[Federal Register Volume 68, Number 128 (Thursday, July 3, 2003)]
[Notices]
[Pages 39974-39975]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-16873]


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DEPARTMENT OF LABOR

Office of the Secretary


Submission for OMB Review; Comment Request

June 26, 2003.
    The Department of Labor (DOL) has submitted the following public 
information collection requests (ICRs) to the Office of Management and 
Budget (OMB) for review and approval in accordance with the Paperwork 
Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. Chapter 35). A copy of 
each individual ICR, with applicable supporting documentation, may be 
obtained by calling the Department of Labor. To obtain documentation, 
contact Darrin King on 202-693-4129 (this is not a toll-free number) or 
E-mail: [email protected].
    Comments should be sent to Office of Information and Regulatory 
Affairs, Attn: OMB Desk Officer for the Employee Benefits Security 
Administration (EBSA), Office of Management and Budget, Room 10235, 
Washington, DC 20503 (202-395-7316 / this is not a toll-free number), 
within 30 days from the date of this publication in the Federal 
Register.
    The OMB is particularly interested in comments which:
    [sbull] Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
    [sbull] Evaluate the accuracy of the agency's estimate of the 
burden of the proposed collection of information, including the 
validity of the methodology and assumptions used;
    [sbull] 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., permitting electronic submission of responses.
    Agency: Employee Benefits Security Administration.
    Type of Review: Extension of a currently approved collection.
    Title: Notice of Enrollment Rights.
    OMB Number: 1210-0101.
    Affected Public: Business or other for-profit; Not-for-profit 
institutions; and Individuals or households.
    Frequency: On occasion.
    Type of Response: Third party disclosure.
    Number of Respondents: 2,600,000.
    Number of Annual Responses: 9,602,000.
    Total Estimated Burden Hours: 7,200.
    Total Annualized Capital/Startup Costs: $0.
    Total Annual Costs (operating/maintaining systems or purchasing 
services): $841,000.
    Description: Section 734 of the Employee Retirement Income Security 
Act of 1974 (ERISA), added by the Health Care Portability and 
Accountability Act of 1996 (HIPAA), authorized the Secretary of Labor, 
in coordination with the Secretary of Health and Human Services (HHS) 
and the Secretary of the Treasury, to promulgate such regulations as 
may be necessary or appropriate to carry out the provisions of the 
statute. Accordingly, Interim Rules Implementing the Portability 
Requirement for Group Health Plan were published on April 8, 1997, (62 
FR 16920) (April 8 Interim Rules).
    In order to improve participants' understanding of their rights 
under an employer's group health plan, HIPAA requires that a 
participant be provided with a description of a plan's special 
enrollment rules on or before the time that a participant is offered 
the opportunity to enroll in a group health plan. These special 
enrollment rules generally apply to circumstances in which the 
participant initially declined to enroll in a plan, and later wishes to 
enroll.
    The April 8 Interim Rules offer a model form to be used by group 
health plans and health insurance issuers that includes the minimum 
elements of information mandated by the statute. The ICR implements the 
disclosure requirements of HIPAA related to special enrollment rights.

    Agency: Employee Benefits Security Administration.
    Type of Review: Extension of a currently approved collection.
    Title: Notice of Pre-Existing Condition Exclusion under ERISA.
    OMB Number: 1210-0102.
    Affected Public: Business or other for-profit; Not-for-profit 
institutions; and Individuals or households.
    Frequency: On occasion.
    Type of Response: Third party disclosure.
    Number of Respondents: 1,300,000.
    Number of Annual Responses: 8,570,000.
    Total Estimated Burden Hours: 9,004.
    Total Annualized Capital/Startup Costs: $0.
    Total Annual Costs (operating/maintaining systems or purchasing 
services): $1,088,359.
    Description: Section 734 of the Employee Retirement Income Security 
Act of 1974 (ERISA), added by the Health Care Portability and 
Accountability Act of 1996 (HIPAA) authorized the Secretary of Labor, 
in coordination with the Secretary of Health and Human Services (HHS) 
and the Secretary of the Treasury, to promulgate such regulations as 
may be necessary or appropriate to carry out the provisions of the 
statute. Accordingly, Interim Rules implementing the Portability 
Requirement for Group Health Plans were published on April 8, 1997, (62 
FR 16920) (April 8 Interim Rules).
    Under the April 8 Interim Rules, a group health plan or health 
insurance issuer may not impose any pre-existing conditions exclusion 
on a participant unless that participant has been notified in writing 
that the plan includes pre-existing condition exclusion provisions, 
that a participant has a right to demonstrate any periods for prior 
creditable coverage, and that the plan or issuer will assist the 
participant in

[[Page 39975]]

obtaining a certificate of prior coverage from any prior plan or 
issuer, if necessary. In addition, the April 8 Interim Rules require 
that before a plan or issuer imposes a pre-existing condition exclusion 
on a particular participant, it must first disclose that determination 
in writing, including the basis of the decision, and an explanation of 
any appeal procedure established by the plan or issuer. Specific 
disclosure requirements relating to pre-existing exclusions constitute 
the ICR.
    Agency: Employee Benefits Security Administration.
    Type of Review: Extension of a currently approved collection.
    Title: Establishing Creditable Coverage.
    OMB Number: 1210-0103.
    Affected Public: Business or other for-profit; Not-for-profit 
institutions; and Individuals or households.
    Frequency: On occasion.
    Type of Response: Third party disclosure.
    Number of Respondents: 2,600,000.
    Number of Annual Responses: 44,396,000.
    Total Estimated Burden Hours: 351,150.
    Total Annualized Capital/Startup Costs: $0.
    Total Annual Costs (operating/maintaining systems or purchasing 
services): $34,689,450.
    Description: Section 734 of the Employee Retirement Income Security 
Act of 1974 (ERISA), added by the Health Care Portability and 
Accountability Act of 1996 (HIPAA) authorized the Secretary of Labor, 
in coordination with the Secretary of Health and Human Services (HHS) 
and the Secretary of the Treasury, to promulgate such regulations as 
may be necessary or appropriate to carry out the provisions of the 
statute. Section 701(e)(3) requires that the Secretary of Labor issue 
rules to prevent any entity's failure to provide and individual with a 
certification of prior health coverage, or certain other required 
disclosures, from adversely affecting the individual's subsequent 
health coverage.
    On April 8, 1997 (67 FR 16894), the Department issues Interim Final 
Rules, requiring a group health plan to provide a written certificate 
suitable for establishing the prior creditable coverage of a 
participant or beneficiary. The April 8 Interim Final Rules offer model 
certification and notice forms, containing the minimum information 
mandated by the statute, to be used by group health plans and health 
insurance issuers. This ICR covers the provision of materials 
sufficient to establish prior creditable coverage.

Ira L. Mills,
Departmental Clearance Officer.
[FR Doc. 03-16873 Filed 7-2-03; 8:45 am]
BILLING CODE 4510-29-M