Non-Quantitative Treatment Limitation Analyses and Compliance Under MHPAEA (CMS-10773)

Forms and Documents

Document Name	Status
CMS-10773 Appendix II - Comment Response Summary.pdf Supplementary Document	2021-10-26
CMS-10773.Supporting Statement 30-day 10-26-21.docx Supporting Statement A	2021-10-26

IC Document Collections

IC ID	Document Title	Status
246613	Notification of Non-compliance (Self-Insured Non-Federal Governmental Plans and Issuers) Other-Guidance	Unchanged
246612	Corrective Action Plans (Self-Insured Non-Federal Governmental Plans and Issuers) Other-Guidance	Unchanged
246611	Review of Comparative Analysis (Issuers and Self-Insured Non-Federal Governmental Plans) Other-Guidance	Unchanged
246609	Self-Insured Non-Federal Governmental Plans (NQTL analysis) Other-Guidance	Unchanged
246608	Issuers (NQTL Analysis Documentation and Recordkeeping) Other-Guidance	Modified

ICR Details

OMB Control No: 0938-1393	ICR Reference No: 202110-0938-013
Status: Received in OIRA	Previous ICR Reference No: 202104-0938-001
Agency/Subagency: HHS/CMS	Agency Tracking No: CCIIO - 10773
Title: Non-Quantitative Treatment Limitation Analyses and Compliance Under MHPAEA (CMS-10773)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/26/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2021
Responses	36,461	36,461
Time Burden (Hours)	1,013,185	1,013,185
Cost Burden (Dollars)	0	0

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Abstract: The Paul Wellstone and Pete Domenici Mental Health Parity and Addiction Equity Act of 2008 (MHPAEA) (P.L.110-343) generally requires that group health plans and group health insurance issuers offering mental health or substance use disorder (MH/SUD) benefits in addition to medical and surgical (med/surg) benefits do not apply any more restrictive financial requirements (e.g., co-pays, deductibles) and/or treatment limitations (e.g., visit limits, prior authorizations) to MH/SUD benefits than those requirements and/or limitations applied to substantially all med/surg benefits. The Patient Protection and Affordable Care Act, Pub. L. 111-148, was enacted on March 23, 2010, and the Health Care and Education Reconciliation Act of 2010, Pub. L. 111-152, was enacted on March 30, 2010. These statutes are collectively known as the “Affordable Care Act.” The Affordable Care Act extended MHPAEA to apply to the individual health insurance market. The Consolidated Appropriations Act of 2021 (the Appropriations Act) was enacted on December 27, 2020. The Appropriations Act amended MHPAEA, in part, by expressly requiring group health plans and health insurance issuers offering group or individual health insurance coverage that offer both medical/surgical benefits and MH/SUD benefits and that impose non-quantitative treatment limitations (NQTLs) on MH/SUD benefits to perform and document their comparative analyses of the design and application of NQTLs. Further, beginning 45 days after the date of enactment of the Appropriations Act, group health plans and health insurance issuers offering group or individual health insurance coverage must make their comparative analyses available to the Departments of Labor, Health and Human Services (HHS), and the Treasury or applicable state authorities, upon request. The Appropriations Act also requires the Secretary of HHS to submit to Congress, and make publicly available, an annual report on the conclusions of the reviews.

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Authorizing Statute(s): PL: Pub.L. 116 - 260 203 Name of Law: Consolidated Appropriations Act, 2021
  

Citations for New Statutory Requirements: PL: Pub.L. 116 - 260 203 Name of Law: Consolidated Appropriations Act, 2021

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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:
	86 FR 32049	06/16/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 59165	10/26/2021
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Corrective Action Plans (Self-Insured Non-Federal Governmental Plans and Issuers)
Issuers (NQTL Analysis Documentation and Recordkeeping)
Notification of Non-compliance (Self-Insured Non-Federal Governmental Plans and Issuers)
Review of Comparative Analysis (Issuers and Self-Insured Non-Federal Governmental Plans)
Self-Insured Non-Federal Governmental Plans (NQTL analysis)

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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	36,461	36,461	0	0	0	0
Annual Time Burden (Hours)	1,013,185	1,013,185	0	0	0	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:

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Annual Cost to Federal Government: $2,000,000

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: 10/26/2021

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