Medicare Advantage and Prescription Drug Program: Final Marketing Provisions CFR 422.111(a)(3) and 423.128(a)(3) (CMS-10260)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Supporting_Statement 30-day.docx	Supporting Statement A	Uploaded 2020-04-07	Missing upstream
Attachment_B_2021_ANOC_EOC_Crosswalk_03122020_CLEAN_with_no_issue_numbers_03162020.docx	Supplementary Document	Uploaded 2020-04-03	Available
Attachment_C_Comments_and_Response_to_Federal_Register_Notice_2020_03162020.docx	Supplementary Document	Uploaded 2020-04-03	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
229287	Marketing Materials		Modified
186438	Annual Notice of Change (ANOC) and Evidence of Coverage (EOC)	Instruction	Modified

ICR Details

OMB Control No: 0938-1051	ICR Reference No: 202004-0938-001
Status: Received in OIRA	Previous ICR Reference No: 201804-0938-018
Agency/Subagency: HHS/CMS	Agency Tracking No: CM-CPC
Title: Medicare Advantage and Prescription Drug Program: Final Marketing Provisions CFR 422.111(a)(3) and 423.128(a)(3) (CMS-10260)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 04/07/2020

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2021
Responses	47,962	41,091
Time Burden (Hours)	33,124	29,803
Cost Burden (Dollars)	42,000,000	8,068,730,000

---

Abstract: This final rule implements provisions of the Social Security Act (the Act) establishing and regulating the Medicare Advantage (MA) program. The MA program was enacted in Title II of The Medicare Prescription Drug, Improvement, and Modernization Act of 2003 (MMA) on December 8, 2003. The MA program replaces the Medicare+Choice (M+C) program established under Part C of the title XVIII of the Act, while retaining most key features of the M+C program. The MA program attempts to broadly reform and expand the availability of private health plan options to Medicare beneficiaries. Medicare Advantage (MA) organizations and Prescription Drug Plan Sponsors use the information to comply with the eligibility requirements and the MA and Part D contract requirements. CMS will use this information to ensure that correct information is disclosed to Medicare beneficiaries, both potential enrollees and enrollees.

---

Authorizing Statute(s): PL: Pub.L. 108 - 117 201 Name of Law: The Medicare Prescription Drug, Improvement, and Modernization Act of 2003
   PL: Pub.L. 110 - 275 103 Name of Law: The Medicare Improvements for Patients and Providers Act of 2008
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 63655	11/18/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 19486	04/07/2020
Did the Agency receive public comments on this ICR? Yes

---

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

table that charts list of burden

IC Title	Form No.	Form Name
Marketing Materials
Annual Notice of Change (ANOC) and Evidence of Coverage (EOC)

---

ICR Summary of Burden

table that charts list 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	47,962	41,091	0	0	6,871	0
Annual Time Burden (Hours)	33,124	29,803	0	0	3,321	0
Annual Cost Burden (Dollars)	42,000,000	8,068,730,000	0	0	-8,026,730,000	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: The changes in burden are adjustments associated with the number of respondents, changes in wages, and a more accurate estimate in number of marketing materials that MA organizations and Part D sponsors upload into the HPMS.

---

Annual Cost to Federal Government: $394,846

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]? No

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

---

Common Form ICR:  No

---

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: 04/07/2020

---