Section 1115 Demonstration Projects Regulations at 42 CFR 431.408, 431.412, 431.420, 431.424, and 431.428 (CMS-10341)

Forms and Documents

Document Name	Status
CMS Response to NHeLP Comment_SDG cleared final 11 9 21.docx Supplementary Document	2021-11-30
CMS-10341 - Supporting Statement A (2021 version 5).docx Supporting Statement A	2021-11-30

IC Document Collections

IC ID	Document Title	Status
250574	Summative Report (431.424(c)(2)(v))	New
196284	Reporting Requirements (431.428(b)(2))	Modified
196283	Reporting Requirements (431.428(a)(1) - (11))	Modified
196282	Evaluation Requirements (431.424(e))	Unchanged
196281	Evaluation Requirements (431.424(d))	Modified
196280	Evaluation Requirements (431.424(c)(1)	Unchanged
196279	Monitoring and Compliance (431.420(b))	Modified
196278	Application Procedures (431.412(c))	Unchanged
196277	State Public Notice Process (431.412(a))	Modified
196276	Application Procedures (431.408(b)(1))	Modified
196275	State Public Notice Process (431.408(a)(1) and (a)(2)(i))	Modified

ICR Details

OMB Control No: 0938-1162	ICR Reference No: 202111-0938-009
Status: Received in OIRA	Previous ICR Reference No: 201806-0938-002
Agency/Subagency: HHS/CMS	Agency Tracking No: CMCS
Title: Section 1115 Demonstration Projects Regulations at 42 CFR 431.408, 431.412, 431.420, 431.424, and 431.428 (CMS-10341)
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: 11/30/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2021
Responses	403	300
Time Burden (Hours)	41,874	24,092
Cost Burden (Dollars)	0	0

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Abstract: Section 10201(i) of the Affordable Care Act (ACA) added provisions under Section 1115 of the Social Security Act to require the Secretary to publish no later than 180 days after the enactment of this act, regulations that establish application requirements for demonstration projects. Under section 10201(i) of ACA the Secretary must establish a process for public notice and comment at the State level, and at the federal level after an application for a demonstration project is received by the Secretary. In addition, the Secretary must implement reporting requirements for States, establish a process for the periodic evaluation of demonstration projects and report annually to Congress on the implementation of previously approved demonstration projects. This collection would address the provisions required under Sections 10201(i) of the Affordable Care Act.

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Authorizing Statute(s): PL: Pub.L. 111 - 148 10201 Name of Law: Amendments to the Social Security Act and Title II of this Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 148 10201 Name of Law: Amendments to the Social Security Act and Title II of this Act

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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 24625	05/07/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 64940	11/19/2021
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 11

IC Title	Form No.	Form Name
Application Procedures (431.408(b)(1))
Application Procedures (431.412(c))
Evaluation Requirements (431.424(c)(1)
Evaluation Requirements (431.424(d))
Evaluation Requirements (431.424(e))
Monitoring and Compliance (431.420(b))
Reporting Requirements (431.428(a)(1) - (11))
Reporting Requirements (431.428(b)(2))
State Public Notice Process (431.408(a)(1) and (a)(2)(i))
State Public Notice Process (431.412(a))
Summative Report (431.424(c)(2)(v))

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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	403	300	0	0	103	0
Annual Time Burden (Hours)	41,874	24,092	0	0	17,782	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: In this 2021 collection of information request some of our burden estimates have been adjusted to account for more recent respondent figures. The adjustments are based on the recent workload (i.e., based on the number of section 1115 actions submitted by states) and are not associated with any regulatory or statutory change nor on any specific policy change. All our total cost estimates have been further adjusted by +$6.86/hr to account for the most recent BLS wage data. Overall, we propose an increase of 23 respondents, 103 responses, 17,782 hours, and $2,196,688.

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Annual Cost to Federal Government: $0

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: 11/30/2021

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