Safeguarding Child Support Information, 81894-81908 [2010-32424]
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Federal Register / Vol. 75, No. 249 / Wednesday, December 29, 2010 / Rules and Regulations
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[FR Doc. 2010–32703 Filed 12–28–10; 8:45 am]
BILLING CODE 9110–12–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Administration for Children and
Families
45 CFR Parts 301, 302, 303, and 307
Safeguarding Child Support
Information
Office of Child Support
Enforcement (OCSE), Administration for
Children and Families (ACF),
Department of Health and Human
Services (HHS).
ACTION: Final rule.
AGENCY:
The Personal Responsibility
and Work Opportunity Reconciliation
Act of 1996 (PRWORA) created and
expanded State and Federal Child
Support Enforcement databases under
title IV–D of the Social Security Act (the
Act) and significantly enhanced access
to information for title IV–D child
support purposes. States are moving
toward a more integrated service
delivery to better serve families and
further the mission of the Child Support
Enforcement program, while protecting
confidential data. This final rule
specifies requirements for: State Parent
Locator Service responses to authorized
location requests; and State Child
Support Enforcement program
safeguards for confidential information
and authorized disclosures of this
information. This final rule revises
certain aspects of the State Parent
Locator Service; Safeguarding Child
Support Information final rule
published on September 26, 2008 with
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SUMMARY:
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an effective date delayed until
December 30, 2010. This final rule will
prohibit the disclosure of confidential
and personally identifiable information
to private collection agencies and
expand disclosure to child welfare
programs and the Supplemental
Nutrition Assistance Program (SNAP).
DATES: This rule is effective on
December 30, 2010.
FOR FURTHER INFORMATION CONTACT:
Paige Hausburg, OCSE, Division of
Policy, (202) 401–5635, e-mail
paige.hausburg@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 5
p.m. Eastern time.
SUPPLEMENTARY INFORMATION:
I. Statutory Authority
This final rule is published under the
authority granted to the Secretary of the
United States Department of Health and
Human Services (Secretary) by sections
1102, 453, 453A, 454, 454A, and 463 of
the Act. Section 1102 of the Act, 42
U.S.C. 1302, authorizes the Secretary to
publish regulations that may be
necessary for the efficient
administration of the Child Support
Enforcement program authorized under
title IV–D of the Act (IV–D program).
The provisions of this final rule
pertaining to the Federal Parent Locator
Service (Federal 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 only to authorized persons
for purposes of establishing parentage,
or establishing, modifying, or enforcing
child support obligations. Section 453 of
the Act, 42 U.S.C. 653, also authorizes
the Secretary to disclose information in
the Federal PLS to the State Child
Support Enforcement program
(authorized under title IV–D of the Act),
Temporary Assistance for Needy
Families program (TANF or IV–A
program authorized under title IV–A of
the Act), Child Welfare Services
program (IV–B program authorized
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Community
No.
under title IV–B of the Act), and Foster
Care and Adoption Assistance program
(IV–E program authorized under title
IV–E of the Act) to assist States in
carrying out their responsibilities under
those programs. Section 463 of the Act,
42 U.S.C. 663, also permits States to use
information in the Federal PLS for the
purpose of enforcing any Federal or
State law with respect to a parental
kidnapping or making or enforcing a
child custody or visitation
determination. In addition, the
provisions of this final rule pertaining to
the State Parent Locator Service (State
PLS) implement section 454(8), 42
U.S.C. 654(8), which requires each State
IV–D program to establish a State PLS
to locate parents by exchanging data
with the Federal PLS and utilizing other
information sources and records in the
State.
Several sections of the Act require
safeguarding measures for information
contained in State and Federal
databases, including the National
Directory of New Hires (NDNH) and the
Federal Case Registry (FCR). Section
454(8) requires States receiving funding
under title IV–D to have a State plan
providing that the State IV–D program
will: (1) Establish a service to locate
parents utilizing all sources of
information and available records and
the Federal PLS; and (2) disclose the
information described in sections 453
and 463 only to the ‘‘authorized
persons’’ specified in sections 453 and
463, subject to the privacy safeguards in
section 454(26) of the Act. In addition,
sections 453(m) and 463(c) restrict
disclosure of confidential information
maintained by the Federal PLS only to
an ‘‘authorized person’’ for an
authorized purpose and require the
Secretary to establish and implement
safeguards designed to restrict access to
confidential information in the Federal
PLS to authorized persons for
authorized purposes. Section 453(l), 42
U.S.C. 653(l), also specifies that
information in the Federal PLS shall not
be used or disclosed except as expressly
provided in section 453. Section
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454(26), 42 U.S.C. 654(26), 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 and prohibit
disclosure of information in cases
involving domestic violence or child
abuse. Section 453A of the Act, 42
U.S.C. 653a, requires States to establish
and operate an automated directory
containing information on newly hired
employees and to use the information to
assist in the administration of the State
Child Support program and certain
other specified programs listed in
section 453A(h) of the Act.
Additionally, sections 454(16) and
454A, 42 U.S.C. 654(16) and 654a,
require States to maintain computerized
child support enforcement systems and
to use the system to extract information
necessary to enable the State IV–D
agency (and other programs designated
by the Secretary) to carry out their
responsibilities under title IV–D of the
Act and under such programs, and to
have in effect safeguards on the access
to and use of data in the State’s
automated system.
II. Background
This final rule prohibits disclosure of
confidential and personally identifiable
information to private collection
agencies (PCAs) and expands disclosure
of information to child welfare programs
authorized under titles IV–B and IV–E
and the Supplemental Nutrition
Assistance Program (SNAP). On
September 26, 2008, a final rule,
following a notice and comment period,
entitled ‘‘State Parent Locator Service;
Safeguarding Child Support
Information,’’ was published in the
Federal Register [73 FR 56422] to
address requirements for State Parent
Locator Service responses to authorized
location requests, State IV–D program
safeguarding of confidential
information, authorized disclosures of
this information, and restrictions on the
use of confidential data and information
for child support purposes with
exceptions for certain disclosures
permitted by statute. The effective date
given for the final rule was March 23,
2009. In accordance with the
memorandum of January 20, 2009, from
the Assistant to the President and Chief
of Staff entitled ‘‘Regulatory Review’’ [74
FR 4435], on March 3, 2009, the
Department published a notice in the
Federal Register [74 FR 9171] seeking
public comment on a contemplated
delay of 60 days in the effective date of
the rule entitled ‘‘State Parent Locator
Service; Safeguarding Child Support
Information.’’ In response to those
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comments, the Department issued a
subsequent notice published in the
Federal Register [74 FR 11879] on
March 20, 2009, which delayed the
effective date of the September 26, 2008
rule by 60 days until May 22, 2009, in
order to permit Departmental officials
the opportunity for further review of the
issues of law and policy raised by this
rule. However, subsequent to
publication of the March 20, 2009
notice, the Department determined that
additional time would be needed for
officials to complete their review of the
rule and to fully assess the substantive
comments received in response to the
March 3, 2009 notice. As a result, on
April 15, 2009, a notice was published
in the Federal Register [74 FR 17445]
indicating that the Department was
contemplating a further delay in the
effective date of the ‘‘State Parent
Locator Service; Safeguarding Child
Support Information’’ final rule to
December 30, 2010, and requesting
comments on the delay of the effective
date. In response to comments from the
April 15, 2009 notice, the Department
issued a subsequent notice, published in
the Federal Register [74 FR 23798] on
May 21, 2009 delaying the effective date
of the September 26, 2008 rule to
December 30, 2010.
Although the March 3, 2009 and the
April 15, 2009 notices invited
comments on whether a delay in the
rule’s effective date was needed ‘‘to
allow Departmental officials the
opportunity for further review and
consideration,’’ both notices also
generated focused substantive
comments recommending changes to
several particular provisions of the final
rule that warranted further
consideration. In addition to supporting
a delay in the effective date of the rule,
the comments raised specific policy
concerns regarding two areas of the
September 26, 2008 final rule: (1) The
rules for disclosure of confidential and
personally identifiable information
about individuals maintained by State
IV–D programs to a private, for-profit
child support collection agency as an
‘‘agent of a child;’’ and (2) the child
welfare data exchange provisions of the
rules in light of legislation enacted in
October 2008 after publication of the
final rule.
With respect to disclosure of
information to private collection
agencies, concerns have been raised by
commenters, Departmental officials,
media coverage, litigation and program
stakeholders that the government’s
disclosure of confidential information to
private child support collection
agencies may not serve the children’s
best interests. Specific concerns have
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been raised about the risks involved in
disclosing confidential data to private
collection agencies not acting as a
State’s agent under a contractual
relationship nor required to comply
with ethics and confidentiality rules
such as those governing State agencies
and private attorneys, and whose
business practices are largely
unregulated and not subject to program
oversight.
Additionally, commenters on the
March 3 and April 15, 2009 notices
stated that a delay in the effective date
would give the Administration an
opportunity to conduct a review of the
child welfare data exchange provisions
to ensure that the provisions of the rule
conform to The Fostering Connections
to Success and Increasing Adoptions
Act (Pub. L. 110–351), (the Fostering
Connections Act) signed into law on
October 7, 2008, eleven days after the
Safeguarding Final Rule was published.
On June 7, 2010, a Notice of Proposed
Rulemaking (NPRM) was published in
the Federal Register [75 FR 32145]
which proposed limited changes to the
final regulation published on September
26, 2008 to address concerns identified
by Department officials as well as those
raised by commenters. Only selected
portions of the ‘‘State Parent Locator;
Safeguarding Child Support
Information’’ final rule were addressed
in the NPRM. The final rule published
on September 26, 2008, in [73 FR 56442]
will go into effect on December 30,
2010.
III. Summary Description of Regulatory
Provisions
The following is a summary of the
regulatory provisions included in this
final rule. The NPRM limited those
sections of the final rule published on
September 26, 2008 that were open for
public comment. Affected sections
include §§ 301.1, 302.35, 303.21, 303.69,
303.70, and 307.13. Additionally, we
made a conforming change to § 303.20,
which did not appear in the NPRM.
The Section-by-Section Discussion of
the Regulations (Section IV) provides a
detailed listing of the comments and
responses. We considered each
comment and where appropriate,
amended the final rule. Specifically,
changes include:
In § 301.1 we added a definition of
‘‘attorney of a child.’’ Commenters
recommended a definition that requires
the assurance of a genuine attorneyclient relationship which creates an
ethical obligation to represent the best
interests of the child and/or the child’s
resident parent. The newly-added
definition specifies that there is an
attorney-client relationship with an
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ethical and fiduciary duty upon the
attorney to represent the client’s best
interests under applicable rules of
professional responsibility.
We made a technical change to the
language in § 302.35(a)(2)(i) to include
‘‘non-parent relatives’’ to the list of those
individuals about whom the State PLS
may disclose information under section
453(a)(2) and 453(j)(3) of the Act for
locate purposes. This was based on a
comment that the rule was inconsistent;
we agree and made the change
accordingly. Additionally, this change is
consistent with the change made to
§ 302.35(d)(2) in accordance with the
Fostering Connections Act. We changed
the language at § 302.35(c) in response
to a comment that, as written, the NPRM
would mandate that Tribal IV–D
programs would have to make
attestation and provide evidence that
they are an authorized program to
which the State PLS may disclose locate
information. It was not our intent to
exclude authorization for Tribal IV–D
programs which are a part of the Child
Support Enforcement program and have
an intergovernmental agreement with a
State to access Federal PLS information
as set forth in OCSE PIQT–10–01.
Therefore, we added new language to
§ 302.35(c)(1) providing that a Tribal
IV–D agency that provides child support
services under an approved Tribal IV–
D plan and has an intergovernmental
agreement in place with a State, entered
into pursuant to section 454(7) of the
Act for the provision of Federal PLS
services, is an authorized program and
may request locate information from the
State PLS.
Additionally, the commenters
supported preventing disclosure of
confidential information to private
collection agencies. However, the
commenters thought that attestation
remained important for a parent, legal
guardian, attorney, or agent of a child
not receiving assistance under title IV–
A of the Act. We agree and reinstated
the attestation for those individuals
listed above in § 302.35(c)(3)(iii).
A conforming change was made to
§ 303.20 that was not proposed in the
NPRM. Previously, § 303.20(b)(7)
referenced operation of the State PLS
required under § 302.35. Because of the
changes made to the regulatory language
at § 302.35, it was necessary to make a
conforming change for consistency by
adding §§ 303.3 and 303.70 to the
regulatory text at § 303.20(b)(7).
The final change to the regulatory
language is in §§ 303.70(d)(1), (3), and
(4). This technical amendment was
made to correspond with the change
intended to permit disclosure of
location information regarding non-
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parent relatives. The former paragraph
referred to information provided to
parents and putative fathers. The
technical correction is necessary to
eliminate any conflicts or confusion in
providing non-parent relative
information to IV–B and IV–E agencies.
The phrase ‘‘non-parent relative’’ was
added to § 303.70(d)(1). The language at
§ 303.70(d)(2), which requires that a
parent’s or putative father’s Social
Security Number (SSN) be provided to
the State PLS or Federal PLS for
purposes of locating parents, putative
fathers, or children for purposes related
to title IV–D, IV–A, IV–B and IV–E was
not changed. This also requires that the
IV–D agency must make reasonable
efforts to ascertain the individual’s SSN
before making the submittal to the
Federal PLS. It was not appropriate to
add ‘‘non-parent relative’’ to this section
because the IV–D agency is not required
to ascertain the SSN of a non-parent
relative prior to making a submittal to
the Federal PLS. A new § 303.70(d)(3)
was added to require that the submittal
request contain the non-parent relative’s
SSN, if known. Former § 303.70(d)(3) is
thus renumbered to § 303.70(d)(4).
Some commenters suggested changes
to the Appendices based on changes in
the proposed regulatory language. We
amended the Appendices in three areas:
one change was made to Appendix A
and two changes were made to
Appendix C. A suggestion was made
that we include language in the
‘‘Limitations’’ column in Appendix A as
it relates to the State agency
administering IV–B and IV–E programs
in accordance with sections 453(c)(4),
453(j)(3) and 454(8) of the Act. We agree
and added language that indicates that
any use of the information from the
Federal PLS and the State PLS outside
the purposes of section 453(a)(2) and
453(j)(3) of the Act requires
independent verification. The first
change in Appendix C was to modify
the term ‘‘food stamps’’ to ‘‘SNAP’’ for
consistency with the regulatory
language and the rest of the Appendix.
This change was in the ‘‘Authorized
person/program’’ under the portion of
Appendix C that listed the authority for
sections 453A(h)(2) and 1137 of the Act.
The second change to the Appendix was
to add a footnote. Commenters correctly
noted that Appendix C did not reference
the domestic violence language
referenced in both Appendices A and B.
This prohibition against the disclosure
of information if there is a reasonable
evidence of domestic violence or child
abuse and the disclosure of such
information would be harmful to the
custodial parent (also referred to as
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resident parent) or child is required by
sections 453(b)(2) and (3), 454(8) and
(26) of the Act.
IV. Section-by-Section Discussion of
Comments
This section provides a detailed
discussion of comments received on the
proposed rule, and describes changes
made to the proposed rule. We referred
generally to actions of the ‘‘Department’’
pursuant to the rule. The rule itself
refers to actions of the ‘‘Secretary,’’
however, the day-to-day activities of the
Secretary’s functions have been
delegated and are exercised by other
Department officials, primarily in the
Administration for Children and
Families. ‘‘Office’’ refers to the Federal
Office of Child Support Enforcement
(OCSE). We received comments from 26
commenters including 12 State
agencies, nine advocacy groups, two
organizations, and three private citizens.
The majority of comments related to
State Parent Locator Service, § 302.35.
General Comments
Several comments not attributable to
specific sections of the regulation are
discussed below.
1. Comment: All commenters
supported the prohibition of disclosing
confidential and personally identifiable
information to private child support
collection agencies (PCAs).
Response: We agree that the
prohibition of disclosing confidential
and personally identifiable information
to PCAs is an appropriate change to the
regulation. The final rule reflects that
position.
2. Comment: All commenters
supported the expansion of released
information to title IV agencies,
including IV–B and IV–E.
Response: This final rule mandates
the expansion provided in the proposed
rules consistent with section 453(j)(3) of
the Social Security Act, permitting
disclosure of information to IV–B and
IV–E agencies for a broader range of
authorized purposes that was not fully
addressed in the September 26, 2008
regulation. Program responsibilities
include locating relatives of children
removed from parental custody in order
to identify potential placements for the
child and assist the State agency in
permanency planning. Communication
involving data matches and shared data
between IV–D, IV–B, and IV–E programs
serves the best interests of children and
their families.
3. Comment: One commenter stated
that for child welfare purposes,
noncustodial parents should be notified
and considered as potential placements.
This would occur when identifying
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relatives, providing notice to relatives,
and placing siblings together. If the
noncustodial parent is not an
appropriate placement, the noncustodial
parent may still be able to provide
critical information to aid in making
prompt and appropriate arrangements
for children.
Response: We agree that it may be
appropriate for children to be placed
with their biological (both custodial and
noncustodial) parents, consistent with
child welfare program policies and the
best interests of the children. This
regulation provides for information
concerning relatives, including the
noncustodial parent under
§ 305.35(d)(1), to be released to the IV–
B and IV–E agencies.
4. Comment: One commenter was
supportive of restricting access to PCAs,
but questioned the policy in PIQ 02–02
that, as written, would allow custodial
parents to change their addresses to a
PCA address.
Response: As discussed in the
preamble to the NPRM, PIQ–02–02,
Requests by Custodial Parents for a
Change of Address for the Disbursement
of the Custodial Parent’s Share of Child
Support Collections allowed a custodial
parent to change his or her address to
that of a PCA. The redirection of
payments by a PCA and the policy to
allow a custodial parent to change his
or her address to that of a PCA, will be
considered under a separate rulemaking
authority.
On August 14, 2009, OCSE issued
DCL–09–22, Private Collection Agencies
and Redirection of Payments. This DCL
indicated that OCSE had been alerted to
the fact that some PCAs have instructed
employers to redirect child support
payments away from a State
Disbursement Unit (SDU) to a PCA. In
accordance with sections 454B,
466(a)(1)(A), 466(a)(8), and 466(b)(5) of
the Act, payments in all IV–D cases and
in non-IV–D cases in which the initial
support order was issued on or after
January 1, 1994 and in which the
obligor’s income is subject to wage
withholding must be paid through the
SDU.
5. Comment: One commenter
expressed concern that the answer to
question one in PIQ 03–05 conflicts
with the NPRM, and should be changed.
Response: We agree. PIQ–03–05,
Guidance on Private Collection
Agencies—Agent of a Child and Third
Party Address for Correspondence
addressed inquiries requesting
clarification on issues related to PCAs.
The PIQ indicated that because ‘‘agent of
a child’’ was not defined, a ‘‘for profit,
private collection agency or private
attorney could act as an ‘agent of a
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child’ provided it has a valid contract
that meets the State’s statutory and
regulatory requirements for acting as an
agent, if any,’’ and was thus authorized,
under section 453(b)(1) and (c), to
access confidential information from the
Federal and State PLS.
This final rule adds a definition of
‘‘agent of a child.’’ Under the definition
of ‘‘agent of a child,’’ a PCA no longer
qualifies as an authorized person to
receive confidential and personally
identifiable information. In the final
rule ‘‘agent of a child’’ means a caretaker
relative having custody of or
responsibility for the child. We will
revise the PIQ after publication of the
final rule to ensure consistency with the
regulation.
6. Comment: The proposed effective
date for changes is not sufficient time to
implement the changes. The commenter
expressed concerns about the difficulty
for States to implement the final rule as
published on September 26, 2008 and
then implement this final rule.
Response: The delay in
implementation of the final rule
published on September 26, 2008 was
necessitated by the concerns raised by
Departmental officials and commenters.
We believe that the differences in the
proposed and final regulation are not so
great that the implementation cannot be
accomplished. OCSE is prepared to
provide assistance to States as needed.
Section 301.1, ‘‘Agent of a Child’’
Definition
1. Comment: Many commenters
agreed with the inclusion of ‘‘caretaker
relative’’ in the definition of ‘‘agent of a
child.’’ Other commenters suggested
removing ‘‘relative’’ from the definition,
and a few commenters proposed
narrowing the definition to include only
a court-appointed conservator or
guardian ad litem. One commenter
suggested adding ‘‘non-parent relative’’
to the definition.
Response: As noted in the preamble to
the NPRM, ‘‘caretaker relative’’ is a
longstanding term used in the TANF
program and recognizes the practical
reality that children are sometimes left
in the care of a relative even though the
relative may not have been appointed by
a court. This language allows
appropriate family members to advocate
for the child’s best interests. The
definition also prohibits PCAs, which
may have financial motives separate, or
even adverse to the child’s best
interests, from acting as the child’s
agent. We did not see the need to
provide a specific definition for legal
guardian.
2. Comment: One commenter agreed
with our definition, but questioned
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whether a Tribal IV–D agency’s ability
to access the Federal PLS is supported
by the definition of ‘‘agent of a child.’’
Response: We agree and have revised
the final rule to clarify that a Tribal IV–
D agency’s authority to access
information contained in the Federal
PLS and State PLS is at newly added
language at § 302.35(c)(1) which
includes a Tribal IV–D agency as an
authorized program.
Section 301.1, ‘‘Attorney of a Child’’
Definition
1. Comment: In the NPRM, we
specifically sought comments on
whether to add a definition of ‘‘attorney
of a child’’ to the final rule. Several
commenters thought a definition was
necessary for ‘‘attorney of a child’’ for
various reasons. Some commenters
thought that it was important to clarify
that attorney, as referenced in section
453(c)(3) of the Act refers to attorney of
a child, not an attorney for either parent.
Other commenters thought it was
important that OCSE adopt a definition
that requires assurance of a genuine
attorney-client relationship that creates
an ethical obligation to represent the
best interests of the child. Another
commenter stated that the language in
the NPRM regarding the phrase
‘‘attorney of a child,’’ was too broad and
needed to be defined.
Response: We are persuaded that a
definition is necessary, and we have
revised § 301.1 to provide the following
definition: ‘‘Attorney of a child means a
licensed lawyer who has entered into an
attorney-client relationship with either
the child or the child’s resident parent
to provide legal representation to the
child or resident parent related to the
establishment of paternity, or the
establishment, modification, or
enforcement of child support. An
attorney-client relationship imposes an
ethical and fiduciary duty upon the
attorney to represent the client’s best
interests under applicable rules of
professional responsibility.’’ (Please note
that ‘‘resident parent’’ is also referred to
as ‘‘custodial parent’’.)
Section 302.35—Parent Locator Service
1. Comment: One commenter
correctly noted that although
§§ 302.35(a) and (b) were not open for
comment, a clarification was necessary
to add ‘‘non-parent relative’’ to authorize
disclosure of locate information for title
IV–B and title IV–E purposes in
§ 302.35(a)(2) consistent with the
change made to § 302.35(d)(2).
Response: We agree with this
comment and made this technical
correction to the final rule at
§ 302.35(a)(2)(i) to read, ‘‘The State PLS
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shall access and release information
authorized to be disclosed under section
453(a)(2) and 453(j)(3) of the Act from
the Federal PLS and, in accordance with
State law, information from relevant inState sources of information and
records, as appropriate, for locating
custodial parents, noncustodial parents,
non-parent relatives, and children upon
request of authorized individuals
specified in paragraph (c) of this
section, for authorized purposes
specified in paragraph (d) of this
section.’’ An additional change was
made to § 302.35(a)(2)(i) that authorizes
disclosure of information about relatives
of children involved in IV–B and/or IV–
E cases in accordance with the Fostering
Connections Act.
2. Comment: One commenter said that
the language at § 302.35(c) and
Appendix A indicates that a request
involving a child not receiving IV–A
assistance is a non-IV–D requests. Many
children who are not receiving IV–A
assistance are participants in a IV–D
case.
Response: We agree that many
children who are not receiving IV–A
assistance may be participants in a IV–
D case. However, this authorized
purpose of the request example is
specific to non-IV–D child support
cases. The language is based on section
453(c)(3) of the Act.
3. Comment: One commenter,
although supportive of the goal of
denying access to Federal PLS
information to a PCA, proposed that we
do not delete § 302.35(c)(3)(iii) since it
did not solely apply to PCAs, and also
required evidence of a relationship
between the requestor and the child.
Another commenter suggested that it is
not burdensome to request an attestation
that the requestors are who they purport
to be, especially when it comes to
releasing confidential information. This
same commenter suggested that we add
‘‘resident’’ to the regulatory language.
Response: We agree with the
commenters and have added
§ 302.35(c)(3)(iii) requiring an
attestation from a resident parent, legal
guardian, attorney, or agent of a child.
The addition of ‘‘resident’’ is appropriate
as it is consistent with the statutory
language. Section 453(c)(3) of the Act
includes the definition of ‘‘authorized
person’’ as a resident parent. The final
rule at § 302.35(c)(3)(iii) is amended to
read: ‘‘Attests that the requestor is the
resident parent, legal guardian, or
attorney, or agent of a child not
receiving assistance under title IV–A.’’
4. Comment: Many commenters were
pleased with broadened disclosure of
information allowed by § 302.35(d) for
the disclosure of an individual’s
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location, income, employment benefits,
assets, debts, child support history,
Family Violence Indicator (FVI), and
other confidential information not only
for parents, but non-parent relatives as
well. One commenter explained that the
broadened purposes will assist in
carrying out IV–B and IV–E’s
responsibility to administer their
programs.
Other commenters wanted to limit
disclosure to non-parent relatives and
were primarily concerned with privacy
for family violence victims. One
commenter who wanted to limit
disclosure expressed concern that the
option for State IV–D agencies to share
with other child welfare agencies a
broader range of data elements than
available in the Federal PLS raises
safety, information reliability, and
privacy concerns for domestic violence
victims.
One commenter prefers limiting data
access to ‘‘the extent necessary’’ to
achieve an authorized purpose. The
commenter elaborated that this language
would protect the privacy rights of
individuals as information regarding an
individual’s assets and debts would
rarely be necessary to establish parental
rights, and the availability of health
insurance would not be relevant
towards locating a non-parent relative
for placement of a child.
Response: Section 105 of the
Fostering Connections Act amended
section 453(j)(3) of the Social Security
Act to expand the authority for
information comparisons and
disclosures of information from the
Federal PLS for title IV program
purposes to include child welfare and
foster care programs funded under IV–
B and IV–E of the Social Security Act.
The law authorizes disclosure of
information in the Federal PLS and
State PLS to conduct data matches and
share data with child welfare agencies
‘‘to the extent and with the frequency
that the Secretary determines to be
effective in assisting States to carry out
their responsibilities under this part [D],
part B or E, and programs funded under
part A.’’ This final rule reflects the
extent to which that data matching and
sharing is appropriate in assisting States
to carry out their responsibilities.
The purpose of broadening disclosure
of information about non-parent
relatives is to promote communication
and efficiency between title IV agencies.
Many of the commenters realized this
and were pleased with the policy. Some
commenters were justifiably concerned
about disclosing information in family
violence cases. The Act addresses their
concerns. Under sections 453(b)(2) and
(3), 454(8), and 454(26) of the Act, no
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information may be disseminated
regarding a family violence case.
Section 453(b)(2) of the Act states that
‘‘* * * No information shall be
disclosed if the State has notified the
Secretary that the State has reasonable
evidence of domestic violence or child
abuse and the disclosure of such
information could be harmful to the
custodial parent or the child of such
parent * * *.’’ Please refer to the
‘‘Limitations’’ column in Appendices A,
B, and C. This statutory limitation is
reflected in Appendices A, B, and C.
Additionally, the final rule at sections
302.35(e) and 303.21(e) published in the
Federal Register on September 26, 2008
[73 FR 56422] prohibits the release of
information when the State has
reasonable evidence of domestic
violence or child abuse.
We take these requirements very
seriously and are committed to ensuring
that information is not shared that might
jeopardize the safety of an individual
thought to be a victim of family violence
or child abuse. The intention of the FVI
is to protect the victim whether the
victim is the child, the custodial parent
or the noncustodial parent. We are
working closely with the Family and
Youth Services Bureau, Family Violence
Prevention and Services Program in the
Administration for Children and
Families on this critical issue. We also
plan to reach out to domestic violence
programs in developing guidance and
training. In fact, we currently lead a
Domestic Violence Collaboration Work
Group which includes representatives
from the National Resource Center on
Domestic Violence and the Family
Violence Prevention and Services
Program.
5. Comment: Two commenters stated
that these final regulations should
clarify that States will provide
assurances that their title IV–D and IV–
E agencies will collaborate, through an
interagency agreement, to ensure that
child welfare agencies safely and
appropriately handle cases with an FVI
flag. These agreements should address
the manner and information to be
shared. In addition, required training
should address confidentiality, the
impact of family violence, posttraumatic stress disorder, and cultural
competency. OCSE and the Children’s
Bureau should consider issuing a joint
guidance to assist States in crafting
interagency agreements.
Response: We agree that when there is
data sharing between two agencies, an
interagency agreement strengthens the
integrity of safeguarding the information
between the agencies involved.
Interagency training between IV–D, IV–
B and IV–E agencies is appropriate to
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ensure proper implementation of this
final regulation. As we work to
operationalize these regulations, we will
develop joint guidance with our Federal
counterparts in the child welfare and
domestic violence programs on
interagency agreements and conduct
extensive outreach to State child
support and child welfare programs.
6. Comment: Two commenters
opposed establishing separate standards
for disclosure for the Federal PLS and
State PLS. One commenter requested
that the regulations or other Federal
guidance make clear, when referring to
State IV–B and IV–E agencies for the
purpose of receiving information under
the proposed regulations, that political
subdivisions of the State should be
considered.
Response: The Federal PLS is not part
of the State PLS. Requests for
information from the Federal PLS must
flow through the State PLS, and each
State’s standards are different based on
sources of information each State
receives in accordance with the State’s
law. For example, some States may have
additional enforcement remedies that do
not exist in the Federal PLS, such as
seizure of lottery or gambling winnings.
In addition, States administer the
placement of children involved in IV–B
and IV–E cases, and must abide by
minimum Federal guidelines. States
have broad discretion to implement
their IV–B and IV–E programs, as long
as they comport with the minimum
Federal guidelines.
7. Comment: The regulation should
acknowledge that establishing parental
rights is part of assisting States to carry
out their responsibilities under IV–B
and IV–E.
Response: We agree that establishing
parental rights is part of assisting States
to carry out their responsibilities under
titles IV–B and IV–E of the Act. We will
work with our IV–B and IV–E colleagues
in defining States’ program
responsibilities.
8. Comment: Two commenters raised
a number of questions about
information that is gathered as part of
the application process for child
support services and kept on file at the
child support agency. These
commenters wanted to know: What type
of case-specific information is currently
entered and retained in OCSE databases;
whether location information could be
separated from other types of
information in the databases; if notice is
provided to IV–D clients about the types
of information entered and retained in
the databases, and with whom and for
what purposes may it be shared. The
commenters also wanted to know
whether there are opportunities
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available for the person providing the
information to view and correct
inaccuracies before sharing occurs; if
informed consent is provided prior to
OCSE sharing information with other
agencies; if the client has the ability to
limit any aspect of data sharing, and
whether IV–D workers could be subject
to a subpoena in child welfare cases in
which decisions were made based on
data secured from the OCSE database.
Response: Applications for child
support services, although developed by
each State agency, must contain
Federally required data elements which
are uploaded onto the State’s automated
system. OCSE’s databases, such as the
National Directory of New Hires and the
Federal Case Registry must have system
of records notices that provide notice to
the public with respect to the collection
of information on individuals and
procedures for contesting the accuracy
of a record. The system of records
notices are currently in the process of
being updated and should be in effect
prior to the effective date of this rule.
Also, see the Privacy Act and Paperwork
Reduction Act notice on the Internal
Revenue Service form W–4 form,
available at https://www.irs.gov/pub/irspdf/fw4.pdf.
Additionally, location information
can be separated from other types of
data. Many States have a generic
disclosure statement regarding the
information collected on individuals
and with whom it may be shared. States
also proactively urge clients to update
demographic information. A growing
trend among States is the establishment
of customer service Web sites which
permit and/or encourage clients to
review and update other information in
the State’s database.
Informed consent is not provided
prior to OCSE sharing information with
other agencies. Title IV–B and IV–E
agencies are authorized by law to access
this information under section 453(j)(3)
of the Act for the purpose of carrying
out their programs. Redisclosure of
information is not addressed in this
rule. Presently, such information must
be independently verified before
redisclosure by the IV–B or IV–E agency
is permitted.
9. Comment: One commenter stated
that 42 U.S.C. 653(j) clearly seemed to
contemplate that not only will the IV–
D agency share matches—the pairing of
a known identity with additional
elements—but it also will disclose
information, including the identity of a
person who may not previously have
been known, to the IV–B and IV–E
agency.
Response: This final regulation
authorizes the sharing of information
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with IV–B and IV–E agencies available
through the State PLS to locate relatives
for potential placement of a child
removed from parental custody, to place
siblings in groups, and to otherwise
assist State agencies in permanency
planning activities. Information which
may be disclosed about a child or a
relative of children involved in IV–B
and IV–E cases is limited to name, SSN,
most recent address, employer name,
and address and employer identification
number. To the extent that a relative is
‘‘identified’’ through use of the Federal
PLS and the State PLS, that information
may be shared with IV–B and IV–E
agencies. This final regulation also
authorizes the sharing of information
with IV–B and IV–E agencies available
from the statewide automated system
pursuant to section 454A(f)(3) of the
Act, to assist such programs to carry out
program functions.
Child welfare agencies do not have
direct access to statewide child support
automated systems to permit IV–B and
IV–E caseworkers to search for data.
Only certain IV–D staff have direct
access to the Federal PLS. Courts and
other programs do not. State IV–A, IV–
B, and IV–E agencies will work together
to develop appropriate transactions for
an automated information exchange
between the agencies to ensure
adherence to proper data safeguarding
standards as set forth in this regulation.
10. Comment: One commenter said
that New York State is a Statesupervised, county administered State.
The commenter would like to know
explicitly how the process of access to
information from the State PLS would
function in that State. The commenter
also asked whether the information
would be available directly to the local
departments of Social Services, and how
requests for information would be
transmitted and received.
Response: We acknowledge that
States organize and operate their
programs differently. OCSE is currently
in discussions with our Federal
counterparts in the child welfare and
domestic violence programs to develop
broad based implementing guidance
that States can use in their specific
operational environments.
11. Comment: One commenter asked
if the final regulation imposes any
limitations on redisclosure of
information by local departments of
social services in performing their child
welfare functions.
Response: We direct the commenter to
Appendix A. Whether redisclosure is
permitted depends upon the purpose of
the inquiry, and the agency requesting
the data. Title IV–B and IV–E agencies
are authorized by law to access this
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information for the purpose of carrying
out their programs. Redisclosure of
information is not addressed in this
rule. Presently, such information needs
to be independently verified before
redisclosure is permitted. OCSE and its
counterparts in Federal child welfare
and domestic violence programs will
provide instructions in the future.
12. Comment: One commenter noted
that currently there is a jointly-issued
administrative directive which
references how referrals for locating
absent parents travel from child welfare
to local IV–D units. The local IV–D units
access Federal PLS and State PLS and
return information back to local child
welfare agencies. The commenter would
like to see a new jointly-issued
administrative directive as a result of
the publication of this final rule.
Response: We agree that the jointly
issued directive: ACYF–CB–IM–07–06/
OCSE–IM–07–06, Appropriate Referrals,
Requests for Location Services, Child
Support Applications, and Electronic
Interface between Child Welfare and
Child Support Enforcement Agencies,
issued on September 6, 2007, is an
important document for the
interoperability of the child support,
domestic violence, and child welfare
programs. We will collaborate with the
Administration on Children, Youth and
Families of HHS to update this joint
document as appropriate.
13. Comment: One commenter
suggested that the purpose of disclosure
should guide the amount of information
disclosed rather than the specific
relative relationship between the
requester and the child. The commenter
supported the broader disclosure
regulated at § 302.35(d)(1) and the more
limited disclosure regulated at
§ 302.35(d)(2).
Response: We agree with the
commenter. As provided in the
regulation, the purpose of a request does
control the nature of the data disclosed.
The Appendices provide guidance as to
the information that may be disclosed
and the agencies to which the
information may be disclosed
depending on the purpose for which the
information is being requested.
14. Comment: One commenter stated
that title IV–B and IV–E agencies should
be provided with at least the six pieces
of information [name, Social Security
Number, address, employer’s name,
employer’s address, and employer
identification number]. The commenter
also encouraged the sharing of
additional contact information, such as
telephone numbers and e-mail
addresses, if the Federal PLS or State
PLS maintains these sources of
information.
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Response: The final regulation at
§ 302.35(d)(2) clearly establishes that for
the purposes of assisting States to carry
out their responsibilities to administer
the IV–B and IV–E programs, the
information that may be disclosed with
respect to a child or relative of a child
involved in a IV–B or IV–E case is
limited to: Name, SSN, most recent
address, employer name and address,
and employer identification number.
The Federal PLS does not maintain
additional contact information such as
telephone numbers and e-mail
addresses. Additionally, if the case has
an FVI marker, then no information
about the case may be shared for any
reason. Section 453(b)(2) of the Act says:
‘‘no information shall be disclosed if the
State has reasonable evidence of
domestic violence or child abuse and
the disclosure of such information could
be harmful to the custodial parent or the
child.’’ Information from cases marked
with the FVI may be released to a court
or an agent of a court pursuant to the
procedure set forth in section
453(b)(2)(A) and (B).
15. Comment: One commenter stated
that child welfare agencies do not need
extensive information if their intent is to
locate noncustodial parents, or to
identify and/or locate grandparents or
other relatives to carry out the purpose
of the IV–B or IV–E program. The
commenter encourages sharing any
other contact information such as
telephone numbers and e-mail
addresses, if they are maintained on the
State PLS or Federal PLS.
Response: As stated above, the
information that may be disclosed about
a child or relative of a child involved in
a IV–B or IV–E case is limited to name,
SSN, most recent address, employer
name and address, and employer
identification number.
16. Comment: One commenter noted
that section 453(j)(3) of the Act directs
the Secretary to disclose Federal PLS
information to State agencies and the
regulation directs the State PLS to
disclose confidential information only
from in-State sources regarding nonparent relatives; the regulation also
excludes IV–B and IV–E agencies from
receiving Federal PLS information
regarding non-parent relatives. The
commenter questioned the statutory
authority for § 302.35(d)(2). The
commenter recommended deleting
§ 302.35(d)(2) because the lack of a clear
statutory basis creates liability for State
IV–D agencies.
Response: We disagree that there is
not a clear statutory basis for the
disclosure of information at
§ 302.35(d)(2). The Fostering
Connections Act amended section
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453(j)(3) of the Act to include IV–B and
IV–E agencies. While certain IV–D staff
have direct access to the Federal PLS;
courts and other programs do not have
access. Requests for information from
the Federal PLS must flow through the
State PLS. Federal PLS information is
not excluded.
17. Comment: Two commenters said
that if data was exchanged between
child support and child welfare
agencies through an interagency
agreement, provisions for
implementation and enforcement of
privacy and family violence safety
protections should be required. This
final rule should mandate the
provisions to be included in the
interagency agreements to facilitate
compliance with the safeguarding rules.
Those agreements should also contain
provisions for informed consent to
disclosures.
Response: As stated earlier in this
preamble, when there is data sharing
between two agencies, an interagency
agreement strengthens the integrity of
the agencies involved to safeguard the
information. Intergovernmental
agreements support the integrity and
security of an intergovernmental system
when data is shared. Any interagency
agreement should contain provisions
that comport with this final rule.
Disclosures under section 453 of the Act
do not require consent of the individual.
Such disclosures are considered to be a
routine use of the information collected
under the Privacy Act.
18. Comment: One commenter noted
that the Children’s Bureau recently
issued guidance on The Fostering
Connections Act, encouraging States to
employ a consistent definition of
‘‘relative’’ for the purposes of any
guardianship assistance program and
any notification that is carried out
pursuant to The Fostering Connections
Act. States are permitted to include nonblood relatives or ‘‘fictive kin’’ when
defining ‘‘relative.’’ The commenter
suggests States be provided the latitude
to use ‘‘fictive kin’’ when implementing
this rule.
Response: OCSE defers to States’
definitions of ‘‘relative.’’
Section 303.21—Safeguarding and
Disclosure of Confidential Information
1. Comment: One commenter stated
that under § 303.21(d)(1), the IV–D
agency is not required to provide locate
services to other State agencies
performing duties under title IV, XIX,
XXI, and SNAP if it is determined that
doing so would interfere with the IV–D
agency meeting its own obligations. The
commenter said that the same provision
should apply when providing location
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information to authorized individuals in
non-IV–D cases under section § 302.35.
Response: The statutory change made
by The Fostering Connections Act
contemplates that child support
agencies will exchange data with IV–B
and IV–E programs.
2. Comment: One commenter said that
the response to comment 32, page 56437
of the final rule, published on
September 26, 2008, implies that before
IV–D agencies can disclose address or
employment information received from
the FCR or NDNH to the Medicaid
agency, the IV–D agency is expected to
verify the information through postal
verifications or wages.
Response: The response to comment
32 in the final rule published on
September 26, 2008, was meant as an
example. We used postal verification in
that instance for illustrative purposes
only. Independent verification, as
defined in § 303.21(a)(2), is still valid:
‘‘Independent verification is the process
of acquiring and confirming confidential
information through the use of a second
source. The information from the
second source, which verifies the
information about NDNH or FCR data,
may be released to those authorized to
inspect and use the information as
authorized under the regulations or the
Act.’’ This final rule did not change
§ 303.21(a)(2).
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Section 303.70—Procedures for
Submissions to the State Parent Locator
Service (State PLS) or the Federal Parent
Locator Service (Federal PLS)
1. Comment: One commenter noted
that although not open for comment,
§ 303.70(d)(1) needs to be revised to
correspond with the change intended to
permit location information for nonparent relatives. The paragraph refers to
information to be provided to parents
and putative parents. Without
corresponding changes, the commenter
noted conflicts may arise in providing
non-parent relative information to IV–D
and IV–B agencies.
Response: We agree that a conforming
change is appropriate and have made
the corresponding change. The final
regulation at § 303.70(d)(1) now reads:
‘‘The parent’s, putative father’s or nonparent relative’s name; * * *.’’
2. Comment: One commenter
observed that State IV–D directors are
required to annually attest that the State
IV–D agency only will obtain
information from the Federal PLS that
meets Federal requirements. Any
conflict in requirements for State PLS
and Federal PLS increases the risks for
States that must interpret and apply the
law correctly.
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Response: States should continue to
be diligent in meeting requirements and
assessing risks. States are responsible
for applying these laws.
Section 307.13—Security and
confidentiality for computerized
support enforcement systems in
operation after October 1, 1997
1. Comment: One commenter stated
that the automated systems guide
requires States to have data exchanges
with title XXI for establishing and
enforcing medical support. The
elements include address, name,
employer, and employer address. In
Florida, all SSNs are verified by the
Federal Case Registry (FCR). The FCR is
the only verification source used for
SSNs. Under the new requirements,
States will be required to reprogram
systems to identify each data element’s
verification source, isolate National
Directory for New Hires (NDNH) and
FCR sources and only exchange data
that does not have a verification source
of NDNH and FCR. The commenter
further explained that the final rule in
2008 (73 FR 56437, response to
comment 42) stated that independent
verification is not required but ‘‘is
merely a condition that must be met if
the State wishes to use or disclose
information for non-IV–D purposes to
non-authorized persons. There is no
such restriction in IV–D cases.’’ That
rule says that IV–D agencies are
required to exchange information with
title XIX and SSI using the automated
system and would not require
independent verification because it was
used for IV–D purposes. Is that still the
case or does this new rule supersede
that?
Response: This rule revised only
certain sections of the State Parent
Locator Services, Safeguarding Child
Support Information; Final Rule that
was published on September 26, 2008.
This final rule does not change the fact
that child support agencies may
exchange data from the automated child
support system with title XIX and title
IV programs under section 454A(f)(3) of
the Act, and sections 303.21(d)(1) and
307.13(a)(3) and (4), without
independent verification. The only
limitation in the final rule is that IRS
information must be independently
verified before being exchanged with
title IV or title XIX programs and
MSFIDM data may not be shared, even
if independently verified. Therefore,
this final rule does not supersede the
final rule published on September 26,
2008 [73 FR 56422] as it relates to data
exchanges with title XIX agencies.
Regarding the SSI program, SDNH
information may be shared for benefits
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81901
eligibility verification pursuant to
section 453A(h)(2)
2. Comment: One commenter was
pleased to see the inclusion of SNAP on
the list of authorized recipients of child
support information. Another
commenter questioned the different
requirements for disclosure in
§ 307.13(a)(3) and § 307.13(a)(4)(iii) and
§ 307.13(a)(4)(iv).
Response: The commenter was correct
that there are different requirements for
disclosure under § 307.13(a)(3) and
§ 307.13(a)(4)(iii) and § 307.13(a)(4)(iv).
Under § 307.13(a)(3), information may
be disclosed to Medicaid, SNAP, and
CHIP to the extent necessary to carry out
their program responsibilities to the
extent that the information disclosure
does not interfere with the IV–D
program meeting its own obligations.
Under § 307.13(a)(4), the disclosure of
NDNH, FCR, FIDM, and IRS information
may not be shared outside the program
except with IV–B and IV–E agencies.
Under section 454A(f)(3) of the Act, the
Secretary has designated the title IV
programs and thus authorized the
release of that information to title IV
programs. Title IV–B and IV–E programs
are within the scope of the authority as
set forth by those delegations.
Appendices
1. Comment: One commenter said that
in the final rule published on September
26, 2008, the response to comment 39
stated that not all information received
from the FCR is part of the FCR database
and not subject to independent
verification. Appendix A does not
specify which data elements available
from the FCR are subject to independent
verification and which are not subject to
independent verification. The
commenter further explained that States
need specific information on which data
elements in which automated files are
subject to independent verification.
Response: The data that is subject to
independent verification is dependent
upon several factors. The charts in the
Appendices to this final rule are
intended to assist the States in
determining what data can be shared
with which agencies from the different
systems of information available to the
State. i.e., the automated statewide child
support enforcement system, the State
PLS, or the State Directory of New
Hires, and for which purposes. OCSE
will continue to assist States in ensuring
that their statewide child support
enforcement systems are programmed to
be compliant with these data
safeguarding rules.
2. Comment: One commenter said that
the language in the ‘‘Limitations’’
column in Appendix A that states, ‘‘no
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Internal Revenue Service information
provided for non-IV–D cases unless
independently verified’’ should be
eliminated because IRS tax information
cannot be disclosed for any reason, IV–
D or non-IV–D, unless obtained by a
third party. The preamble to the rule
published on September 26, 2008 states:
‘‘There is no way to independently
verify Federal Tax refund offset
information. We continue to work with
the Department of Treasury and the
Congress to resolve this issue.’’
Response: We are not persuaded that
this language should be eliminated from
the Appendix. Independent verification,
as defined in § 303.21(a)(2), is still valid
and reads: ‘‘Independent verification is
the process of acquiring and confirming
confidential information through the
use of a second source. The information
from the second source, which verifies
the information about NDNH or FCR
data, may be released to those
authorized to inspect and use the
information as authorized under the
regulations or the Act.’’
3. Comment: One commenter
requested changes to the ‘‘Limitations’’
column in Appendix A. The commenter
said that multi-State and in-State
financial institution information is not
available for non-IV–D cases. The
wording in the Limitation ‘‘provide for
non-IV–D cases’’ implies that State IV–
D agencies are required to disclose
Financial Institution Data Match (FIDM)
information for non-IV–D cases. The
suggestion was to revise the text to
clarify that FIDM information cannot be
disclosed outside of the IV–D program
to any entity for any purpose. The same
comment applies to resident parents,
legal guardians, and attorneys.
Response: We disagree and have not
amended the ‘‘Limitations’’ column.
Please note that the column states ‘‘no
multistate institution data match
(MSFIDM) and no State Financial
Institution Data Match (FIDM) provided
for non-IV–D cases.’’
4. Comment: One commenter stated
that the last row of the Appendix A,
which refers to IV–B and IV–E receiving
information on relatives of children,
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include both Federal PLS and State PLS
as sources, but the regulatory language
at § 302.35(d)(2) does not include
Federal PLS.
Response: The regulatory language at
§ 302.35(d)(2) references § 302.35(d)(1)
which states that information through
the Federal PLS may be provided. The
Appendix is accurate as it relates to
Federal and State PLS as sources of
information.
5. Comment: One commenter suggests
that Tribal IV–D agencies be listed as a
separate ‘‘authorized person/program’’ in
Appendix A because it appears as if
Tribal agencies have different access
and limitations than those who would
fall under ‘‘non-IV–D requests.’’
Response: Tribal IV–D agencies may
acquire FIDM information through their
State counterparts provided they have
an interagency agreement in effect with
the State. Many Tribal IV–D programs
have these agreements in place and are
receiving the information. We do not
agree that Tribal IV–D agencies should
be listed as a separate ‘‘authorized
person/program’’ and have not made
that change to the Appendix.
6. Comment: One commenter noted
that PIQ–07–02/PIQT–07–02, FFP for
State Automated Systems Costs related
to Service Agreements with Tribal IV–D
Programs; Submitting Tribal IV–D cases
for Federal Tax Refund Offset; and
Submitting Requests to the Federal
Parent Locator Service (FPLS) in Tribal
IV–D states that access to information
from a source other than the IRS can be
provided to Tribal IV–D programs.
However, Appendix A indicates that no
MSFIDM can be provided for non-IV–D
cases. Can that information be disclosed
to Tribal agencies?
Response: Tribal IV–D programs do
not have direct access to the Federal
PLS. However, Tribal IV–D programs
may access information from the
Federal PLS through an interagency
agreement with the State in accordance
with the change made to section
302.35(c)(1). Should a Tribal IV–D
program enter into an interagency
agreement with the State for access to
this information, it is bound by these
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safeguarding regulations as noted in
Footnote 2 to Appendix A. For
additional information, see PIQT 10–01.
7. Comment: One commenter noted
that the Appendix A limitations include
‘‘child not receiving IV–A benefits’’ and
that attestation and evidence are
required for Tribal IV–D programs. Is
the intent that a Tribal IV–D program
request associated with a child not
receiving benefits not be honored? Is the
intent that attestation, evidence, and a
fee, be required for Tribal IV–D program
access?
Response: The commenter correctly
points out that Tribal IV–D programs
should be included in the list of those
considered as an authorized program.
We agree and added new language to
§ 302.35(c)(1) which indicates that a
Tribal IV–D agency that provides child
support services under an approved
Tribal IV–D plan and has an
intergovernmental agreement in place
with a State for the provision of Federal
PLS services, is an authorized program
and may request locate information
from the State PLS. For additional
information, see PIQT 10–01.
8. Comment: One commenter noted
that Appendix C describes the
disclosure of broader information to
potentially multiple agencies. The
Appendix does not include ‘‘Footnote 1’’
on limitations that is in both
Appendices A and B. That footnote
should be in Appendix C.
Response: We agree. In this final rule,
the footnote was added to Appendix C
and now reads: ‘‘No information shall be
disclosed if the disclosure of such
information would contravene the
national policy or security interests of
the United States or the confidentiality
of census data. No information shall be
disclosed if the State has reasonable
evidence of domestic violence or child
abuse and the disclosure of such
information could be harmful to the CP
or child. See sections 453(b)(2) and
454(26) of the Act for the process of
releasing information to a court or agent
of a court.’’
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APPENDIX A—LOCATING INDIVIDUALS THROUGH THE STATE PLS § 302.35
Authorized person/program
Authorized purpose of
the request
Persons about whom
information may be
asked
Sources searched
Authorized information returned
Agent/attorney of a
State who has the
duty or authority to
collect child and
spousal support
under the IV–D plan.
Tribal IV–D having
in effect an intergovernmental agreement with a State
IV–D agency, for the
provision of Federal
PLS services. Section 453(c)(1) and
454(7).
Establish paternity,
establish, set the
amount, modify, or
enforce child support obligations and
or to facilitate the
location of any individual who is under
an obligation to pay
child support,
against whom such
an obligation is
sought, or to whom
such an obligation
is owed.
Locate a parent or
child involved in a
non-IV–D child support case to disburse an income
withholding collection.
Section 453(a)(2) ......
To facilitate the location of any individual who is under
an obligation to pay
child support,
against whom such
an obligation is
sought, or to whom
such an obligation
is owed.
Locate a parent or
child involved in a
non-IV–D child support case.
Noncustodial Parent
Putative Father .........
Custodial Parent .......
Child ..........................
Section 453(a)(2)(A)
Federal Parent Locator Service.
In-state sources in
accordance with
State law.
Six Elements: Person’s Name, Person’s SSN, Person’s address, Employer’s name, Employer’s address,
Employer Identification Number.
Section
453(a)(2)(A)(iii).
Wages, income, and
benefits of employment, including
health care coverage.
Section 453(a)(2)(B)
Type, status, location,
and amount of assets or debts owed
by or to the individual.
Section 453(a)(2)(C)
See footnote.
Noncustodial Parent
Custodial Parent .......
Putative Father .........
Child ..........................
Federal Parent Locator Service.
In-state sources in
accordance with
State law.
Six Elements as
above, plus.
Wages, income, and
benefits of employment, including
health care coverage.
Section 453(a)(2)(B)
Type, status, location,
and amount of assets or debts owed
by or to the individual.
Section 453(a)(2)(C)
To facilitate the location of any individual who is under
an obligation to pay
child support,
against whom such
an obligation is
sought, or to whom
such an obligation
is owed, or who
has or may have
parental rights with
respect to the child.
Locate a parent or
child involved in a
non-IV–D child support case.
Noncustodial Parent
Putative Father .........
Federal Parent Locator Service.
In-state sources in
accordance with
State law.
Six Elements as
above, plus.
Wages, income, and
benefits of employment, including
health care coverage.
Section 453(a)(2)(B)
Type, status, location,
and amount of assets or debts owed
by or to the individual.
Section 453(a)(2)(C)
No Internal Revenue
Service (IRS) information provided for
non-IV–D cases
unless independently verified.
No Multistate Financial Institution Data
Match (MSFIDM)
and no State Financial Institution
Data Match (FIDM)
information provided for non-IV–D
cases.
No required subsequent attempts to
locate unless there
is a new request.
Child not receiving
IV–A benefits.
No IRS Information.
No MSFIDM and no
State FIDM information provided for
non-IV–D cases.
In a non-IV–D request, attestation
and evidence is required as specified
in § 302.35(c)(3)(i)–
(iii).
No required subsequent attempts to
locate unless there
is a new request.
Court that has the authority to issue an
order against an
NCP for the support
and maintenance of
child, or to serve as
the initiating court in
an action to seek a
child support order.
Section 453(c)(2).
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Resident parent, legal
guardian, attorney,
or agent of a child
not receiving IV–A
benefits (a non-IV–D
child support request). Section
453(c)(3)2.
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Limitations 1
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APPENDIX A—LOCATING INDIVIDUALS THROUGH THE STATE PLS § 302.35—Continued
Authorized purpose of
the request
Persons about whom
information may be
asked
State agency that is
To facilitate the locaadministering a
tion of any indiChild and Family
vidual who has or
Services program
may have parental
(IV–B) or a Foster
rights with respect
Care and Adoption
to the child.
IV–E program. Sec- Section 453(a)(2)(iv);
tions 453(c)(4),
and to assist states
453(j)(3), and 454(8).
in carrying out their
responsibilities
under title IV–B
and IV–E programs.
Sections 453(j)(3)
and 454(8).
State agency that is
To assist states in
administering a
carrying out their
Child and Family
responsibilities
Services program
under title IV–B
(IV–B) or a Foster
and IV–E programs.
Care and Adoption
Sections 453(j)(3)
IV–E program. Secand 454(8).
tions 453(j)(3) and
454(8).
Authorized person/program
Sources searched
Authorized information returned
Limitations 1
Noncustodial Parent
Putative Father .........
Custodial Parent
Child.
Sections 453(a)(2)(A),
453(j)(3), and
454(8).
Federal Parent Locator Service.
In-state sources in
accordance with
State law.
Six Elements as
above, plus.
Wages, income, and
benefits of employment, including
health care coverage.
Type, status, location,
and amount of assets or debts owed
by or to the individual.
Section 453(a)(2)(C)
Relatives of a child
involved in a IV–B
or IV–E case.
Federal Parent Locator Service.
In-state sources in
accordance with
State law.
Six Elements as
above.
No IRS information
unless independently verified.
No MSFIDM information and no State
FIDM information
provided.
Any information outside the purpose
stated in Section
453(a)(2) and Section 453(j)(3) requires independent
verification.
No IRS information
unless independently verified.
No MSFIDM information and no State
FIDM information
provided.
Any information outside the purpose
stated in Section
453(j)(3) requires
independent
verification.
1 No information shall be disclosed if the disclosure of such information would contravene the national policy or security interests of the United
States or the confidentiality of census data. No information shall be disclosed if the State has reasonable evidence of domestic violence or child
abuse and the disclosure of such information could be harmful to the CP or child. See sections 453(b)(2) and 454(26) of the Act for the process
of releasing information to a court or agent of a court.
2 No information shall be disclosed if the disclosure of such information would contravene the national policy or security interests of the United
States or the confidentiality of census data. No information shall be disclosed if the State has reasonable evidence of domestic violence or child
abuse and the disclosure of such information could be harmful to the CP or child. See sections 453(b)(2) and 454(26) of the Act for the process
of releasing information to a court or agent of a court.
APPENDIX B—LOCATING AN INDIVIDUAL SOUGHT IN A CHILD CUSTODY/VISITATION OR PARENTAL KIDNAPPING CASE
Authorized person/program
Authorized purpose of the request
About whom information may be requested
Locating an individual sought in a
child custody or
visitation case
srobinson on DSKHWCL6B1PROD with RULES
Type of request
Any agent or attorney of any
State who has
the authority/
duty to enforce
a child custody
or visitation determination.
§ 463(d(2)(A)
A court, or agent
of the court,
having jurisdiction to make or
enforce a child
custody or visitation determination.
§ 463(d)(2)(B)
Determining the
whereabouts of
a parent or
child to make or
enforce a custody or visitation determination. § 463(a)(2)
A parent or child.
§ 463(a)
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Sources searched
Authorized information returned
Limitations 2
Federal Parent
Locator Service
In-state sources in
accordance with
State law.
Only the three following elements: Person’s
address, Employer’s name,
Employer’s address, § 463(c)
See footnote.
No IRS information provided.
No MSFIDM or
State FIDM information provided.
No subsequent attempts to locate
unless there is
a new request.
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81905
APPENDIX B—LOCATING AN INDIVIDUAL SOUGHT IN A CHILD CUSTODY/VISITATION OR PARENTAL KIDNAPPING CASE—
Continued
Type of request
Authorized person/program
Authorized purpose of the request
About whom information may be requested
Locating an individual sought in a
parental kidnapping case
Agent or attorney
of the U.S. or a
State who has
authority/duty to
investigate, enforce, or prosecute the unlawful taking or
restraint of a
child.
§ 463(d)(2)(C)
Determining the
whereabouts of
a parent or
child to enforce
any State or
Federal law
with respect to
the unlawful
taking or restraint of a
child.
§ 463(a)(1)
A parent or child.
§ 463(a)
Sources searched
Authorized information returned
Limitations 2
Federal Parent
Locator Service.
In-state sources in
accordance with
State law.
Only the three following elements: Person’s
address,
Employer’s name;
Employer’s address, § 463(c).
See footnote.
No IRS information provided
No MSFIDM or
State FIDM information provided.
No subsequent attempts to locate
unless there is
a new request.
2 No information shall be disclosed if the disclosure of such information would contravene the national policy or security interests of the United
States or the confidentiality of census data. No information shall be disclosed if the State has reasonable evidence of domestic violence or child
abuse and the disclosure of such information could be harmful to the CP or child. See sections 453(b)(2) and 454(26) of the Act for the process
of releasing information to a court or agent of a court.
APPENDIX C—AUTHORITY FOR STATE IV–D AGENCIES TO RELEASE INFORMATION TO NON–IV–D FEDERAL, STATE, AND
TRIBAL PROGRAMS
Authorized purpose of request
Authorized person/program
Authorized information returned
Limitations 3
Sections 453 and
454A(f)(3) of the Act,
Section 1102 of the Act;
and 45 CFR 307.13.
To perform State or Tribal
agency responsibilities
of designated programs.
State or Tribal agencies
administering title IV,
XIX, and XXI, and SNAP
programs.
Confidential information
found in automated system.
No Internal Revenue Service information unless
independently verified
No MSFIDM or State
FIDM information provided.
No NDNH and FCR information for title XIX and
XXI unless independently verified.
For IV–B/IV–E, for purpose
of section 453(a)(2) of
the Act can have NDNH
and FCR information
without independent
verification.
— Any other purpose requires independent
verification.
For IV–A NDNH/FRC information for purposes of
section 453(j)(3) of the
Act without independent
verification.
— Need verification for
other purposes.
Sections 453A(h)(2) and
1137 of the Act—State
Directory of New Hires.
srobinson on DSKHWCL6B1PROD with RULES
Authority
Income and eligibility
verification purposes of
designated programs.
State agencies administering title IV–A, Medicaid, unemployment
compensation, SNAP, or
other State programs
under a plan approved
under title I, X, XIV, or
XVI of the Act.
SDNH information: Individual’s name, address and
SSN; employer’s name,
address, and Federal
employer identification
number.
3 No information shall be disclosed if the disclosure of such information would contravene the national policy or security interests of the United
States or the confidentiality of census data. No information shall be disclosed if the State has reasonable evidence of domestic violence or child
abuse and the disclosure of such information could be harmful to the CP or child. See sections 453(b)(2) and 454(26) of the Act for the process
of releasing information to a court or agent of a court.
Paperwork Reduction Act
Section 302.35(c) contains an
information collection requirement. As
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required by the Paperwork Reduction
Act of 1995 (44 U.S.C. 3507(d)), the
Administration for Children and
Families (ACF) has submitted a copy of
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this section to the Office of Management
and Budget (OMB) for its review in
tandem with the final rule published on
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September 26, 2008. There are no
changes to this section.
State child support enforcement
agencies.
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.
Congressional Review
srobinson on DSKHWCL6B1PROD with RULES
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. The changes
would not significantly alter States’
child support enforcement operations.
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 adjusted annually for
inflation. The threshold for 2010,
adjusted for inflation is $135 million. 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 $135 million in 2010.
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. There are no costs
associated with this regulation. It
clarifies the protection of confidential
information contained in the records of
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This rule 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
regulation 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 adverse 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. This
rule does not have federalism impact as
defined in the Executive order.
List of Subjects
Dated: September 30, 2010.
David A. Hansell,
Acting Assistant Secretary for Children and
Families.
Approved: November 5, 2010.
Kathleen Sebelius,
Secretary of Health and Human Services.
Accordingly, the Department of
Health and Human Services amends
title 45 chapter III of the Code of Federal
Regulations as follows:
■
PART 301—STATE PLAN
REQUIREMENTS
1. The authority citation for part 301
continues to read as follows:
■
Authority: 42 U.S.C. 651 through 658, 660,
664, 666, 667, 1301, and 1302.
2. Section 301.1 is amended by adding
a definition for ‘‘agent of a child’’ and
‘‘attorney of a child’’ in alphabetical
order to read as follows:
■
§ 301.1
General definitions.
Agent of a Child means a caretaker
relative having custody of or
responsibility for the child.
Attorney of a Child for means a
licensed lawyer who has entered into an
attorney-client relationship with either
the child or the child’s resident parent
to provide legal representation to the
child or resident parent related to
establishment of paternity, or the
establishment, modification, or
enforcement of child support. An
attorney-client relationship imposes an
ethical and fiduciary duty upon the
attorney to represent the client’s best
interests under applicable rules of
professional responsibility.
PART 302—STATE PLAN
REQUIREMENTS
45 CFR Part 301
Child support, definitions.
3. The authority citation for part 302
continues to read as follows:
■
45 CFR Part 302
Child support, Grants programs/social
programs, Reporting and recordkeeping
requirements.
Authority: 42 U.S.C. 651 through 658, 660,
663, 664, 666, 667, 1302, 1396a(a)(25),
1396b(d)(2), 1396b(o), 1396b(p), 1396(k).
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,
Requirements.
Catalog of Federal Domestic Assistance
Programs No. 93.563, Child Support
Enforcement Program.)
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4. Amend § 302.35 by revising
paragraphs (a)(2)(i), (c)(1) through (3)
and (d) to read as follows:
§ 302.35
State parent locator service.
(a) * * *
(2) * * *
(i) The State PLS shall access and
release information authorized to be
disclosed under section 453(a)(2) and
453(j)(3) of the Act from the Federal PLS
and, in accordance with State law,
information from relevant in-State
sources of information and records, as
appropriate, for locating custodial
parents, noncustodial parents, nonparent relatives, and children upon
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request of authorized individuals
specified in paragraph (c) of this
section, for authorized purposes
specified in paragraph (d) of this
section.
*
*
*
*
*
(c) * * *
(1) Any State or local agency
providing child and spousal support
services under the State plan, and any
Tribal IV–D agency providing child and
spousal support services under a Tribal
plan approved under 45 CFR Part 309,
provided the State and Tribe have in
effect an intergovernmental agreement
for the provision of Federal PLS
services;
(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 assistance 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) Attests that the requestor is the
resident parent, legal guardian, attorney,
or agent of a child not receiving
assistance under title IV–A; 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.
*
*
*
*
*
(d) Authorized purposes for requests
and scope of information provided. The
State PLS shall obtain location
information under this section only for
the purpose specified in paragraphs
(d)(1), (d)(2), (d)(3), and (d)(4) of this
section.
(1) To locate an individual with
respect to a child in a IV–D, non-IV–D,
VerDate Mar<15>2010
18:32 Dec 28, 2010
Jkt 223001
IV–B, or IV–E 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 in
the Federal PLS or the State PLS may be
provided. This information is limited to
name, 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, and asset or debt information.
(2) To assist States in carrying out
their responsibilities under title IV–D,
IV–A, IV–B, and IV–E programs. In
addition to the information that may be
released pursuant to paragraph (d)(1) of
this section, State PLS information may
be disclosed to State IV–D, IV–A, IV–B,
and IV–E agencies for the purpose of
assisting States to carry out their
responsibilities to administer title IV–D,
IV–A, IV–B, and IV–E programs,
including information to locate an
individual who is a child or a relative
of a child in a IV–B or IV–E case.
Information that may be disclosed about
relatives of children involved in IV–B
and IV–E cases is limited to name,
Social Security Number(s), most recent
address, employer name and address
and employer identification number.
(3) 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. This
information is limited to most recent
address and place of employment of a
parent or child.
*
*
*
*
*
PART 303—STANDARDS FOR
PROGRAM OPERATIONS
5. The authority citation for part 303
continues 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).
6. Amend § 303.20 by revising
paragraph (b)(7) to read as follows:
■
§ 303.20 Minimum organizational and
staffing requirements.
*
*
*
(b) * * *
PO 00000
Frm 00077
*
Fmt 4700
*
Sfmt 4700
81907
(7) Operation of the State PLS as
required under §§ 302.35, 303.3, and
303.70 of this chapter.
*
*
*
*
*
■ 7. Amend § 303.21 by revising
paragraph (d)(1) introductory text to
read as follows:
§ 303.21 Safeguarding and disclosure of
confidential information.
*
*
*
*
*
(d) Authorized disclosures. (1) Upon
request, the IV–D agency may, 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 to State agencies as
necessary to assist them to carry out
their responsibilities under plans and
programs funded under titles IV
(including Tribal programs under title
IV), XIX, or XXI of the Act, and the
Supplemental Nutrition Assistance
Program (SNAP), including:
*
*
*
*
*
■ 8. Revise § 303.69(c) to read as
follows:
§ 303.69 Requests by agents or attorneys
of the United States for information from
the Federal Parent Locator Service (Federal
PLS).
*
*
*
*
*
(c) All requests under this section
shall contain the information specified
in § 303.70(d) of this part.
*
*
*
*
*
■ 9. Amend § 303.70 by:
■ a. Revising paragraphs (a) and (d)(1);
■ b. Redesignating paragraph (d)(3) as
(d)(4);
■ c. Adding new paragraph (d)(3); and
■ d. Revising paragraphs (e)
introductory text, (e)(1)(i), and (e)(2).
The revisions and addition 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) The State agency will have
procedures for submissions to the State
PLS or the Federal PLS for the purpose
of locating parents, putative fathers, or
children for the purpose of establishing
parentage or establishing, setting the
amount of, modifying, or enforcing
child support obligations; for the
purpose of enforcing any Federal or
State law with respect to the unlawful
taking or restraint of a child or making
or enforcing a child custody or
visitation determination as defined in
section 463(d)(1) of the Act, or for the
purpose of assisting State agencies to
carry out their responsibilities under
E:\FR\FM\29DER1.SGM
29DER1
81908
Federal Register / Vol. 75, No. 249 / Wednesday, December 29, 2010 / Rules and Regulations
title IV–D, IV–A, IV–B, and IV–E
programs.
*
*
*
*
*
(d) * * *
(1) The parent’s, putative father’s or
non-parent relative’s name; * * *
(3) The non-parent relative’s SSN, if
known.
(4) 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:
(1)(i) The IV–D agency will only
obtain information to facilitate the
location 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) of the Act 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, or in accordance
with section 453(j)(3) of the Act for the
purpose of assisting State agencies to
carry out their responsibilities under
title IV–D, IV–A, IV–B, and IV–E
programs.
*
*
*
*
*
(2) In the case of a submittal made on
behalf of a resident parent, legal
guardian, attorney or agent of a child
not receiving assistance under title IV–
A, the IV–D agency must verify that the
requesting individual has complied
with the provisions of § 302.35 of this
chapter.
*
*
*
*
*
PART 307—COMPUTERIZED
SUPPORT ENFORCEMENT SYSTEMS
IN OPERATION AFTER OCTOBER 1,
1997
10. 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.
11. Amend § 307.13 by revising
paragraphs (a)(3), (4)(iii), and (iv) to
read as follows:
srobinson on DSKHWCL6B1PROD with RULES
■
§ 307.13 Security and confidentiality for
computerized support enforcement
systems in operation after October 1, 1997.
*
*
*
*
*
(a) * * *
(3) Permit disclosure of information to
State agencies administering programs
under titles IV (including Tribal
programs under title IV), XIX, and XXI
of the Act, and SNAP, to the extent
VerDate Mar<15>2010
18:32 Dec 28, 2010
Jkt 223001
necessary to assist them to carry out
their responsibilities under such
programs in accordance with section
454A(f)(3) of the Act, to the extent that
it does not interfere with the IV–D
program meeting its own obligations
and subject to such requirements as
prescribed by the Office.
(4) * * *
(iii) NDNH and FCR information may
be disclosed without independent
verification to IV–B and IV–E agencies
to locate parents and putative fathers for
the purpose of establishing parentage or
establishing parental rights with respect
to a child; and
(iv) NDNH and FCR information may
be disclosed without independent
verification to title IV–D, IV–A, IV–B
and IV–E agencies for the purpose of
assisting States to carry out their
responsibilities to administer title IV–D,
IV–A, IV–B and IV–E programs.
*
*
*
*
*
[FR Doc. 2010–32424 Filed 12–28–10; 8:45 am]
BILLING CODE P
DEPARTMENT OF DEFENSE
Defense Acquisition Regulations
System
48 CFR Parts 209 and 252
[DFARS Case 2009–D015]
RIN 0750–AG63
Defense Federal Acquisition
Regulation Supplement;
Organizational Conflicts of Interest in
Major Defense Acquisition Programs
Defense Acquisition
Regulations System, Department of
Defense (DoD).
ACTION: Final rule.
AGENCY:
DoD is issuing a final rule to
amend the Defense Federal Acquisition
Regulation Supplement (DFARS) to
implement section 207 of the Weapon
Systems Acquisition Reform Act of
2009. Section 207 addresses
organizational conflicts of interest in
major defense acquisition programs.
DATES: Effective Date: December 29,
2010.
SUMMARY:
Ms.
Amy Williams, Defense Acquisition
Regulations System,
OUSD(AT&L)(DPAP)(DARS), Room
3B855, 3062 Defense Pentagon,
Washington, DC 20301–3060.
Telephone 703–602–0328; facsimile
703–602–7887. Please cite DFARS Case
2009–D015.
SUPPLEMENTARY INFORMATION:
FOR FURTHER INFORMATION CONTACT:
PO 00000
Frm 00078
Fmt 4700
Sfmt 4700
I. Background
DoD is issuing a final rule to amend
the DFARS to implement section 207 of
the Weapon Systems Acquisition
Reform Act of 2009 (WSARA) (Pub. L.
111–23). Section 207 requires DoD to
revise the DFARS to provide uniform
guidance and tighten existing
requirements relating to organizational
conflicts of interest (OCIs) of contractors
in major defense acquisition programs
(MDAPs). The law sets out situations
that must be addressed and allows DoD
to establish such limited exceptions as
are necessary to ensure that DoD has
continued access to advice on systems
architecture and systems engineering
matters from highly qualified
contractors, while also ensuring that
such advice comes from sources that are
objective and unbiased.
In developing regulatory language,
section 207 directed DoD to consider the
recommendation presented by the Panel
on Contracting Integrity and further
directed DoD to consider any findings
and recommendations of the
Administrator of the Office of Federal
Procurement Policy (OFPP) and the
Director of the Office of Government
Ethics (OGE) pursuant to section 841(b)
of the Duncan Hunter National Defense
Authorization Act (NDAA) for Fiscal
Year (FY) 2009 (Pub. L. 110–417).
Section 841(b) of the NDAA for FY 2009
required review by OFPP, in
consultation with OGE, of FAR coverage
of OCIs. Neither OFPP nor OGE has
issued recommendations to date
pursuant to section 841(b), but both
have worked with the FAR Acquisition
Law Team, which includes
representatives from DoD and the
civilian agencies, to draft a proposed
rule on OCIs under FAR Case 2007–018.
As part of this process, OFPP, OGE, and
the FAR Acquisition Law Team
reviewed comments received in
response to an Advance Notice of
Proposed Rulemaking, published in the
Federal Register at 73 FR 15962 on
March 26, 2008, and are also
considering pertinent comments that
were submitted in response to this
DFARS Case 2009–D015 in formulation
of the proposed FAR rule.
A public meeting was held on
December 8, 2009 (see 74 FR 57666) to
provide opportunity for dialogue on the
possible impact on DoD contracting of
the section 207 requirements relating to
OCIs.
DoD published a proposed rule in the
Federal Register on April 22, 2010 (75
FR 20954). The comment period was
initially scheduled to close on June 21,
2010. On June 15, 2010, the comment
E:\FR\FM\29DER1.SGM
29DER1
Agencies
[Federal Register Volume 75, Number 249 (Wednesday, December 29, 2010)]
[Rules and Regulations]
[Pages 81894-81908]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-32424]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Parts 301, 302, 303, and 307
Safeguarding Child Support Information
AGENCY: Office of Child Support Enforcement (OCSE), Administration for
Children and Families (ACF), Department of Health and Human Services
(HHS).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Personal Responsibility and Work Opportunity
Reconciliation Act of 1996 (PRWORA) created and expanded State and
Federal Child Support Enforcement databases under title IV-D of the
Social Security Act (the Act) and significantly enhanced access to
information for title IV-D child support purposes. States are moving
toward a more integrated service delivery to better serve families and
further the mission of the Child Support Enforcement program, while
protecting confidential data. This final rule specifies requirements
for: State Parent Locator Service responses to authorized location
requests; and State Child Support Enforcement program safeguards for
confidential information and authorized disclosures of this
information. This final rule revises certain aspects of the State
Parent Locator Service; Safeguarding Child Support Information final
rule published on September 26, 2008 with an effective date delayed
until December 30, 2010. This final rule will prohibit the disclosure
of confidential and personally identifiable information to private
collection agencies and expand disclosure to child welfare programs and
the Supplemental Nutrition Assistance Program (SNAP).
DATES: This rule is effective on December 30, 2010.
FOR FURTHER INFORMATION CONTACT: Paige Hausburg, OCSE, Division of
Policy, (202) 401-5635, e-mail paige.hausburg@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 5 p.m. Eastern time.
SUPPLEMENTARY INFORMATION:
I. Statutory Authority
This final rule is published under the authority granted to the
Secretary of the United States Department of Health and Human Services
(Secretary) by sections 1102, 453, 453A, 454, 454A, and 463 of the Act.
Section 1102 of the Act, 42 U.S.C. 1302, authorizes the Secretary to
publish regulations that may be necessary for the efficient
administration of the Child Support Enforcement program authorized
under title IV-D of the Act (IV-D program).
The provisions of this final rule pertaining to the Federal Parent
Locator Service (Federal 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 only to
authorized persons for purposes of establishing parentage, or
establishing, modifying, or enforcing child support obligations.
Section 453 of the Act, 42 U.S.C. 653, also authorizes the Secretary to
disclose information in the Federal PLS to the State Child Support
Enforcement program (authorized under title IV-D of the Act), Temporary
Assistance for Needy Families program (TANF or IV-A program authorized
under title IV-A of the Act), Child Welfare Services program (IV-B
program authorized under title IV-B of the Act), and Foster Care and
Adoption Assistance program (IV-E program authorized under title IV-E
of the Act) to assist States in carrying out their responsibilities
under those programs. Section 463 of the Act, 42 U.S.C. 663, also
permits States to use information in the Federal PLS for the purpose of
enforcing any Federal or State law with respect to a parental
kidnapping or making or enforcing a child custody or visitation
determination. In addition, the provisions of this final rule
pertaining to the State Parent Locator Service (State PLS) implement
section 454(8), 42 U.S.C. 654(8), which requires each State IV-D
program to establish a State PLS to locate parents by exchanging data
with the Federal PLS and utilizing other information sources and
records in the State.
Several sections of the Act require safeguarding measures for
information contained in State and Federal databases, including the
National Directory of New Hires (NDNH) and the Federal Case Registry
(FCR). Section 454(8) requires States receiving funding under title IV-
D to have a State plan providing that the State IV-D program will: (1)
Establish a service to locate parents utilizing all sources of
information and available records and the Federal PLS; and (2) disclose
the information described in sections 453 and 463 only to the
``authorized persons'' specified in sections 453 and 463, subject to
the privacy safeguards in section 454(26) of the Act. In addition,
sections 453(m) and 463(c) restrict disclosure of confidential
information maintained by the Federal PLS only to an ``authorized
person'' for an authorized purpose and require the Secretary to
establish and implement safeguards designed to restrict access to
confidential information in the Federal PLS to authorized persons for
authorized purposes. Section 453(l), 42 U.S.C. 653(l), also specifies
that information in the Federal PLS shall not be used or disclosed
except as expressly provided in section 453. Section
[[Page 81895]]
454(26), 42 U.S.C. 654(26), 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 and prohibit disclosure of information in cases involving
domestic violence or child abuse. Section 453A of the Act, 42 U.S.C.
653a, requires States to establish and operate an automated directory
containing information on newly hired employees and to use the
information to assist in the administration of the State Child Support
program and certain other specified programs listed in section 453A(h)
of the Act. Additionally, sections 454(16) and 454A, 42 U.S.C. 654(16)
and 654a, require States to maintain computerized child support
enforcement systems and to use the system to extract information
necessary to enable the State IV-D agency (and other programs
designated by the Secretary) to carry out their responsibilities under
title IV-D of the Act and under such programs, and to have in effect
safeguards on the access to and use of data in the State's automated
system.
II. Background
This final rule prohibits disclosure of confidential and personally
identifiable information to private collection agencies (PCAs) and
expands disclosure of information to child welfare programs authorized
under titles IV-B and IV-E and the Supplemental Nutrition Assistance
Program (SNAP). On September 26, 2008, a final rule, following a notice
and comment period, entitled ``State Parent Locator Service;
Safeguarding Child Support Information,'' was published in the Federal
Register [73 FR 56422] to address requirements for State Parent Locator
Service responses to authorized location requests, State IV-D program
safeguarding of confidential information, authorized disclosures of
this information, and restrictions on the use of confidential data and
information for child support purposes with exceptions for certain
disclosures permitted by statute. The effective date given for the
final rule was March 23, 2009. In accordance with the memorandum of
January 20, 2009, from the Assistant to the President and Chief of
Staff entitled ``Regulatory Review'' [74 FR 4435], on March 3, 2009,
the Department published a notice in the Federal Register [74 FR 9171]
seeking public comment on a contemplated delay of 60 days in the
effective date of the rule entitled ``State Parent Locator Service;
Safeguarding Child Support Information.'' In response to those
comments, the Department issued a subsequent notice published in the
Federal Register [74 FR 11879] on March 20, 2009, which delayed the
effective date of the September 26, 2008 rule by 60 days until May 22,
2009, in order to permit Departmental officials the opportunity for
further review of the issues of law and policy raised by this rule.
However, subsequent to publication of the March 20, 2009 notice, the
Department determined that additional time would be needed for
officials to complete their review of the rule and to fully assess the
substantive comments received in response to the March 3, 2009 notice.
As a result, on April 15, 2009, a notice was published in the Federal
Register [74 FR 17445] indicating that the Department was contemplating
a further delay in the effective date of the ``State Parent Locator
Service; Safeguarding Child Support Information'' final rule to
December 30, 2010, and requesting comments on the delay of the
effective date. In response to comments from the April 15, 2009 notice,
the Department issued a subsequent notice, published in the Federal
Register [74 FR 23798] on May 21, 2009 delaying the effective date of
the September 26, 2008 rule to December 30, 2010.
Although the March 3, 2009 and the April 15, 2009 notices invited
comments on whether a delay in the rule's effective date was needed
``to allow Departmental officials the opportunity for further review
and consideration,'' both notices also generated focused substantive
comments recommending changes to several particular provisions of the
final rule that warranted further consideration. In addition to
supporting a delay in the effective date of the rule, the comments
raised specific policy concerns regarding two areas of the September
26, 2008 final rule: (1) The rules for disclosure of confidential and
personally identifiable information about individuals maintained by
State IV-D programs to a private, for-profit child support collection
agency as an ``agent of a child;'' and (2) the child welfare data
exchange provisions of the rules in light of legislation enacted in
October 2008 after publication of the final rule.
With respect to disclosure of information to private collection
agencies, concerns have been raised by commenters, Departmental
officials, media coverage, litigation and program stakeholders that the
government's disclosure of confidential information to private child
support collection agencies may not serve the children's best
interests. Specific concerns have been raised about the risks involved
in disclosing confidential data to private collection agencies not
acting as a State's agent under a contractual relationship nor required
to comply with ethics and confidentiality rules such as those governing
State agencies and private attorneys, and whose business practices are
largely unregulated and not subject to program oversight.
Additionally, commenters on the March 3 and April 15, 2009 notices
stated that a delay in the effective date would give the Administration
an opportunity to conduct a review of the child welfare data exchange
provisions to ensure that the provisions of the rule conform to The
Fostering Connections to Success and Increasing Adoptions Act (Pub. L.
110-351), (the Fostering Connections Act) signed into law on October 7,
2008, eleven days after the Safeguarding Final Rule was published.
On June 7, 2010, a Notice of Proposed Rulemaking (NPRM) was
published in the Federal Register [75 FR 32145] which proposed limited
changes to the final regulation published on September 26, 2008 to
address concerns identified by Department officials as well as those
raised by commenters. Only selected portions of the ``State Parent
Locator; Safeguarding Child Support Information'' final rule were
addressed in the NPRM. The final rule published on September 26, 2008,
in [73 FR 56442] will go into effect on December 30, 2010.
III. Summary Description of Regulatory Provisions
The following is a summary of the regulatory provisions included in
this final rule. The NPRM limited those sections of the final rule
published on September 26, 2008 that were open for public comment.
Affected sections include Sec. Sec. 301.1, 302.35, 303.21, 303.69,
303.70, and 307.13. Additionally, we made a conforming change to Sec.
303.20, which did not appear in the NPRM.
The Section-by-Section Discussion of the Regulations (Section IV)
provides a detailed listing of the comments and responses. We
considered each comment and where appropriate, amended the final rule.
Specifically, changes include:
In Sec. 301.1 we added a definition of ``attorney of a child.''
Commenters recommended a definition that requires the assurance of a
genuine attorney-client relationship which creates an ethical
obligation to represent the best interests of the child and/or the
child's resident parent. The newly-added definition specifies that
there is an attorney-client relationship with an
[[Page 81896]]
ethical and fiduciary duty upon the attorney to represent the client's
best interests under applicable rules of professional responsibility.
We made a technical change to the language in Sec. 302.35(a)(2)(i)
to include ``non-parent relatives'' to the list of those individuals
about whom the State PLS may disclose information under section
453(a)(2) and 453(j)(3) of the Act for locate purposes. This was based
on a comment that the rule was inconsistent; we agree and made the
change accordingly. Additionally, this change is consistent with the
change made to Sec. 302.35(d)(2) in accordance with the Fostering
Connections Act. We changed the language at Sec. 302.35(c) in response
to a comment that, as written, the NPRM would mandate that Tribal IV-D
programs would have to make attestation and provide evidence that they
are an authorized program to which the State PLS may disclose locate
information. It was not our intent to exclude authorization for Tribal
IV-D programs which are a part of the Child Support Enforcement program
and have an intergovernmental agreement with a State to access Federal
PLS information as set forth in OCSE PIQT-10-01. Therefore, we added
new language to Sec. 302.35(c)(1) providing that a Tribal IV-D agency
that provides child support services under an approved Tribal IV-D plan
and has an intergovernmental agreement in place with a State, entered
into pursuant to section 454(7) of the Act for the provision of Federal
PLS services, is an authorized program and may request locate
information from the State PLS.
Additionally, the commenters supported preventing disclosure of
confidential information to private collection agencies. However, the
commenters thought that attestation remained important for a parent,
legal guardian, attorney, or agent of a child not receiving assistance
under title IV-A of the Act. We agree and reinstated the attestation
for those individuals listed above in Sec. 302.35(c)(3)(iii).
A conforming change was made to Sec. 303.20 that was not proposed
in the NPRM. Previously, Sec. 303.20(b)(7) referenced operation of the
State PLS required under Sec. 302.35. Because of the changes made to
the regulatory language at Sec. 302.35, it was necessary to make a
conforming change for consistency by adding Sec. Sec. 303.3 and 303.70
to the regulatory text at Sec. 303.20(b)(7).
The final change to the regulatory language is in Sec. Sec.
303.70(d)(1), (3), and (4). This technical amendment was made to
correspond with the change intended to permit disclosure of location
information regarding non-parent relatives. The former paragraph
referred to information provided to parents and putative fathers. The
technical correction is necessary to eliminate any conflicts or
confusion in providing non-parent relative information to IV-B and IV-E
agencies. The phrase ``non-parent relative'' was added to Sec.
303.70(d)(1). The language at Sec. 303.70(d)(2), which requires that a
parent's or putative father's Social Security Number (SSN) be provided
to the State PLS or Federal PLS for purposes of locating parents,
putative fathers, or children for purposes related to title IV-D, IV-A,
IV-B and IV-E was not changed. This also requires that the IV-D agency
must make reasonable efforts to ascertain the individual's SSN before
making the submittal to the Federal PLS. It was not appropriate to add
``non-parent relative'' to this section because the IV-D agency is not
required to ascertain the SSN of a non-parent relative prior to making
a submittal to the Federal PLS. A new Sec. 303.70(d)(3) was added to
require that the submittal request contain the non-parent relative's
SSN, if known. Former Sec. 303.70(d)(3) is thus renumbered to Sec.
303.70(d)(4).
Some commenters suggested changes to the Appendices based on
changes in the proposed regulatory language. We amended the Appendices
in three areas: one change was made to Appendix A and two changes were
made to Appendix C. A suggestion was made that we include language in
the ``Limitations'' column in Appendix A as it relates to the State
agency administering IV-B and IV-E programs in accordance with sections
453(c)(4), 453(j)(3) and 454(8) of the Act. We agree and added language
that indicates that any use of the information from the Federal PLS and
the State PLS outside the purposes of section 453(a)(2) and 453(j)(3)
of the Act requires independent verification. The first change in
Appendix C was to modify the term ``food stamps'' to ``SNAP'' for
consistency with the regulatory language and the rest of the Appendix.
This change was in the ``Authorized person/program'' under the portion
of Appendix C that listed the authority for sections 453A(h)(2) and
1137 of the Act. The second change to the Appendix was to add a
footnote. Commenters correctly noted that Appendix C did not reference
the domestic violence language referenced in both Appendices A and B.
This prohibition against the disclosure of information if there is a
reasonable evidence of domestic violence or child abuse and the
disclosure of such information would be harmful to the custodial parent
(also referred to as resident parent) or child is required by sections
453(b)(2) and (3), 454(8) and (26) of the Act.
IV. Section-by-Section Discussion of Comments
This section provides a detailed discussion of comments received on
the proposed rule, and describes changes made to the proposed rule. We
referred generally to actions of the ``Department'' pursuant to the
rule. The rule itself refers to actions of the ``Secretary,'' however,
the day-to-day activities of the Secretary's functions have been
delegated and are exercised by other Department officials, primarily in
the Administration for Children and Families. ``Office'' refers to the
Federal Office of Child Support Enforcement (OCSE). We received
comments from 26 commenters including 12 State agencies, nine advocacy
groups, two organizations, and three private citizens. The majority of
comments related to State Parent Locator Service, Sec. 302.35.
General Comments
Several comments not attributable to specific sections of the
regulation are discussed below.
1. Comment: All commenters supported the prohibition of disclosing
confidential and personally identifiable information to private child
support collection agencies (PCAs).
Response: We agree that the prohibition of disclosing confidential
and personally identifiable information to PCAs is an appropriate
change to the regulation. The final rule reflects that position.
2. Comment: All commenters supported the expansion of released
information to title IV agencies, including IV-B and IV-E.
Response: This final rule mandates the expansion provided in the
proposed rules consistent with section 453(j)(3) of the Social Security
Act, permitting disclosure of information to IV-B and IV-E agencies for
a broader range of authorized purposes that was not fully addressed in
the September 26, 2008 regulation. Program responsibilities include
locating relatives of children removed from parental custody in order
to identify potential placements for the child and assist the State
agency in permanency planning. Communication involving data matches and
shared data between IV-D, IV-B, and IV-E programs serves the best
interests of children and their families.
3. Comment: One commenter stated that for child welfare purposes,
noncustodial parents should be notified and considered as potential
placements. This would occur when identifying
[[Page 81897]]
relatives, providing notice to relatives, and placing siblings
together. If the noncustodial parent is not an appropriate placement,
the noncustodial parent may still be able to provide critical
information to aid in making prompt and appropriate arrangements for
children.
Response: We agree that it may be appropriate for children to be
placed with their biological (both custodial and noncustodial) parents,
consistent with child welfare program policies and the best interests
of the children. This regulation provides for information concerning
relatives, including the noncustodial parent under Sec. 305.35(d)(1),
to be released to the IV-B and IV-E agencies.
4. Comment: One commenter was supportive of restricting access to
PCAs, but questioned the policy in PIQ 02-02 that, as written, would
allow custodial parents to change their addresses to a PCA address.
Response: As discussed in the preamble to the NPRM, PIQ-02-02,
Requests by Custodial Parents for a Change of Address for the
Disbursement of the Custodial Parent's Share of Child Support
Collections allowed a custodial parent to change his or her address to
that of a PCA. The redirection of payments by a PCA and the policy to
allow a custodial parent to change his or her address to that of a PCA,
will be considered under a separate rulemaking authority.
On August 14, 2009, OCSE issued DCL-09-22, Private Collection
Agencies and Redirection of Payments. This DCL indicated that OCSE had
been alerted to the fact that some PCAs have instructed employers to
redirect child support payments away from a State Disbursement Unit
(SDU) to a PCA. In accordance with sections 454B, 466(a)(1)(A),
466(a)(8), and 466(b)(5) of the Act, payments in all IV-D cases and in
non-IV-D cases in which the initial support order was issued on or
after January 1, 1994 and in which the obligor's income is subject to
wage withholding must be paid through the SDU.
5. Comment: One commenter expressed concern that the answer to
question one in PIQ 03-05 conflicts with the NPRM, and should be
changed.
Response: We agree. PIQ-03-05, Guidance on Private Collection
Agencies--Agent of a Child and Third Party Address for Correspondence
addressed inquiries requesting clarification on issues related to PCAs.
The PIQ indicated that because ``agent of a child'' was not defined, a
``for profit, private collection agency or private attorney could act
as an `agent of a child' provided it has a valid contract that meets
the State's statutory and regulatory requirements for acting as an
agent, if any,'' and was thus authorized, under section 453(b)(1) and
(c), to access confidential information from the Federal and State PLS.
This final rule adds a definition of ``agent of a child.'' Under
the definition of ``agent of a child,'' a PCA no longer qualifies as an
authorized person to receive confidential and personally identifiable
information. In the final rule ``agent of a child'' means a caretaker
relative having custody of or responsibility for the child. We will
revise the PIQ after publication of the final rule to ensure
consistency with the regulation.
6. Comment: The proposed effective date for changes is not
sufficient time to implement the changes. The commenter expressed
concerns about the difficulty for States to implement the final rule as
published on September 26, 2008 and then implement this final rule.
Response: The delay in implementation of the final rule published
on September 26, 2008 was necessitated by the concerns raised by
Departmental officials and commenters. We believe that the differences
in the proposed and final regulation are not so great that the
implementation cannot be accomplished. OCSE is prepared to provide
assistance to States as needed.
Section 301.1, ``Agent of a Child'' Definition
1. Comment: Many commenters agreed with the inclusion of
``caretaker relative'' in the definition of ``agent of a child.'' Other
commenters suggested removing ``relative'' from the definition, and a
few commenters proposed narrowing the definition to include only a
court-appointed conservator or guardian ad litem. One commenter
suggested adding ``non-parent relative'' to the definition.
Response: As noted in the preamble to the NPRM, ``caretaker
relative'' is a longstanding term used in the TANF program and
recognizes the practical reality that children are sometimes left in
the care of a relative even though the relative may not have been
appointed by a court. This language allows appropriate family members
to advocate for the child's best interests. The definition also
prohibits PCAs, which may have financial motives separate, or even
adverse to the child's best interests, from acting as the child's
agent. We did not see the need to provide a specific definition for
legal guardian.
2. Comment: One commenter agreed with our definition, but
questioned whether a Tribal IV-D agency's ability to access the Federal
PLS is supported by the definition of ``agent of a child.''
Response: We agree and have revised the final rule to clarify that
a Tribal IV-D agency's authority to access information contained in the
Federal PLS and State PLS is at newly added language at Sec.
302.35(c)(1) which includes a Tribal IV-D agency as an authorized
program.
Section 301.1, ``Attorney of a Child'' Definition
1. Comment: In the NPRM, we specifically sought comments on whether
to add a definition of ``attorney of a child'' to the final rule.
Several commenters thought a definition was necessary for ``attorney of
a child'' for various reasons. Some commenters thought that it was
important to clarify that attorney, as referenced in section 453(c)(3)
of the Act refers to attorney of a child, not an attorney for either
parent. Other commenters thought it was important that OCSE adopt a
definition that requires assurance of a genuine attorney-client
relationship that creates an ethical obligation to represent the best
interests of the child. Another commenter stated that the language in
the NPRM regarding the phrase ``attorney of a child,'' was too broad
and needed to be defined.
Response: We are persuaded that a definition is necessary, and we
have revised Sec. 301.1 to provide the following definition:
``Attorney of a child means a licensed lawyer who has entered into an
attorney-client relationship with either the child or the child's
resident parent to provide legal representation to the child or
resident parent related to the establishment of paternity, or the
establishment, modification, or enforcement of child support. An
attorney-client relationship imposes an ethical and fiduciary duty upon
the attorney to represent the client's best interests under applicable
rules of professional responsibility.'' (Please note that ``resident
parent'' is also referred to as ``custodial parent''.)
Section 302.35--Parent Locator Service
1. Comment: One commenter correctly noted that although Sec. Sec.
302.35(a) and (b) were not open for comment, a clarification was
necessary to add ``non-parent relative'' to authorize disclosure of
locate information for title IV-B and title IV-E purposes in Sec.
302.35(a)(2) consistent with the change made to Sec. 302.35(d)(2).
Response: We agree with this comment and made this technical
correction to the final rule at Sec. 302.35(a)(2)(i) to read, ``The
State PLS
[[Page 81898]]
shall access and release information authorized to be disclosed under
section 453(a)(2) and 453(j)(3) of the Act from the Federal PLS and, in
accordance with State law, information from relevant in-State sources
of information and records, as appropriate, for locating custodial
parents, noncustodial parents, non-parent relatives, and children upon
request of authorized individuals specified in paragraph (c) of this
section, for authorized purposes specified in paragraph (d) of this
section.'' An additional change was made to Sec. 302.35(a)(2)(i) that
authorizes disclosure of information about relatives of children
involved in IV-B and/or IV-E cases in accordance with the Fostering
Connections Act.
2. Comment: One commenter said that the language at Sec. 302.35(c)
and Appendix A indicates that a request involving a child not receiving
IV-A assistance is a non-IV-D requests. Many children who are not
receiving IV-A assistance are participants in a IV-D case.
Response: We agree that many children who are not receiving IV-A
assistance may be participants in a IV-D case. However, this authorized
purpose of the request example is specific to non-IV-D child support
cases. The language is based on section 453(c)(3) of the Act.
3. Comment: One commenter, although supportive of the goal of
denying access to Federal PLS information to a PCA, proposed that we do
not delete Sec. 302.35(c)(3)(iii) since it did not solely apply to
PCAs, and also required evidence of a relationship between the
requestor and the child. Another commenter suggested that it is not
burdensome to request an attestation that the requestors are who they
purport to be, especially when it comes to releasing confidential
information. This same commenter suggested that we add ``resident'' to
the regulatory language.
Response: We agree with the commenters and have added Sec.
302.35(c)(3)(iii) requiring an attestation from a resident parent,
legal guardian, attorney, or agent of a child. The addition of
``resident'' is appropriate as it is consistent with the statutory
language. Section 453(c)(3) of the Act includes the definition of
``authorized person'' as a resident parent. The final rule at Sec.
302.35(c)(3)(iii) is amended to read: ``Attests that the requestor is
the resident parent, legal guardian, or attorney, or agent of a child
not receiving assistance under title IV-A.''
4. Comment: Many commenters were pleased with broadened disclosure
of information allowed by Sec. 302.35(d) for the disclosure of an
individual's location, income, employment benefits, assets, debts,
child support history, Family Violence Indicator (FVI), and other
confidential information not only for parents, but non-parent relatives
as well. One commenter explained that the broadened purposes will
assist in carrying out IV-B and IV-E's responsibility to administer
their programs.
Other commenters wanted to limit disclosure to non-parent relatives
and were primarily concerned with privacy for family violence victims.
One commenter who wanted to limit disclosure expressed concern that the
option for State IV-D agencies to share with other child welfare
agencies a broader range of data elements than available in the Federal
PLS raises safety, information reliability, and privacy concerns for
domestic violence victims.
One commenter prefers limiting data access to ``the extent
necessary'' to achieve an authorized purpose. The commenter elaborated
that this language would protect the privacy rights of individuals as
information regarding an individual's assets and debts would rarely be
necessary to establish parental rights, and the availability of health
insurance would not be relevant towards locating a non-parent relative
for placement of a child.
Response: Section 105 of the Fostering Connections Act amended
section 453(j)(3) of the Social Security Act to expand the authority
for information comparisons and disclosures of information from the
Federal PLS for title IV program purposes to include child welfare and
foster care programs funded under IV-B and IV-E of the Social Security
Act. The law authorizes disclosure of information in the Federal PLS
and State PLS to conduct data matches and share data with child welfare
agencies ``to the extent and with the frequency that the Secretary
determines to be effective in assisting States to carry out their
responsibilities under this part [D], part B or E, and programs funded
under part A.'' This final rule reflects the extent to which that data
matching and sharing is appropriate in assisting States to carry out
their responsibilities.
The purpose of broadening disclosure of information about non-
parent relatives is to promote communication and efficiency between
title IV agencies. Many of the commenters realized this and were
pleased with the policy. Some commenters were justifiably concerned
about disclosing information in family violence cases. The Act
addresses their concerns. Under sections 453(b)(2) and (3), 454(8), and
454(26) of the Act, no information may be disseminated regarding a
family violence case. Section 453(b)(2) of the Act states that ``* * *
No information shall be disclosed if the State has notified the
Secretary that the State has reasonable evidence of domestic violence
or child abuse and the disclosure of such information could be harmful
to the custodial parent or the child of such parent * * *.'' Please
refer to the ``Limitations'' column in Appendices A, B, and C. This
statutory limitation is reflected in Appendices A, B, and C.
Additionally, the final rule at sections 302.35(e) and 303.21(e)
published in the Federal Register on September 26, 2008 [73 FR 56422]
prohibits the release of information when the State has reasonable
evidence of domestic violence or child abuse.
We take these requirements very seriously and are committed to
ensuring that information is not shared that might jeopardize the
safety of an individual thought to be a victim of family violence or
child abuse. The intention of the FVI is to protect the victim whether
the victim is the child, the custodial parent or the noncustodial
parent. We are working closely with the Family and Youth Services
Bureau, Family Violence Prevention and Services Program in the
Administration for Children and Families on this critical issue. We
also plan to reach out to domestic violence programs in developing
guidance and training. In fact, we currently lead a Domestic Violence
Collaboration Work Group which includes representatives from the
National Resource Center on Domestic Violence and the Family Violence
Prevention and Services Program.
5. Comment: Two commenters stated that these final regulations
should clarify that States will provide assurances that their title IV-
D and IV-E agencies will collaborate, through an interagency agreement,
to ensure that child welfare agencies safely and appropriately handle
cases with an FVI flag. These agreements should address the manner and
information to be shared. In addition, required training should address
confidentiality, the impact of family violence, post-traumatic stress
disorder, and cultural competency. OCSE and the Children's Bureau
should consider issuing a joint guidance to assist States in crafting
interagency agreements.
Response: We agree that when there is data sharing between two
agencies, an interagency agreement strengthens the integrity of
safeguarding the information between the agencies involved. Interagency
training between IV-D, IV-B and IV-E agencies is appropriate to
[[Page 81899]]
ensure proper implementation of this final regulation. As we work to
operationalize these regulations, we will develop joint guidance with
our Federal counterparts in the child welfare and domestic violence
programs on interagency agreements and conduct extensive outreach to
State child support and child welfare programs.
6. Comment: Two commenters opposed establishing separate standards
for disclosure for the Federal PLS and State PLS. One commenter
requested that the regulations or other Federal guidance make clear,
when referring to State IV-B and IV-E agencies for the purpose of
receiving information under the proposed regulations, that political
subdivisions of the State should be considered.
Response: The Federal PLS is not part of the State PLS. Requests
for information from the Federal PLS must flow through the State PLS,
and each State's standards are different based on sources of
information each State receives in accordance with the State's law. For
example, some States may have additional enforcement remedies that do
not exist in the Federal PLS, such as seizure of lottery or gambling
winnings. In addition, States administer the placement of children
involved in IV-B and IV-E cases, and must abide by minimum Federal
guidelines. States have broad discretion to implement their IV-B and
IV-E programs, as long as they comport with the minimum Federal
guidelines.
7. Comment: The regulation should acknowledge that establishing
parental rights is part of assisting States to carry out their
responsibilities under IV-B and IV-E.
Response: We agree that establishing parental rights is part of
assisting States to carry out their responsibilities under titles IV-B
and IV-E of the Act. We will work with our IV-B and IV-E colleagues in
defining States' program responsibilities.
8. Comment: Two commenters raised a number of questions about
information that is gathered as part of the application process for
child support services and kept on file at the child support agency.
These commenters wanted to know: What type of case-specific information
is currently entered and retained in OCSE databases; whether location
information could be separated from other types of information in the
databases; if notice is provided to IV-D clients about the types of
information entered and retained in the databases, and with whom and
for what purposes may it be shared. The commenters also wanted to know
whether there are opportunities available for the person providing the
information to view and correct inaccuracies before sharing occurs; if
informed consent is provided prior to OCSE sharing information with
other agencies; if the client has the ability to limit any aspect of
data sharing, and whether IV-D workers could be subject to a subpoena
in child welfare cases in which decisions were made based on data
secured from the OCSE database.
Response: Applications for child support services, although
developed by each State agency, must contain Federally required data
elements which are uploaded onto the State's automated system. OCSE's
databases, such as the National Directory of New Hires and the Federal
Case Registry must have system of records notices that provide notice
to the public with respect to the collection of information on
individuals and procedures for contesting the accuracy of a record. The
system of records notices are currently in the process of being updated
and should be in effect prior to the effective date of this rule. Also,
see the Privacy Act and Paperwork Reduction Act notice on the Internal
Revenue Service form W-4 form, available at https://www.irs.gov/pub/irs-pdf/fw4.pdf.
Additionally, location information can be separated from other
types of data. Many States have a generic disclosure statement
regarding the information collected on individuals and with whom it may
be shared. States also proactively urge clients to update demographic
information. A growing trend among States is the establishment of
customer service Web sites which permit and/or encourage clients to
review and update other information in the State's database.
Informed consent is not provided prior to OCSE sharing information
with other agencies. Title IV-B and IV-E agencies are authorized by law
to access this information under section 453(j)(3) of the Act for the
purpose of carrying out their programs. Redisclosure of information is
not addressed in this rule. Presently, such information must be
independently verified before redisclosure by the IV-B or IV-E agency
is permitted.
9. Comment: One commenter stated that 42 U.S.C. 653(j) clearly
seemed to contemplate that not only will the IV-D agency share
matches--the pairing of a known identity with additional elements--but
it also will disclose information, including the identity of a person
who may not previously have been known, to the IV-B and IV-E agency.
Response: This final regulation authorizes the sharing of
information with IV-B and IV-E agencies available through the State PLS
to locate relatives for potential placement of a child removed from
parental custody, to place siblings in groups, and to otherwise assist
State agencies in permanency planning activities. Information which may
be disclosed about a child or a relative of children involved in IV-B
and IV-E cases is limited to name, SSN, most recent address, employer
name, and address and employer identification number. To the extent
that a relative is ``identified'' through use of the Federal PLS and
the State PLS, that information may be shared with IV-B and IV-E
agencies. This final regulation also authorizes the sharing of
information with IV-B and IV-E agencies available from the statewide
automated system pursuant to section 454A(f)(3) of the Act, to assist
such programs to carry out program functions.
Child welfare agencies do not have direct access to statewide child
support automated systems to permit IV-B and IV-E caseworkers to search
for data. Only certain IV-D staff have direct access to the Federal
PLS. Courts and other programs do not. State IV-A, IV-B, and IV-E
agencies will work together to develop appropriate transactions for an
automated information exchange between the agencies to ensure adherence
to proper data safeguarding standards as set forth in this regulation.
10. Comment: One commenter said that New York State is a State-
supervised, county administered State. The commenter would like to know
explicitly how the process of access to information from the State PLS
would function in that State. The commenter also asked whether the
information would be available directly to the local departments of
Social Services, and how requests for information would be transmitted
and received.
Response: We acknowledge that States organize and operate their
programs differently. OCSE is currently in discussions with our Federal
counterparts in the child welfare and domestic violence programs to
develop broad based implementing guidance that States can use in their
specific operational environments.
11. Comment: One commenter asked if the final regulation imposes
any limitations on redisclosure of information by local departments of
social services in performing their child welfare functions.
Response: We direct the commenter to Appendix A. Whether
redisclosure is permitted depends upon the purpose of the inquiry, and
the agency requesting the data. Title IV-B and IV-E agencies are
authorized by law to access this
[[Page 81900]]
information for the purpose of carrying out their programs.
Redisclosure of information is not addressed in this rule. Presently,
such information needs to be independently verified before redisclosure
is permitted. OCSE and its counterparts in Federal child welfare and
domestic violence programs will provide instructions in the future.
12. Comment: One commenter noted that currently there is a jointly-
issued administrative directive which references how referrals for
locating absent parents travel from child welfare to local IV-D units.
The local IV-D units access Federal PLS and State PLS and return
information back to local child welfare agencies. The commenter would
like to see a new jointly-issued administrative directive as a result
of the publication of this final rule.
Response: We agree that the jointly issued directive: ACYF-CB-IM-
07-06/OCSE-IM-07-06, Appropriate Referrals, Requests for Location
Services, Child Support Applications, and Electronic Interface between
Child Welfare and Child Support Enforcement Agencies, issued on
September 6, 2007, is an important document for the interoperability of
the child support, domestic violence, and child welfare programs. We
will collaborate with the Administration on Children, Youth and
Families of HHS to update this joint document as appropriate.
13. Comment: One commenter suggested that the purpose of disclosure
should guide the amount of information disclosed rather than the
specific relative relationship between the requester and the child. The
commenter supported the broader disclosure regulated at Sec.
302.35(d)(1) and the more limited disclosure regulated at Sec.
302.35(d)(2).
Response: We agree with the commenter. As provided in the
regulation, the purpose of a request does control the nature of the
data disclosed. The Appendices provide guidance as to the information
that may be disclosed and the agencies to which the information may be
disclosed depending on the purpose for which the information is being
requested.
14. Comment: One commenter stated that title IV-B and IV-E agencies
should be provided with at least the six pieces of information [name,
Social Security Number, address, employer's name, employer's address,
and employer identification number]. The commenter also encouraged the
sharing of additional contact information, such as telephone numbers
and e-mail addresses, if the Federal PLS or State PLS maintains these
sources of information.
Response: The final regulation at Sec. 302.35(d)(2) clearly
establishes that for the purposes of assisting States to carry out
their responsibilities to administer the IV-B and IV-E programs, the
information that may be disclosed with respect to a child or relative
of a child involved in a IV-B or IV-E case is limited to: Name, SSN,
most recent address, employer name and address, and employer
identification number. The Federal PLS does not maintain additional
contact information such as telephone numbers and e-mail addresses.
Additionally, if the case has an FVI marker, then no information about
the case may be shared for any reason. Section 453(b)(2) of the Act
says: ``no information shall be disclosed if the State has reasonable
evidence of domestic violence or child abuse and the disclosure of such
information could be harmful to the custodial parent or the child.''
Information from cases marked with the FVI may be released to a court
or an agent of a court pursuant to the procedure set forth in section
453(b)(2)(A) and (B).
15. Comment: One commenter stated that child welfare agencies do
not need extensive information if their intent is to locate
noncustodial parents, or to identify and/or locate grandparents or
other relatives to carry out the purpose of the IV-B or IV-E program.
The commenter encourages sharing any other contact information such as
telephone numbers and e-mail addresses, if they are maintained on the
State PLS or Federal PLS.
Response: As stated above, the information that may be disclosed
about a child or relative of a child involved in a IV-B or IV-E case is
limited to name, SSN, most recent address, employer name and address,
and employer identification number.
16. Comment: One commenter noted that section 453(j)(3) of the Act
directs the Secretary to disclose Federal PLS information to State
agencies and the regulation directs the State PLS to disclose
confidential information only from in-State sources regarding non-
parent relatives; the regulation also excludes IV-B and IV-E agencies
from receiving Federal PLS information regarding non-parent relatives.
The commenter questioned the statutory authority for Sec.
302.35(d)(2). The commenter recommended deleting Sec. 302.35(d)(2)
because the lack of a clear statutory basis creates liability for State
IV-D agencies.
Response: We disagree that there is not a clear statutory basis for
the disclosure of information at Sec. 302.35(d)(2). The Fostering
Connections Act amended section 453(j)(3) of the Act to include IV-B
and IV-E agencies. While certain IV-D staff have direct access to the
Federal PLS; courts and other programs do not have access. Requests for
information from the Federal PLS must flow through the State PLS.
Federal PLS information is not excluded.
17. Comment: Two commenters said that if data was exchanged between
child support and child welfare agencies through an interagency
agreement, provisions for implementation and enforcement of privacy and
family violence safety protections should be required. This final rule
should mandate the provisions to be included in the interagency
agreements to facilitate compliance with the safeguarding rules. Those
agreements should also contain provisions for informed consent to
disclosures.
Response: As stated earlier in this preamble, when there is data
sharing between two agencies, an interagency agreement strengthens the
integrity of the agencies involved to safeguard the information.
Intergovernmental agreements support the integrity and security of an
intergovernmental system when data is shared. Any interagency agreement
should contain provisions that comport with this final rule.
Disclosures under section 453 of the Act do not require consent of the
individual. Such disclosures are considered to be a routine use of the
information collected under the Privacy Act.
18. Comment: One commenter noted that the Children's Bureau
recently issued guidance on The Fostering Connections Act, encouraging
States to employ a consistent definition of ``relative'' for the
purposes of any guardianship assistance program and any notification
that is carried out pursuant to The Fostering Connections Act. States
are permitted to include non-blood relatives or ``fictive kin'' when
defining ``relative.'' The commenter suggests States be provided the
latitude to use ``fictive kin'' when implementing this rule.
Response: OCSE defers to States' definitions of ``relative.''
Section 303.21--Safeguarding and Disclosure of Confidential Information
1. Comment: One commenter stated that under Sec. 303.21(d)(1), the
IV-D agency is not required to provide locate services to other State
agencies performing duties under title IV, XIX, XXI, and SNAP if it is
determined that doing so would interfere with the IV-D agency meeting
its own obligations. The commenter said that the same provision should
apply when providing location
[[Page 81901]]
information to authorized individuals in non-IV-D cases under section
Sec. 302.35.
Response: The statutory change made by The Fostering Connections
Act contemplates that child support agencies will exchange data with
IV-B and IV-E programs.
2. Comment: One commenter said that the response to comment 32,
page 56437 of the final rule, published on September 26, 2008, implies
that before IV-D agencies can disclose address or employment
information received from the FCR or NDNH to the Medicaid agency, the
IV-D agency is expected to verify the information through postal
verifications or wages.
Response: The response to comment 32 in the final rule published on
September 26, 2008, was meant as an example. We used postal
verification in that instance for illustrative purposes only.
Independent verification, as defined in Sec. 303.21(a)(2), is still
valid: ``Independent verification is the process of acquiring and
confirming confidential information through the use of a second source.
The information from the second source, which verifies the information
about NDNH or FCR data, may be released to those authorized to inspect
and use the information as authorized under the regulations or the
Act.'' This final rule did not change Sec. 303.21(a)(2).
Section 303.70--Procedures for Submissions to the State Parent Locator
Service (State PLS) or the Federal Parent Locator Service (Federal PLS)
1. Comment: One commenter noted that although not open for comment,
Sec. 303.70(d)(1) needs to be revised to correspond with the change
intended to permit location information for non-parent relatives. The
paragraph refers to information to be provided to parents and putative
parents. Without corresponding changes, the commenter noted conflicts
may arise in providing non-parent relative information to IV-D and IV-B
agencies.
Response: We agree that a conforming change is appropriate and have
made the corresponding change. The final regulation at Sec.
303.70(d)(1) now reads: ``The parent's, putative father's or non-parent
relative's name; * * *.''
2. Comment: One commenter observed that State IV-D directors are
required to annually attest that the State IV-D agency only will obtain
information from the Federal PLS that meets Federal requirements. Any
conflict in requirements for State PLS and Federal PLS increases the
risks for States that must interpret and apply the law correctly.
Response: States should continue to be diligent in meeting
requirements and assessing risks. States are responsible for applying
these laws.
Section 307.13--Security and confidentiality for computerized support
enforcement systems in operation after October 1, 1997
1. Comment: One commenter stated that the automated systems guide
requires States to have data exchanges with title XXI for establishing
and enforcing medical support. The elements include address, name,
employer, and employer address. In Florida, all SSNs are verified by
the Federal Case Registry (FCR). The FCR is the only verification
source used for SSNs. Under the new requirements, States will be
required to reprogram systems to identify each data element's
verification source, isolate National Directory for New Hires (NDNH)
and FCR sources and only exchange data that does not have a
verification source of NDNH and FCR. The commenter further explained
that the final rule in 2008 (73 FR 56437, response to comment 42)
stated that independent verification is not required but ``is merely a
condition that must be met if the State wishes to use or disclose
information for non-IV-D purposes to non-authorized persons. There is
no such restriction in IV-D cases.'' That rule says that IV-D agencies
are required to exchange information with title XIX and SSI using the
automated system and would not require independent verification because
it was used for IV-D purposes. Is that still the case or does this new
rule supersede that?
Response: This rule revised only certain sections of the State
Parent Locator Services, Safeguarding Child Support Information; Final
Rule that was published on September 26, 2008. This final rule does not
change the fact that child support agencies may exchange data from the
automated child support system with title XIX and title IV programs
under section 454A(f)(3) of the Act, and sections 303.21(d)(1) and
307.13(a)(3) and (4), without independent verification. The only
limitation in the final rule is that IRS information must be
independently verified before being exchanged with title IV or title
XIX programs and MSFIDM data may not be shared, even if independently
verified. Therefore, this final rule does not supersede the final rule
published on September 26, 2008 [73 FR 56422] as it relates to data
exchanges with title XIX agencies. Regarding the SSI program, SDNH
information may be shared for benefits eligibility verification
pursuant to section 453A(h)(2)
2. Comment: One commenter was pleased to see the inclusion of SNAP
on the list of authorized recipients of child support information.
Another commenter questioned the different requirements for disclosure
in Sec. 307.13(a)(3) and Sec. 307.13(a)(4)(iii) and Sec.
307.13(a)(4)(iv).
Response: The commenter was correct that there are different
requirements for disclosure under Sec. 307.13(a)(3) and Sec.
307.13(a)(4)(iii) and Sec. 307.13(a)(4)(iv). Under Sec. 307.13(a)(3),
information may be disclosed to Medicaid, SNAP, and CHIP to the extent
necessary to carry out their program responsibilities to the extent
that the information disclosure does not interfere with the IV-D
program meeting its own obligations. Under Sec. 307.13(a)(4), the
disclosure of NDNH, FCR, FIDM, and IRS information may not be shared
outside the program except with IV-B and IV-E agencies. Under section
454A(f)(3) of the Act, the Secretary has designated the title IV
programs and thus authorized the release of that information to title
IV programs. Title IV-B and IV-E programs are within the scope of the
authority as set forth by those delegations.
Appendices
1. Comment: One commenter said that in the final rule published on
September 26, 2008, the response to comment 39 stated that not all
information received from the FCR is part of the FCR database and not
subject to independent verification. Appendix A does not specify which
data elements available from the FCR are subject to independent
verification and which are not subject to independent verification. The
commenter further explained that States need specific information on
which data elements in which automated files are subject to independent
verification.
Response: The data that is subject to independent verification is
dependent upon several factors. The charts in the Appendices to this
final rule are intended to assist the States in determining what data
can be shared with which agencies from the different systems of
information available to the State. i.e., the automated statewide child
support enforcement system, the State PLS, or the State Directory of
New Hires, and for which purposes. OCSE will continue to assist States
in ensuring that their statewide child support enforcement systems are
programmed to be compliant with these data safeguarding rules.
2. Comment: One commenter said that the language in the
``Limitations'' column in Appendix A that states, ``no
[[Page 81902]]
Internal Revenue Service information provided for non-IV-D cases unless
independently verified'' should be eliminated because IRS tax
information cannot be disclosed for any reason, IV-D or non-IV-D,
unless obtained by a third party. The preamble to the rule published on
September 26, 2008 states: ``There is no way to independently verify
Federal Tax refund offset information. We continue to work with the
Department of Treasury and the Congress to resolve this issue.''
Response: We are not persuaded that this language should be
eliminated from the Appendix. Independent verification, as defined in
Sec. 303.21(a)(2), is still valid and reads: ``Independent
verification is the process of acquiring and confirming confidential
information through the use of a second source. The information from
the second source, which verifies the information about NDNH or FCR
data, may be released to those authorized to inspect and use the
information as authorized under the regulations or the Act.''
3. Comment: One commenter requested changes to the ``Limitations''
column in Appendix A. The commenter said that multi-State and in-State
financial institution information is not available for non-IV-D cases.
The wording in the Limitation ``provide for non-IV-D cases'' implies
that State IV-D agencies are required to disclose Financial Institution
Data Match (FIDM) information for non-IV-D cases. The suggestion was to
revise the text to clarify that FIDM information cannot be disclosed
outside of the IV-D program to any entity for any purpose. The same
comment applies to resident parents, legal guardians, and attorneys.
Response: We disagree and have not amended the ``Limitations''
column. Please note that the column states ``no multistate institution
data match (MSFIDM) and no State Financial Institution Data Match
(FIDM) provided for non-IV-D cases.''
4. Comment: One commenter stated that the last row of the Appendix
A, which refers to IV-B and IV-E receiving information on relatives of
children, include both Federal PLS and State PLS as sources, but the
regulatory language at Sec. 302.35(d)(2) does not include Federal PLS.
Response: The regulatory language at Sec. 302.35(d)(2) references
Sec. 302.35(d)(1) which states that information through the Federal
PLS may be provided. The Appendix is accurate as it relates to Federal
and State PLS as sources of information.
5. Comment: One commenter suggests that Tribal IV-D agencies be
listed as a separate ``authorized person/program'' in Appendix A
because it appears as if Tribal agencies have different access and
limitations than those who would fall under ``non-IV-D requests.''
Response: Tribal IV-D agencies may acquire FIDM information through
their State counterparts provided they have an interagency agreement in
effect with the State. Many Tribal IV-D programs have these agreements
in place and are receiving the information. We do not agree that Tribal
IV-D agencies should be listed as a separate ``authorized person/
program'' and have not made that change to the Appendix.
6. Comment: One commenter noted that PIQ-07-02/PIQT-07-02, FFP for
State Automated Systems Costs related to Service Agreements with Tribal
IV-D Programs; Submitting Tribal IV-D cases for Federal Tax Refund
Offset; and Submitting Requests to the Federal Parent Locator Service
(FPLS) in Tribal IV-D states that access to information from a source
other than the IRS can be provided to Tribal IV-D programs. However,
Appendix A indicates that no MSFIDM can be provided for non-IV-D cases.
Can that information be disclosed to Tribal agencies?
Response: Tribal IV-D programs do not have direct access to the
Federal PLS. However, Tribal IV-D programs may access information from
the Federal PLS through an interagency agreement with the State in
accordance with the change made to section 302.35(c)(1). Should a
Tribal IV-D program enter into an interagency agreement with the State
for access to this information, it is bound by these safeguarding
regulations as noted in Footnote 2 to Appendix A. For additional
information, see PIQT 10-01.
7. Comment: One commenter noted that the Appendix A limitations
include ``child not receiving IV-A benefits'' and that attestation and
evidence are required for Tribal IV-D programs. Is the intent that a
Tribal IV-D program request associated with a child not receiving
benefits not be honored? Is the intent that attestation, evidence, and
a fee, be required for Tribal IV-D program access?
Response: The commenter correctly points out that Tribal IV-D
programs should be included in the list of those considered as an
authorized program. We agree and added new language to Sec.
302.35(c)(1) which indicates that a Tribal IV-D agency that provides
child support services under an approved Tribal IV-D plan and has an
intergovernmental agreement in place with a State for the provision of
Federal PLS services, is an authorized program and may request locate
information from the State PLS. For additional information, see PIQT
10-01.
8. Comment: One commenter noted that Appendix C describes the
disclosure of broader information to potentially multiple agencies. The
Appendix does not include ``Footnote 1'' on limitations that is in both
Appendices A and B. That footnote should be in Appendix C.
Response: We agree. In this final rule, the footnote was added to
Appendix C and now reads: ``No information shall be disclosed if the
disclosure of such information would contravene the national policy or
security interests of the United States or the confidentiality of
census data. No information shall be disclosed if the State has
reasonable evidence of domestic violence or child abuse and the
disclosure of such information could be harmful to the CP or child. See
sections 453(b)(2) and 454(26) of the Act for the process of releasing
information to a court or agent of a court.''
[[Page 81903]]
Appendix A--Locating Individuals Through the State PLS Sec. 302.35
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Persons about whom
Authorized person/program Authorized purpose of information may b