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DOL/EBSA RIN: 1210-AA54 Publication ID: Fall 2007 
Title: Regulations Implementing the Health Care Access, Portability, and Renewability Provisions of the Health Insurance Portability and Accountability Act of 1996 
Abstract: The Health Insurance Portability and Accountability Act of 1996 (HIPAA) amended title I of ERISA, the Internal Revenue Code, and the Public Health Service Act with parallel provisions designed to improve health care access, portability and renewability. The Departments of Labor, the Treasury, and the Health and Human Services are mutually dependent due to shared interpretive jurisdiction and are proceeding concurrently to provide additional regulatory guidance regarding these provisions. 
Agency: Department of Labor(DOL)  Priority: Economically Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 29 CFR 2590   
Legal Authority: 29 USC 1027    29 USC 1059    29 USC 1135    29 USC 1171 to 1172    29 USC 1191c   
Legal Deadline:  None

Statement of Need: In general, the health care portability provisions in part 7 of ERISA provide for increased portability and availability of group health coverage through limitations on the imposition of any preexisting condition exclusion and special enrollment rights in group health plans after loss of other health coverage or a life event. Plan sponsors, administrators and participants need guidance from the Department with regard to how they can fulfill their respective obligations under these statutory provisions.

Summary of the Legal Basis: Part 7 of ERISA specifies the portability and other requirements for group health plans and health insurance issuers. Section 734 of ERISA provides that the Secretary may promulgate such regulations as may be necessary or appropriate to carry out the provisions of part 7 of ERISA. In addition, section 505 of ERISA authorizes the Secretary to issue regulations clarifying the provisions of title I of ERISA.

Anticipated Costs and Benefits: Costs and benefits of regulatory alternatives were estimated and taken into account in developing the proposed rule and published in the Federal Register.

Risks: Failure to provide guidance concerning part 7 of ERISA may impede compliance with the law.

Action Date FR Cite
Interim Final Rule  04/08/1997  62 FR 16894   
Interim Final Rule Effective  06/07/1997    
Interim Final Rule Comment Period End  07/07/1997    
Request for Information  10/25/1999  64 FR 57520   
Comment Period End  01/25/2000    
NPRM  12/30/2004  69 FR 78800   
Request for Information  12/30/2004  69 FR 78825   
Final Rule  12/30/2004  69 FR 78720   
Final Action Effective  02/28/2005    
Request for Information/Comment Period End  03/30/2005    
NPRM Comment Period End  03/30/2005    
Final Action  06/00/2008    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: Yes 
RIN Data Printed in the FR: No 
Agency Contact:
Amy J. Turner
Director, Office of Health Plan Standards and Compliance Assistance
Department of Labor
Employee Benefits Security Administration
Room N5677, 200 Constitution Avenue NW., FP Building, Room N-5653,
Washington, DC 20210
Phone:202 693-8335
Fax:202 219-1942