Proposed Extension of Information Collection Requests for Public Comment
Notice.
Citation: "83 FR 53500"
Page Number: "53500"
"Notices"
Agency: "
SUMMARY:
DATES: Written comments must be submitted to the office shown in the ADDRESSES section on or before
ADDRESSES:
SUPPLEMENTARY INFORMATION: This notice requests public comment on the Department's request for extension of the
Agency:
Title: Genetic Information Nondiscrimination Act of 2008 Research Exception Notice.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0136.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 3.
Responses: 3.
Estimated Total
Estimated Total
Description: The Genetic Information Nondiscrimination Act of 2008 (GINA), Public Law 110-233, was enacted on
GINA and the interim final regulations (29 CFR 2590.702-1(c)(5)) provide a research exception to the limitations on requesting or requiring genetic testing that allow a group health plan or group health insurance issuer to request, but not require, a participant or beneficiary to undergo a genetic test if all of the following conditions of the research exception are satisfied:
* The request must be made pursuant to research that complies with 45 CFR part 46 (or equivalent Federal regulations) and any applicable State or local law or regulations for the protection of human subjects in research. To comply with the informed consent requirements of 45 CFR 46.116 (a)(8), a participant must receive a disclosure that participation in the research is voluntary, refusal to participate cannot involve any penalty or loss of benefits to which the participant is otherwise entitled, and the participant may discontinue participation at any time without penalty or loss of benefits to which the participant is entitled (the Participant Disclosure). The interim final regulations provide that when the Participant Disclosure is received by participants seeking their informed consent, no additional disclosures are required for purposes of the GINA research exception.
* The plan or issuer must make the request in writing and must clearly indicate to each participant or beneficiary (or in the case of a minor child, to the legal guardian of such beneficiary) to whom the request is made that compliance with the request is voluntary and noncompliance will have no effect on eligibility for benefits or premium or contribution amounts.
* None of the genetic information collected or acquired as a result of the research may be used for underwriting purposes.
* The plan or issuer must complete a copy of the "Notice of Research Exception under the Genetic Information Nondiscrimination Act" (the Notice) and provide it to the address specified in its instructions. The Notice and instructions are available on the
The Participant Disclosure and the Notice are the ICRs contained in the interim final rules. The Department previously requested review of this information collection and obtained approval OMB under OMB control number 1210-0136. The ICRs are scheduled to expire on
Agency:
Title: Definition of Plan Assets--Participant Contributions.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0100.
Affected Public: Businesses or other for-profits.
Respondents: 1.
Responses: 251.
Estimated Total
Estimated Total
Description: The regulation concerning plan assets and participant contributions provides guidance for fiduciaries, participants, and beneficiaries of employee benefit plans regarding how participant contributions to pension plans must be handled when they are either paid to the employer by the participant or directly withheld by the employer from the employee's wages for transmission to the pension plan. For those employers who may have difficulty meeting the regulation's deadlines for transmitting participant contribution, the regulation (29 CFR 2510.3-102(d)) provides an opportunity for the employer to obtain an extension of the time limit by providing participants and the Department with a notice that contains specified information. The ICR pertains to this notice requirement. The Department previously requested review of this ICR and obtained approval from OMB under OMB control number 1210-0100. That approval is scheduled to expire on
Agency:
Title: Disclosures for Participant-Directed Individual Account Plans.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0090.
Affected Public: Businesses or other for-profits.
Respondents: 518,282.
Responses: 713,900,000.
Estimated Total
Estimated Total
Description: Plan administrators are required to provide plan- and investment-related fee and expense information to participants and beneficiaries in all participant directed individual account plans (e.g., 401(k) plans) for plan years beginning on or after
Agency:
Title: Bank Collective Investment Funds; Prohibited Transaction Class Exemption 1991-38.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0082.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 6,000.
Responses: 6,000.
Estimated Total
Estimated Total
Description:
Under
EBSA previously submitted the information collection provisions of
Agency:
Title: Prohibited Transaction Class Exemption 97-41; Collective Investment Funds Conversion Transactions.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0104.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 50.
Responses: 105.
Estimated Total
Estimated Total
Description: Prohibited Transaction Exemption (PTE) 97-41 provides an exemption from the prohibited transaction provisions of the Employment Retirement Income Security Act of 1974 (ERISA) and from certain taxes imposed by the Internal Revenue Code of 1986. The exemption permits employee benefit plans to purchase shares of one or more open-end investment companies (the funds) registered under the Investment Advisers Act of 1940 by transferring in-kind, to the investment company, assets of the plan that are part of a collective investment fund (CIF) maintained by a bank or plan advisor that is both a fiduciary of the plan and an investment advisor to the investment company offering the fund.
The exemption requires that an independent fiduciary receive advance written notice of any covered transaction, as well as specific written information concerning the funds to be purchased. The independent fiduciary must also provide written advance approval of conversion transactions and receive written confirmation of each transaction, as well as additional on-going disclosures as defined in
EBSA previously submitted the information collection provisions of
Agency:
Title: Foreign Currency Transactions; Prohibited Transaction Class Exemption 1994-20.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0085.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 248.
Responses: 1,240.
Estimated Total
Estimated Total
Description:
To protect the interests of participants and beneficiaries of the employee benefit plan, the exemption requires that the party wishing to take advantage of the exemption (1) develop written policies and procedures applicable to trading in foreign currencies on behalf of an employee benefit plan; (2) provide a written confirmation with respect to each transaction in foreign currency to the independent plan fiduciary, disclosing specified information; and (3) maintain records pertaining to the transaction for a period of six years. This ICR relates to the foregoing disclosure and recordkeeping requirements.
EBSA previously submitted the information collection provisions of
Agency:
Title: Affordable Care Act Internal Claims and Appeals and External Review Procedures for Non-Grandfathered Plans.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0144.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 1,801,225.
Responses: 278,413.
Estimated Total
Estimated Total
Description: The Patient Protection and Affordable Care Act, Public Law 111-148, (the Affordable Care Act) was enacted by
Also, PHS Act section 2719 and the interim final regulations provide that group health plans and issuers offering group health insurance coverage must comply either with a State external review process or a Federal review process. The regulations provide a basis for determining when plans and issuers must comply with an applicable State external review process and when they must comply with the Federal external review process.
The claims procedure regulation imposes information collection requirements as part of the reasonable procedures that an employee benefit plan must establish regarding the handling of a benefit claim. These requirements include third-party notice and disclosure requirements that the plan must satisfy by providing information to participants and beneficiaries of the plan.
On
The second amendment also changes the method plans and issuers must use to determine who is eligible to receive a notice in a culturally and linguistically appropriate manner, and the information that must be provided to such persons. The previous rule was based on the number of employees at a firm. The new rule is based on whether a participant or beneficiary resides in a county where ten percent or more of the population residing in the county is literate only in the same non-English language. The ICR was approved by OMB under OMB Control Number 1210-0144 and is scheduled to expire on
Agency:
Title: Affordable Care Act Advance Notice of Rescission.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0141.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 100.
Responses: 1,533.
Estimated Total
Estimated Total
Description: Section 2712 of the PHS Act, as added by the Affordable Care Act, and the Department's interim final regulation (26 CFR 54.9815-2712, 29 CFR 2590.715-2712, 45 CFR 147.2712) provides rules regarding rescissions of health coverage for group health plans and health insurance issuers offering group or individual health insurance coverage. Under the statute and the interim final regulations, a group health plan, or a health insurance issuer offering group or individual health insurance coverage, generally must not rescind coverage except in the case of fraud or an intentional misrepresentation of a material fact. This standard applies to all rescissions, whether in the group or individual insurance market, or self-insured coverage. The rules also apply regardless of any contestability period of the plan or issuer.
PHS Act section 2712 adds a new advance notice requirement when coverage is rescinded where still permissible. Specifically, the second sentence in section 2712 provides that coverage may not be cancelled unless prior notice is provided, and then only as permitted under PHS Act sections 2702(c) and 2742(b). Under the interim final regulations, even if prior notice is provided, rescission is only permitted in cases of fraud or an intentional misrepresentation of a material fact as permitted under the cited provisions.
The interim final regulations provide that a group health plan, or a health insurance issuer offering group health insurance coverage, must provide at least 30 days advance notice to an individual before coverage may be rescinded. The notice must be provided regardless of whether the rescission is of group or individual coverage; or whether, in the case of group coverage, the coverage is insured or self-insured, or the rescission applies to an entire group or only to an individual within the group. The ICR was approved by OMB under OMB Control Number 1210-0141 and is scheduled to expire on
Agency:
Title: Affordable Care Act Grandfathered Health Plan Disclosure, Recordkeeping Requirement, and Change in Carrier Disclosure.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0140.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 983,923.
Responses: 18,143,918.
Estimated Total
Estimated Total
Description: Section 1251 of the Patient Protection and Affordable Care Act provides that certain plans and health insurance coverage in existence as of
The interim final regulations (29 CFR 2590.715-1251(a)(2)) also require a grandfathered health plan to include a statement in any plan material provided to participants or beneficiaries describing the benefits provided under the plan or health insurance coverage, that the plan or coverage believes it is a grandfathered health plan within the meaning of section 1251 of the Act, that being a grandfathered health plan means that the plan does not include certain consumer protections of the Act, and providing contact information for participants to direct questions regarding which protections apply and which protections do not apply to a grandfathered health plan and what might cause a plan to change from grandfathered health plan status and to file complaints. The ICR contained in this interim final rule was approved by OMB under OMB Control Number 1210-0140, which is currently scheduled to expire on
Agency:
Title: Patient Protection and Affordable Care Act Patient Protection Notice.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0142.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 41,386.
Responses: 693,007.
Estimated Total
Estimated Total
Description: Section 2719A of the PHS Act, as added by the Affordable Care Act, and the Department's interim final regulation (29 CFR 2590.715-2719A), states that if a group health plan, or a health insurance issuer offering group or individual health insurance coverage, requires or provides for designation by a participant, beneficiary, or enrollee of a participating primary care provider, then the plan or issuer must permit each participant, beneficiary, or enrollee to designate any participating primary care provider who is available to accept the participant, beneficiary, or enrollee. When applicable, it is important that individuals enrolled in a plan or health insurance coverage know of their rights to (1) choose a primary care provider or a pediatrician when a plan or issuer requires participants or subscribers to designate a primary care physician; or (2) obtain obstetrical or gynecological care without prior authorization. Accordingly, paragraph (a)(4) of the interim final regulations requires such plans and issuers to provide a notice to participants (in the individual market, primary subscribers) of these rights when applicable. Model language is provided in the interim final regulations. The notice must be provided whenever the plan or issuer provides a participant with a summary plan description or other similar description of benefits under the plan or health insurance coverage, or in the individual market, provides a primary subscriber with a policy, certificate, or contract of health insurance. The ICR was approved by OMB under OMB Control Number 1210-0142 and is scheduled to expire on
Agency:
Title: Employee Retirement Income Security Act Summary Annual Report Requirement.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0040.
Affected Public: Not-for-profit institutions, Businesses or other for-profits.
Respondents: 721,000.
Responses: 168,200,000.
Estimated Total
Estimated Total
Description: ERISA Section 104(b)(3) and the regulation published at 29 CFR 2520.104b-10 require, with certain exceptions, that administrators of employee benefit plans furnish annually to each participant and certain beneficiaries a summary annual report (SAR) meeting the requirements of the statute and regulation. The regulation prescribes the content and format of the SAR and the timing of its delivery. The SAR provides current information about the plan and assists those who receive it in understanding the plan's current financial operation and condition. It also explains participants' and beneficiaries' rights to receive further information on these issues.
EBSA previously submitted the ICR provisions in the regulation at 29 CFR 2520.104b-10 to OMB, and OMB approved the ICR under OMB Control No. 1210-0040. The ICR approval is scheduled to expire on
Agency:
Title: Summary of Benefits and Coverage and Uniform Glossary Required Under the Affordable Care Act.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0147.
Affected Public: Businesses or other for-profits; Not-for-profit institutions.
Respondents: 4,644,924.
Responses: 71,252,236.
Estimated Total
Estimated Total
Description: Section 2715 of the PHS Act directs the
Agency:
Title: Annual Report for Multiple Employer Welfare Arrangements (Form M-1).
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0116.
Affected Public: Businesses or other for-profits, not-for-profit institutions.
Respondents: 456.
Responses: 456.
Estimated Total
Estimated Total
Description: The Health Insurance Portability and Accountability Act of 1996 (HIPAA), codified as Part 7 of Title I of the Employee Retirement Security Act of 1974 (ERISA), was enacted to improve the portability and continuity of health care coverage for participants and beneficiaries of group health plans. In the interest of assuring compliance with Part 7, section ERISA 101(g), added by HIPAA, further permits the Secretary of Labor (the Secretary) to require multiple employer welfare arrangements (MEWAs), as defined in ERISA section 3(40), to report to the Secretary in such form and manner as the Secretary might determine. The Department published a final rule providing for such reporting on an annual basis, together with a form (Form M-1) to be used by MEWAs for the annual report. The reporting requirement enables the Secretary to determine whether the requirements of Part 7 of ERISA are being carried out.
The Patient Protection and Affordable Care Act (Pub. L. 111-148, 124 Stat. 119) and the Health Care and Education Reconciliation Act of 2010 (Pub. L. 111-152, 124 Stat. 1029) (these are collectively known as the "Affordable Care Act") amended ERISA section 101(g). Under this amendment, MEWAs providing benefits consisting of medical care (within the meaning of ERISA section 733(a)(2) that are not group health plans must now register with the Secretary prior to operating in a State. EBSA previously submitted an ICR for the information collection in Form M-1 to OMB for review under the PRA and received approval under OMB control number 1210-0116. This current approval is scheduled to expire on
Agency:
Title: Notice of Special Enrollment Rights Under Group Health Plans.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0101.
Affected Public Businesses or other for-profits, not-for-profit institutions.
Respondents: 2,300,000.
Responses: 8,600,000.
Estimated Total
Estimated Total
Description: Subsection (c) of 29 CFR 2590.701-6 requires group health plans to provide a notice describing the plan's special enrollment rules to each employee who is offered an initial opportunity to enroll in the group health plan. The special enrollment rules described in the notice of special enrollment generally provide enrollment rights to employees and their dependents in specified circumstances occurring after the employee or dependent initially declines to enroll in the plan. EBSA previously submitted an ICR concerning the notice of special enrollment to OMB for review under the PRA and received approval under OMB Control No. 1210-0101. The current ICR approval is scheduled to expire on
Agency:
Title: Prohibited Transaction Class Exemptions for Multiple Employer Plans and Multiple Employer Apprenticeship Plans,
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0058.
Affected Public Businesses or other for-profits, not-for-profit institutions.
Respondents: 3,625.
Responses: 3,625.
Estimated Total
Estimated Total
Description: This ICR covers information collections contained in three related prohibited transaction class exemptions:
Each of these PTEs requires, as part of its conditions, either written agreements, recordkeeping, or both. The Department has combined the information collection provisions of the three PTEs into one ICR because it believes that the public benefits from having the opportunity to collectively review these closely related exemptions and their similar information collections. The Department previously submitted an ICR to OMB for approval of the information collections in PTEs 76-1, 77-10, and 78-6 and received OMB approval under OMB Control No. 1210-0058. The current approval is scheduled to expire on
Agency:
Title: Multiple Employer Welfare Arrangement Administrative Law Judge Administrative Hearing Procedures.
Type of Review: Extension of a currently approved collection of information.
OMB Number: 1210-0148.
Affected Public: Businesses or other for-profits.
Respondents: 10.
Responses: 10.
Estimated Total
Estimated Total
Description:
The Department previously submitted this information collection to OMB in an ICR that was approved under OMB Control Number 1210-0148. The current approval is scheduled to expire on
II. Focus of Comments
The Department is particularly interested in comments that:
* Evaluate whether the collections of information are necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
* Evaluate the accuracy of the agency's estimate of the collections of information, including the validity of the methodology and assumptions used;
* Enhance the quality, utility, and clarity of the information to be collected; and
* Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., by permitting electronic submissions of responses.
Comments submitted in response to this notice will be summarized and/or included in the ICRs for OMB approval of the extension of the information collection; they will also become a matter of public record.
Dated:
Director,
[FR Doc. 2018-23079 Filed 10-22-18;
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