State Parent Locator Service; Safeguarding Child Support Information, 60038-60051 [05-20508]
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60038
Federal Register / Vol. 70, No. 198 / Friday, October 14, 2005 / Proposed Rules
Illinois 60604. Please telephone Matt
Rau at (312) 886–6524 before visiting
the Region 5 Office.
FOR FURTHER INFORMATION CONTACT: Matt
Rau, Environmental Engineer, Criteria
Pollutant Section, Air Programs Branch
(AR–18J), USEPA, Region 5, 77 West
Jackson Boulevard, Chicago, Illinois
60604, (312) 886–6524.
Rau.matthew@epa.gov.
SUPPLEMENTARY INFORMATION:
f. Provide specific examples to
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h. Make sure to submit your
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I. General Information
A. Does This Action Apply to Me?
B. What Should I Consider as I Prepare My
Comments for EPA?
II. What Action Is EPA Taking Today?
III. Where Can I Find More Information
About This Proposal and the
Corresponding Direct Final Rule?
EPA is proposing to approve a
revision to the Wisconsin VOC SIP for
Serigraph. The revision approves
Serigraph’s use of a biofilter to control
VOC emissions from several lines in
Plant 2 at its facility. This is an
alternative to the controls listed in the
SIP. Section NR 422.04(2)(d) of the
Wisconsin Administrative Code allows
an alternative control method that is
demonstrated to reliably control
emissions to a level at or below the
applicable SIP limit and is approved by
the Wisconsin Department of Natural
Resources. The biofilter will reliably
control VOC emissions at a level in line
with other control techniques for
surface printing facilities. An eighty
percent overall control efficiency for
VOC emissions is required for a control
device. Overall control efficiency
includes both capture and destruction
efficiencies. Plant 2 is designed as a PTE
ensuring all the emissions are captured
and exhausted into the biofilter.
Serigraph has operated its biofilter since
May 1997. An average of 54 tons of VOC
emissions are vented to the biofilter
each year. The average exhaust from the
biofilter is about 8 tons of VOC per year.
This comfortably exceeds the control
requirement.
I. General Information
A. Does This Action Apply to Me?
This action applies to a single source,
Serigraph, Incorporated of Washington
County, Wisconsin.
B. What Should I Consider as I Prepare
My Comments for EPA?
1. Submitting CBI. Do not submit CBI
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Information so marked will not be
disclosed except in accordance with
procedures set forth in 40 CFR part 2.
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II. What Action Is EPA Taking Today?
III. Where Can I Find More Information
About This Proposal and the
Corresponding Direct Final Rule?
For additional information, see the
Direct Final Rule which is located in the
Rules section of this Federal Register.
Copies of the request and the EPA’s
analysis are available electronically at
RME or in hard copy at the above
address. Please telephone Matt Rau at
(312) 886–6524 before visiting the
Region 5 Office.
Dated: September 15, 2005.
Bharat Mathur,
Acting Regional Administrator, Region 5.
[FR Doc. 05–20613 Filed 10–13–05; 8:45 am]
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DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Administration for Children and
Families
45 CFR Parts 302, 303 and 307
State Parent Locator Service;
Safeguarding Child Support
Information
Administration for Children
and Families, Office of Child Support
Enforcement (OCSE).
ACTION: Notice of proposed rulemaking.
AGENCY:
SUMMARY: The Personal Responsibility
and Work Opportunity Reconciliation
Act of 1996 (PRWORA) created and
expanded State and Federal title IV–D
child support enforcement databases
and significantly enhanced access to
information for title IV–D child support
purposes. States are moving toward
integrated service delivery and
developing enterprise architecture
initiatives to link their program
databases. This proposed rule is
designed to prescribe requirements for:
State Parent Locator Service responses
to authorized location requests; and
State IV–D agency safeguarding of
confidential information and authorized
disclosures of this information. This
proposed rule would restrict the use of
confidential data and information to
child support purposes, with exceptions
for certain disclosures permitted by
statute.
Consideration will be given to
comments received by December 13,
2005.
DATES:
Send comments to: Office of
Child Support Enforcement,
Administration for Children and
Families, 370 L’Enfant Promenade, SW.,
4th floor, Washington, DC 20447.
Attention: Director, Policy Division,
Mail Stop: OCSE/DP. Comments will be
available for public inspection Monday
through Friday from 8:30 a.m. to 5 p.m.
on the 4th floor of the Department’s
offices at the above address. You may
also transmit written comments
electronically via the Internet at:
https://www.regulations.acf.gov. To
download an electronic version of the
rule, you may access https://
www.regulations.gov.
ADDRESSES:
Yvette
Hilderson Riddick, Policy and
Automation Liaison, OCSE, 202–401–
4885, e-mail: yriddick@acf.hhs.gov. Deaf
and hearing-impaired individuals may
call the Federal Dual Party Relay
Service at 1–800–877–8339 between 8
a.m. and 7 p.m. eastern time.
FURTHER INFORMATION CONTACT:
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SUPPLEMENTARY INFORMATION:
Statutory Authority
This notice of proposed rulemaking is
published under the authority granted
to the Secretary by section 1102 of the
Social Security Act (the Act), 42 U.S.C.
1302. Section 1102 authorizes the
Secretary to publish regulations that
may be necessary for the efficient
administration of the functions for
which he is responsible under the Act.
The provisions of this proposed rule
pertaining to the Federal Parent Locator
Service (PLS) implement section 453 of
the Act, 42 U.S.C. 653. Section 453
requires the Secretary to establish and
conduct a Federal PLS to obtain and
transmit specified information to
authorized persons for purposes of
establishing parentage, establishing,
modifying, or enforcing child support
obligations, and enforcing any Federal
or State law with respect to a parental
kidnapping; or making or enforcing a
child custody or visitation
determination, as described in section
463 of the Act. It authorizes the
Secretary to use the services of State
entities to carry out these functions.
The provisions relating to the State
PLS implement section 454(8) of the
Act, 42 U.S.C. 654(8), which requires
each State plan for child support
enforcement to provide that the State
will: (1) Establish a service to locate
parents utilizing all sources of
information and available records and
the Federal PLS; and (2) subject to the
privacy safeguards in section 454(26) of
the Act, 42 U.S.C. 654(26), disclose only
the information described in sections
453 and 463 of the Act to the authorized
persons specified in those sections.
The provisions relating to the States’
computerized support enforcement
systems implement section 454A of the
Act, 42 U.S.C. 654a, which requires
States’ systems to perform such
functions as the Secretary may specify
relating to management of the State title
IV–D program.
In addition, the provisions pertaining
to safeguarding of information
implement section 454(26) of the Act,
which requires the State IV–D agency to
have in effect safeguards, applicable to
all confidential information handled by
the State agency, that are designed to
protect the privacy rights of the parties.
Nothing in this rule is meant to prevent
the appropriate use of administrative
data for program oversight,
management, and research.
Organization of Preamble Discussion
The preamble discussion that follows
is divided into two sections. The first
section discusses amendments to the
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regulations on locating individuals and
their assets in response to authorized
location requests. The second section
discusses a proposed new regulation on
safeguarding and disclosure of State
information and amendments to the
regulation on security and
confidentiality of information in
computerized support enforcement
systems.
Provisions of the Regulation
Section 1. State Parent Locator Service
(§§ 302.35, 303.3, 303.20, and 303.70)
Current Federal regulations governing
the IV–D program offer minimal
guidance on the role of the State PLS.
Federal regulations at 45 CFR 301.1
define the term ‘‘State PLS’’ to mean
‘‘the service established by the IV–D
agency pursuant to section 454(8) of the
Act to locate parents.’’ Resident parent
in this proposed rule refers to custodial
parent as established by the IV–D
agency.
The regulations at 45 CFR 302.35 (a)
and (b) require the IV–D agency to
establish a central State PLS office using
all relevant sources of information and
records in the State, in other States, and
in the Federal PLS.
At paragraph (c) of § 302.35, the role
of the State PLS is addressed primarily
in relation to the Federal PLS,
specifying the individuals and entities
from which the State PLS may accept
requests to use the Federal PLS.
Paragraph (d) restricts disclosure of
Federal PLS information to these
authorized persons. The current
regulation does not provide guidance
regarding information obtained through
the State PLS from State sources. This
proposed rule is intended to provide
that guidance.
The regulation is silent about
information obtained by the State PLS
from State sources. States have
interpreted both section 454(8) of the
Act and current § 302.35 to permit use
of State resources for non-IV–D location
purposes, including location for custody
and visitation purposes. This
interpretation is also based upon a
reading of section 453 of the Act that the
‘‘authorized persons’’ who are permitted
to make a request to the Federal PLS—
including private collection agencies or
attorneys under the umbrella of ‘‘agent
or attorney of a child—would also be
authorized to submit requests for
location services to the State PLS for
matching against the State’s own
databases and against the databases of
other States, often via the Child Support
Enforcement Network.
The proposed amendments to the
State PLS regulations are designed to:
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• Address statutory changes from the
Personal Responsibility and Work
Opportunity Reconciliation Act of 1996
regarding the information available to
the State PLS from the Federal PLS;
• Reflect current processes, such as
the automated match data that States
routinely receive and no longer have to
request from the Federal PLS; and
• Address disclosure of information
obtained by the State PLS from State
sources.
Section 302.35, State Parent Locator
Service
The current regulation at § 302.35(a)
contains a State plan requirement that
the IV–D agency shall establish a State
Parent Locator Service (PLS) using: (1)
All relevant sources of information and
records available in the State, and in
other States as appropriate; and (2) the
Federal PLS of the Department of Health
and Human Services.
Proposed paragraph (a) would modify
the current requirement for each State to
‘‘establish’’ a State PLS, since all States
now have one, and instead require each
State to ‘‘maintain’’ a State PLS ‘‘to
provide locate information to authorized
persons for authorized purposes.’’
The proposed § 302.35(a)(1), covering
IV–D cases, is designed to require that
the State PLS access ‘‘the Federal PLS
and all relevant sources of information
and records available in the State, and
in other States as appropriate, for
locating custodial and noncustodial
parents for IV–D purposes.’’ This
proposed amendment makes clear that
the State may use the State PLS for
locating either parent for IV–D
purposes. This is particularly important
when a State is unable to distribute
child support collections because it
does not have a current address for the
custodial parent. This paragraph also
refers the reader to 45 CFR 303.3 for
locate requirements and locate sources
to be used for IV–D cases.
Revised paragraph (a)(2), covering
locate requests for authorized non-IV–D
individuals and purposes, would
require a IV–D agency to access and
release information authorized to be
disclosed under section 453(a)(2) of the
Act from ‘‘the Federal PLS and, unless
prohibited by State law or written
policy, information from relevant inState sources of information and
records, as appropriate’’ to respond to
locate requests from a non-IV–D entity
or individual specified in paragraph (c),
for purposes specified in paragraph (d),
as discussed below. This proposed
provision implements sections 453
(a)(2) and 454(8) of the Act. Section
453(a)(2) of the Act establishes the
Federal PLS to locate an individual,
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wages and other income from
employment, and asset information.
Section 454(8) of the Act requires the
State PLS to access and release
information described in sections 453
and 463 of the Act from the FPLS and
from ‘‘all sources of information and
available records’’ in the State to
‘‘authorized persons specified in such
sections for the purposes specified in
such sections.’’
For non-IV–D requests, under
proposed paragraph (a)(2) the State PLS
would not access IRS information or
financial institution data match
information, which are available only to
IV–D agencies, and to a limited extent
to their agents, under Federal statute.
The Internal Revenue Code (IRC) 26
USC6103(1), (6), (8), and (10) prohibits
release of IRS information outside of the
IV–D program, except for limited release
allowed to IV–D contractors. This
proposed regulation further restricts
release of financial information received
from the financial institution data match
(FIDM) process under section 466(a)(17)
of the Act. This prohibition implements
the statutory responsibility of IV–D
programs to safeguard confidential
information not specifically authorized
for release under section 453 of the Act.
In addition, the restriction on release of
financial information is intended to
protect the privacy of individuals and
their financial assets.
The State PLS must not access data in
its computerized support enforcement
system or forward the request to another
State IV–D agency for locate. The State
PLS would not be required to make
subsequent location attempts if initial
efforts fail to find the individual or
information sought. However, if a
requestor demonstrates that there is
reason to believe that new information
may be available, the State IV–D agency
must make a subsequent location
attempt. The State PLS would be used
only in conjunction with a request for
information from the Federal PLS in
non-IV–D requests.
The current regulation at paragraph
(b) requires that the IV–D agency must
‘‘establish a central State PLS office and
may also designate additional IV–D
offices within the State to submit
requests to the Federal PLS.’’ The
proposed amendment to current
§ 302.35(b) would remove mention of a
State PLS ‘‘office,’’ in acknowledgment
of changes in technology, which have
prompted many States to alter their
organizational structure and eliminate
such ‘‘offices.’’ It would also require the
IV–D agency to ‘‘maintain’’ rather than
‘‘establish’’ a central State PLS.
The current § 302.35(c)(1) through (5)
specify the authorized persons and
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entities from whom the State PLS shall
accept requests for locate information.
The proposed amendments to paragraph
(c) aim to strengthen the process by
which authorized requestors obtain
locate information through the State
PLS, specifically with respect to
requests from a resident parent, legal
guardian, attorney, or agent of a non-IV–
A child, as explained below.
Proposed § 302.35(c)(2), covering IV–
D agency requests for information, has
been reworded slightly for simplicity,
but is otherwise unchanged and is
reprinted for ease of review.
Current § 302.35(c)(3) simply refers to
the ‘‘resident parent, legal guardian,
attorney, or agent of a child’’ in non-IV–
A cases as authorized persons. This
paragraph would be expanded to
address two concerns. The first concern
addresses evidence of noncompliance
with the statutory and regulatory
requirement that requestors under
section 453(c)(3) of the Act pay a fee
pursuant to section 453(e)(2) of the Act.
The second concern involves a private
non-IV–D individual or entity acting on
behalf of a non-IV–A child (whether or
not the child is receiving services under
the IV–D plan).
Proposed § 302.35(c)(3) makes it clear
that the State PLS will accept locate
requests from the resident parent, legal
guardian, attorney or agent of a child
who is not receiving aid under title IV–
A of the Act only if key requirements
are met. The proposed regulation would
require the individual to: (i) Attest that
the request is being made to obtain
information on, or to facilitate the
discovery of, an individual for the
purpose of establishing parentage,
establishing, setting the amount of,
modifying, or enforcing child support
obligations; (ii) attest that any
information obtained through the
Federal or State PLS will be used solely
for these purposes and otherwise treated
as confidential; (iii) provide evidence
(e.g., an ID) that the requestor is the
resident (custodial) parent, legal
guardian or attorney of a child not
receiving aid under title IV–A of the
Act, or if an agent of such a child,
evidence of a valid contract that meets
any requirements in State law or written
policy for acting as an agent; (iv)
provide evidence that the requestor is
the named individual who has requisite
authority (e.g., guardianship papers
identifying the requestor as the
guardian) and (v) pay the Federal PLS
fee required under section 453(e)(2) of
the Act and current § 303.70(e)(2)(i) of
this chapter (redesignated herein as
§ 303.70(f)(2)(i)), if the State does not
pay the fee itself. The proposal also
specifies that the State may charge a fee
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to cover its costs of processing these
requests. A State’s fee must be as close
to actual costs as possible, so as not to
discourage requests to use the Federal
PLS. See 304.23(e) and 304.50 (a).
The attestations proposed in new
clauses (i) and (ii) of § 302.35(c)(3) are
modeled after the attestations that IV–D
Directors or designees make in receiving
Federal PLS data from OCSE under
current § 303.70(d)(1) and (2). The goal
is to apply to private individuals and
entities requesting Federal PLS data
under section 453(c)(3) the same
standard to which IV–D agencies must
adhere.
Proposed clause (iii) strengthens the
process for ensuring that the requestor
is one of the individuals authorized to
act on behalf of a non-IV–A child for
purposes of Federal PLS locate requests.
Proposed clause (iv) is intended to
bolster the process for ensuring the
required Federal fee is paid, to clarify
that the State also may recover its costs
through a fee, and to ensure that States
are aware that no Federal financial
participation is available in
expenditures that States incur if they
pay these fees themselves in non-IV–D
cases. As indicated in § 304.50(a) the
IV–D agency must exclude from its
quarterly expenditures claims an
amount to all fees which are collected
during the quarter under the title IV–D
State plan all fees which are collected
during the quarter under title IV–D.
The proposed paragraph (c)(4)
simplifies the language regarding the
use of the Federal PLS for parental
kidnapping, child custody or visitation
cases. Previously, section 463 of the Act
allowed States to enter into agreements
to use the Federal PLS for parental
kidnapping cases. Now States are
required to have these agreements in
place. The new language reflects the
mandatory nature of this use, rather
than making it contingent upon the
existence of an agreement, as before.
OCSE issued a recent Action
Transmittal to raise awareness about use
of the Federal PLS to locate a parent or
child in order to: (1) Make or enforce a
custody or visitation order; or (2)
enforce a Federal or State law in a
parental kidnapping case. This Action
Transmittal, OCSE–AT–03–06, dated
December 22, 2003, is available on the
OCSE website at https://
www.acf.hhs.gov/programs/cse under
the heading Policy Documents.
The proposed paragraph (c)(5) merely
rewords in simpler fashion the current
language allowing locate requests from
State title IV–B and title IV–E agencies.
The current paragraph (d) is
redesignated as paragraph (e), as
discussed below. A new paragraph (d) is
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proposed to be added to specify the
authorized purposes for which the State
PLS and the Federal PLS may be used
and the locate information that may be
released for these purposes. Paragraph
(d)(1) covers the purposes of parentage
and child support and related
authorized releases of information. It
pertains to IV–D and non-IV–D
authorized persons and programs,
including title IV–B and IV–E agencies.
Proposed paragraph (d)(2) covers the
purposes of enforcing a State law with
respect to the unlawful taking or
restraint of a child or for making or
enforcing a child custody or visitation
determination and the related
authorized releases of information. The
new paragraph (d) is intended to clarify
how the purpose, requestor, and
authorized release of information are
tied together in responding to an
information request. Section 463 of the
Act, 42 U.S.C. 663, limits the
information that may be disclosed for
this type of inquiry.
Paragraph (d) of the current
regulation, redesignated here as
paragraph (e), requires privacy
safeguards for Federal PLS information
only. The proposed amendment,
specifies at paragraphs (e)(1) and (2)
that, subject to the requirements of this
section and the privacy safeguards
required under section 454(26) of the
Act, the State PLS shall disclose
‘‘Federal PLS information’’ described in
sections 453 and 463 of the Act and
‘‘information from in-State locate
sources as required by this section and
described in § 303.3(b)(1) of this
chapter’’ only to authorized persons for
authorized purposes.
A proposed Appendix A has been
added at the end of this section to show
graphically the linkages between
authorizing statute, authorized purpose,
authorized person or program, and
authorized information.
Section 303.3, Location of Noncustodial
Parents in IV–D Cases
The current regulation at § 303.3,
Location of noncustodial parents, is
divided into three main paragraphs.
Paragraph (a) defines the term
‘‘location.’’ Paragraph (b) specifies the
types of cases in which ‘‘the IV–D
agency must attempt to locate all
noncustodial parents or sources of
income and/or assets when location is
necessary to take necessary action.’’
Paragraphs (b)(1) through (5) describe
the steps the IV–D agency must take
under this standard. Paragraph (c)
requires the State to establish guidelines
defining diligent efforts to serve process.
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Under the proposed regulation,
§ 303.3 is re-titled ‘‘Location of
noncustodial parents in IV–D cases.’’
Under paragraph (a) location is
defined to mean ‘‘information
concerning the physical whereabouts of
the noncustodial parent, or the
noncustodial parent’s employers(s),
other sources of income or assets, as
appropriate, which is sufficient and
necessary to take the next appropriate
action in a case.’’ The proposed
amendment to paragraph (a) clarifies
that the definition of ‘‘location’’ is
applicable for this section only. It
further clarifies that ‘‘location’’ is an
action that means ‘‘obtaining
information,’’ not simply ‘‘information.’’
The proposed amendments to
paragraph (b) and its subparagraphs
clarify which location requirements
apply to IV–D cases.
Paragraph 303.3(b) requires the IV-D
agency to attempt to locate a
noncustodial parent in a IV–D case
when location is needed to take
necessary action. Paragraphs (b)(1)
through (5) provide an extensive list of
location sources, which as discussed
below are unchanged for the most part
from the current regulation. While all of
these sources cited in § 303.3(b)(1) are
available in IV–D cases, they may not be
all available in response to non-IV–D
location requests, depending upon State
law or written policy. We believe State
IV–D agencies should search State
databases upon receiving a request from
a resident parent, legal guardian,
attorney, or agent of a child but are
allowing States to determine the extent
of that search, in accordance with State
law or policy. Therefore we have
proposed adding the words ‘‘for IV–D
services’’ in paragraph (b) to clarify that
location provisions under this
paragraph are required in IV–D cases
only.
Current paragraphs (b)(1) and (2)
remain unchanged, but are republished
to aid the reader.
Paragraph (b)(3) currently requires
timely access of all appropriate
locations sources and specifies that this
includes the Federal PLS. We propose to
remove the words ‘‘including
transmitting appropriate cases to the
Federal PLS’’ because States now
submit cases to the Federal Case
Registry for automatic matching with
the National Directory of New Hires for
locate purposes.
The existing regulation at paragraph
(b)(4) requires the IV–D agency to ‘‘Refer
appropriate cases to the IV–D agency of
any other State, in accordance with the
requirements of § 303.7 of this part.’’
The proposed amendment inserts the
word ‘‘IV–D’’ before the word ‘‘cases’’ to
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clarify that the IV–D agency of State 1
may refer only IV–D cases to the IV-D
agency of State 2.
Current paragraph (b)(5) remains
unchanged, but is republished to aid the
reader.
Proposed new paragraph (b)(6) is
intended to draw a direct link between
the IV–D agency’s duty to locate
noncustodial parents and the duty to
safeguard information. The proposal
incorporates by reference both the
existing statutory requirement at section
454(26) of the Act and the proposed
regulatory requirement at § 303.21.
Current paragraph (c) regarding
diligent efforts to serve process is
unchanged, but is republished to aid the
reader in reviewing this section.
Section 303.20, Minimum
Organizational and Staffing
Requirements
The current regulation at § 303.20
describes the minimum organizational
and staffing requirements for the IV–D
agency. Paragraph (b) of this section
requires an organizational structure and
staff sufficient to fulfill specified State
level functions, including, in paragraph
(b)(7), ‘‘operation of the State Parent
Locator Service as required under
§ 302.35 of this chapter.’’
The proposed amendment to
§ 303.20(b)(7) inserts ‘‘§ 303.3 and
303.70’’ after the citation ‘‘§ 302.35.’’
The amendment is designed to heighten
awareness about the critical role of the
State PLS and ensure that the IV–D
agency dedicates adequate resources to
comply with the State PLS’s
responsibilities.
Section 303.21, Safeguarding and
Disclosure of Confidential Information
As discussed below we are proposing
to add a new Section 303.21 that will
address safeguarding and disclosure of
confidential information. This proposed
regulation is discussed below in Section
2 of the Preamble.
Section 303.70, Procedures for
Submissions to the State Parent Locator
Service (State PLS) or the Federal Parent
Locator Service (Federal PLS)
The following proposes that the
Federal PLS reflect the automated
matching and return of information to
IV–D agencies in IV–D cases from the
Federal PLS’s Federal Case Registry and
National Directory of New Hires. We are
proposing to revise this section to
address the current processes under
which States no longer ‘‘request’’
Federal PLS information and we
propose to replace the word ‘‘requests’’
with ‘‘submittals’’ wherever it appears.
We are also proposing to redesignate
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paragraph (a) as (b) and to insert a new
paragraph (a) in this section.
Paragraph (b) as redesignated includes
language regarding a central State PLS
‘‘office.’’ For the reasons discussed
earlier with regard to § 302.35, we are
proposing to omit mention of a central
‘‘office.’’ The words ‘‘submit requests
for information’’ are replaced with
‘‘make submittals’’ and the phrase ‘‘for
the purposes specified in paragraph (a)’’
is added at the end.
Current paragraph (b) is redesignated
as (c) and ‘‘requests’’ is replaced by
‘‘submittals’’.
The existing regulation at § 303.70(c)
is redesignated as paragraph (d). The
current paragraph (c)(2) requires the IV–
D agency to make ‘‘every reasonable
effort’’ to find the individual’s SSN
prior to submitting a request to the
Federal PLS. The newly designated
paragraph (d)(2) changes this wording to
‘‘reasonable efforts,’’ in recognition of
the increased technological capabilities
at the Federal level to identify an
individual’s SSN, or to search without
it. In addition, in newly designated
paragraph (d)(1) and (2), references to
‘‘requests’’ have been changed to
‘‘submittals’’ and ‘‘parent’’ has been
changed to ‘‘parent or putative father’’
to clarify that information may also be
sought to determine paternity.
Existing paragraph (c)(3) requires that
the request indicate ‘‘whether the
individual is or has been a member of
the armed services, if known.’’ Existing
paragraph (c)(4) requires that the request
indicate ‘‘whether the individual is
receiving, or has received, any Federal
compensation or benefits, if known.’’
Because the Federal PLS now
automatically conducts a search to
determine whether a person is or has
been a member of the armed services,
this proposed amendment removes
current § 303.70(c)(3). The rationale for
the proposed removal of current
§ 303.70(c)(4) regarding searches for
receipt of Federal compensation or
benefits is the same as that for removal
of current § 303.70(c)(3). Removal of
these two obsolete paragraphs
necessitates the redesignation of current
paragraph (c)(5) as new paragraph (d)(3).
The current regulation at § 303.70(d)
has been redesignated as paragraph (e).
It requires that each request from the
State PLS to the Federal PLS be
accompanied by a statement from the
IV–D director, attesting to compliance
with the listed requirements. Due to the
expansion of the Federal PLS,
submittals to the Federal PLS from the
State PLS are received electronically. In
addition, there has been a great increase
in the volume of submittals. Although
the concept of requiring an attestation
remains important, requiring an
attestation with every submittal is
impractical and overwhelming. Thus,
the proposed regulation allows for a
single, annual attestation of compliance
by the IV–D director regarding the use
of the Federal PLS. The revised
paragraph (e)(1)(i) would replace
language about requests for information
with language specifying that the IV–D
agency will ‘‘obtain’’ information, since
States obtain most Federal PLS
information automatically now without
request. A new paragraph (e)(1)(ii)
would clarify that the IV–D agency will
only provide information to authorized
persons as specified in sections 453(c)
and 463(d) of the Act.
Proposed paragraph (e)(2) is new and
would require that, in the case of a
submittal made on behalf of a resident
parent, legal guardian, attorney or agent
of a child not receiving aid under title
IV–A, the IV–D agency must verify that
the requestor has complied with the
provisions of § 302.35. The proposed
paragraph is designed to add more
specificity about the role of the State
PLS as a gatekeeper to the Federal PLS
and heighten the State PLS’s scrutiny of
requests made by non-IV–D entities or
individuals for Federal PLS services.
The cross-reference to § 302.35 is
intended to tighten up the procedures
for accepting such requests.
Proposed paragraph (e)(3), formerly
paragraph (d)(2), has been changed to
specify that the IV–D agency shall treat
information obtained through the
Federal PLS as confidential and shall
safeguard the information in accordance
with statutory requirements and
proposed § 303.21. The IV–D agencies
must continue to emphasize to any
other entities with which they share
information the importance of treating
the information as confidential and
safeguarding it.
Current paragraph (e) has been
redesignated as (f). In new paragraph
(f)(1), the statutory references have been
accompanied by explanatory phrases to
enable the reader to better understand
their meaning without requiring
reference to the Act. In addition, current
paragraph (e)(4)(i) is redundant of other
language in this section and we propose
to remove it and redesignate (e)(4)(ii)
and (iii) as (f)(4)(i) and (ii). Finally, we
propose to replace the word
‘‘transmitted’’ in new paragraph (f)(4)(ii)
with the word ‘‘paid’’ to allow OCSE to
alter payment methods as technology
advances, without a change to the
regulations.
Section 2. Safeguarding and Disclosure
of Confidential Information (§ 303.21
and Amended § 307.13)
In the late 1990s, several amendments
to the Social Security Act dramatically
expanded the scope of information
available to State IV–D agencies. The
chart that follows lists the specific laws
that had an impact on, or otherwise
expanded access to and information
received by, the Federal PLS and state
child support enforcement programs. In
addition, the amended legislation
rendered obsolete or inconsistent
several Federal regulations at 45 CFR
chapter III, including the former
regulation at 45 CFR 303.21,
Safeguarding information. That
regulation was not fully responsive to
the post-PRWORA context in which the
IV–D program now operates and it was
removed by an interim final rule
published in the Federal Register on
February 9, 1999 (64 FR 6237, finalized
on May 12, 2003 at 68 FR 25293). The
Description of Regulatory Provisions is
in the Preamble to the interim final rule
indicated that OCSE would ‘‘develop
comprehensive guidance consistent
with PRWORA’s provisions concerning
safeguarding information, including any
implementing regulations that may be
necessary.’’
Law
Summary of major requirements
Debt Collection Improvement Act (DCIA) of 1996 (Pub. L. 1104–134)
(See also Executive Order 13019, September 16, 1998, and 31 CFR
285.1 and 285.3).
Personal Responsibility and Work Opportunity Reconciliation Act
(PRWORA) (Pub. L. 104–193).
—Increase the collection of non-tax debt, including past-due child support, through administrative offsets.
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—Transit certifications of child support debts from IV–D agencies to
State Department for passport restrictions.
—Reimburse SSA for SSN verfication and SDNHs for furnishing information.
—Prohibit disclosure of FPLS information if the State notifies HHS of
family violence.
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60043
Law
Summary of major requirements
Balanced Budget Reconciliation Act of 1997 (Pub. L. 105–33) ...............
—2% of set-aside funds made available for use by Secretary for operation FPLS, to extent costs not recovered through user fees.
—Expand FPLS data available for research.
—Make FPLS available to specified State IV–E and IV–B agencies.
—Require that FCR include names and SSNs of children and that data
be available to Treasury for tax administration.
—Establish a new incentive funding scheme based upon States’ performance levels.
—Assist States and multistate financial institutions, through the FPLS,
in conducting a financial institution data match system.
—Delete information rom the NDNH in 24 months, restrict use of
NDNH data for child support purposes and permit HHS to retain
samples of data for specified research purposes.
—Impose a penalty for misuse of information in the NDNH.
—Require HHS to match NDNH data against Department of Education
data to collect debts on student loans and grant overpayments.
—Expand penalty for misuing NDNH data.
—Adds HUD access.
Adoption and Safe Families Act of 1997 (Pub. L. 105–89) .....................
Taxpayer Relief Act of 1997 (Pub. L. 105–34) .........................................
Child Support Performance and Incentives Act of 1998 (CSPIA) (Pub.
L. 105–200).
Consolidated Appropriations Act of 1999 (Pub. L. 106–113) ...................
Consolidated Appropriations Act of 2004 (Pub. L. 108–199) ...................
In recent years, a frequently voiced
position of State and local officials is
the need for more data sharing across
automated systems, particularly to
provide better support for case managers
in integrating services to clients. State
officials often highlight the need for
expanded capabilities to query multiple
automated systems to support local
program managers in obtaining the
information they need to meet their
particular management challenges. In
making a disclosure under this
provision, the IV–D agency may only
disclose the minimum amount of
confidential information needed for the
purpose provided.
The General Accounting Office (GAO)
has issued several recent reports that
examine the barriers to data sharing.
These reports, available from GAO,
include ‘‘The Challenge of Data Sharing:
Results of a GAO-Sponsored
Symposium on Benefit and Loan
Programs’ (GAO–01–67, October 20,
2000). A GAO symposium was held July
7–8, 2000 and a major issue that it
addressed was privacy and data sharing.
The Child Support Enforcement
program’s National Directory of New
Hires was frequently cited by
symposium participants to illustrate
both the benefits of data sharing and the
privacy concerns. Participants discussed
how access to, and use of, shared
information could be appropriately
limited to official personnel for
authorized purposes related to program
administration.
Many States now have enterprise
architecture plans that envision systems
integration efforts to support the
delivery of integrated services and that
advance the ‘‘no wrong door’’ concept
for clients seeking services. In the past,
because of different program and
funding requirements, most of the State
client information and eligibility
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systems were designed and built in
relative isolation. To support an
integrated approach to service delivery,
current information systems may be
integrated to allow greater sharing of
client data and prevent redundant data
collection, to the degree allowed by
Federal and State law. States pursuing
this approach to customer service cite
privacy and security of data as major
considerations. As a result, States are
eager for guidance on how to restrict
access to authorized users for
authorized purposes only.
In addition, we now have tribal child
support programs funded under section
455(f) of the Act. States need to know
what information may be provided to
tribal child support agencies.
These proposed regulations will add a
new 45 CFR 303.21 to address the
following concerns:
• What information is covered by
safeguarding requirements?
• Who is subject to the regulation?
• What general rule applies to the
information and the agencies and
entities subject to the regulation?
• What exceptions are there?
• What safeguards are required?
• What penalties apply if the
regulation is violated?
We also propose to amend 45 CFR
307.13, Security and confidentiality for
computerized support enforcement
systems in operation after October 1,
1997, for consistency with the changes
in this proposed regulation requiring
disclosure from the computerized
support enforcement system of
noncustodial parent names, addresses,
telephone numbers and identifying IV–
A case numbers to Workforce
Investment Boards, in accordance with
section 454A(f)(5) of the Act, as
discussed further below.
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Proposed Section 303.21, Safeguarding
and Disclosure of Confidential
Information
The proposed regulation consists of
six paragraphs: (a) Definition; (b) Scope;
(c) General rule; (d) Authorized
disclosures; (e) Safeguards; and (f)
Penalties for unauthorized disclosure.
Proposed Section 303.21(a), Definition
The proposed regulation begins with
a definition of the term ‘‘confidential
information.’’ Paragraph (a) would
provide that ‘‘confidential information
means any information relating to a
specified individual or an individual
who can be identified by reference to
one or more factors specific to him or
her, including, but not limited, to the
individual’s Social Security number,
residential and mailing addresses,
employment information, and financial
information. The amount of support
ordered and the amount of a support
collection are not considered
confidential information for purposes of
this section.’’
Proposed § 303.21(a) is designed to
serve two primary purposes. First, the
proposed new § 303.21 provides for
safeguarding information pertaining to
individuals, including not only
‘‘applicants or recipients of support
enforcement services,’’ but also other
individuals about whom information is
maintained by the IV–D agency, such as
information about noncustodial parents
and children receiving IV–D services, as
well as individuals not receiving IV–D
services, such as newly hired employees
reported to the State Directory of New
Hires, who may have no connection to
the IV–D program.
Second, the proposed regulation
provides that the responsibility of the
IV–D agency to safeguard information
applies to information that specifically
relates to an identified or identifiable
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individual. Thus, the phrase ‘‘including
but not limited to’’ in § 303.21(a) is
intended to highlight the types of
information maintained by the IV–D
agency that are most likely to be
associated with a specific individual.
Proposed Section 303.21(b), Scope
The definition of the term
‘‘confidential information’’ in proposed
§ 303.21(a) is followed by a provision
describing the scope of the proposed
regulation. Proposed paragraph (b)
reads: ‘‘The requirements of this section
apply to the IV–D agency, any other
State or local agency or official to whom
the IV–D agency delegates any of the
functions of the IV–D program, any
official with whom a cooperative
agreement as described in § 302.34 has
been entered into, and any person or
private agency from whom the IV–D
agency has purchased services pursuant
to § 304.22.’’
The provision extends the application
of the proposed regulation beyond the
IV–D agency to encompass individuals
and entities performing IV–D functions
under contract or cooperative agreement
with the IV–D agency or from whom the
IV–D agency has purchased services.
Proposed § 303.21(b) comports with
language in existing § 302.12, which
requires that each State plan provide for
the establishment or designation of a
single and separate organizational unit
to administer the IV–D plan. Section
302.12(a)(2) makes it clear that the IV–
D agency shall be responsible and
accountable for the operation of the IV–
D program but, with limited exceptions,
need not perform all the functions of the
IV–D program. If the agency delegates
any of the IV–D functions or purchases
services from any individual or entity,
however, § 302.12(a)(3) makes it clear
that the IV–D agency shall have
responsibility for securing compliance
with the State plan. In part, proposed
§ 303.21(b) tracks the language in
§ 302.12(a)(3) and is generally intended
to clarify that entities under cooperative
agreement with the IV–D agency and
private contractors to the IV–D agency
are bound by the same safeguarding
requirements that bind the IV–D agency
and its employees. The proposed
provision relating to private contractors
is similar to a requirement that applies
to Federal contractors under the Privacy
Act of 1974 (5 U.S.C. 552a(m)(1)), which
governs Federal agencies, as well as the
HHS regulations implementing the
Privacy Act (45 CFR 5b.2(b)(1)).
Proposed Section 303.21(c), General
Rule
Proposed paragraph (c) presents a
general rule which states that ‘‘[e]xcept
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as authorized by the Act and
implementing regulations, no entity
described in paragraph (b) of this
section shall disclose any confidential
information obtained in connection
with the performance of IV–D functions
outside the administration of the IV–D
program.’’
The general rule at proposed
§ 303.21(c) prohibiting disclosure of
confidential information is modeled
after both the Federal Privacy Act and
section 6103 of the IRC. Both the
Privacy Act and the IRC provision on
safeguarding data begin with a general
prohibition on disclosure and then
enumerate specific exceptions to the
general rule. Proposed paragraph (d),
described immediately below,
enumerates the exceptions to the
general rule presented in proposed
paragraph (c).
Proposed Section 303.21(d), Authorized
Disclosures
Proposed paragraph (d) sets forth the
authorized disclosures that are
exceptions to the general rule
prohibiting disclosure of confidential
information. Modeled after the first
exception to the general prohibition
against disclosure of tax information in
section 6103 of the IRC, paragraph (d)(1)
authorizes disclosure to the individual
to whom the information pertains and
anyone he or she designates. It would
also enable the IV–D agency to release
information that may be needed by an
individual applying for certain services.
In keeping with the view that an
individual may consent to, or request,
disclosure, this paragraph would make
explicit that an individual shall be
provided with his or her own
confidential information, if requested.
This would not include confidential
information concerning any other
individual involved in the case.
Under proposed paragraph (d)(2), the
IV–D agency would be required to
disclose information for certain limited
purposes, as designated. Under
paragraph (d)(2)(i), and to the extent
that it does not interfere with the IV–D
agency meeting its own obligations,
information must be shared for
administration of programs under titles
IV (TANF, child and family services,
and foster care and adoption programs),
XIX (Medicaid program), and XXI (State
Children’s Health Insurance [SCHIP]
program). Information is required to be
shared with State programs under title
IV and XIX in accordance with sections
454A(f)(3) and 453A(h)(2) of the Act.
Using the Secretary’s rule making
authority under section 1102 of the Act,
we included authority for States to share
information with title XXI programs
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because of their close relationship with
the IV–D program and because medical
support is an important aspect of the
Child Support Enforcement program.
Similarly, the proposed regulation
would include disclosure to tribal
programs authorized under titles IV–A
and IV–D because of the need for these
programs to work closely with State IV–
D programs. State IV–D agencies are
required to share information with these
programs only to the extent that it does
not interfere with their ability to meet
their own obligations.
Programs receiving confidential
information may use the information
only for the purpose for which it was
disclosed and may not redisclose the
information. Based on the Secretary’s
general rulemaking authority in Section
1102, this rule proposes in paragraph
(d)(2)(ii), that information may be
disclosed for investigations,
prosecutions or criminal or civil
proceedings related to the
administration of the programs listed in
paragraph (d)(2)(i). Paragraph (d)(2)(iii)
would permit the release of information
to appropriate agencies and officials in
cases of suspected child abuse. Release
of such information would take the best
interest of the child in consideration.
Finally, paragraph (d)(2)(iv) would
permit the release of information to
programs designated pursuant to
sections 453A and 1137 of the Act for
income and eligibility verification
purposes.
Proposed paragraph (d)(3) would
require that, except for disclosures to
title IV–A agencies, authorized
disclosures under § 303.21(d)(2) shall
not include confidential information
from the National Directory of New
Hires or Federal Case Registry, unless
the information has been independently
verified. No IRS information or financial
institution data match information
could be disclosed outside the
administration of the IV–D program,
unless independently verified or
specifically authorized in Federal
statute. IRS information is restricted as
specified in the IRC. Note that financial
institution data matches are authorized
under section 466(a)(17) of the Act to
increase the effectiveness of the IV–D
program. Although a match occurs in
coordination with the Federal PLS,
financial institution data match
information is not maintained by the
Federal PLS, nor is it retrieved for
Federal PLS location efforts outside the
IV–D program. The information received
in a financial institution data match
may be used only as authorized in
section 466(a)(17) of the Act for the
purposes of locating and encumbering
assets of a parent owing past-due
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support. In addition, section 453 of the
Act does not include specific reference
to the Federal role as intermediary in
the financial institution data match
required under section 466(a)(17) of the
Act and, therefore, information received
from such matches is not included in
‘‘information described in sections 453
and 463’’ required to be disclosed under
section 454(8) of the Act to ‘‘authorized
persons’’ referenced in those sections.
Further, we believe that it is critical for
IV–D agencies to protect and use only
for IV–D purposes any financial
information received as a result of these
matches.
Proposed Section 303.21(e), Safeguards
This proposed section has its
historical antecedent in 45 CFR
303.21(b). Proposed paragraph (e)
provides that ‘‘In addition to, and not in
lieu of, the safeguards described in
§ 307.13 of this chapter, which governs
computerized support enforcement
systems, the IV–D agency shall establish
appropriate safeguards to comply with
the provisions of this section.’’ Covered
entities shall have in place appropriate
administrative, technical, and physical
safeguards. The cross-reference to part
307 is intended to make it clear that the
proposed regulation applies to all
confidential information obtained by the
IV–D agency, whether the data is
maintained in an automated or nonautomated fashion.
Proposed paragraph (e) also provides
that these ‘‘safeguards shall also
prohibit disclosure to any committee or
legislative body (Federal, State, or local)
of any confidential information, unless
authorized by the individual as
specified in paragraph (d) of this
section.’’ This makes clear that a
legislative body or governmental
committee cannot compel the release of
information pertaining to an individual
without consent of the individual.
Proposed Section 303.21(f), Penalties for
Unauthorized Disclosure
Proposed paragraph (f) provides that
‘‘[a]ny disclosure of confidential
information in violation of the Act and
implementing regulations remains
subject to any State and Federal statutes
that impose legal sanctions for such
disclosure.’’
The reference to Federal law in
proposed § 303.21(f) reflects the fact
that, in addition to State statutes
imposing legal sanctions, Federal
statutes may also contain legal sanctions
regarding the unauthorized disclosure of
confidential information. Federal law
grants the Secretary authority to ensure
State compliance with the requirements
of title IV–D through a variety of
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mechanisms, including reductions in
quarterly payments and State plan
disapproval. For example, pursuant to
section 452(a) of the Act, the Secretary
may disapprove a State’s IV–D plan if
the plan fails to comply with the
requirements of section 454, including
paragraph (26) of that section, requiring
States to safeguard confidential
information.
An Appendix A has been included at
the end of this section to show
graphically the linkages between
authorizing statute, authorized purposes
for release of information, authorized
persons or programs, and authorized
information.
Section 307.13—Security and
Confidentiality for Computerized
Support Enforcement Systems in
Operation After October 1, 1997
Section 307.13 addresses security and
confidentiality of computerized
systems. We are revising paragraph (a)
of § 307.13. Under the proposed rule,
current paragraphs (a), (a)(1) and (a)(2)
are unchanged, but have been
republished to aid the reader. Paragraph
(a) requires the State IV–D agency to
have safeguards, including written
policies, concerning access to data in
the State’s computerized support
enforcement system. Paragraph (a)(1)
requires the IV–D agency to have
written policies to permit access to and
use of data to the extent needed to carry
out the State IV–D program. Paragraph
(a)(2) requires the IV–D agency to
specify in its written policies the data
that may be used for particular program
purposes, and the personnel permitted
access to such data.
Current § 307.13(a)(3) requires that
the State agency have written
procedures to permit access to data by
title IV–A and XIX programs, as
necessary for their program purposes
We are proposing to revise this
paragraph to require the IV–D agency
exchange data from its computerized
support enforcement system with other
title IV programs and the State
Children’s Health Insurance Program
(SCHIP), to the extent that it does not
interfere with the IV–D agency meeting
its own obligations. The Office of the
Inspector General, HHS, has conducted
studies in cooperation with several
States that demonstrated that many
noncustodial parents are able to
contribute to the costs of public health
insurance, including SCHIP, on behalf
of their children. The exchange and
sharing of data between IV–D agencies
and various other State and tribal IV–A
and IV–D agencies, as well as State
Medicaid and SCHIP programs, is
critical to the success of these programs
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60045
achieving their mutual goals, ensuring
that families attain and maintain their
independence from government cash
and medical assistance.
In addition, the proposed regulation
adds a new paragraph (a)(4) to require
written policies that permit disclosure
of noncustodial parent names,
addresses, telephone numbers and
identifying IV–A case numbers to
Workforce Investment Boards (formerly
called private industry councils) that
receive welfare-to-work grants, as
authorized in section 454A(f)(5) of the
Act. These Boards support work for lowincome noncustodial parents in their
service areas.
The proposed paragraph (a)(5) would
require written policies that limit
disclosure, outside the IV–D program, of
National Directory of New Hire or
Federal Case Registry information, IRS
information or financial institution data
match information, from the
computerized support enforcement
system, to information that has been
independently verified. The rationale
for these limitations is discussed
previously in this Preamble. The single
exception would be the required
disclosure of National Directory of New
Hire or Federal Case Registry
information to title IV–A agencies,
where verification before disclosure is
not required.
Paperwork Reduction Act
Section 302.35(c) contains an
information collection requirement. As
required by the Paperwork Reduction
Act of 1995 (44 U.S.C. 3507(d)), the
Administration for Children and
Families has submitted a copy of this
section to the Office of Management and
Budget (OMB) for its review.
The Locate Request Attestation in the
proposed § 302.35(c)(3) is the
information collection requirement,
which is proposed to ensure that only
authorized persons obtain information
from the Federal PLS. The State IV–D
agency would be required to obtain an
attestation from each resident parent,
legal guardian, attorney or agent of a
child not receiving aid under title IV–
A who requests information from the
Federal PLS. Each requesting individual
must: (1) Attest that the request for
locate information is being made for an
authorized purpose; (2) attest that the
information will be used only for the
authorized purpose and otherwise
treated as confidential; and (3) provide
evidence that the requestor is an
authorized person. This information
will be used to verify that the person
making the request for Federal PLS
information is in fact the resident
parent, legal guardian, attorney or agent
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of a child not receiving aid under title
IV–A and to ensure that this person
understands that the information must
only be used for child support purposes
and otherwise treated as confidential.
The respondents affected by this
information collection are State agencies
and the parent, legal guardian, attorney
or agent of a child not receiving aid
under title IV–A.
Estimated number of respondents
Proposed frequency
of response
Average burden per
response
Total annual burden
54 ....................................................................................................................
1 per week ..............
.25 hour ...................
702 hours.
The Administration for Children and
Families will consider comments by the
public on this proposed collection of
information in the following areas:
• Evaluating whether the proposed
collection is necessary for the proper
performance of the functions of ACF,
including whether the information will
have practical utility;
• Evaluating the accuracy of the
ACF’s estimate of the burden of the
proposed collection[s] of information,
including the validity of the
methodology and assumptions used;
• Enhancing the quality, usefulness,
and clarity of the information to be
collected; and
• Minimizing the burden of the
collection of information on those who
are to respond, including through the
use of appropriate automated,
electronic, mechanical, or other
technology, e.g., permitting electronic
submission of responses.
OMB is required to make a decision
concerning the collection of information
contained in these proposed regulations
between 30 and 60 days after
publication of this document in the
Federal Register. Therefore, a comment
is best assured of having its full effect
if OMB receives it within 30 days of
publication. This does not affect the
deadline for the public to comment to
the Department on the proposed
regulations. Written comments to OMB
for the proposed information collection
should be sent directly to the following:
Office of Management and Budget,
Paperwork Reduction Project, 725 17th
Street, NW., Washington, DC20503,
Attention: Desk Officer for the
Administration for Children and
Families.
Regulatory Flexibility Analysis
The Secretary certifies that, under 5
U.S.C. 605(b), as enacted by the
Regulatory Flexibility Act (Pub. L. 96–
354), this rule will not result in a
significant impact on a substantial
number of small entities. The primary
impact is on State governments. State
governments are not considered small
entities under the Act.
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Regulatory Impact Analysis
Congressional Review
Executive Order 12866 requires that
regulations be reviewed to ensure that
they are consistent with the priorities
and principles set forth in the Executive
Order. The Department has determined
that this rule is consistent with these
priorities and principles. This
regulation responds to State requests for
guidance on data privacy issues and
therefore should not raise negative
impact concerns.
This notice of proposed rule making
is not a major rule as defined in 5 U.S.C.
chapter 8.
Unfunded Mandates Reform Act of
1995
Section 202 of the Unfunded
Mandates Reform Act of 1995 requires
that a covered agency prepare a
budgetary impact statement before
promulgating a rule that includes any
Federal mandate that may result in the
expenditure by State, local, and Tribal
governments, in the aggregate, or by the
private sector, of $100 million or more
in any one year.
If a covered agency must prepare a
budgetary impact statement, section 205
further requires that it select the most
cost-effective and least burdensome
alternative that achieves the objectives
of the rule and is consistent with the
statutory requirements. In addition,
section 203 requires a plan for
informing and advising any small
governments that may be significantly
or uniquely impacted by the rule.
We have determined that this rule
will not result in the expenditure by
State, local, and Tribal governments, in
the aggregate, or by the private sector, of
more than $100 million in any one year.
Accordingly, we have not prepared a
budgetary impact statement, specifically
addressed the regulatory alternatives
considered, or prepared a plan for
informing and advising any significantly
or uniquely impacted small
governments. Based on FY2004 data and
analysis, some States allowing Private
Collection Agencies to submit requests
for location services to the FPLS, would
at most double the amount of locate
requests received by the FPLS. In
FY2004, states reimbursed the FPLS for
20% of these types of costs. Therefore,
the net cost to the FPLS would be less
than .2% of the overall FPLS costs.
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Assessment of Federal Regulations and
Policies on Families
Section 654 of the Treasury and
General Government Appropriations
Act of 1999 requires Federal agencies to
determine whether a proposed policy or
regulations may affect family wellbeing. If the agency’s determination is
affirmative, then the agency must
prepare an impact assessment
addressing seven criteria specified in
the law. This regulation protects the
confidentiality of information contained
in the records of State child support
enforcement agencies. These regulations
will not have an impact on family wellbeing as defined in the legislation.
Executive Order 13132
Executive Order 13132 prohibits an
agency from publishing any rule that
has federalism implications if the rule
either imposes substantial direct
compliance costs on State and local
governments and is not required by
statute, or the rule preempts state law,
unless the agency meets the
consultation and funding requirements
of section 6 of the Executive Order. We
do not believe the regulation has
federalism impact as defined in the
Executive order. However, consistent
with Executive Order 13132, the
Department specifically solicits
comments from State and local
government officials on this proposed
rule.
List of Subjects
45 CFR Part 302
Child support, Grants programs/social
programs, Reporting and recordkeeping
requirements.
45 CFR Part 303
Child support, Grant programs/social
programs, Reporting and recordkeeping
requirements.
45 CFR Part 307
Child support, Grant programs/social
programs, computer technology,
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Reporting and recordkeeping
requirements.
(Catalog of Federal Domestic Assistance
Programs No. 93.563, Child Support
Enforcement Program.)
Dated: October 26, 2004.
Wade F. Horn,
Assistant Secretary for Children and Families.
Approved: June 24, 2005.
Michael O. Leavitt,
Secretary of Health and Human Services.
For the reasons discussed above, we
propose to amend title 45 chapter III of
the Code of Federal Regulations as
follows:
PART 302—STATE PLAN
REQUIREMENTS
1. The authority citation for part 302
is revised to read as follows:
Authority: 42 U.S.C. 651 through 658, 660,
664, 666, 667, 1302, 1396a(a)(25),
1396b(d)(2), 1396b(o), 1396b(p), 1396(k).
2. Section 302.35 is revised to read as
follows:
§ 302.35
State parent locator service.
The State plan shall provide as
follows:
(a) State PLS. The IV–D agency shall
maintain a State PLS to provide locate
information to authorized persons for
authorized purposes.
(1) For IV–D cases—The State PLS
shall access the Federal PLS and all
relevant sources of information and
records available in the State, and in
other States as appropriate, for locating
custodial and noncustodial parents for
IV–D purposes. Locate requirements for
IV–D cases are specified in § 303.3 of
this chapter; and
(2) For authorized non-IV–D
individuals and purposes—(i) The State
PLS shall access and release information
authorized to be disclosed under
Section 453(a)(2) of the Act from the
Federal PLS and, unless prohibited by
State law or written policy, information
from relevant in-State sources of
information and records, as appropriate,
for locating noncustodial parents upon
request of authorized individuals
specified in paragraph (c) of this
section, for authorized purposes
specified in paragraph (d) of this
section.
(ii) For a non-IV–D request, the State
PLS shall not release information from
the computerized support enforcement
system required under part 307 of this
chapter, IRS information, or financial
institution data match information, nor
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shall the State PLS forward the request
to another State IV–D agency.
(iii) The State PLS need not make
subsequent location attempts if locate
efforts fail to find the individual sought.
(iv) The State PLS may only be used
in conjunction with a request for
information from the Federal PLS in
non-IV–D cases.
(b) Central State PLS requirement.
The IV–D agency shall maintain a
central State PLS to submit requests to
the Federal PLS.
(c) Authorized persons. The State PLS
shall accept requests for locate
information only from the following
authorized persons:
(1) Any State or local agency or
official providing child and spousal
support services under the State plan;
(2) A court that has authority to issue
an order or to serve as the initiating
court in an action to seek an order
against a noncustodial parent for the
support and maintenance of a child, or
any agent of such court;
(3) The resident parent, legal
guardian, attorney, or agent of a child
who is not receiving aid under title IV–
A of the Act only if the individual:
(i) Attests that the request is being
made to obtain information on, or to
facilitate the discovery of, any
individual in accordance with section
453(a)(2) of the Act for the purpose of
establishing parentage, establishing,
setting the amount of, modifying, or
enforcing child support obligations;
(ii) Attests that any information
obtained through the Federal or State
PLS shall be used solely for these
purposes and shall be otherwise treated
as confidential;
(iii) Provides evidence that the
requestor is either the resident parent,
legal guardian or attorney of a child not
receiving aid under title IV–A, or if an
agent of such a child, evidence of a
valid contract that meets any
requirements in State law or written
policy for acting as an agent; and
(iv) Pays the fee required for Federal
PLS services under section 453(e)(2) of
the Act and § 303.70(f)(2)(i) of this
chapter, if the State does not pay the fee
itself. The State may also charge a fee
to cover its costs of processing the
request, which must be as close to
actual costs as possible, so as not to
discourage requests to use the Federal
PLS. If the State itself pays the fee for
use of the Federal PLS or the State PLS
in a non-IV–D case, Federal financial
participation is not available in those
expenditures.
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60047
(4) Authorized persons as defined in
§ 303.15 of this chapter in connection
with parental kidnapping, child custody
or visitation cases; or
(5) A State agency that is
administering a program operated under
a State plan under titles IV–B or IV–E
of the Act.
(d) Authorized purposes for requests.
The State PLS shall obtain location
information under this section only for
the purposes specified in paragraphs
(d1) and (d2) of this section:
(1) To locate an individual who may
be the parent of a child in a IV–D or
non-IV–D case. The State PLS shall
locate individuals for the purpose of
establishing parentage, or establishing,
setting the amount of, modifying, or
enforcing child support obligations or
for determining who has or may have
parental rights with respect to a child.
For these purposes, only information
available through the Federal PLS or the
State PLS may be provided. This
information is limited to Social Security
number(s), most recent address,
employer name and address, employer
identification number, wages or other
income from, and benefits of,
employment, including rights to, or
enrollment in, health care coverage, or
asset and debt information;
(2) To locate an individual sought for
the unlawful taking or restraint of a
child or for child custody or visitation
purposes. The State PLS shall locate
individuals for the purpose of enforcing
a State law with respect to the unlawful
taking or restraint of a child or for
making or enforcing a child custody or
visitation determination as defined in
section 463(d)(1) of the Act. For this
purpose, only the information available
through the Federal PLS or the State
PLS may be provided. This information
is limited to most recent address and
place of employment of a parent or
child.
(e) Locate information subject to
disclosure. Subject to the requirements
of this section and the privacy
safeguards required under section
454(26) of the Act, the State PLS shall
disclose the following information to
authorized persons for authorized
purposes:
(1) Federal PLS information described
in sections 453 and 463 of the Act; and
(2) Information from in-State locate
sources as required by this section and
described in § 303.3(b)(1) of this
chapter.
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Federal Register / Vol. 70, No. 198 / Friday, October 14, 2005 / Proposed Rules
Appendix A to § 302.35—Locating
Individuals Through the State PLS 1
Authority: Sec. 453 of the Act; 45 CFR
302.35, State Parent Locator Service.
Authorized purpose
Authorized person/program
Authorized information
A. Locating a parent or child involved in a IV–D child support
case.
State IV–D agencies ..................................................
B. Locating a parent or child involved in a non-IV–D child support case.
• Court/agent of court with authority to issue support order.
• Resident parent, legal guardian, attorney or agent
of a non-IV–A child.
C. Locating an individual sought in
a parental kidnapping, child custody or visitation case.
• A court with jurisdiction to order/enforce custody
or visitation.
• Agent/attorney of state with authority to enforce
custody or visitation rights.
• Agent or attorney of US or a state with authority
to investigate, enforce or prosecute unlawful taking or restraint of a child.
State IV–B and IV–E agencies ..................................
From FPLS, in-state sources and other states as
appropriate, individual’s name, address and SSN;
employer’s name, address, and Federal Employer
Identification Number (FEIN), wages, income and
benefits from employment, including health care
coverage, and asset or debt information.
From FPLS, and from in-state sources (unless prohibited), first 6 items above, wages, income and
benefits from employment, including health care
coverage, and asset or debt information available
from a Federal or State agency. No automated
system or other states’ data; no IRS information;
no FIDM information; no subsequent attempts to
locate unless additional information is provided.
From FPLS and in-state sources (unless prohibited),
most recent address and place of employment.
No automated system or other states’ data; no
IRS information; no FIDM information; no subsequent attempts to locate unless additional information is provided.
D. Locating an individual who is or
may be a parent of a child.
From FPLS, and from in-state sources (unless prohibited) first 6 items above, wages, income and
benefits from employment, including health care
coverage, and asset or debt information if available from a Federal or State agency.
No automated system or other states’ data; no IRS
information; no FIDM information; no subsequent
attempts to locate.
(a) Definition. For purposes of this
section, location means obtaining
information concerning the physical
whereabouts of the noncustodial parent,
or the noncustodial parent’s
employer(s), other sources of income or
assets, as appropriate, which is
sufficient and necessary to take the next
appropriate action in a IV–D case.
(b) For all cases referred to the IV–D
agency for IV–D services because of an
assignment of support rights or cases
opened upon application for IV–D
services under § 302.33 of this chapter,
the IV–D agency must attempt to locate
all noncustodial parents or their sources
of income and/or assets when location
is necessary to take a necessary action.
Under this standard, the IV–D agency
must:
(1) Use appropriate location sources
such as the Federal PLS; interstate
location networks; local officials and
employees administering public
assistance, general assistance, medical
assistance, food stamps, and social
services (whether such individuals are
employed by the State or a political
subdivision); relatives and friends of the
noncustodial parent, current or past
employers; the local telephone
company; the U.S. Postal Service;
financial references; unions; fraternal
organizations; and police, parole, and
probation records, if appropriate; and
State agencies and departments, as
authorized by State law, including those
departments which maintain records of
public assistance, wages, and
employment, unemployment insurance,
income taxation, driver’s licenses,
vehicle registration, and criminal
records and other sources;
(2) Establish working relationships
with all appropriate agencies in order to
use locate resources effectively;
(3) Within no more than 75 calendar
days of determining that location is
necessary, access all appropriate
location sources and ensure that
location information is sufficient to take
the next appropriate action in a case;
(4) Refer appropriate IV–D cases to the
IV–D agency of any other State, in
accordance with the requirements of
§ 303.7. The IV–D agency of such other
State shall follow the procedures in
paragraphs (b)(1) through (b)(3) of this
section for such cases, as necessary,
except that the responding State is not
required to access the Federal PLS;
(5) Repeat location attempts in cases
in which previous attempts to locate
noncustodial parents or sources of
income and/or assets have failed, but
adequate identifying and other
information exists to meet requirements
for submittal for location, either
quarterly or immediately upon receipt
of new information which may aid in
location, whichever occurs sooner.
Quarterly attempts may be limited to
automated sources, but must include
accessing State employment security
files. Repeated attempts because of new
information which may aid in location
must meet the requirements of
paragraph (b)(3) of this section; and
1Related regulations on locate function: 45 CFR
303.3, Location of Noncustodial Parents in IV–D
Cases; 45 CFR 303.20, Minimum Organizational and
Staffing Requirements; 45 CFR 303.70, Procedures
for Providing Information to the State PLS from the
Federal PLS.
PART 303—STANDARDS FOR
PROGRAM OPERATIONS
1. The authority citation for part 303
is amended to read as follows:
Authority: 42 U.S.C. 651 through 658, 660,
663, 664, 666, 667, 1302, 1396a(a)(25),
1396b(d)(2), 1396b(o), 1396b(p) and 1396(k).
2. Revise § 303.3 to read as follows:
§ 303.3 Location of noncustodial parents
in IV–D cases.
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(6) Have in effect safeguards,
applicable to all confidential
information handled by the IV–D
agency, that are designed to protect the
privacy rights of the parties and that
comply with the requirements of section
454(26) of the Act and § 303.21.
(c) The State must establish
guidelines defining diligent efforts to
serve process. These guidelines must
include periodically repeating service of
process attempts in cases in which
previous attempts to serve process have
failed, but adequate identifying and
other information exists to attempt
service of process.
4. Section 303.20 is amended by
revising paragraph (b)(7) as follows:
§ 303.20 Minimum organizational and
staffing requirements.
(b) * * *
(7) Operation of the State PLS as
required under §§ 302.35, 303.3, and
303.70 of this chapter.
*
*
*
*
*
5. In 45 CFR part 303, § 303.21 is
added to read as follows:
§ 303.21 Safeguarding and disclosure of
confidential information.
(a) Definition. Confidential
information means any information
relating to a specified individual or an
individual who can be identified by
reference to one or more factors specific
to him or her, including but not limited
to the individual’s Social Security
number, residential and mailing
addresses, employment information,
and financial information. The amount
of support ordered and the amount of a
support collection are not considered
confidential information for purposes of
this section.
(b) Scope. The requirements of this
section apply to the IV–D agency, any
other State or local agency or official to
whom the IV–D agency delegates any of
the functions of the IV–D program, any
official with whom a cooperative
agreement as described in § 302.34 of
this chapter has been entered into, and
any person or private agency from
whom the IV–D agency has purchased
services pursuant to § 304.22 of this
chapter.
(c) General rule. Except as authorized
by the Act and implementing
regulations, no entity described in
paragraph (b) of this section shall
disclose any confidential information
obtained in connection with the
performance of IV–D functions outside
the administration of the IV–D program.
(d) Authorized disclosures. (1) The
entities described in paragraph (b) of
this section shall, subject to such
requirements as the Office may
prescribe, disclose confidential
information to such person or persons
designated by the individual to whom
the information relates to the extent
necessary to comply with the consent or
request of the individual. These entities
shall also provide an individual his or
her confidential information, upon
request. This does not include providing
an individual with confidential
information concerning any other
individual involved in the case.
(2) The IV–D agency must, to the
extent that it does not interfere with the
IV–D agency meeting its own
obligations and subject to such
requirements as the Office may
prescribe, disclose confidential
information for purposes directly
connected with:
(i) The administration of the plan or
program approved under titles IV, XIX,
or XXI of the Act;
(ii) Any investigation, prosecution or
criminal or civil proceeding conducted
in connection with the administration of
any such plan or program;
(iii) Reporting to an appropriate
agency or official, information on
known or suspected instances of
physical or mental injury, sexual abuse
or exploitation, or negligent treatment or
maltreatment of a child under
60049
circumstances which indicate that the
child’s health or welfare is threatened;
and
(iv) Reporting to programs designated
pursuant to sections 453A and 1137 of
the Act for purposes of income and
eligibility verification.
(3) With the exception of disclosures
to title IV–A agencies, authorized
disclosures under paragraph (d)(2) of
this section shall not include
confidential information from the
National Directory of New Hires or the
Federal Case Registry, unless the
information has been independently
verified. No IRS information or financial
institution data match information may
be disclosed outside the administration
of the IV–D program, unless
independently verified or otherwise
authorized in Federal statute.
(e) Safeguards. In addition to, and not
in lieu of, the safeguards described in
§ 307.13 of this chapter, which governs
computerized support enforcement
systems, the IV–D agency shall establish
appropriate safeguards to comply with
the provisions of this section. These
safeguards shall prohibit disclosure to
any committee or legislative body
(Federal, State, or local) of any
confidential information, unless
authorized by the individual about
whom the information relates as
specified in paragraph (d) of this
section.
(f) Penalties for unauthorized
disclosure. Any disclosure of
confidential information in violation of
the Act and implementing regulations
shall be subject to any State and Federal
statutes that impose legal sanctions for
such disclosure.
Appendix A to § 303.21—Safeguarding
Confidential Information
[Confidential information must be
safeguarded and released only as
authorized]
Authority
Authorized purpose
A. Sec 453(l) of the Act; Sec
454 (26) of the Act; Sec.
1102 of the Act; 45 CFR
303.21—authorized release of information.
(1) Comply with request of
individual.
Individual to whom information relates.
Individual’s own confidential information from any IV–
D agency records.
(2) To report child abuse
or neglect.
Appropriate agency or official.
Limited to confidential information from IV–D agency
records (including computerized support enforcement system at state option) to extent necessary to
make report; no NDNH, FCR, IRS or FIDM information unless independently verified.
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Authority
C. Sec 453A(h)(2) and 1137
of the Act—State Directory of New Hires.
Authorized person/program
Authorized information
(3) For Administration or
investigation of authorized programs.
(B) Sec. 454A(f)(3) and (5)
of the Act; Sec 1102 of
the Act; and 45 CFR
307.13—computerized
support enforcement system.
Authorized purpose
Title IV, XIX, and XXI programs, including tribal
programs under these titles.
(1) To perform state agency responsibilities of
designated programs.
State or tribal agencies administering Title IV, XIX,
and XXI programs.
Limited to confidential information from IV–D agency
records (including computerized support enforcement system at state option) to extent necessary for
administration or investigation of programs; no
NDNH, FCR, IRS or FIDM information unless independently verified, except NDNH or FCR information
is available to IV–A programs without verification.
Confidential information in automated system; no
NDNH, FCR, IRS or FIDM information unless independently verified, except NDNH or FCR information
is available to IV–A programs without verification.
(2) To identify and contact
NCPs for participation in
welfare-to-work program.
Income and eligibility
verification purposes of
designated programs.
Workforce Investment
Boards that receive welfare-to-work grants.
State agencies administering title IV–A, Medicaid, unemployment
compensation, food
stamp, or other state
program under a plan
approved under title I, X,
XIV or XVI of the Act.
6. Revise § 303.70 to read as follows:
§ 303.70 Procedures for submissions to
the State Parent Locator Service (State PLS)
or the Federal Parent Locator Service
(Federal PLS).
(a) For the purpose of locating
individuals in a paternity establishment
case, a case involving the establishment,
modification, or enforcement of a
support order, a case involving the
unlawful taking or restraint of a child or
a child custody or visitation case, the
Federal PLS will compare information
in the Federal Case Registry and the
National Directory of New Hires and
report match information to the State
IV–D agency or agencies involved in the
case, consistent with section 453 of the
Act.
(b) Only the central State PLS may
make submittals to the Federal PLS for
the purposes specified in paragraph (a)
of this section.
(c) All submittals shall be made in the
manner and form prescribed by the
Office.
(d) All submittals shall contain the
following information:
(1) The parent’s or putative father’s
name;
(2) The parent’s or putative father’s
social security number (SSN). If the SSN
is unknown, the IV–D agency must
make reasonable efforts to ascertain the
individual’s SSN before making a
submittal to the Federal PLS; and
(3) Any other information prescribed
by the Office.
(e) The director of the IV–D agency or
his or her designee shall attest annually
to the following:
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NCP name, address, phone number and identifying
IV–A, case number; no NDNH, FCR, IRS or FIDM
information unless independently verified.
Limited to the following employer-reported information
provided to the SDNH—individual’s name, address
and SSN and employer’s name, address and FEIN
(federal employer identification number); programs
must independently verify the information before
taking action affecting the individual; no NDNH,
FCR, IRS or FIDM information unless independently
verified.
(1)(i) The IV–D agency will only
obtain information to facilitate the
discovery of any individual in
accordance with section 453(a)(2) of the
Act for the purpose of establishing
parentage, establishing, setting the
amount of, modifying, or enforcing
child support obligations, or for
determining who has or may have
parental rights with respect to a child,
or in accordance with section 453(a)(3)
for enforcing a State law with respect to
the unlawful taking or restraint of a
child, or for making or enforcing a child
custody or visitation determination as
defined in section 463(d)(1) of the Act.
(ii) The IV–D agency will only
provide information to the authorized
persons specified in sections 453(c) or
463(d) of the Act.
(2) In the case of a submittal made on
behalf of a resident parent, legal
guardian, attorney or agent of a child
not receiving aid under title IV–A, the
IV–D agency will verify that the
requesting individual has complied
with the provisions of § 302.35 of this
chapter.
(3) The IV–D agency will treat any
information obtained through the
Federal PLS as confidential and shall
safeguard the information under the
requirements of sections 453(b), 453(l),
454(8), 454(26), and 463(c) of the Act,
§ 303.21 and instructions issued by the
Office.
(f)(1) The IV–D agency shall
reimburse the Secretary for the fees
required under:
(i) Section 453(e)(2) of the Act
whenever Federal PLS services are
furnished to a resident parent, legal
guardian, attorney or agent of a child
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not receiving aid under title IV–A of the
Act;
(ii) Section 454(17) of the Act
whenever Federal PLS services are
furnished in parental kidnapping and
child custody or visitation cases;
(iii) Section 453(k)(3) of the Act
whenever a State agency receives
information from the Federal PLS
pursuant to section 453 of the Act.
(2)(i) The IV–D agency may charge an
individual requesting information, or
pay without charging the individual, the
fees referenced in paragraph (f)(1) of this
section.
(ii) The State may recover the fee
required under section 453(e)(2) of the
Act from the noncustodial parent who
owes a support obligation to a family on
whose behalf the IV–D agency is
providing services and repay it to the
individual requesting information or
itself.
(iii) State funds used to pay the fee
under section 453(e)(2) of the Act are
not program expenditures under the
State plan but are program income
under § 304.50 of this chapter.
(3) The fees referenced in paragraph
(f)(1) of this section shall be reasonable
and as close to actual costs as possible
so as not to discourage use of the
Federal PLS by authorized individuals.
(4)(i) If a State fails to pay the fees
charged by the Office under this section,
the services provided by the Federal
PLS in cases subject to the fees may be
suspended until payment is received.
(ii) Fees shall be paid in the amount
and manner prescribed by the Office in
instructions.
E:\FR\FM\14OCP1.SGM
14OCP1
Federal Register / Vol. 70, No. 198 / Friday, October 14, 2005 / Proposed Rules
PART 307—COMPUTERIZED
SUPPORT ENFORCEMENT SYSTEMS
IN OPERATION AFTER OCTOBER 1,
1997
1. The authority citation for part 307
continues to read as follows:
Authority: 42 U.S.C. 652 through 658, 664,
666 through 669A, and 1302.
2. Amend § 307.13 by revising
paragraph (a) to read as follows:
*
*
*
*
*
(a) Information integrity and security.
Have safeguards protecting the integrity,
accuracy, completeness of, access to,
and use of data in the computerized
support enforcement system. These
safeguards shall include written policies
concerning access to data by IV–D
agency personnel, and the sharing of
data with other persons to:
(1) Permit access to and use of data to
the extent necessary to carry out the
State IV–D program under this chapter;
(2) Specify the data which may be
used for particular IV–D program
purposes, and the personnel permitted
access to such data;
(3) Permit exchanging information
with State and tribal agencies
administering programs under titles IV,
XIX, and XXI of the Act, to the extent
necessary to carry out State and tribal
agency responsibilities under such
programs in accordance with section
454A(f)(3) of the Act; and to the extent
that it does not interfere with IV–D
agency meeting its own obligations.
(4) Permit disclosure of noncustodial
parent names, addresses, telephone
numbers, and identifying IV–A case
number information to Workforce
Investment Boards (formerly called
private industry councils) that receive
welfare-to-work grants as specified in
section 454A(f)(5) of the Act.
(5) Except for disclosure of National
Directory of New Hire or Federal Case
Registry information to title IV–A
agencies, limit disclosure of National
Directory of New Hire or Federal Case
Registry information, IRS information or
financial institution data match
information, outside the IV–D program,
to information that has been
independently verified.
*
*
*
*
*
[FR Doc. 05–20508 Filed 10–13–05; 8:45 am]
VerDate Aug<31>2005
15:37 Oct 13, 2005
Jkt 208001
Fish and Wildlife Service
50 CFR Part 17
Endangered and Threatened Wildlife
and Plants: 90-Day Finding on a
Petition To List the California Spotted
Owl as Threatened or Endangered
Fish and Wildlife Service,
Interior.
ACTION: Notice of reopening of public
comment period.
AGENCY:
§ 307.13 Security and confidentiality for
computerized support enforcement
systems in operation after October 1, 1997.
BILLING CODE 4184–01–P
DEPARTMENT OF THE INTERIOR
SUMMARY: We, the U.S. Fish and
Wildlife Service (Service), announce the
reopening of the public comment period
for the status review initiated by the 90day finding on a petition to list the
California spotted owl (Strix
occidentalis occidentalis) as threatened
or endangered, under the Endangered
Species Act of 1973, as amended (16
U.S.C. 1531 et seq.) (Act). On June 21,
2005 (70 FR 35607), we published a
positive 90-day finding and initiated a
status review of the subspecies to
determine if listing under the Act is
warranted. The original comment period
closed on August 22, 2005. To ensure
that the status review is comprehensive,
we are reopening the comment period to
solicit additional scientific and
commercial information regarding this
subspecies. This will allow all
interested parties an additional
opportunity to provide information on
the status of the subspecies under the
Act.
To be considered in the 12month finding for this petition,
comments and information must be
submitted directly to the Service (see
ADDRESSES) by October 28, 2005. All
comments submitted to the Service from
June 21, 2005, through October 28,
2005, will be considered by the Service
in the development of the 12-month
finding, but any comments received
after the closing date may not be
considered in that finding.
ADDRESSES: If you wish to comment,
you may submit your comments, new
information, materials, or questions
concerning this species by any one of
the following methods:
(1) You may submit written comments
to the Field Supervisor (Attn: California
Spotted Owl), U.S. Fish and Wildlife
Service, Sacramento Fish and Wildlife
Office, 2800 Cottage Way, Suite W–
2605, Sacramento, CA 95825.
(2) You may send comments by
electronic mail (e-mail) to:
ca_spotted_owl@fws.gov. See the
‘‘Public Comments Solicited’’ section
DATES:
PO 00000
Frm 00037
Fmt 4702
Sfmt 4702
60051
below for file format and other
information on electronic filing.
(3) You may fax your comments to
(916) 414–6712.
(4) You may hand-deliver comments
to our Sacramento Fish and Wildlife
Office at the address above.
See also the ‘‘Public Information
Solicited’’ section for more information
on submitting comments.
All comments and materials received,
as well as supporting documentation
used in the preparation of the 90-day
finding, status review, and 12-month
finding, will be available for public
inspection, by appointment, during
normal business hours, at the above
address. You may obtain copies of the
90-day finding from the above address,
by calling (916) 414–6600, or from our
Web site at https://www.fws.gov/pacific/
sacramento/.
FOR FURTHER INFORMATION CONTACT:
Arnold Roessler, Sacramento Fish and
Wildlife Office (see ADDRESSES above),
or at telephone (916) 414–6600, or by
facsimile at (916) 414–6712. You may
also obtain additional information on
our Web site at https://www.fws.gov/
pacific/sacramento/. Information
regarding the 90-day finding is available
in alternative formats upon request.
SUPPLEMENTARY INFORMATION:
Public Information Solicited
We request any additional data,
comments, and suggestions from the
public, other concerned governmental
agencies, Native American Tribes, the
scientific community, industry, or any
other interested parties concerning the
status of the California spotted owl. Of
particular interest in the status review is
information pertaining to the factors the
Service uses to determine if a species is
threatened or endangered: (1) Present or
threatened destruction, modification, or
curtailment of its habitat or range; (2)
overutilization for commercial,
recreational, scientific, or educational
purposes; (3) disease or predation; (4)
inadequacy of existing regulatory
mechanisms; and (5) other natural or
human-caused factors affecting its
continued existence.
We are particularly seeking comments
and information concerning the
following:
(1) Biological, commercial trade, or
other relevant data concerning any
threat (or lack thereof) to the California
spotted owl;
(2) The location of any additional
subpopulations or breeding sites of this
species, and the reasons why any
habitat should or should not be
determined to be critical habitat
pursuant to section 4 of the Act;
E:\FR\FM\14OCP1.SGM
14OCP1
Agencies
[Federal Register Volume 70, Number 198 (Friday, October 14, 2005)]
[Proposed Rules]
[Pages 60038-60051]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-20508]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Parts 302, 303 and 307
State Parent Locator Service; Safeguarding Child Support
Information
AGENCY: Administration for Children and Families, Office of Child
Support Enforcement (OCSE).
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Personal Responsibility and Work Opportunity
Reconciliation Act of 1996 (PRWORA) created and expanded State and
Federal title IV-D child support enforcement databases and
significantly enhanced access to information for title IV-D child
support purposes. States are moving toward integrated service delivery
and developing enterprise architecture initiatives to link their
program databases. This proposed rule is designed to prescribe
requirements for: State Parent Locator Service responses to authorized
location requests; and State IV-D agency safeguarding of confidential
information and authorized disclosures of this information. This
proposed rule would restrict the use of confidential data and
information to child support purposes, with exceptions for certain
disclosures permitted by statute.
DATES: Consideration will be given to comments received by December 13,
2005.
ADDRESSES: Send comments to: Office of Child Support Enforcement,
Administration for Children and Families, 370 L'Enfant Promenade, SW.,
4th floor, Washington, DC 20447. Attention: Director, Policy Division,
Mail Stop: OCSE/DP. Comments will be available for public inspection
Monday through Friday from 8:30 a.m. to 5 p.m. on the 4th floor of the
Department's offices at the above address. You may also transmit
written comments electronically via the Internet at: https://
www.regulations.acf.gov. To download an electronic version of the rule,
you may access https://www.regulations.gov.
FURTHER INFORMATION CONTACT: Yvette Hilderson Riddick, Policy and
Automation Liaison, OCSE, 202-401-4885, e-mail: yriddick@acf.hhs.gov.
Deaf and hearing-impaired individuals may call the Federal Dual Party
Relay Service at 1-800-877-8339 between 8 a.m. and 7 p.m. eastern time.
[[Page 60039]]
SUPPLEMENTARY INFORMATION:
Statutory Authority
This notice of proposed rulemaking is published under the authority
granted to the Secretary by section 1102 of the Social Security Act
(the Act), 42 U.S.C. 1302. Section 1102 authorizes the Secretary to
publish regulations that may be necessary for the efficient
administration of the functions for which he is responsible under the
Act.
The provisions of this proposed rule pertaining to the Federal
Parent Locator Service (PLS) implement section 453 of the Act, 42
U.S.C. 653. Section 453 requires the Secretary to establish and conduct
a Federal PLS to obtain and transmit specified information to
authorized persons for purposes of establishing parentage,
establishing, modifying, or enforcing child support obligations, and
enforcing any Federal or State law with respect to a parental
kidnapping; or making or enforcing a child custody or visitation
determination, as described in section 463 of the Act. It authorizes
the Secretary to use the services of State entities to carry out these
functions.
The provisions relating to the State PLS implement section 454(8)
of the Act, 42 U.S.C. 654(8), which requires each State plan for child
support enforcement to provide that the State will: (1) Establish a
service to locate parents utilizing all sources of information and
available records and the Federal PLS; and (2) subject to the privacy
safeguards in section 454(26) of the Act, 42 U.S.C. 654(26), disclose
only the information described in sections 453 and 463 of the Act to
the authorized persons specified in those sections.
The provisions relating to the States' computerized support
enforcement systems implement section 454A of the Act, 42 U.S.C. 654a,
which requires States' systems to perform such functions as the
Secretary may specify relating to management of the State title IV-D
program.
In addition, the provisions pertaining to safeguarding of
information implement section 454(26) of the Act, which requires the
State IV-D agency to have in effect safeguards, applicable to all
confidential information handled by the State agency, that are designed
to protect the privacy rights of the parties. Nothing in this rule is
meant to prevent the appropriate use of administrative data for program
oversight, management, and research.
Organization of Preamble Discussion
The preamble discussion that follows is divided into two sections.
The first section discusses amendments to the regulations on locating
individuals and their assets in response to authorized location
requests. The second section discusses a proposed new regulation on
safeguarding and disclosure of State information and amendments to the
regulation on security and confidentiality of information in
computerized support enforcement systems.
Provisions of the Regulation
Section 1. State Parent Locator Service (Sec. Sec. 302.35, 303.3,
303.20, and 303.70)
Current Federal regulations governing the IV-D program offer
minimal guidance on the role of the State PLS. Federal regulations at
45 CFR 301.1 define the term ``State PLS'' to mean ``the service
established by the IV-D agency pursuant to section 454(8) of the Act to
locate parents.'' Resident parent in this proposed rule refers to
custodial parent as established by the IV-D agency.
The regulations at 45 CFR 302.35 (a) and (b) require the IV-D
agency to establish a central State PLS office using all relevant
sources of information and records in the State, in other States, and
in the Federal PLS.
At paragraph (c) of Sec. 302.35, the role of the State PLS is
addressed primarily in relation to the Federal PLS, specifying the
individuals and entities from which the State PLS may accept requests
to use the Federal PLS. Paragraph (d) restricts disclosure of Federal
PLS information to these authorized persons. The current regulation
does not provide guidance regarding information obtained through the
State PLS from State sources. This proposed rule is intended to provide
that guidance.
The regulation is silent about information obtained by the State
PLS from State sources. States have interpreted both section 454(8) of
the Act and current Sec. 302.35 to permit use of State resources for
non-IV-D location purposes, including location for custody and
visitation purposes. This interpretation is also based upon a reading
of section 453 of the Act that the ``authorized persons'' who are
permitted to make a request to the Federal PLS--including private
collection agencies or attorneys under the umbrella of ``agent or
attorney of a child--would also be authorized to submit requests for
location services to the State PLS for matching against the State's own
databases and against the databases of other States, often via the
Child Support Enforcement Network.
The proposed amendments to the State PLS regulations are designed
to:
Address statutory changes from the Personal Responsibility
and Work Opportunity Reconciliation Act of 1996 regarding the
information available to the State PLS from the Federal PLS;
Reflect current processes, such as the automated match
data that States routinely receive and no longer have to request from
the Federal PLS; and
Address disclosure of information obtained by the State
PLS from State sources.
Section 302.35, State Parent Locator Service
The current regulation at Sec. 302.35(a) contains a State plan
requirement that the IV-D agency shall establish a State Parent Locator
Service (PLS) using: (1) All relevant sources of information and
records available in the State, and in other States as appropriate; and
(2) the Federal PLS of the Department of Health and Human Services.
Proposed paragraph (a) would modify the current requirement for
each State to ``establish'' a State PLS, since all States now have one,
and instead require each State to ``maintain'' a State PLS ``to provide
locate information to authorized persons for authorized purposes.''
The proposed Sec. 302.35(a)(1), covering IV-D cases, is designed
to require that the State PLS access ``the Federal PLS and all relevant
sources of information and records available in the State, and in other
States as appropriate, for locating custodial and noncustodial parents
for IV-D purposes.'' This proposed amendment makes clear that the State
may use the State PLS for locating either parent for IV-D purposes.
This is particularly important when a State is unable to distribute
child support collections because it does not have a current address
for the custodial parent. This paragraph also refers the reader to 45
CFR 303.3 for locate requirements and locate sources to be used for IV-
D cases.
Revised paragraph (a)(2), covering locate requests for authorized
non-IV-D individuals and purposes, would require a IV-D agency to
access and release information authorized to be disclosed under section
453(a)(2) of the Act from ``the Federal PLS and, unless prohibited by
State law or written policy, information from relevant in-State sources
of information and records, as appropriate'' to respond to locate
requests from a non-IV-D entity or individual specified in paragraph
(c), for purposes specified in paragraph (d), as discussed below. This
proposed provision implements sections 453 (a)(2) and 454(8) of the
Act. Section 453(a)(2) of the Act establishes the Federal PLS to locate
an individual,
[[Page 60040]]
wages and other income from employment, and asset information. Section
454(8) of the Act requires the State PLS to access and release
information described in sections 453 and 463 of the Act from the FPLS
and from ``all sources of information and available records'' in the
State to ``authorized persons specified in such sections for the
purposes specified in such sections.''
For non-IV-D requests, under proposed paragraph (a)(2) the State
PLS would not access IRS information or financial institution data
match information, which are available only to IV-D agencies, and to a
limited extent to their agents, under Federal statute. The Internal
Revenue Code (IRC) 26 USC6103(1), (6), (8), and (10) prohibits release
of IRS information outside of the IV-D program, except for limited
release allowed to IV-D contractors. This proposed regulation further
restricts release of financial information received from the financial
institution data match (FIDM) process under section 466(a)(17) of the
Act. This prohibition implements the statutory responsibility of IV-D
programs to safeguard confidential information not specifically
authorized for release under section 453 of the Act. In addition, the
restriction on release of financial information is intended to protect
the privacy of individuals and their financial assets.
The State PLS must not access data in its computerized support
enforcement system or forward the request to another State IV-D agency
for locate. The State PLS would not be required to make subsequent
location attempts if initial efforts fail to find the individual or
information sought. However, if a requestor demonstrates that there is
reason to believe that new information may be available, the State IV-D
agency must make a subsequent location attempt. The State PLS would be
used only in conjunction with a request for information from the
Federal PLS in non-IV-D requests.
The current regulation at paragraph (b) requires that the IV-D
agency must ``establish a central State PLS office and may also
designate additional IV-D offices within the State to submit requests
to the Federal PLS.'' The proposed amendment to current Sec. 302.35(b)
would remove mention of a State PLS ``office,'' in acknowledgment of
changes in technology, which have prompted many States to alter their
organizational structure and eliminate such ``offices.'' It would also
require the IV-D agency to ``maintain'' rather than ``establish'' a
central State PLS.
The current Sec. 302.35(c)(1) through (5) specify the authorized
persons and entities from whom the State PLS shall accept requests for
locate information. The proposed amendments to paragraph (c) aim to
strengthen the process by which authorized requestors obtain locate
information through the State PLS, specifically with respect to
requests from a resident parent, legal guardian, attorney, or agent of
a non-IV-A child, as explained below.
Proposed Sec. 302.35(c)(2), covering IV-D agency requests for
information, has been reworded slightly for simplicity, but is
otherwise unchanged and is reprinted for ease of review.
Current Sec. 302.35(c)(3) simply refers to the ``resident parent,
legal guardian, attorney, or agent of a child'' in non-IV-A cases as
authorized persons. This paragraph would be expanded to address two
concerns. The first concern addresses evidence of noncompliance with
the statutory and regulatory requirement that requestors under section
453(c)(3) of the Act pay a fee pursuant to section 453(e)(2) of the
Act. The second concern involves a private non-IV-D individual or
entity acting on behalf of a non-IV-A child (whether or not the child
is receiving services under the IV-D plan).
Proposed Sec. 302.35(c)(3) makes it clear that the State PLS will
accept locate requests from the resident parent, legal guardian,
attorney or agent of a child who is not receiving aid under title IV-A
of the Act only if key requirements are met. The proposed regulation
would require the individual to: (i) Attest that the request is being
made to obtain information on, or to facilitate the discovery of, an
individual for the purpose of establishing parentage, establishing,
setting the amount of, modifying, or enforcing child support
obligations; (ii) attest that any information obtained through the
Federal or State PLS will be used solely for these purposes and
otherwise treated as confidential; (iii) provide evidence (e.g., an ID)
that the requestor is the resident (custodial) parent, legal guardian
or attorney of a child not receiving aid under title IV-A of the Act,
or if an agent of such a child, evidence of a valid contract that meets
any requirements in State law or written policy for acting as an agent;
(iv) provide evidence that the requestor is the named individual who
has requisite authority (e.g., guardianship papers identifying the
requestor as the guardian) and (v) pay the Federal PLS fee required
under section 453(e)(2) of the Act and current Sec. 303.70(e)(2)(i) of
this chapter (redesignated herein as Sec. 303.70(f)(2)(i)), if the
State does not pay the fee itself. The proposal also specifies that the
State may charge a fee to cover its costs of processing these requests.
A State's fee must be as close to actual costs as possible, so as not
to discourage requests to use the Federal PLS. See 304.23(e) and 304.50
(a).
The attestations proposed in new clauses (i) and (ii) of Sec.
302.35(c)(3) are modeled after the attestations that IV-D Directors or
designees make in receiving Federal PLS data from OCSE under current
Sec. 303.70(d)(1) and (2). The goal is to apply to private individuals
and entities requesting Federal PLS data under section 453(c)(3) the
same standard to which IV-D agencies must adhere.
Proposed clause (iii) strengthens the process for ensuring that the
requestor is one of the individuals authorized to act on behalf of a
non-IV-A child for purposes of Federal PLS locate requests.
Proposed clause (iv) is intended to bolster the process for
ensuring the required Federal fee is paid, to clarify that the State
also may recover its costs through a fee, and to ensure that States are
aware that no Federal financial participation is available in
expenditures that States incur if they pay these fees themselves in
non-IV-D cases. As indicated in Sec. 304.50(a) the IV-D agency must
exclude from its quarterly expenditures claims an amount to all fees
which are collected during the quarter under the title IV-D State plan
all fees which are collected during the quarter under title IV-D.
The proposed paragraph (c)(4) simplifies the language regarding the
use of the Federal PLS for parental kidnapping, child custody or
visitation cases. Previously, section 463 of the Act allowed States to
enter into agreements to use the Federal PLS for parental kidnapping
cases. Now States are required to have these agreements in place. The
new language reflects the mandatory nature of this use, rather than
making it contingent upon the existence of an agreement, as before.
OCSE issued a recent Action Transmittal to raise awareness about use of
the Federal PLS to locate a parent or child in order to: (1) Make or
enforce a custody or visitation order; or (2) enforce a Federal or
State law in a parental kidnapping case. This Action Transmittal, OCSE-
AT-03-06, dated December 22, 2003, is available on the OCSE website at
https://www.acf.hhs.gov/programs/cse under the heading Policy Documents.
The proposed paragraph (c)(5) merely rewords in simpler fashion the
current language allowing locate requests from State title IV-B and
title IV-E agencies.
The current paragraph (d) is redesignated as paragraph (e), as
discussed below. A new paragraph (d) is
[[Page 60041]]
proposed to be added to specify the authorized purposes for which the
State PLS and the Federal PLS may be used and the locate information
that may be released for these purposes. Paragraph (d)(1) covers the
purposes of parentage and child support and related authorized releases
of information. It pertains to IV-D and non-IV-D authorized persons and
programs, including title IV-B and IV-E agencies. Proposed paragraph
(d)(2) covers the purposes of enforcing a State law with respect to the
unlawful taking or restraint of a child or for making or enforcing a
child custody or visitation determination and the related authorized
releases of information. The new paragraph (d) is intended to clarify
how the purpose, requestor, and authorized release of information are
tied together in responding to an information request. Section 463 of
the Act, 42 U.S.C. 663, limits the information that may be disclosed
for this type of inquiry.
Paragraph (d) of the current regulation, redesignated here as
paragraph (e), requires privacy safeguards for Federal PLS information
only. The proposed amendment, specifies at paragraphs (e)(1) and (2)
that, subject to the requirements of this section and the privacy
safeguards required under section 454(26) of the Act, the State PLS
shall disclose ``Federal PLS information'' described in sections 453
and 463 of the Act and ``information from in-State locate sources as
required by this section and described in Sec. 303.3(b)(1) of this
chapter'' only to authorized persons for authorized purposes.
A proposed Appendix A has been added at the end of this section to
show graphically the linkages between authorizing statute, authorized
purpose, authorized person or program, and authorized information.
Section 303.3, Location of Noncustodial Parents in IV-D Cases
The current regulation at Sec. 303.3, Location of noncustodial
parents, is divided into three main paragraphs. Paragraph (a) defines
the term ``location.'' Paragraph (b) specifies the types of cases in
which ``the IV-D agency must attempt to locate all noncustodial parents
or sources of income and/or assets when location is necessary to take
necessary action.'' Paragraphs (b)(1) through (5) describe the steps
the IV-D agency must take under this standard. Paragraph (c) requires
the State to establish guidelines defining diligent efforts to serve
process.
Under the proposed regulation, Sec. 303.3 is re-titled ``Location
of noncustodial parents in IV-D cases.''
Under paragraph (a) location is defined to mean ``information
concerning the physical whereabouts of the noncustodial parent, or the
noncustodial parent's employers(s), other sources of income or assets,
as appropriate, which is sufficient and necessary to take the next
appropriate action in a case.'' The proposed amendment to paragraph (a)
clarifies that the definition of ``location'' is applicable for this
section only. It further clarifies that ``location'' is an action that
means ``obtaining information,'' not simply ``information.''
The proposed amendments to paragraph (b) and its subparagraphs
clarify which location requirements apply to IV-D cases.
Paragraph 303.3(b) requires the IV-D agency to attempt to locate a
noncustodial parent in a IV-D case when location is needed to take
necessary action. Paragraphs (b)(1) through (5) provide an extensive
list of location sources, which as discussed below are unchanged for
the most part from the current regulation. While all of these sources
cited in Sec. 303.3(b)(1) are available in IV-D cases, they may not be
all available in response to non-IV-D location requests, depending upon
State law or written policy. We believe State IV-D agencies should
search State databases upon receiving a request from a resident parent,
legal guardian, attorney, or agent of a child but are allowing States
to determine the extent of that search, in accordance with State law or
policy. Therefore we have proposed adding the words ``for IV-D
services'' in paragraph (b) to clarify that location provisions under
this paragraph are required in IV-D cases only.
Current paragraphs (b)(1) and (2) remain unchanged, but are
republished to aid the reader.
Paragraph (b)(3) currently requires timely access of all
appropriate locations sources and specifies that this includes the
Federal PLS. We propose to remove the words ``including transmitting
appropriate cases to the Federal PLS'' because States now submit cases
to the Federal Case Registry for automatic matching with the National
Directory of New Hires for locate purposes.
The existing regulation at paragraph (b)(4) requires the IV-D
agency to ``Refer appropriate cases to the IV-D agency of any other
State, in accordance with the requirements of Sec. 303.7 of this
part.'' The proposed amendment inserts the word ``IV-D'' before the
word ``cases'' to clarify that the IV-D agency of State 1 may refer
only IV-D cases to the IV-D agency of State 2.
Current paragraph (b)(5) remains unchanged, but is republished to
aid the reader.
Proposed new paragraph (b)(6) is intended to draw a direct link
between the IV-D agency's duty to locate noncustodial parents and the
duty to safeguard information. The proposal incorporates by reference
both the existing statutory requirement at section 454(26) of the Act
and the proposed regulatory requirement at Sec. 303.21.
Current paragraph (c) regarding diligent efforts to serve process
is unchanged, but is republished to aid the reader in reviewing this
section.
Section 303.20, Minimum Organizational and Staffing Requirements
The current regulation at Sec. 303.20 describes the minimum
organizational and staffing requirements for the IV-D agency. Paragraph
(b) of this section requires an organizational structure and staff
sufficient to fulfill specified State level functions, including, in
paragraph (b)(7), ``operation of the State Parent Locator Service as
required under Sec. 302.35 of this chapter.''
The proposed amendment to Sec. 303.20(b)(7) inserts ``Sec. 303.3
and 303.70'' after the citation ``Sec. 302.35.'' The amendment is
designed to heighten awareness about the critical role of the State PLS
and ensure that the IV-D agency dedicates adequate resources to comply
with the State PLS's responsibilities.
Section 303.21, Safeguarding and Disclosure of Confidential Information
As discussed below we are proposing to add a new Section 303.21
that will address safeguarding and disclosure of confidential
information. This proposed regulation is discussed below in Section 2
of the Preamble.
Section 303.70, Procedures for Submissions to the State Parent Locator
Service (State PLS) or the Federal Parent Locator Service (Federal PLS)
The following proposes that the Federal PLS reflect the automated
matching and return of information to IV-D agencies in IV-D cases from
the Federal PLS's Federal Case Registry and National Directory of New
Hires. We are proposing to revise this section to address the current
processes under which States no longer ``request'' Federal PLS
information and we propose to replace the word ``requests'' with
``submittals'' wherever it appears. We are also proposing to
redesignate
[[Page 60042]]
paragraph (a) as (b) and to insert a new paragraph (a) in this section.
Paragraph (b) as redesignated includes language regarding a central
State PLS ``office.'' For the reasons discussed earlier with regard to
Sec. 302.35, we are proposing to omit mention of a central ``office.''
The words ``submit requests for information'' are replaced with ``make
submittals'' and the phrase ``for the purposes specified in paragraph
(a)'' is added at the end.
Current paragraph (b) is redesignated as (c) and ``requests'' is
replaced by ``submittals''.
The existing regulation at Sec. 303.70(c) is redesignated as
paragraph (d). The current paragraph (c)(2) requires the IV-D agency to
make ``every reasonable effort'' to find the individual's SSN prior to
submitting a request to the Federal PLS. The newly designated paragraph
(d)(2) changes this wording to ``reasonable efforts,'' in recognition
of the increased technological capabilities at the Federal level to
identify an individual's SSN, or to search without it. In addition, in
newly designated paragraph (d)(1) and (2), references to ``requests''
have been changed to ``submittals'' and ``parent'' has been changed to
``parent or putative father'' to clarify that information may also be
sought to determine paternity.
Existing paragraph (c)(3) requires that the request indicate
``whether the individual is or has been a member of the armed services,
if known.'' Existing paragraph (c)(4) requires that the request
indicate ``whether the individual is receiving, or has received, any
Federal compensation or benefits, if known.'' Because the Federal PLS
now automatically conducts a search to determine whether a person is or
has been a member of the armed services, this proposed amendment
removes current Sec. 303.70(c)(3). The rationale for the proposed
removal of current Sec. 303.70(c)(4) regarding searches for receipt of
Federal compensation or benefits is the same as that for removal of
current Sec. 303.70(c)(3). Removal of these two obsolete paragraphs
necessitates the redesignation of current paragraph (c)(5) as new
paragraph (d)(3).
The current regulation at Sec. 303.70(d) has been redesignated as
paragraph (e). It requires that each request from the State PLS to the
Federal PLS be accompanied by a statement from the IV-D director,
attesting to compliance with the listed requirements. Due to the
expansion of the Federal PLS, submittals to the Federal PLS from the
State PLS are received electronically. In addition, there has been a
great increase in the volume of submittals. Although the concept of
requiring an attestation remains important, requiring an attestation
with every submittal is impractical and overwhelming. Thus, the
proposed regulation allows for a single, annual attestation of
compliance by the IV-D director regarding the use of the Federal PLS.
The revised paragraph (e)(1)(i) would replace language about requests
for information with language specifying that the IV-D agency will
``obtain'' information, since States obtain most Federal PLS
information automatically now without request. A new paragraph
(e)(1)(ii) would clarify that the IV-D agency will only provide
information to authorized persons as specified in sections 453(c) and
463(d) of the Act.
Proposed paragraph (e)(2) is new and would require that, in the
case of a submittal made on behalf of a resident parent, legal
guardian, attorney or agent of a child not receiving aid under title
IV-A, the IV-D agency must verify that the requestor has complied with
the provisions of Sec. 302.35. The proposed paragraph is designed to
add more specificity about the role of the State PLS as a gatekeeper to
the Federal PLS and heighten the State PLS's scrutiny of requests made
by non-IV-D entities or individuals for Federal PLS services. The
cross-reference to Sec. 302.35 is intended to tighten up the
procedures for accepting such requests.
Proposed paragraph (e)(3), formerly paragraph (d)(2), has been
changed to specify that the IV-D agency shall treat information
obtained through the Federal PLS as confidential and shall safeguard
the information in accordance with statutory requirements and proposed
Sec. 303.21. The IV-D agencies must continue to emphasize to any other
entities with which they share information the importance of treating
the information as confidential and safeguarding it.
Current paragraph (e) has been redesignated as (f). In new
paragraph (f)(1), the statutory references have been accompanied by
explanatory phrases to enable the reader to better understand their
meaning without requiring reference to the Act. In addition, current
paragraph (e)(4)(i) is redundant of other language in this section and
we propose to remove it and redesignate (e)(4)(ii) and (iii) as
(f)(4)(i) and (ii). Finally, we propose to replace the word
``transmitted'' in new paragraph (f)(4)(ii) with the word ``paid'' to
allow OCSE to alter payment methods as technology advances, without a
change to the regulations.
Section 2. Safeguarding and Disclosure of Confidential Information
(Sec. 303.21 and Amended Sec. 307.13)
In the late 1990s, several amendments to the Social Security Act
dramatically expanded the scope of information available to State IV-D
agencies. The chart that follows lists the specific laws that had an
impact on, or otherwise expanded access to and information received by,
the Federal PLS and state child support enforcement programs. In
addition, the amended legislation rendered obsolete or inconsistent
several Federal regulations at 45 CFR chapter III, including the former
regulation at 45 CFR 303.21, Safeguarding information. That regulation
was not fully responsive to the post-PRWORA context in which the IV-D
program now operates and it was removed by an interim final rule
published in the Federal Register on February 9, 1999 (64 FR 6237,
finalized on May 12, 2003 at 68 FR 25293). The Description of
Regulatory Provisions is in the Preamble to the interim final rule
indicated that OCSE would ``develop comprehensive guidance consistent
with PRWORA's provisions concerning safeguarding information, including
any implementing regulations that may be necessary.''
------------------------------------------------------------------------
Law Summary of major requirements
------------------------------------------------------------------------
Debt Collection Improvement Act --Increase the collection of non-
(DCIA) of 1996 (Pub. L. 1104-134) tax debt, including past-due child
(See also Executive Order 13019, support, through administrative
September 16, 1998, and 31 CFR offsets.
285.1 and 285.3).
Personal Responsibility and Work --Transit certifications of child
Opportunity Reconciliation Act support debts from IV-D agencies
(PRWORA) (Pub. L. 104-193). to State Department for passport
restrictions.
--Reimburse SSA for SSN verfication
and SDNHs for furnishing
information.
--Prohibit disclosure of FPLS
information if the State notifies
HHS of family violence.
[[Page 60043]]
Balanced Budget Reconciliation Act --2% of set-aside funds made
of 1997 (Pub. L. 105-33). available for use by Secretary for
operation FPLS, to extent costs
not recovered through user fees.
--Expand FPLS data available for
research.
Adoption and Safe Families Act of --Make FPLS available to specified
1997 (Pub. L. 105-89). State IV-E and IV-B agencies.
Taxpayer Relief Act of 1997 (Pub. --Require that FCR include names
L. 105-34). and SSNs of children and that data
be available to Treasury for tax
administration.
Child Support Performance and --Establish a new incentive funding
Incentives Act of 1998 (CSPIA) scheme based upon States'
(Pub. L. 105-200). performance levels.
--Assist States and multistate
financial institutions, through
the FPLS, in conducting a
financial institution data match
system.
--Delete information rom the NDNH
in 24 months, restrict use of NDNH
data for child support purposes
and permit HHS to retain samples
of data for specified research
purposes.
--Impose a penalty for misuse of
information in the NDNH.
Consolidated Appropriations Act of --Require HHS to match NDNH data
1999 (Pub. L. 106-113). against Department of Education
data to collect debts on student
loans and grant overpayments.
--Expand penalty for misuing NDNH
data.
Consolidated Appropriations Act of --Adds HUD access.
2004 (Pub. L. 108-199).
------------------------------------------------------------------------
In recent years, a frequently voiced position of State and local
officials is the need for more data sharing across automated systems,
particularly to provide better support for case managers in integrating
services to clients. State officials often highlight the need for
expanded capabilities to query multiple automated systems to support
local program managers in obtaining the information they need to meet
their particular management challenges. In making a disclosure under
this provision, the IV-D agency may only disclose the minimum amount of
confidential information needed for the purpose provided.
The General Accounting Office (GAO) has issued several recent
reports that examine the barriers to data sharing. These reports,
available from GAO, include ``The Challenge of Data Sharing: Results of
a GAO-Sponsored Symposium on Benefit and Loan Programs' (GAO-01-67,
October 20, 2000). A GAO symposium was held July 7-8, 2000 and a major
issue that it addressed was privacy and data sharing. The Child Support
Enforcement program's National Directory of New Hires was frequently
cited by symposium participants to illustrate both the benefits of data
sharing and the privacy concerns. Participants discussed how access to,
and use of, shared information could be appropriately limited to
official personnel for authorized purposes related to program
administration.
Many States now have enterprise architecture plans that envision
systems integration efforts to support the delivery of integrated
services and that advance the ``no wrong door'' concept for clients
seeking services. In the past, because of different program and funding
requirements, most of the State client information and eligibility
systems were designed and built in relative isolation. To support an
integrated approach to service delivery, current information systems
may be integrated to allow greater sharing of client data and prevent
redundant data collection, to the degree allowed by Federal and State
law. States pursuing this approach to customer service cite privacy and
security of data as major considerations. As a result, States are eager
for guidance on how to restrict access to authorized users for
authorized purposes only.
In addition, we now have tribal child support programs funded under
section 455(f) of the Act. States need to know what information may be
provided to tribal child support agencies.
These proposed regulations will add a new 45 CFR 303.21 to address
the following concerns:
What information is covered by safeguarding requirements?
Who is subject to the regulation?
What general rule applies to the information and the
agencies and entities subject to the regulation?
What exceptions are there?
What safeguards are required?
What penalties apply if the regulation is violated?
We also propose to amend 45 CFR 307.13, Security and
confidentiality for computerized support enforcement systems in
operation after October 1, 1997, for consistency with the changes in
this proposed regulation requiring disclosure from the computerized
support enforcement system of noncustodial parent names, addresses,
telephone numbers and identifying IV-A case numbers to Workforce
Investment Boards, in accordance with section 454A(f)(5) of the Act, as
discussed further below.
Proposed Section 303.21, Safeguarding and Disclosure of Confidential
Information
The proposed regulation consists of six paragraphs: (a) Definition;
(b) Scope; (c) General rule; (d) Authorized disclosures; (e)
Safeguards; and (f) Penalties for unauthorized disclosure.
Proposed Section 303.21(a), Definition
The proposed regulation begins with a definition of the term
``confidential information.'' Paragraph (a) would provide that
``confidential information means any information relating to a
specified individual or an individual who can be identified by
reference to one or more factors specific to him or her, including, but
not limited, to the individual's Social Security number, residential
and mailing addresses, employment information, and financial
information. The amount of support ordered and the amount of a support
collection are not considered confidential information for purposes of
this section.''
Proposed Sec. 303.21(a) is designed to serve two primary purposes.
First, the proposed new Sec. 303.21 provides for safeguarding
information pertaining to individuals, including not only ``applicants
or recipients of support enforcement services,'' but also other
individuals about whom information is maintained by the IV-D agency,
such as information about noncustodial parents and children receiving
IV-D services, as well as individuals not receiving IV-D services, such
as newly hired employees reported to the State Directory of New Hires,
who may have no connection to the IV-D program.
Second, the proposed regulation provides that the responsibility of
the IV-D agency to safeguard information applies to information that
specifically relates to an identified or identifiable
[[Page 60044]]
individual. Thus, the phrase ``including but not limited to'' in Sec.
303.21(a) is intended to highlight the types of information maintained
by the IV-D agency that are most likely to be associated with a
specific individual.
Proposed Section 303.21(b), Scope
The definition of the term ``confidential information'' in proposed
Sec. 303.21(a) is followed by a provision describing the scope of the
proposed regulation. Proposed paragraph (b) reads: ``The requirements
of this section apply to the IV-D agency, any other State or local
agency or official to whom the IV-D agency delegates any of the
functions of the IV-D program, any official with whom a cooperative
agreement as described in Sec. 302.34 has been entered into, and any
person or private agency from whom the IV-D agency has purchased
services pursuant to Sec. 304.22.''
The provision extends the application of the proposed regulation
beyond the IV-D agency to encompass individuals and entities performing
IV-D functions under contract or cooperative agreement with the IV-D
agency or from whom the IV-D agency has purchased services. Proposed
Sec. 303.21(b) comports with language in existing Sec. 302.12, which
requires that each State plan provide for the establishment or
designation of a single and separate organizational unit to administer
the IV-D plan. Section 302.12(a)(2) makes it clear that the IV-D agency
shall be responsible and accountable for the operation of the IV-D
program but, with limited exceptions, need not perform all the
functions of the IV-D program. If the agency delegates any of the IV-D
functions or purchases services from any individual or entity, however,
Sec. 302.12(a)(3) makes it clear that the IV-D agency shall have
responsibility for securing compliance with the State plan. In part,
proposed Sec. 303.21(b) tracks the language in Sec. 302.12(a)(3) and
is generally intended to clarify that entities under cooperative
agreement with the IV-D agency and private contractors to the IV-D
agency are bound by the same safeguarding requirements that bind the
IV-D agency and its employees. The proposed provision relating to
private contractors is similar to a requirement that applies to Federal
contractors under the Privacy Act of 1974 (5 U.S.C. 552a(m)(1)), which
governs Federal agencies, as well as the HHS regulations implementing
the Privacy Act (45 CFR 5b.2(b)(1)).
Proposed Section 303.21(c), General Rule
Proposed paragraph (c) presents a general rule which states that
``[e]xcept as authorized by the Act and implementing regulations, no
entity described in paragraph (b) of this section shall disclose any
confidential information obtained in connection with the performance of
IV-D functions outside the administration of the IV-D program.''
The general rule at proposed Sec. 303.21(c) prohibiting disclosure
of confidential information is modeled after both the Federal Privacy
Act and section 6103 of the IRC. Both the Privacy Act and the IRC
provision on safeguarding data begin with a general prohibition on
disclosure and then enumerate specific exceptions to the general rule.
Proposed paragraph (d), described immediately below, enumerates the
exceptions to the general rule presented in proposed paragraph (c).
Proposed Section 303.21(d), Authorized Disclosures
Proposed paragraph (d) sets forth the authorized disclosures that
are exceptions to the general rule prohibiting disclosure of
confidential information. Modeled after the first exception to the
general prohibition against disclosure of tax information in section
6103 of the IRC, paragraph (d)(1) authorizes disclosure to the
individual to whom the information pertains and anyone he or she
designates. It would also enable the IV-D agency to release information
that may be needed by an individual applying for certain services. In
keeping with the view that an individual may consent to, or request,
disclosure, this paragraph would make explicit that an individual shall
be provided with his or her own confidential information, if requested.
This would not include confidential information concerning any other
individual involved in the case.
Under proposed paragraph (d)(2), the IV-D agency would be required
to disclose information for certain limited purposes, as designated.
Under paragraph (d)(2)(i), and to the extent that it does not interfere
with the IV-D agency meeting its own obligations, information must be
shared for administration of programs under titles IV (TANF, child and
family services, and foster care and adoption programs), XIX (Medicaid
program), and XXI (State Children's Health Insurance [SCHIP] program).
Information is required to be shared with State programs under title IV
and XIX in accordance with sections 454A(f)(3) and 453A(h)(2) of the
Act. Using the Secretary's rule making authority under section 1102 of
the Act, we included authority for States to share information with
title XXI programs because of their close relationship with the IV-D
program and because medical support is an important aspect of the Child
Support Enforcement program.
Similarly, the proposed regulation would include disclosure to
tribal programs authorized under titles IV-A and IV-D because of the
need for these programs to work closely with State IV-D programs. State
IV-D agencies are required to share information with these programs
only to the extent that it does not interfere with their ability to
meet their own obligations.
Programs receiving confidential information may use the information
only for the purpose for which it was disclosed and may not redisclose
the information. Based on the Secretary's general rulemaking authority
in Section 1102, this rule proposes in paragraph (d)(2)(ii), that
information may be disclosed for investigations, prosecutions or
criminal or civil proceedings related to the administration of the
programs listed in paragraph (d)(2)(i). Paragraph (d)(2)(iii) would
permit the release of information to appropriate agencies and officials
in cases of suspected child abuse. Release of such information would
take the best interest of the child in consideration. Finally,
paragraph (d)(2)(iv) would permit the release of information to
programs designated pursuant to sections 453A and 1137 of the Act for
income and eligibility verification purposes.
Proposed paragraph (d)(3) would require that, except for
disclosures to title IV-A agencies, authorized disclosures under Sec.
303.21(d)(2) shall not include confidential information from the
National Directory of New Hires or Federal Case Registry, unless the
information has been independently verified. No IRS information or
financial institution data match information could be disclosed outside
the administration of the IV-D program, unless independently verified
or specifically authorized in Federal statute. IRS information is
restricted as specified in the IRC. Note that financial institution
data matches are authorized under section 466(a)(17) of the Act to
increase the effectiveness of the IV-D program. Although a match occurs
in coordination with the Federal PLS, financial institution data match
information is not maintained by the Federal PLS, nor is it retrieved
for Federal PLS location efforts outside the IV-D program. The
information received in a financial institution data match may be used
only as authorized in section 466(a)(17) of the Act for the purposes of
locating and encumbering assets of a parent owing past-due
[[Page 60045]]
support. In addition, section 453 of the Act does not include specific
reference to the Federal role as intermediary in the financial
institution data match required under section 466(a)(17) of the Act
and, therefore, information received from such matches is not included
in ``information described in sections 453 and 463'' required to be
disclosed under section 454(8) of the Act to ``authorized persons''
referenced in those sections. Further, we believe that it is critical
for IV-D agencies to protect and use only for IV-D purposes any
financial information received as a result of these matches.
Proposed Section 303.21(e), Safeguards
This proposed section has its historical antecedent in 45 CFR
303.21(b). Proposed paragraph (e) provides that ``In addition to, and
not in lieu of, the safeguards described in Sec. 307.13 of this
chapter, which governs computerized support enforcement systems, the
IV-D agency shall establish appropriate safeguards to comply with the
provisions of this section.'' Covered entities shall have in place
appropriate administrative, technical, and physical safeguards. The
cross-reference to part 307 is intended to make it clear that the
proposed regulation applies to all confidential information obtained by
the IV-D agency, whether the data is maintained in an automated or non-
automated fashion.
Proposed paragraph (e) also provides that these ``safeguards shall
also prohibit disclosure to any committee or legislative body (Federal,
State, or local) of any confidential information, unless authorized by
the individual as specified in paragraph (d) of this section.'' This
makes clear that a legislative body or governmental committee cannot
compel the release of information pertaining to an individual without
consent of the individual.
Proposed Section 303.21(f), Penalties for Unauthorized Disclosure
Proposed paragraph (f) provides that ``[a]ny disclosure of
confidential information in violation of the Act and implementing
regulations remains subject to any State and Federal statutes that
impose legal sanctions for such disclosure.''
The reference to Federal law in proposed Sec. 303.21(f) reflects
the fact that, in addition to State statutes imposing legal sanctions,
Federal statutes may also contain legal sanctions regarding the
unauthorized disclosure of confidential information. Federal law grants
the Secretary authority to ensure State compliance with the
requirements of title IV-D through a variety of mechanisms, including
reductions in quarterly payments and State plan disapproval. For
example, pursuant to section 452(a) of the Act, the Secretary may
disapprove a State's IV-D plan if the plan fails to comply with the
requirements of section 454, including paragraph (26) of that section,
requiring States to safeguard confidential information.
An Appendix A has been included at the end of this section to show
graphically the linkages between authorizing statute, authorized
purposes for release of information, authorized persons or programs,
and authorized information.
Section 307.13--Security and Confidentiality for Computerized Support
Enforcement Systems in Operation After October 1, 1997
Section 307.13 addresses security and confidentiality of
computerized systems. We are revising paragraph (a) of Sec. 307.13.
Under the proposed rule, current paragraphs (a), (a)(1) and (a)(2) are
unchanged, but have been republished to aid the reader. Paragraph (a)
requires the State IV-D agency to have safeguards, including written
policies, concerning access to data in the State's computerized support
enforcement system. Paragraph (a)(1) requires the IV-D agency to have
written policies to permit access to and use of data to the extent
needed to carry out the State IV-D program. Paragraph (a)(2) requires
the IV-D agency to specify in its written policies the data that may be
used for particular program purposes, and the personnel permitted
access to such data.
Current Sec. 307.13(a)(3) requires that the State agency have
written procedures to permit access to data by title IV-A and XIX
programs, as necessary for their program purposes We are proposing to
revise this paragraph to require the IV-D agency exchange data from its
computerized support enforcement system with other title IV programs
and the State Children's Health Insurance Program (SCHIP), to the
extent that it does not interfere with the IV-D agency meeting its own
obligations. The Office of the Inspector General, HHS, has conducted
studies in cooperation with several States that demonstrated that many
noncustodial parents are able to contribute to the costs of public
health insurance, including SCHIP, on behalf of their children. The
exchange and sharing of data between IV-D agencies and various other
State and tribal IV-A and IV-D agencies, as well as State Medicaid and
SCHIP programs, is critical to the success of these programs achieving
their mutual goals, ensuring that families attain and maintain their
independence from government cash and medical assistance.
In addition, the proposed regulation adds a new paragraph (a)(4) to
require written policies that permit disclosure of noncustodial parent
names, addresses, telephone numbers and identifying IV-A case numbers
to Workforce Investment Boards (formerly called private industry
councils) that receive welfare-to-work grants, as authorized in section
454A(f)(5) of the Act. These Boards support work for low-income
noncustodial parents in their service areas.
The proposed paragraph (a)(5) would require written policies that
limit disclosure, outside the IV-D program, of National Directory of
New Hire or Federal Case Registry information, IRS information or
financial institution data match information, from the computerized
support enforcement system, to information that has been independently
verified. The rationale for these limitations is discussed previously
in this Preamble. The single exception would be the required disclosure
of National Directory of New Hire or Federal Case Registry information
to title IV-A agencies, where verification before disclosure is not
required.
Paperwork Reduction Act
Section 302.35(c) contains an information collection requirement.
As required by the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)),
the Administration for Children and Families has submitted a copy of
this section to the Office of Management and Budget (OMB) for its
review.
The Locate Request Attestation in the proposed Sec. 302.35(c)(3)
is the information collection requirement, which is proposed to ensure
that only authorized persons obtain information from the Federal PLS.
The State IV-D agency would be required to obtain an attestation from
each resident parent, legal guardian, attorney or agent of a child not
receiving aid under title IV-A who requests information from the
Federal PLS. Each requesting individual must: (1) Attest that the
request for locate information is being made for an authorized purpose;
(2) attest that the information will be used only for the authorized
purpose and otherwise treated as confidential; and (3) provide evidence
that the requestor is an authorized person. This information will be
used to verify that the person making the request for Federal PLS
information is in fact the resident parent, legal guardian, attorney or
agent
[[Page 60046]]
of a child not receiving aid under title IV-A and to ensure that this
person understands that the information must only be used for child
support purposes and otherwise treated as confidential.
The respondents affected by this information collection are State
agencies and the parent, legal guardian, attorney or agent of a child
not receiving aid under title IV-A.
----------------------------------------------------------------------------------------------------------------
Estimated number of Proposed frequency of Average burden per
respondents response response Total annual burden
----------------------------------------------------------------------------------------------------------------
54........................... 1 per week................ .25 hour.................. 702 hours.
----------------------------------------------------------------------------------------------------------------
The Administration for Children and Families will consider comments
by the public on this proposed collection of information in the
following areas:
Evaluating whether the proposed collection is necessary
for the proper performance of the functions of ACF, including whether
the information will have practical utility;
Evaluating the accuracy of the ACF's estimate of the
burden of the proposed collection[s] of information, including the
validity of the methodology and assumptions used;
Enhancing the quality, usefulness, and clarity of the
information to be collected; and
Minimizing the burden of the collection of information on
those who are to respond, including through the use of appropriate
automated, electronic, mechanical, or other technology, e.g.,
permitting electronic submission of responses.
OMB is required to make a decision concerning the collection of
information contained in these proposed regulations between 30 and 60
days after publication of this document in the Federal Register.
Therefore, a comment is best assured of having its full effect if OMB
receives it within 30 days of publication. This does not affect the
deadline for the public to comment to the Department on the proposed
regulations. Written comments to OMB for the proposed information
collection should be sent directly to the following: Office of
Management and Budget, Paperwork Reduction Project, 725 17th Street,
NW., Washington, DC20503, Attention: Desk Officer for the
Administration for Children and Families.
Regulatory Flexibility Analysis
The Secretary certifies that, under 5 U.S.C. 605(b), as enacted by
the Regulatory Flexibility Act (Pub. L. 96-354), this rule will not
result in a significant impact on a substantial number of small
entities. The primary impact is on State governments. State governments
are not considered small entities under the Act.
Regulatory Impact Analysis
Executive Order 12866 requires that regulations be reviewed to
ensure that they are consistent with the priorities and principles set
forth in the Executive Order. The Department has determined that this
rule is consistent with these priorities and principles. This
regulation responds to State requests for guidance on data privacy
issues and therefore should not raise negative impact concerns.
Unfunded Mandates Reform Act of 1995
Section 202 of the Unfunded Mandates Reform Act of 1995 requires
that a covered agency prepare a budgetary impact statement before
promulgating a rule that includes any Federal mandate that may result
in the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector, of $100 million or more in any one
year.
If a covered agency must prepare a budgetary impact statement,
section 205 further requires that it select the most cost-effective and
least burdensome alternative that achieves the objectives of the rule
and is consistent with the statutory requirements. In addition, section
203 requires a plan for informing and advising any small governments
that may be significantly or uniquely impacted by the rule.
We have determined that this rule will not result in the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector, of more than $100 million in any one year.
Accordingly, we have not prepared a budgetary impact statement,
specifically addressed the regulatory alternatives considered, or
prepared a plan for informing and advising any significantly or
uniquely impacted small governments. Based on FY2004 data and analysis,
some States allowing Private Collection Agencies to submit requests for
location services to the FPLS, would at most double the amount of
locate requests received by the FPLS. In FY2004, states reimbursed the
FPLS for 20% of these types of costs. Therefore, the net cost to the
FPLS would be less than .2% of the overall FPLS costs.
Congressional Review
This notice of proposed rule making is not a major rule as defined
in 5 U.S.C. chapter 8.
Assessment of Federal Regulations and Policies on Families
Section 654 of the Treasury and General Government Appropriations
Act of 1999 requires Federal agencies to determine whether a proposed
policy or regulations may affect family well-being. If the agency's
determination is affirmative, then the agency must prepare an impact
assessment addressing seven criteria specified in the law. This
regulation protects the confidentiality of information contained in the
records of State child support enforcement agencies. These regulations
will not have an impact on family well-being as defined in the
legislation.
Executive Order 13132
Executive Order 13132 prohibits an agency from publishing any rule
that has federalism implications if the rule either imposes substantial
direct compliance costs on State and local governments and is not
required by statute, or the rule preempts state law, unless the agency
meets the consultation and funding requirements of section 6 of the
Executive Order. We do not believe the regulation has federalism impact
as defined in the Executive order. However, consistent with Executive
Order 13132, the Department specifically solicits comments from State
and local government officials on this proposed rule.
List of Subjects
45 CFR Part 302
Child support, Grants programs/social programs, Reporting and
recordkeeping requirements.
45 CFR Part 303
Child support, Grant programs/social programs, Reporting and
recordkeeping requirements.
45 CFR Part 307
Child support, Grant programs/social programs, computer technology,
[[Page 60047]]
Reporting and recordkeeping requirements.
(Catalog of Federal Domestic Assistance Programs No. 93.563, Child
Support Enforcement Program.)
Dated: October 26, 2004.
Wade F. Horn,
Assistant Secretary for Children and Families.
Approved: June 24, 2005.
Michael O. Leavitt,
Secretary of Health and Human Services.
For the reasons discussed above, we propose to amend title 45
chapter III of the Code of Federal Regulations as follows:
PART 302--STATE PLAN REQUIREMENTS
1. The authority citation for part 302 is revised to read as
follows:
Authority: 42 U.S.C. 651 through 658, 660, 664, 666, 667, 1302,
1396a(a)(25), 1396b(d)(2), 1396b(o), 1396b(p), 1396(k).
2. Section 302.35 is revised to read as follows:
Sec. 302.35 State parent locator service.
The State plan shall provide as follows:
(a) State PLS. The IV-D agency shall maintain a State PLS to
provide locate information to authorized persons for authorized
purposes.
(1) For IV-D cases--The State PLS shall access the Federal PLS and
all relevant sources of information and records available in the State,
and in other States as appropriate, for locating custodial and
noncustodial parents for IV-D purposes. Locate requirements for IV-D
cases are specified in Sec. 303.3 of this chapter; and
(2) For authorized non-IV-D individuals and purposes--(i) The State
PLS shall access and release information authorized to be disclosed
under Section 453(a)(2) of the Act from the Federal PLS and, unless
prohibited by State law or written policy, information from relevant
in-State sources of information and records, as appropriate, for
locating noncustodial parents upon request of authorized individuals
specified in paragraph (c) of this section, for authorized purposes
specified in paragraph (d) of this section.
(ii) For a non-IV-D request, the State PLS shall not release
information from the computerized support enforcement system required
under part 307 of this chapter, IRS information, or financial
institution data match information, nor shall the State PLS forward the
request to another State IV-D agency.
(iii) The State PLS need not make subsequent location attempts if
locate efforts fail to find the individual sought.
(iv) The State PLS may only be used in conjunction with a request
for information from the Federal PLS in non-IV-D cases.
(b) Central State PLS requirement. The IV-D agency shall maintain a
central State PLS to submit requests to the Federal PLS.
(c) Authorized persons. The State PLS shall accept requests for
locate information only from the following authorized persons:
(1) Any State or local agency or official providing child and
spousal support services under the State plan;
(2) A court that has authority to issue an order or to serve as the
initiating court in an action to seek an order a