for Rate Review Cycle II, Cycle III, and Cycle IV Grants is due to a number of state grantees that are no longer participating in various grant cycles. Respondents have engaged in grant close-outs due to completing activities set forth in their grant applications, changing grant milestones and objectives that are outside of the scope of the grant program, and exhausting grant funds.

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Annual Cost to Federal Government: $269,312

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.     No

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.     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: 07/23/2019

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