Agent and Broker Disclosure and Reporting Requirements (CMS-10787)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
CMS-10787 - AB Supporting Statement (508).docx	Supporting Statement A	Uploaded 2021-09-17	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
249383	Proposed Annual Ongoing Costs Regarding Issuer Reporting of Agent and Broker Compe nsation to HHS	Other-Data	New
249382	Proposed Annual Ongoing Costs Related to Agent and Broker Compensation Disclosure Provided with Enrollment Materials	Other-Data	New
249381	Proposed Annual Ongoing Costs Regarding Disclosure of Agent and Broker Compensation to Enrollees Prior to Enrollment	Other-Data	New

ICR Details

OMB Control No: 0938-1403	ICR Reference No: 202109-0938-002
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: HHS/CMS	Agency Tracking No: CCIIO - 10787
Title: Agent and Broker Disclosure and Reporting Requirements (CMS-10787)
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 10/05/2021
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/17/2021
Terms of Clearance: Prior to publication of the final rule, the agency should provide to OMB a summary of all comments received on the proposed information collection and identify any changes made in response to these comments.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: On December 27 2020, the President signed into law the Consolidated Appropriations Act, 2021 (CAA), which includes Title II (Transparency) in Division BB. HHS is publishing proposed rule CMS-9907-P: Reporting Requirements Regarding Air Ambulance Services, Agent and Broker Disclosures, and Provider Enforcement to establish implementing regulations for the CAA. Section 2746 of the PHS Act, as added by section 202(c) of Title II of Division BB of the CAA, requires health insurance issuers offering individual health insurance coverage or short-term, limited-duration insurance to make disclosures to enrollees regarding direct and indirect compensation provided by the issuer to an agent or broker associated with enrolling individuals in such coverage, prior to when the individual finalizes their plan selection, as well as on any documentation confirming the individual’s enrollment, including enrollment documentation required in applicable state or federal law or an initial enrollment package. At new proposed 45 CFR 148.410(c) and 45 CFR 148.410(d), HHS proposes to codify these disclosure and reporting requirements, respectively.

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Authorizing Statute(s): PL: Pub.L. 116 - 220 202(c) Name of Law: Disclosure of Direct and Indirect Compensation for Brokers and Consultants to Employer-Sponsored
   US Code: 42 USC 300gg-41 et seq. Name of Law: Disclosure to Enrollees of Individual Market Coverage
  

Citations for New Statutory Requirements: PL: Pub.L. 116 - 226 220(c) Name of Law: Disclosure of Direct and Indirect Compensation for Brokers and Consultants to Employer-Sponsored
US Code: 42 USC 300gg-41 et seq. Name of Law: Disclosure to Enrollees of Individual Market Coverage

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0938-AU61	Proposed rulemaking	86 FR 51730	09/16/2021

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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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
Proposed Annual Ongoing Costs Regarding Disclosure of Agent and Broker Compensation to Enrollees Prior to Enrollment
Proposed Annual Ongoing Costs Regarding Issuer Reporting of Agent and Broker Compe nsation to HHS
Proposed Annual Ongoing Costs Related to Agent and Broker Compensation Disclosure Provided with Enrollment Materials

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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: This is a new information collection request.

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Annual Cost to Federal Government: $1,000,000

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: 09/17/2021

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