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

Forms and Documents

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

IC Document Collections

IC ID	Collection	Type	Status	Form
220456	Employers		Removed
198557	Issuer Burden		Modified

ICR Details

OMB Control No: 0938-1156	ICR Reference No: 202002-0938-006
Status: Received in OIRA	Previous ICR Reference No: 201603-0938-005
Agency/Subagency: HHS/CMS	Agency Tracking No: CCIIO-10400
Title: Establishment of Qualified Health Plans and American Health Benefit Exchanges (CMS-10400)
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 02/14/2020

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	210	0
Time Burden (Hours)	1,740	0
Cost Burden (Dollars)	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:
	84 FR 36099	07/26/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 57735	10/28/2019
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
Issuer Burden
Employers

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ICR Summary of Burden

	Total Request	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	210	0	0	-10,925	0	11,135
Annual Time Burden (Hours)	1,740	0	0	-54,036	0	55,776
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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: CMS is discontinuing several ICRs previously included in this collection relating to Small Business Health Options Program (SHOP), which will no longer be collected. The remaining data collections are being updated based on recent data,and are significantly decreased as a result of fewer issuers being subject to its requirement. As a result, the burden hours over the three-year period are reduced from 55,776 hours to 1,740 for a total reduction of 54,036 hours.

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Annual Cost to Federal Government: $0

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? No

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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: 02/14/2020

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