Compliance with Individual and Group Market Reforms under Title XXVII of the Public Health Service Act (CMS-10430)

Forms and Documents

Document Name	Status
Form CMS-10430 Information Collection Requirements for Compliance with Individual and Group Market Reforms under Title XXVII of the Public Health Service Act Form and Instruction	Modified
CMS-10430 Supporting Statement 30d wd.docx Supporting Statement A	2019-08-20

IC Document Collections

IC ID	Document Title	Status
43664	Information Collection Requirements for Compliance with Individual and Group Market Reforms under Title XXVII of the Public Health Service Act Form and Instruction	Modified

ICR Details

OMB Control No: 0938-0702	ICR Reference No: 201905-0938-005
Status: Active	Previous ICR Reference No: 201603-0938-016
Agency/Subagency: HHS/CMS	Agency Tracking No: CCIIO
Title: Compliance with Individual and Group Market Reforms under Title XXVII of the Public Health Service Act (CMS-10430)
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: 12/10/2019
	Date Received in OIRA: 08/20/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved	12/31/2019
Responses	42,120	0	100,758
Time Burden (Hours)	1,721	0	2,555
Cost Burden (Dollars)	0	0	0

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Abstract: Sections 2723 and 2761 of the Public Health Service Act (PHS Act) direct the Centers for Medicare and Medicaid Services (CMS) to enforce a provision (or provisions) of title XXVII of the PHS Act (including the implementing regulations in parts 144, 146, 147, and 148 of title 45 of the Code of Federal Regulations) with respect to health insurance issuers when a state has notified CMS that it has not enacted legislation to enforce or that it is not otherwise enforcing a provision (or provisions) of the group and individual market reforms with respect to health insurance issuers, or when CMS has determined that a state is not substantially enforcing one or more of those provisions. This collection of information includes requirements that are necessary for CMS to conduct compliance review activities.

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Authorizing Statute(s): PL: Pub.L. 111 - 148 Title I Name of Law: Affordable Care Act
   US Code: 42 USC 300gg-23 Name of Law: Individual and Group Market Reforms
   US Code: 42 USC 241 Name of Law: Research and investigations generally
   PL: Pub.L. 105 - 277 Title IX Name of Law: The Women's Health and Cancer Rights Act of 1998
   PL: Pub.L. 104 - 204 Title VI Name of Law: Newborns' and Mothers' Health Protection Act of 1996
   PL: Pub.L. 104 - 191 Title I Name of Law: Health Insurance Portability and Accountability Act of 1996 (HIPAA)
   PL: Pub.L. 110 - 343 Title V Name of Law: Paul Wellstone and Pete Domenici Mental Health Parity and Addiction Equity Act of 2008
   PL: Pub.L. 110 - 223 Title I Name of Law: Genetic Information Nondiscrimination Act of 2008
   US Code: 42 USC 300gg-61 Name of Law: Individual Market Rules
  

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 731	01/31/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 34895	07/19/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Information Collection Requirements for Compliance with Individual and Group Market Reforms under Title XXVII of the Public Health Service Act	CMS-10430	Model Notice to Enrollees

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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	42,120	100,758	0	0	-58,638	0
Annual Time Burden (Hours)	1,721	2,555	0	0	-834	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 are program changes in this collection as a result of implementing new requirements associated with the state engagement coordination. These new requirements increased the burden by 438 hours. The estimated burden related to form filing submissions has decreased by 399 hours (from 763 to 364) due to the reduction in the estimated number of issuers that submit forms for CMS’ review. The estimated burden related to full disclosure by issuers to all small employers of materials on all products and other information has decreased by 74 hours (from 848 to due to a reduction in the estimated number of issuers affected by this requirement. The estimated burden related to opt-out notices has decreased by 798.5 hours (from 943.5 hours to 145 hours) due to a reduction in the estimated number of plans opting out. Although new requirements increased the burden hours by 438 hours, the overall burden hour total has been reduced by hours (from 2,555 to 1,720) due to the decrease in the number of respondents (from 983 issuers to 780 issuers).

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Annual Cost to Federal Government: $1,936,008

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: 08/20/2019

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