EBSA (Formerly PWBA) Federal Register Notice Proposed Extension of Information Collection Request Submitted for Public Comment and Recommendations; Mental Health Parity [06/20/2001]

Volume 66, Number 119, Page 33110-33111

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DEPARTMENT OF LABOR

Pension and Welfare Benefits Administration

 
Proposed Extension of Information Collection Request Submitted 
for Public Comment and Recommendations; Mental Health Parity

ACTION: Notice.

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SUMMARY: The Department of Labor, as part of its continuing effort to 
reduce paperwork and respondent burden, conducts a preclearance 
consultation program to provide the general public and other federal 
agencies with an opportunity to comment on proposed and continuing 
collections of information in accordance with the Paperwork Reduction 
Act of 1995 (PRA95)(44 U.S.C. 3506(c)(2)(A)). This program helps to 
ensure that requested data is provided in the desired format, reporting 
burden (time and financial resources) is minimized, collection 
instruments are clearly understood, and the impact of collection 
requirements on respondents can be properly assessed.
    By this notice, the Department of Labor's Pension and Welfare 
Benefits Administration (PWBA) is soliciting comments on the extension 
of the information collection requests (ICRs) included in the Interim 
Rules for Mental Health Parity as published in the Federal Register on 
December 22, 1997 (62 FR 66931)(Interim rules). OMB approved the three 
separate ICRs through August 31, 2001 under OMB control numbers 1210-
0105, 1210-0106, and 1210-0107, respectively. Copies of the ICRs for 
1210-0105 and 1210-0106 may be obtained by contacting the office shown 
below in the addresses section of this notice. The approval for the ICR 
approved under 1210-0107 will be allowed to expire because it pertained 
to a specific transitional period, and is no longer applicable.

DATES: Written comments must be submitted to the office listed in the 
addresses section on or before August 20, 2001.

ADDRESSES: Interested parties are invited to submit written comments 
regarding the ICRs to Mr. Gerald B. Lindrew, Office of Policy and 
Research, U.S. Department of Labor, Pension and Welfare Benefits 
Administration, 200 Constitution Avenue, NW., Room N-5647, Washington, 
DC 20210. Telephone: (202) 219-4782. Fax: (202) 219-4745 (these are not 
toll-free numbers).

SUPPLEMENTARY INFORMATION:

I. Background

    The purpose of this notice is to seek comments from the public 
prior to submission to OMB for continued approval of two of the three 
information collection requests included in the Interim Final Rules. 
The Mental Health Parity Act of 1996 (MHPA) (Pub. L. 104-204) generally 
requires that group health plans provide parity in the application of 
dollar limits between mental health and medical/surgical benefits. The 
statute exempts plans from this requirement if its application results 
in an increase in the cost under the plan or coverage of at least one 
percent. The Interim Final Rules under 29 CFR 2590.712(f)(3)(i) and 
(ii) require a group health plan electing this exemption to provide a 
written notice to participants and beneficiaries and to the federal 
government of the plan's election of the exemption. This notice 
requirement is approved under OMB control number 1210-0105. To satisfy 
the requirement to notify the federal government, a group health plan 
may either send the Department a copy of the summary of material 
reductions in covered services or benefits sent to participants and 
beneficiaries, containing the plan number and the plan sponsor's 
employer identification number, or the plan may use the Department's 
model notice published in the Interim Final Rule which was developed 
for this purpose.
    The second ICR, approved under OMB control number 1210-0106, is a 
summary of the information used to calculate the plan's increased costs 
under the MHPA for purposes of electing the one percent increased cost 
exemption, which the plan must make available to participants and 
beneficiaries, on request at no charge. Under 29 CFR 2590.712(f)(2), a 
group health plan wishing to elect the one percent exemption must 
calculate their increased costs according to certain rules. Under 29 
CFR 2590.712(f)(4), a group health plan electing the one percent 
exemption is obligated to disclose to participants and beneficiaries 
(or their representatives), on request and at not charge, a summary of 
the information on which the exemption was based.
    The third ICR, found in 29 CFR 2590.712(h)(3)(ii), was a notice of 
a group health plan's use of the transition period. This ICR was 
originally approved under OMB control number 1210-0107. This provision 
required plans exercising the one percent increased cost exemption 
during all or part of the first quarter of 1998 under the rule's 
transition provisions to notify the federal government, and to post a 
copy of this notice in a location where documents are made available 
for examination by participants and beneficiaries pursuant to section 
104 of ERISA. Because the transition period is concluded, this 
requirement no longer applies and the ICR will be allowed to expire.
    Type of Review: Extension of a currently approved collection.
    Agency: U.S. Department of Labor, Pension and Welfare Benefits 
Administration.

[[Page 33111]]

    Title: Notice to Participants and Beneficiaries and the Federal 
Government of Electing One Percent Increased Cost Exemption.
    OMB Number: 1210-0105.
    Affected Public: Individuals or households; Business or other for-
profit; Not-for-profit institutions.
    Frequency: On occasion.
    Respondents: 10.
    Responses: 10,000.
    Estimated burden hours (Operating and Maintenance): 333.
    Estimated burden costs: $5,000.
    Title: Calculation and Disclosure of Documentation of Eligibility 
for Exemption.
    OMB Number: 1210-0106.
    Affected Public: Individuals or households; Business or other for-
profit; Not-for-profit institutions.
    Frequency: On occasion.
    Respondents: 10.
    Responses: 200.
    Estimated burden hours (Operating and Maintenance): 10.
    Estimated burden costs: $100.

II. Desired Focus of Comments

    The Department of Labor is particularly interested in comments 
that:
     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;
     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;
     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 submissions of responses.

III. Current Actions

    The Department intends to request an extension of the ICRs 
currently approved under control numbers 1210-0105 and 1210-0106 
without change to the existing information collection provisions. 
Although MHPA requirements will not apply to benefits for services 
furnished on or after September 30, 2001 in accordance with the sunset 
provision of section 712(f) of ERISA, in order to ensure that 
participants and beneficiaries are aware of their rights under group 
health plans, the Department intends to maintain the clearance of the 
notice and disclosure provisions of MHPA through September 30, 2001 and 
until such time as the sunset provision has taken effect without 
additional Congressional action that would have the effect of extending 
the duration of MHPA's applicability.
    Comments submitted in response to this notice will be summarized 
and/or included in the request for OMB approval of the ICRs; they will 
also become a matter of public record.

    Dated: June 14, 2001.
Gerald B. Lindrew,
Deputy Director, Pension and Welfare Benefits Administration, Office of 
Policy and Research.
[FR Doc. 01-15536 Filed 6-19-01; 8:45 am]
BILLING CODE 4510-29-M