Certification Program for Access to the Death Master File, 11735-11738 [2014-04584]
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Federal Register / Vol. 79, No. 41 / Monday, March 3, 2014 / Proposed Rules
proposes to amend 14 CFR Part 71 as
follows:
PART 71—DESIGNATION OF CLASS A,
B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND
REPORTING POINTS
1. The authority citation for part 71
continues to read as follows:
■
Authority: 49 U.S.C. 106(g); 40103, 40113,
40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–
1963 Comp., p. 389.
§ 71.1
[Amended]
2. The incorporation by reference in
14 CFR 71.1 of FAA Order 7400.9X,
Airspace Designations and Reporting
Points, dated August 7, 2013, and
effective September 15, 2013, is
amended as follows:
■
Paragraph 6005 Class E Airspace areas
extending upward from 700 feet or more
above the surface of the earth.
*
*
*
*
*
ACE IA E5 Eagle Grove, IA [Amended]
Eagle Grove Municipal Airport, IA
(Lat. 42°42′36″ N., long. 93°54′58″ W.)
That airspace extending upward from 700
feet above the surface within a 6.4-mile
radius of Eagle Grove Municipal Airport, and
within 2.6 miles each side of the 305° bearing
from the airport extending from the 6.4-mile
radius to 7.4 miles northwest of the airport.
Issued in Fort Worth, TX, on February 2,
2014.
Kent M. Wheeler,
Manager, Operations Support Group, ATO
Central Service Center.
[FR Doc. 2014–04617 Filed 2–28–14; 8:45 am]
BILLING CODE 4910–13–P
DEPARTMENT OF COMMERCE
National Technical Information Service
15 CFR Part 1110
[Docket Number: 140205103–4103–01]
RIN 0692–AA21
Certification Program for Access to the
Death Master File
National Technical Information
Service, U.S. Department of Commerce.
ACTION: Request for Information and
Advance Notice of Public Meeting.
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AGENCY:
SUMMARY: Section 203 of the Bipartisan
Budget Act of 2013 (Act), directed the
Secretary of Commerce to establish a
certification program under which
persons may obtain immediate access to
the publicly available Death Master File
(DMF). The National Technical
Information Service is requesting
comments from the public regarding the
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establishment and implementation of a
certification program for access to the
DMF. It is expected that information
gathered through this RFI will inform
NTIS’s approach to the development of
a certification program, which will be
promulgated by NTIS by Notice and
Comment Rulemaking.
In addition, NTIS will hold a public
meeting at which members of the public
will be invited to provide comments in
person. More information about the
public meeting is provided under
SUPPLEMENTARY INFORMATION.
DATES: Comments are due on or before
5:00 p.m. Eastern time March 18, 2014.
The public meeting will take place on
Tuesday, March 4, 2014, from 9:00 a.m.
to 12:00 p.m. Eastern time at the place
noted under ADDRESSES, and comments
made orally during the public comment
portion of the public meeting will be
recorded and transcribed.
ADDRESSES: Written comments must be
submitted to John Hounsell by email at
jhounsell@ntis.gov, or in paper form at
NTIS, 5301 Shawnee Road, Alexandria,
VA 22312. The public meeting will take
place at the United States Patent and
Trademark Office, Madison Building
West, 600 Dulany Street, Alexandria,
VA 22314. The public meeting will also
be webcast.
FOR FURTHER INFORMATION CONTACT: John
Hounsell at jhounsell@ntis.gov or 703–
605–6184.
SUPPLEMENTARY INFORMATION: This
Request for Information (RFI) seeks
comments from the public regarding the
establishment by the National Technical
Information Service (NTIS) of the new
certification program for persons who
seek access to the Social Security
Administration’s Public Death Master
File (DMF) at any time within the threecalendar-year period following an
individual’s death, as required by
Section 203 of the Bipartisan Budget Act
of 2013 (Pub. L. 113–67) (Act). The Act
prohibits disclosure of DMF information
during the three-calendar-year period
following death unless the person
requesting the information has been
certified under a program established by
the Secretary of Commerce. The Act
directs the Secretary of Commerce to
establish a certification program for
such access to the DMF. Section 203,
‘‘Restriction on Access to the Death
Master File,’’ requires a fee-based
certification program for allowable uses
of DMF data for any deceased
individual within three calendar years
of the individual’s death. Authority to
carry out Section 203 has been
delegated by the Secretary of Commerce
to the National Technical Information
Service (NTIS).
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NTIS will establish the certification
program in a manner consistent with the
Act and its mission, to promote
American innovation and economic
growth by collecting and disseminating
scientific, technical and engineering
information to the public and industry,
by providing information management
solutions to other Federal agencies, and
by doing all without appropriated
funding. A summary of the provisions of
Section 203 is provided below.
Section 203, ‘‘Restriction on Access to
the Death Master File’’
Section 203(a) of the Act directs that
the Secretary of Commerce (Secretary)
‘‘shall not disclose to any person
information contained on the Death
Master File with respect to any deceased
individual at any time during the 3calendar-year period beginning on the
date of the individual’s death, unless
such person is certified under the
program established under subsection
(b)’’ of Section 203.
Section 203(b)(1) of the Act directs
the Secretary to ‘‘establish a program (A)
to certify persons who are eligible to
access the information described in
subsection (a) contained on the Death
Master File, and (B) to perform periodic
and unscheduled audits of certified
persons to determine the compliance by
such certified persons with the
requirements of the program.’’
Under Section 203(b)(2) of the Act, a
person ‘‘shall not be certified under the
program established under paragraph (1)
unless such person certifies that access
to the information described in
subsection (a) is appropriate because
such person (A) has (i) a legitimate
fraud prevention interest, or (ii) a
legitimate business purpose pursuant to
a law, governmental rule, regulation, or
fiduciary duty, and (B) has systems,
facilities, and procedures in place to
safeguard such information, and
experience in maintaining the
confidentiality, security, and
appropriate use of such information,
pursuant to requirements similar to the
requirements of section 6103(p)(4) of the
Internal Revenue Code of 1986 (IRC),
and (C) agrees to satisfy the
requirements of such section 6103(p)(4)
as if such section applied to such
person.’’
Section 203(b)(3)(A) of the Act directs
the Secretary to ‘‘establish under section
9701 of title 31, United States Code, a
program for the charge of fees sufficient
to cover (but not to exceed) all costs
associated with evaluating applications
for certification and auditing,
inspecting, and monitoring certified
persons under the program. Any fees so
collected shall be deposited and
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Federal Register / Vol. 79, No. 41 / Monday, March 3, 2014 / Proposed Rules
credited as offsetting collections to the
accounts from which such costs are
paid.’’ Section 203(b)(3)(B) of the Act
requires the Secretary to report annually
to the Congress ‘‘on the total fees
collected during the preceding year and
the cost of administering the
certification program under this
subsection for such year.’’
Section 203(c)(1) of the Act provides
that any person ‘‘certified under the
program established under subsection
(b), who receives information described
in subsection (a), and who during the
period of time described in subsection
(a)(A) discloses such information to any
person other than a person who meets
the requirements of subparagraphs (A),
(B), and (C) of subsection (b)(2), (B)
discloses such information to any
person who uses the information for any
purpose not listed under subsection
(b)(2)(A) or who further discloses the
information to a person who does not
meet such requirements, or (C) uses any
such information for any purpose not
listed under subsection (b)(2)(A), and
any person to whom such information is
disclosed who further discloses or uses
such information as described in the
preceding subparagraphs, shall pay a
penalty of $1,000 for each such
disclosure or use. Under Section
203(c)(2), the total penalty imposed on
any person for any calendar year ‘‘shall
not exceed $250,000,’’ unless the
Secretary determines the violations to
have been ‘‘willful or intentional.’’
Section 203(d) of the Act defines the
term ‘‘Death Master File’’ to mean
‘‘information on the name, social
security account number, date of birth,
and date of death of deceased
individuals maintained by the
Commissioner of Social Security, other
than information that was provided to
such Commissioner under section 205(r)
of the Social Security Act (42 U.S.C.
405(r)).’’
Under Section 203(e)(1) of the Act, no
Federal agency ‘‘shall be compelled to
disclose,’’ to any person ‘‘not certified,’’
information contained on the Death
Master File with respect to any deceased
individual at any time during the 3calendar-year period beginning on the
date of the individual’s death. Section
203(e)(2) of the Act provides that
Section 203 shall be considered a statute
described in subsection (b)(3) of section
552 of title 5, United States Code (the
Freedom of Information Act (FOIA)).
Under Section 203(f) of the Act,
Section 203 takes effect 90 days after the
date of the enactment, while Section
203(e) (the FOIA provision) takes effect
upon enactment.
During Congressional debate on the
Joint Resolution, H. J. Res. 59, which,
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upon being passed by Congress and
signed into law by the President,
became the Bipartisan Budget Act of
2013, several Members of Congress
described their understanding of the
purpose and meaning of Section 203.
Members offering statements included
Representatives Johnson,1 Bachus 2 and
Neal,3 and Senators Nelson,4 Murray,5
Casey 6 and Hatch.7
The Death Master File
The Social Security Administration
(SSA) compiles the DMF from certain
deaths reported to the agency. SSA
receives death reports from many
sources, including family members,
funeral homes, hospitals, States, Federal
agencies, postal authorities and
financial institutions. The DMF is not a
complete file of all deaths, and does not
include State death records. (Section
205(r) of the Social Security Act
prohibits SSA from disclosing this
information to the public on the DMF.)
In addition, SSA cannot guarantee the
accuracy of the DMF. The absence of a
particular person on this file is not proof
that the individual is alive. Further, in
rare instances it is possible for the
record of a person who is not deceased
to be included erroneously in the DMF.
SSA makes the DMF available to the
public through an agreement with NTIS.
NTIS offers the DMF to the public
through an online search application, as
well as through raw data file download
products. DMF subscribers have the
option of subscribing to an online
search application or maintaining a raw
data version of the file at their location.
The online service is updated on a
weekly basis, and raw data file weekly
and monthly updates are offered
electronically via https, as well as via
secure FTP.
The Death Master File is an important
tool which has been used for many
purposes. It is used by pension funds,
insurance organizations, Federal, State
and Local government entities and
others responsible for verifying
deceased person(s) in support of
fulfillment of benefits to their
beneficiaries. By methodically running
financial, credit, payment and other
1 159 CONG. REC. H7699, (daily ed. Dec. 12,
2013) (statement of Rep. Sam Johnson).
2 159 CONG. REC. H8083, (daily ed. Dec. 12,
2013) (statement of Rep. Bachus).
3 159 CONG. REC. H8083, (daily ed. Dec. 12,
2013) (statement of Rep. Neal).
4 159 CONG. REC. S8890–S8891, (daily ed. Dec.
17, 2013) (statement of Sen. Nelson).
5 159 CONG. REC. S8891, (daily ed. Dec. 17,
2013) (statement of Sen. Murray).
6 159 CONG. REC. S8891, (daily ed. Dec. 17,
2013) (statement of Sen. Casey).
7 159 CONG. REC. S8891, (daily ed. Dec. 17,
2013) (statement of Sen. Hatch).
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applications against the Death Master
File, the financial community,
insurance companies, security firms and
State and Local governments are better
able to identify and prevent identity
fraud, and identify customers who are
deceased. Other current users include
clinicians and medical researchers
tracking former patients and study
subjects, law enforcement and
genealogists.
While the DMF unquestionably plays
an important role in preventing identity
fraud, concern about misuse of publicly
available DMF information, as noted in
the statements of several Members of
Congress cited above, led to the
inclusion of Section 203 in the Act,
signed into law by President Obama.
NTIS seeks comments from the public
on how best to implement the
certification program mandated under
Section 203.
Request for Comment
The following questions cover the
major areas for which NTIS seeks
comment. The questions are not
intended to limit topics that may be
addressed through this Request for
Information, and commenters may
address any topic they believe has
implications for the establishment of a
certification program for access to the
DMF, regardless of whether this
document mentions it. NTIS will
consider all timely comments received.
Comments containing references,
studies, research, and other empirical
data that are not widely published
should include copies of the referenced
materials. No confidential or proprietary
comments, information or materials are
to be submitted, and all submitted
comments will be made available
publically at https://dmf.ntis.gov/.
In the questions that follow,
references to ‘‘you’’ are intended to
include individual persons as well as
organizations unless otherwise
indicated, and submitted comments
should distinguish between individuals
and organizations as necessary or
desirable for context.
Certification Program
NTIS solicits information on
implementation of the certification
program mandated under Section 203.
In particular, NTIS seeks to understand
how persons would characterize the
basis for their use of DMF information
as it relates to the certification criteria
of Section 203. In addition, NTIS seeks
to understand how persons who seek
certification would comply with the
requirements set forth under Section
203 to safeguard DMF information.
NTIS also seeks information regarding
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Federal Register / Vol. 79, No. 41 / Monday, March 3, 2014 / Proposed Rules
how to best ensure the safeguarding of
released DMF information.
1. Do you think that you have a
legitimate fraud prevention interest in
accessing DMF information, as
described in the Act? If so, explain in
detail the basis of that interest.
2. If you have a legitimate business
purpose pursuant to a law, explain in
detail the basis of that legitimate
business purpose and cite the relevant
law.
3. If you have a legitimate business
purpose pursuant to a governmental
rule, explain in detail the basis of that
legitimate business purpose and cite the
relevant governmental rule.
4. If you have a legitimate business
purpose pursuant to a regulation,
explain in detail the basis of that
legitimate business purpose and cite the
relevant regulation.
5. If you have a legitimate business
purpose pursuant to a fiduciary duty,
explain in detail the basis of that
legitimate business purpose and cite the
relevant fiduciary duty.
6. Do you have systems, facilities, and
procedures in place to safeguard DMF
information, and experience in
maintaining the confidentiality,
security, and appropriate use of such
information? If so, explain in detail.
7. If you have systems, facilities, and
procedures in place to safeguard DMF
information, or to safeguard sensitive
information other than DMF
information, explain whether and how
your systems, facilities, and procedures
are audited, inspected or monitored.
8. If you have systems, facilities, and
procedures in place to safeguard DMF
information, or to safeguard sensitive
information other than DMF
information, and if your systems,
facilities, and procedures are audited,
inspected or monitored, explain
whether that is voluntary, or whether it
is required by law, governmental rule,
regulation, fiduciary duty, or other
reason and cite such.
9. If you have systems, facilities, and
procedures in place to safeguard DMF
information, or to safeguard sensitive
information other than DMF
information, and if your systems,
facilities, and procedures are audited,
inspected or monitored, explain
whether any of these reviews would
reveal (1) how such information was
used by you, (2) whether such
information had been disclosed to a
third person, and (3) how such
information, if disclosed to a third
person, was used by that person, or was
further disclosed by that person to a
fourth person.
10. If you have systems, facilities, and
procedures in place to safeguard DMF
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information, and experience in
maintaining the confidentiality,
security, and appropriate use of such
information, explain in detail the extent
to which these satisfy the requirements
of section 6103(p)(4) of the IRC, or
satisfy requirements ‘‘similar’’ to the
requirements of section 6103(p)(4) of the
IRC.
11. If you do not currently have
systems, facilities, and procedures in
place to safeguard DMF information,
explain how you would anticipate
putting such systems, facilities, and
procedures in place in order to become
certified to access DMF information.
12. Under the Act, you are required to
certify that you have systems, facilities,
and procedures in place to safeguard
DMF information, and experience in
maintaining the confidentiality,
security, and appropriate use of such
information, pursuant to requirements
‘‘similar’’ to the requirements of section
6103(p)(4) of the IRC. Please explain in
detail how your systems, etc., and
experience might be ‘‘similar’’ but not
identical to the requirements of section
6103(p)(4) of the IRC, and how any
differences from the requirements of
section 6103(p)(4) of the IRC would
nevertheless permit achieving the
objective of safeguarding DMF
information.
13. What systems, facilities, and
procedures do you believe are necessary
to safeguard DMF information provided
under the Act, including audit,
inspection and monitoring procedures?
14. Identify laws or regulations that
require the safeguarding of released
DMF information, and summarize the
procedures required by such laws or
regulations.
Fees and Penalties
NTIS solicits information on the fees
and penalties mandated under Section
203. In particular, because Section 203
mandates the charge of fees to cover, but
not to exceed, all costs associated with
evaluating applications for certification
and auditing, inspecting, and
monitoring certified persons under the
program, NTIS seeks to understand
whether persons desiring to access DMF
information during the initial threecalendar-year period, including persons
currently accessing DMF information,
would participate in a fee-based
certification program in order to obtain
or maintain access to the DMF. NTIS
also seeks to understand how persons
certified under the certification program
would avoid disclosing such
information to any person not
authorized to obtain such information
because they are not certified or, if
certified, would use such information
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11737
for a purpose not listed under Section
203(b)(2)(A).
15. Would the imposition of a single,
presumably larger, fee at the time of
certification be preferable to the charge
of multiple, presumably smaller, fees,
such as annual fees?
16. In order to become certified to
have access to DMF information, how
would you prevent disclosure of such
information to any person other than a
person who was also certified, or who,
if not certified, would meet the
requirements of certification?
Death Master File Information
NTIS solicits comments on the term
‘‘Death Master File,’’ as that term is
defined in Section 203: ‘‘information on
the name, social security account
number, date of birth, and date of death
of deceased individuals maintained by
the Commissioner of Social Security,
other than information that was
provided to such Commissioner under
section 205(r) of the Social Security Act
(42 U.S.C. 405(r)).’’ In particular, NTIS
seeks to understand whether persons
currently accessing the DMF, or who
might wish to access the DMF in the
future, during the initial three-calendaryear period, need access to all the types
of information included within the
definition of that term in order to make
use of DMF information. If access to all
the types of information included
within the definition of the term ‘‘Death
Master File’’ is not needed for persons
to make use of DMF information, NTIS
seeks to understand which type(s) of
information is not needed.
17. If you currently access DMF
information, does your use of that
information include or require the
name, social security account number,
date of birth, and date of death of
deceased individuals? If not, explain
which type(s) of DMF information you
do not use.
18. Would you find it useful to access
DMF information that included
information for a deceased individual
during the 3-calendar-year period
beginning on the date of the individual’s
death, but did not include one or more
of the name, social security account
number, date of birth, and date of death
of the deceased individual? If so,
explain which type(s) of DMF
information could be excluded.
Advance Notice of Public Meeting
NTIS will hold a public meeting at
which members of the public may
provide comments on the establishment
of the certification program for access to
the DMF in person on Tuesday, March
4, 2014, from 9:00 a.m. to 12:00 p.m.
Eastern time at the United States Patent
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and Trademark Office, Madison
Building West, 600 Dulany Street,
Alexandria, VA 22341. As with written
comments, comments made orally at the
public meeting should not include
confidential or proprietary information,
and all comments from attendees will be
will be recorded and transcribed, and
will made available publically along
with written comments at https://
dmf.ntis.gov/.
Seating at the public meeting will be
limited, and attendance will be ‘‘firstcome, first-served,’’ on a space-available
basis. The public meeting will also be
webcast for those who are unable to
participate in person. Details about the
public meeting, including how to
register, will be posted at the NTIS DMF
Web page, https://dmf.ntis.gov/. The
NTIS DMF Web page also has
information about how to subscribe to
the NTIS email distribution list to
receive announcements from NTIS
about the progress of the establishment
of the certification program. To
subscribe to this free service, you may
provide an email address to
jhounsell@ntis.gov.
Dated: February 25, 2014.
Bruce Borzino,
Director.
[FR Doc. 2014–04584 Filed 2–28–14; 8:45 am]
BILLING CODE 3510–04–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
21 CFR Part 101
[Docket No. FDA–1994–P–0314 (Formerly
Docket No. 94P–0168)]
Food Labeling: Serving Sizes;
Reference Amount and Serving Size
Declaration for Hard Candies, Breath
Mints
AGENCY:
Food and Drug Administration,
HHS.
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ACTION:
Proposed rule; withdrawal.
SUMMARY: The Food and Drug
Administration (FDA or we) is
withdrawing a proposed rule entitled
‘‘Food Labeling; Serving Sizes;
Reference Amount and Serving Size
Declaration for Hard Candies, Breath
Mints’’ that published in the Federal
Register of December 30, 1997 (62 FR
67775). We are taking this action
because we are issuing a proposed rule
on the serving sizes of foods in general
that is published elsewhere in this issue
of the Federal Register.
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The proposed rule that
published on December 30, 1997 (62 FR
67775), is withdrawn as of March 3,
2014.
FOR FURTHER INFORMATION CONTACT:
Mark Kantor, Center for Food Safety and
Applied Nutrition (HFS–830), Food and
Drug Administration, 5100 Paint Branch
Pkwy., College Park, MD 20740, 240–
402–1450.
SUPPLEMENTARY INFORMATION:
DATES:
I. Background
In the Federal Register of December
30, 1997, FDA published a proposed
rule entitled ‘‘Food Labeling; Serving
Sizes; Reference Amount and Serving
Size Declaration for Hard Candies,
Breath Mints’’ (the 1997 breath mints
proposed rule). The 1997 breath mints
proposed rule would change the label
serving size for the product category
‘‘Hard candies, breath mints’’ so that the
serving size for all breath mint products
would be one unit. The 1997 breath
mints proposed rule was published, in
part, in response to a citizen petition
(Docket No. FDA–1994–P–0314
(formerly Docket No. 94P–0168)) that
requested a serving size for breath mints
that more accurately reflected the
amount customarily consumed per
eating occasion. Specifically, the
petition requested that FDA create a
separate product category with a 0.5gram (g) reference amount for small
breath mints (weighing 0.5 g or less).
The petition concluded that the serving
size for small breath mints should be ‘‘1
mint.’’ The 1997 breath mints proposed
rule also would amend the current
rounding requirements for calories as
described in 21 CFR 101.9(c)(1), which
states that the caloric content per
serving must be expressed to the nearest
5-calorie increment up to and including
50 calories, and 10-calorie increment
above 50 calories, except that amounts
less than 5 calories may be expressed as
zero. The 1997 breath mints proposed
rule would allow the declaration of
calorie amounts of less than 5 calories
on the Nutrition Facts label, provided
that the number of calories declared on
the Nutrition Facts label is consistent
with the number of calories declared in
any claim about the amount of calories
made under 21 CFR 101.13(i).
In the Federal Register of April 4,
2005 (70 FR 17010), we issued an
advance notice of proposed rulemaking
(ANPRM) entitled ‘‘Food Labeling:
Serving Sizes of Products That Can
Reasonably Be Consumed At One Eating
Occasion; Updating of Reference
Amounts Customarily Consumed;
Approaches for Recommending Smaller
Portion Sizes.’’ The ANPRM requested
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comment on whether we should amend
certain nutrition labeling regulations
concerning serving size.
In response to the ANPRM, elsewhere
in this issue of the Federal Register, we
are publishing a proposed rule that
would, in part, amend the serving size
for breath mints.
II. Withdrawal of the 1997 Proposed
Rule
Because we are addressing issues
related to the label serving size for
breath mints, in conjunction with other
serving size issues, in a proposed rule
entitled, ‘‘Serving Sizes of Foods That
Can Reasonably Be Consumed At OneEating Occasion; Dual-Column Labeling;
Updating, Modifying, and Establishing
Certain Reference Amounts Customarily
Consumed; Serving Size for Breath
Mints; and Technical Amendments,’’
published elsewhere in this issue of the
Federal Register, we are withdrawing
the 1997 breath mints proposed rule.
Dated: February 24, 2014.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2014–04386 Filed 2–27–14; 8:45 am]
BILLING CODE 4160–01–P
DEPARTMENT OF EDUCATION
34 CFR Chapter III
[Docket ID ED–2014–OSERS–0013; CFDA
Number: 84.133B–4]
Proposed Priority—National Institute
on Disability and Rehabilitation
Research—Rehabilitation Research
and Training Centers
Office of Special Education and
Rehabilitative Services, Department of
Education.
ACTION: Proposed priority.
AGENCY:
SUMMARY: The Assistant Secretary for
Special Education and Rehabilitative
Services proposes a priority for the
Rehabilitation Research and Training
Center (RRTC) Program administered by
the National Institute on Disability and
Rehabilitation Research (NIDRR),
specifically, a priority for an RRTC on
Health and Function of Individuals with
Physical Disabilities. We take this action
to focus research attention on an area of
national need. We intend the priority to
contribute to improved outcomes of
health and function of individuals with
physical disabilities.
DATES: We must receive your comments
on or before April 2, 2014.
ADDRESSES: Submit your comments
through the Federal eRulemaking Portal
or via postal mail, commercial delivery,
E:\FR\FM\03MRP1.SGM
03MRP1
Agencies
[Federal Register Volume 79, Number 41 (Monday, March 3, 2014)]
[Proposed Rules]
[Pages 11735-11738]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-04584]
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DEPARTMENT OF COMMERCE
National Technical Information Service
15 CFR Part 1110
[Docket Number: 140205103-4103-01]
RIN 0692-AA21
Certification Program for Access to the Death Master File
AGENCY: National Technical Information Service, U.S. Department of
Commerce.
ACTION: Request for Information and Advance Notice of Public Meeting.
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SUMMARY: Section 203 of the Bipartisan Budget Act of 2013 (Act),
directed the Secretary of Commerce to establish a certification program
under which persons may obtain immediate access to the publicly
available Death Master File (DMF). The National Technical Information
Service is requesting comments from the public regarding the
establishment and implementation of a certification program for access
to the DMF. It is expected that information gathered through this RFI
will inform NTIS's approach to the development of a certification
program, which will be promulgated by NTIS by Notice and Comment
Rulemaking.
In addition, NTIS will hold a public meeting at which members of
the public will be invited to provide comments in person. More
information about the public meeting is provided under SUPPLEMENTARY
INFORMATION.
DATES: Comments are due on or before 5:00 p.m. Eastern time March 18,
2014. The public meeting will take place on Tuesday, March 4, 2014,
from 9:00 a.m. to 12:00 p.m. Eastern time at the place noted under
ADDRESSES, and comments made orally during the public comment portion
of the public meeting will be recorded and transcribed.
ADDRESSES: Written comments must be submitted to John Hounsell by email
at jhounsell@ntis.gov, or in paper form at NTIS, 5301 Shawnee Road,
Alexandria, VA 22312. The public meeting will take place at the United
States Patent and Trademark Office, Madison Building West, 600 Dulany
Street, Alexandria, VA 22314. The public meeting will also be webcast.
FOR FURTHER INFORMATION CONTACT: John Hounsell at jhounsell@ntis.gov or
703-605-6184.
SUPPLEMENTARY INFORMATION: This Request for Information (RFI) seeks
comments from the public regarding the establishment by the National
Technical Information Service (NTIS) of the new certification program
for persons who seek access to the Social Security Administration's
Public Death Master File (DMF) at any time within the three-calendar-
year period following an individual's death, as required by Section 203
of the Bipartisan Budget Act of 2013 (Pub. L. 113-67) (Act). The Act
prohibits disclosure of DMF information during the three-calendar-year
period following death unless the person requesting the information has
been certified under a program established by the Secretary of
Commerce. The Act directs the Secretary of Commerce to establish a
certification program for such access to the DMF. Section 203,
``Restriction on Access to the Death Master File,'' requires a fee-
based certification program for allowable uses of DMF data for any
deceased individual within three calendar years of the individual's
death. Authority to carry out Section 203 has been delegated by the
Secretary of Commerce to the National Technical Information Service
(NTIS).
NTIS will establish the certification program in a manner
consistent with the Act and its mission, to promote American innovation
and economic growth by collecting and disseminating scientific,
technical and engineering information to the public and industry, by
providing information management solutions to other Federal agencies,
and by doing all without appropriated funding. A summary of the
provisions of Section 203 is provided below.
Section 203, ``Restriction on Access to the Death Master File''
Section 203(a) of the Act directs that the Secretary of Commerce
(Secretary) ``shall not disclose to any person information contained on
the Death Master File with respect to any deceased individual at any
time during the 3-calendar-year period beginning on the date of the
individual's death, unless such person is certified under the program
established under subsection (b)'' of Section 203.
Section 203(b)(1) of the Act directs the Secretary to ``establish a
program (A) to certify persons who are eligible to access the
information described in subsection (a) contained on the Death Master
File, and (B) to perform periodic and unscheduled audits of certified
persons to determine the compliance by such certified persons with the
requirements of the program.''
Under Section 203(b)(2) of the Act, a person ``shall not be
certified under the program established under paragraph (1) unless such
person certifies that access to the information described in subsection
(a) is appropriate because such person (A) has (i) a legitimate fraud
prevention interest, or (ii) a legitimate business purpose pursuant to
a law, governmental rule, regulation, or fiduciary duty, and (B) has
systems, facilities, and procedures in place to safeguard such
information, and experience in maintaining the confidentiality,
security, and appropriate use of such information, pursuant to
requirements similar to the requirements of section 6103(p)(4) of the
Internal Revenue Code of 1986 (IRC), and (C) agrees to satisfy the
requirements of such section 6103(p)(4) as if such section applied to
such person.''
Section 203(b)(3)(A) of the Act directs the Secretary to
``establish under section 9701 of title 31, United States Code, a
program for the charge of fees sufficient to cover (but not to exceed)
all costs associated with evaluating applications for certification and
auditing, inspecting, and monitoring certified persons under the
program. Any fees so collected shall be deposited and
[[Page 11736]]
credited as offsetting collections to the accounts from which such
costs are paid.'' Section 203(b)(3)(B) of the Act requires the
Secretary to report annually to the Congress ``on the total fees
collected during the preceding year and the cost of administering the
certification program under this subsection for such year.''
Section 203(c)(1) of the Act provides that any person ``certified
under the program established under subsection (b), who receives
information described in subsection (a), and who during the period of
time described in subsection (a)(A) discloses such information to any
person other than a person who meets the requirements of subparagraphs
(A), (B), and (C) of subsection (b)(2), (B) discloses such information
to any person who uses the information for any purpose not listed under
subsection (b)(2)(A) or who further discloses the information to a
person who does not meet such requirements, or (C) uses any such
information for any purpose not listed under subsection (b)(2)(A), and
any person to whom such information is disclosed who further discloses
or uses such information as described in the preceding subparagraphs,
shall pay a penalty of $1,000 for each such disclosure or use. Under
Section 203(c)(2), the total penalty imposed on any person for any
calendar year ``shall not exceed $250,000,'' unless the Secretary
determines the violations to have been ``willful or intentional.''
Section 203(d) of the Act defines the term ``Death Master File'' to
mean ``information on the name, social security account number, date of
birth, and date of death of deceased individuals maintained by the
Commissioner of Social Security, other than information that was
provided to such Commissioner under section 205(r) of the Social
Security Act (42 U.S.C. 405(r)).''
Under Section 203(e)(1) of the Act, no Federal agency ``shall be
compelled to disclose,'' to any person ``not certified,'' information
contained on the Death Master File with respect to any deceased
individual at any time during the 3-calendar-year period beginning on
the date of the individual's death. Section 203(e)(2) of the Act
provides that Section 203 shall be considered a statute described in
subsection (b)(3) of section 552 of title 5, United States Code (the
Freedom of Information Act (FOIA)).
Under Section 203(f) of the Act, Section 203 takes effect 90 days
after the date of the enactment, while Section 203(e) (the FOIA
provision) takes effect upon enactment.
During Congressional debate on the Joint Resolution, H. J. Res. 59,
which, upon being passed by Congress and signed into law by the
President, became the Bipartisan Budget Act of 2013, several Members of
Congress described their understanding of the purpose and meaning of
Section 203. Members offering statements included Representatives
Johnson,\1\ Bachus \2\ and Neal,\3\ and Senators Nelson,\4\ Murray,\5\
Casey \6\ and Hatch.\7\
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\1\ 159 CONG. REC. H7699, (daily ed. Dec. 12, 2013) (statement
of Rep. Sam Johnson).
\2\ 159 CONG. REC. H8083, (daily ed. Dec. 12, 2013) (statement
of Rep. Bachus).
\3\ 159 CONG. REC. H8083, (daily ed. Dec. 12, 2013) (statement
of Rep. Neal).
\4\ 159 CONG. REC. S8890-S8891, (daily ed. Dec. 17, 2013)
(statement of Sen. Nelson).
\5\ 159 CONG. REC. S8891, (daily ed. Dec. 17, 2013) (statement
of Sen. Murray).
\6\ 159 CONG. REC. S8891, (daily ed. Dec. 17, 2013) (statement
of Sen. Casey).
\7\ 159 CONG. REC. S8891, (daily ed. Dec. 17, 2013) (statement
of Sen. Hatch).
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The Death Master File
The Social Security Administration (SSA) compiles the DMF from
certain deaths reported to the agency. SSA receives death reports from
many sources, including family members, funeral homes, hospitals,
States, Federal agencies, postal authorities and financial
institutions. The DMF is not a complete file of all deaths, and does
not include State death records. (Section 205(r) of the Social Security
Act prohibits SSA from disclosing this information to the public on the
DMF.) In addition, SSA cannot guarantee the accuracy of the DMF. The
absence of a particular person on this file is not proof that the
individual is alive. Further, in rare instances it is possible for the
record of a person who is not deceased to be included erroneously in
the DMF.
SSA makes the DMF available to the public through an agreement with
NTIS. NTIS offers the DMF to the public through an online search
application, as well as through raw data file download products. DMF
subscribers have the option of subscribing to an online search
application or maintaining a raw data version of the file at their
location. The online service is updated on a weekly basis, and raw data
file weekly and monthly updates are offered electronically via https,
as well as via secure FTP.
The Death Master File is an important tool which has been used for
many purposes. It is used by pension funds, insurance organizations,
Federal, State and Local government entities and others responsible for
verifying deceased person(s) in support of fulfillment of benefits to
their beneficiaries. By methodically running financial, credit, payment
and other applications against the Death Master File, the financial
community, insurance companies, security firms and State and Local
governments are better able to identify and prevent identity fraud, and
identify customers who are deceased. Other current users include
clinicians and medical researchers tracking former patients and study
subjects, law enforcement and genealogists.
While the DMF unquestionably plays an important role in preventing
identity fraud, concern about misuse of publicly available DMF
information, as noted in the statements of several Members of Congress
cited above, led to the inclusion of Section 203 in the Act, signed
into law by President Obama. NTIS seeks comments from the public on how
best to implement the certification program mandated under Section 203.
Request for Comment
The following questions cover the major areas for which NTIS seeks
comment. The questions are not intended to limit topics that may be
addressed through this Request for Information, and commenters may
address any topic they believe has implications for the establishment
of a certification program for access to the DMF, regardless of whether
this document mentions it. NTIS will consider all timely comments
received.
Comments containing references, studies, research, and other
empirical data that are not widely published should include copies of
the referenced materials. No confidential or proprietary comments,
information or materials are to be submitted, and all submitted
comments will be made available publically at https://dmf.ntis.gov/.
In the questions that follow, references to ``you'' are intended to
include individual persons as well as organizations unless otherwise
indicated, and submitted comments should distinguish between
individuals and organizations as necessary or desirable for context.
Certification Program
NTIS solicits information on implementation of the certification
program mandated under Section 203. In particular, NTIS seeks to
understand how persons would characterize the basis for their use of
DMF information as it relates to the certification criteria of Section
203. In addition, NTIS seeks to understand how persons who seek
certification would comply with the requirements set forth under
Section 203 to safeguard DMF information. NTIS also seeks information
regarding
[[Page 11737]]
how to best ensure the safeguarding of released DMF information.
1. Do you think that you have a legitimate fraud prevention
interest in accessing DMF information, as described in the Act? If so,
explain in detail the basis of that interest.
2. If you have a legitimate business purpose pursuant to a law,
explain in detail the basis of that legitimate business purpose and
cite the relevant law.
3. If you have a legitimate business purpose pursuant to a
governmental rule, explain in detail the basis of that legitimate
business purpose and cite the relevant governmental rule.
4. If you have a legitimate business purpose pursuant to a
regulation, explain in detail the basis of that legitimate business
purpose and cite the relevant regulation.
5. If you have a legitimate business purpose pursuant to a
fiduciary duty, explain in detail the basis of that legitimate business
purpose and cite the relevant fiduciary duty.
6. Do you have systems, facilities, and procedures in place to
safeguard DMF information, and experience in maintaining the
confidentiality, security, and appropriate use of such information? If
so, explain in detail.
7. If you have systems, facilities, and procedures in place to
safeguard DMF information, or to safeguard sensitive information other
than DMF information, explain whether and how your systems, facilities,
and procedures are audited, inspected or monitored.
8. If you have systems, facilities, and procedures in place to
safeguard DMF information, or to safeguard sensitive information other
than DMF information, and if your systems, facilities, and procedures
are audited, inspected or monitored, explain whether that is voluntary,
or whether it is required by law, governmental rule, regulation,
fiduciary duty, or other reason and cite such.
9. If you have systems, facilities, and procedures in place to
safeguard DMF information, or to safeguard sensitive information other
than DMF information, and if your systems, facilities, and procedures
are audited, inspected or monitored, explain whether any of these
reviews would reveal (1) how such information was used by you, (2)
whether such information had been disclosed to a third person, and (3)
how such information, if disclosed to a third person, was used by that
person, or was further disclosed by that person to a fourth person.
10. If you have systems, facilities, and procedures in place to
safeguard DMF information, and experience in maintaining the
confidentiality, security, and appropriate use of such information,
explain in detail the extent to which these satisfy the requirements of
section 6103(p)(4) of the IRC, or satisfy requirements ``similar'' to
the requirements of section 6103(p)(4) of the IRC.
11. If you do not currently have systems, facilities, and
procedures in place to safeguard DMF information, explain how you would
anticipate putting such systems, facilities, and procedures in place in
order to become certified to access DMF information.
12. Under the Act, you are required to certify that you have
systems, facilities, and procedures in place to safeguard DMF
information, and experience in maintaining the confidentiality,
security, and appropriate use of such information, pursuant to
requirements ``similar'' to the requirements of section 6103(p)(4) of
the IRC. Please explain in detail how your systems, etc., and
experience might be ``similar'' but not identical to the requirements
of section 6103(p)(4) of the IRC, and how any differences from the
requirements of section 6103(p)(4) of the IRC would nevertheless permit
achieving the objective of safeguarding DMF information.
13. What systems, facilities, and procedures do you believe are
necessary to safeguard DMF information provided under the Act,
including audit, inspection and monitoring procedures?
14. Identify laws or regulations that require the safeguarding of
released DMF information, and summarize the procedures required by such
laws or regulations.
Fees and Penalties
NTIS solicits information on the fees and penalties mandated under
Section 203. In particular, because Section 203 mandates the charge of
fees to cover, but not to exceed, all costs associated with evaluating
applications for certification and auditing, inspecting, and monitoring
certified persons under the program, NTIS seeks to understand whether
persons desiring to access DMF information during the initial three-
calendar-year period, including persons currently accessing DMF
information, would participate in a fee-based certification program in
order to obtain or maintain access to the DMF. NTIS also seeks to
understand how persons certified under the certification program would
avoid disclosing such information to any person not authorized to
obtain such information because they are not certified or, if
certified, would use such information for a purpose not listed under
Section 203(b)(2)(A).
15. Would the imposition of a single, presumably larger, fee at the
time of certification be preferable to the charge of multiple,
presumably smaller, fees, such as annual fees?
16. In order to become certified to have access to DMF information,
how would you prevent disclosure of such information to any person
other than a person who was also certified, or who, if not certified,
would meet the requirements of certification?
Death Master File Information
NTIS solicits comments on the term ``Death Master File,'' as that
term is defined in Section 203: ``information on the name, social
security account number, date of birth, and date of death of deceased
individuals maintained by the Commissioner of Social Security, other
than information that was provided to such Commissioner under section
205(r) of the Social Security Act (42 U.S.C. 405(r)).'' In particular,
NTIS seeks to understand whether persons currently accessing the DMF,
or who might wish to access the DMF in the future, during the initial
three-calendar-year period, need access to all the types of information
included within the definition of that term in order to make use of DMF
information. If access to all the types of information included within
the definition of the term ``Death Master File'' is not needed for
persons to make use of DMF information, NTIS seeks to understand which
type(s) of information is not needed.
17. If you currently access DMF information, does your use of that
information include or require the name, social security account
number, date of birth, and date of death of deceased individuals? If
not, explain which type(s) of DMF information you do not use.
18. Would you find it useful to access DMF information that
included information for a deceased individual during the 3-calendar-
year period beginning on the date of the individual's death, but did
not include one or more of the name, social security account number,
date of birth, and date of death of the deceased individual? If so,
explain which type(s) of DMF information could be excluded.
Advance Notice of Public Meeting
NTIS will hold a public meeting at which members of the public may
provide comments on the establishment of the certification program for
access to the DMF in person on Tuesday, March 4, 2014, from 9:00 a.m.
to 12:00 p.m. Eastern time at the United States Patent
[[Page 11738]]
and Trademark Office, Madison Building West, 600 Dulany Street,
Alexandria, VA 22341. As with written comments, comments made orally at
the public meeting should not include confidential or proprietary
information, and all comments from attendees will be will be recorded
and transcribed, and will made available publically along with written
comments at https://dmf.ntis.gov/.
Seating at the public meeting will be limited, and attendance will
be ``first-come, first-served,'' on a space-available basis. The public
meeting will also be webcast for those who are unable to participate in
person. Details about the public meeting, including how to register,
will be posted at the NTIS DMF Web page, https://dmf.ntis.gov/. The NTIS
DMF Web page also has information about how to subscribe to the NTIS
email distribution list to receive announcements from NTIS about the
progress of the establishment of the certification program. To
subscribe to this free service, you may provide an email address to
jhounsell@ntis.gov.
Dated: February 25, 2014.
Bruce Borzino,
Director.
[FR Doc. 2014-04584 Filed 2-28-14; 8:45 am]
BILLING CODE 3510-04-P