Temporary Certification Program for Access to the Death Master File, 16668-16672 [2014-06701]
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1C350 Chemicals that may be used as
precursors for toxic chemical agents.
Items:
License Requirements
d. * * *
d.5. Clostridium perfringens alpha, beta 1,
beta 2, epsilon and iota toxins;
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License Requirement Notes
1. Sample Shipments: * * *
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14. In Supplement No. 1 to Part 774
(the Commerce Control List), Category
1—Special Materials and Related
Equipment, Chemicals,
‘‘Microorganisms’’ and ‘‘Toxins,’’ ECCN
1C352 is amended by revising paragraph
a.8. in the ‘‘Items’’ paragraph under the
List of Items Controlled section to read
as follows:
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e. Annual report requirement. The exporter
is required to submit an annual written
report for shipments of samples made under
this Note 1. The report must be on company
letterhead stationery (titled ‘‘Report of
Sample Shipments of Chemical Precursors’’
at the top of the first page) and identify the
chemical(s), Chemical Abstract Service
Registry (C.A.S.) number(s), quantity(ies), the
ultimate consignee’s name and address, and
the date of export for all sample shipments
that were made during the previous calendar
year. The report must be submitted no later
than February 28 of the year following the
calendar year in which the sample shipments
were made, to: U.S. Department of
Commerce, Bureau of Industry and Security,
14th Street and Pennsylvania Ave. NW.,
Room 2099B, Washington, DC 20230, Attn:
‘‘Report of Sample Shipments of Chemical
Precursors.’’
1C352 Animal pathogens, as follows (see
List of Items Controlled).
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List of Items Controlled
Related Controls: * * *
Related Definitions: * * *
Items:
a. * * *
a.8. Rabies virus and all other members of
the Lyssavirus genus;
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15. In Supplement No. 1 to Part 774
(the Commerce Control List), Category
1—Special Materials and Related
Equipment, Chemicals,
‘‘Microorganisms’’ and ‘‘Toxins,’’ ECCN
1C353 is amended by revising Technical
Note 1, following the ‘‘Items’’ paragraph
under the List of Items Controlled
section, to read as follows:
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13. In Supplement No. 1 to Part 774
(the Commerce Control List), Category
1—Special Materials and Related
Equipment, Chemicals,
‘‘Microorganisms’’ and ‘‘Toxins,’’ ECCN
1C351 is amended, under the List Based
License Exceptions section, by adding
an ‘‘STA’’ paragraph following the
‘‘CIV’’ paragraph and, under the List of
Items Controlled section, by revising
paragraph d.5 in the ‘‘Items’’ paragraph
to read as follows:
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1C351 Human and zoonotic pathogens and
‘‘toxins’’, as follows (see List of Items
Controlled).
List of Items Controlled
Related Controls: * * *
Related Definition: * * *
Items:
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List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: * * *
GBS: * * *
CIV: * * *
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License
Exception STA (§ 740.20(c)(1)) may be
used for items in 1C351.d.1 through
1C351.d.10 and 1C351.d.13 through
1C351.d.19. See § 740.20(b)(2)(vi) for
restrictions on the quantity of any one
toxin that may be exported in a single
shipment and the number of shipments
that may be made to any one end user in
a single calendar year. Also see the
Automated Export System (AES)
requirements in § 758.1(b)(4) of the EAR.
(2) Paragraph (c)(2) of License Exception
STA (§ 740.20(c)(2) of the EAR) may not be
used for any items in 1C351.
List of Items Controlled
Related Controls: * * *
Related Definitions: * * *
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1C353 Genetic elements and genetically
modified organisms, as follows (see List
of Items Controlled).
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17. In Supplement No. 1 to Part 774
(the Commerce Control List), Category
2—Materials Processing, ECCN 2B352 is
amended under the ‘‘Items’’ paragraph
in the List of Items Controlled section
by revising paragraph b. and the
Technical Note thereto to read as
follows:
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2B352 Equipment capable of use in
handling biological materials, as follows
(see List of Items Controlled).
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List of Items Controlled
Related Controls: * * *
Related Definitions: * * *
Items:
a. * * *
b. Fermenters and components as follows:
b.1. Fermenters capable of cultivation of
pathogenic micro-organisms or of live cells
for the production of pathogenic viruses or
toxins, without the propagation of aerosols,
having a capacity of 20 liters or greater.
b.2. Components designed for such
fermenters, as follows:
b.2.a. Cultivation chambers designed to be
sterilized or disinfected in situ;
b.2.b. Cultivation chamber holding devices;
or
b.2.c. Process control units capable of
simultaneously monitoring and controlling
two or more fermentation system parameters
(e.g., temperature, pH, nutrients, agitation,
dissolved oxygen, air flow, foam control).
TECHNICAL NOTE: Fermenters include
bioreactors (including single-use (disposable)
bioreactors), chemostats and continuous-flow
systems.
Technical Notes:
1. ‘‘Genetic elements’’ include, inter alia,
chromosomes, genomes, plasmids,
transposons, and vectors, whether genetically
modified or unmodified, or chemically
synthesized in whole or in part.
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[FR Doc. 2014–06406 Filed 3–25–14; 8:45 am]
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■ 16. In Supplement No. 1 to Part 774
(the Commerce Control List), Category
2—Materials Processing, ECCN 2B350 is
amended by revising the introductory
text of paragraph b. in the ‘‘Items’’
paragraph under the List of Items
Controlled section to read as follows:
2B350 Chemical manufacturing facilities
and equipment, except valves controlled
by 2A226 or 2A292, as follows (see List
of Items Controlled).
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List of Items Controlled
Related Controls: * * *
Related Definition: * * *
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Items:
a. * * *
b. Agitators designed for use in reaction
vessels or reactors described in 2B350.a, and
impellers, blades or shafts designed for such
agitators, where all surfaces that come in
direct contact with the chemical(s) being
processed or contained are made from any of
the following materials:
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Dated: March 18, 2014.
Kevin J. Wolf,
Assistant Secretary for Export
Administration.
BILLING CODE 3510–33–P
DEPARTMENT OF COMMERCE
National Technical Information Service
15 CFR Part 1110
[Docket Number: 140321001–4001–01]
RIN 0692–AA21
Temporary Certification Program for
Access to the Death Master File
National Technical Information
Service, U.S. Department of Commerce.
AGENCY:
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ACTION:
Interim final rule.
The National Technical
Information Service is issuing this
interim final rule to establish a
certification program under which
persons may obtain immediate access to
the publicly available Death Master File
(DMF), pursuant to Section 203 of the
Bipartisan Budget Act of 2013 (Act).
This rule sets forth temporary
requirements to become a certified
person, provides that certified persons
will be subject to periodic and
unscheduled audits, and provides for
the imposition of penalty upon any
person who discloses or uses DMF
information in a manner not in
accordance with the Act. This rule also
provides for the charging of fees for the
certification program.
DATES: This rule is effective on March
26, 2014. Comments are due on this
interim final rule on or before 5:00 p.m.
Eastern time April 25, 2014.
ADDRESSES: National Technical
Information Service, 5301 Shawnee
Road, Alexandria, VA 22312. 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.
FOR FURTHER INFORMATION CONTACT: John
Hounsell at jhounsell@ntis.gov, by mail
at NTIS, 5301 Shawnee Road,
Alexandria, VA 22312, or by telephone
at 703–605–6184. Information about the
DMF made available to the public by
NTIS may be found at https://
dmf.ntis.gov.
SUMMARY:
SUPPLEMENTARY INFORMATION:
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Background
This interim final rule establishes a
temporary certification program for
persons who seek access to the Death
Master File (DMF), as defined in 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 an individual’s 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 the establishment of 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
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to the Director, National Technical
Information Service (NTIS).
NTIS published a Request for
Information and Advance Notice of
Public Meeting on the Certification
Program for Access to the Death Master
File (RFI) at 79 FR 11735, available at
https://www.gpo.gov/fdsys/pkg/FR-201403-03/pdf/2014-04584.pdf. The public
meeting was held March 4, 2014, from
9:00 a.m. to 12:00 p.m. Eastern time at
the United States Patent and Trademark
Office, Madison Building West, 600
Dulany Street, Alexandria, VA 22314.
The public meeting was also webcast.
Written comments received in response
to the RFI, and a transcription of oral
comments made and comments
submitted via webcast at the public
meeting, may be viewed at https://
dmf.ntis.gov/.
In response to the RFI, NTIS received
approximately 70 written comments, as
well as oral and webcast comments at
the public meeting. Among the
commenters, 12 were insurance
companies, 9 were industry
associations, 6 were banks or credit
services, 4 were pension funds,
approximately 20 were various types of
service providers, and the rest were
individuals, including 8 genealogists, 6
investigators and 3 medical researchers.
Among the insurance companies and
service providers, the most frequent
comment received was that without
continued access to the DMF, these
organizations would be unable to
prevent various types of fraud. For
example, life insurance companies
commented that they use the DMF to
ensure that they are paying a valid claim
to proper beneficiaries. Other
commenters stressed that their
continued access to the DMF is
necessary to prevent credit card fraud.
Others commented that they require
continued access to the DMF to
complete timely research to locate legal
heirs to estates and unclaimed property.
The statute and the temporary
certification program established under
this interim final rule permit all entities
that meet the certification requirements
to have access to the Limited Access
DMF (as defined in the rule). In
contrast, others commented that the
nature of their use of the DMF was such
that the Act should not be applied to
them in accessing the DMF; however,
the Act does not provide for exceptions.
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
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individual at any time during the threecalendar-year period beginning on the
date of the individual’s death, unless
such person is certified under a program
established under the Act.
Section 203(b)(1) of the Act directs
the Secretary to establish a program to
certify persons who are eligible to
access the information contained on the
Death Master File, and to perform
periodic and unscheduled audits of
certified persons to determine
compliance with the program.
Under Section 203(b)(2) of the Act, a
person shall not be certified under the
program unless such person certifies
that access to the information 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 charge fees to recover
all costs of evaluating applications for
certification and auditing, inspecting,
and monitoring certified persons under
the program. Section 203(b)(3)(B) of the
Act requires the Secretary to report
annually to the Congress on the fees
collected and the cost of administering
the program.
Section 203(c)(1) of the Act provides
that any certified person who receives
DMF information as defined in Section
203(a), and who (A) discloses such
information to any person other than a
person meeting the requirements of
subparagraphs (A), (B), and (C) of
subsection (b)(2), or (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), shall pay a
penalty of $1,000 for each such
disclosure or use, as shall any person to
whom such information is disclosed
who further discloses or uses such
information as described in the
preceding subparagraphs. Under Section
203(c)(2), there is a $250,000 limit on
the total penalty that can be imposed on
any person for any calendar year, unless
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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,
the Freedom of Information Act (FOIA)
shall not apply to compel any Federal
agency to disclose information
contained on the Death Master File with
respect to any deceased individual at
any time during the three-calendar-year
period beginning on the date of the
individual’s death to anyone other than
a certified person. Section 203(e)(2) of
the Act provides that Section 203 shall
be considered a statute under FOIA
section 552(b)(3).
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.
As noted in the RFI, several Members
of Congress described their
understanding of the purpose and
meaning of Section 203 during
Congressional debate on the Joint
Resolution which became the Act, and
citations to those Member statements
are provided in the RFI. The RFI also
provides background on the component
of the DMF covered by Section 203,
which originates from the Social
Security Administration.
In addition, to comply with the
certification program requirements
established under this interim final rule,
certified persons who receive Limited
Access DMF may not themselves
redistribute such information in an
unrestricted manner, including over the
Internet.
The interim final rule defines
‘‘Persons’’ to include corporations,
companies, associations, firms,
partnerships, societies, and other stock
companies, as well as individuals, but
does not include Executive departments
or agencies. Executive departments or
agencies will not have to complete the
Certification Form as set forth in the
rule. Those working on behalf of and
authorized by Executive departments or
agencies may access the Limited Access
DMF through that sponsoring Executive
department or agency. If, however, an
Executive department or agency wishes
those working on its behalf to access the
Limited Access DMF directly from
NTIS, then those working on behalf of
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that Executive department or agency
will be required to complete and submit
the Certification Form as set forth in the
rule and enter into a subscription
agreement with NTIS in order to access
the Limited Access DMF.
This interim final rule contains
general provisions regarding
implementation of the Act and
establishes the interim procedure for
becoming a certified person. These
general provisions and the interim
procedure are effective immediately.
Due to the extremely important issues
raised by potential misuse of the DMF,
including concerns about availability of
sensitive information transmitted across
the Internet, and the statutory deadline
for establishing a certification program,
NTIS is issuing this interim final rule.
NTIS plans to continue to refine the
certification program, consistent with
the Act through a separate notice and
comment rulemaking process, to be
initiated as soon as possible.
Additional Information
Executive Order 12866
This rule has been determined to be
significant of Executive Order 12866.
Executive Order 12612
This rule does not contain policies
with Federalism implications sufficient
to warrant preparation of a Federalism
assessment under Executive Order
12612.
Administrative Procedure Act
NTIS finds good cause to waive the
notice and comment provisions in 5
U.S.C 553(b)(B) because failure to do so
would be contrary to the public interest.
Under Section 203 of the Act, on March
26, 2014, the Secretary must cease any
and all disclosure of DMF data within
three calendar years of a person’s death
unless the recipient of the data is
certified. Many of the current
subscribers of the DMF data, such as
insurance companies and credit card
companies, use the data for fraud
prevention purposes. If this rule is not
effective by March 26, 2014, these
companies will no longer be able to
receive data necessary to prevent fraud
in their industry. At the public meeting
NTIS held on March 4, commenters
explained why they thought their use of
the DMF was legitimate under the Act,
and emphasized the necessity of
uninterrupted access to the DMF for
their business. Comments were also
received regarding the content of a
certification form that might be used in
conjunction with a certification program
under the Act. Given the statutory
deadline associated with implementing
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the Act, it was not possible to address
all of the arguments and comments
presented before promulgating this
interim final rule. Waiving the notice
and comment requirements of the
Administrative Procedure Act to make
this rule effective immediately will
allow entities who use the DMF for
legitimate purposes, as defined in the
Act, to continue to access the data
through certification of their compliance
with the requirements of Section 203.
Regulatory Flexibility Act
Because notice and comment are not
required under 5 U.S.C. 553, or any
other law, the analytical requirements of
the Regulatory Flexibility Act (5 U.S.C.
601 et seq.) are inapplicable. As such, a
regulatory flexibility analysis is not
required, and none has been prepared.
Paperwork Reduction Act
This interim final rule contains a
collection of information requirement
subject to the Paperwork Reduction Act
and which has been approved by the
Office of Management and Budget
(OMB) under Control Number 0692–
0013. This interim final rule requires
that applicants certify their compliance
with the requirements of Section 203 of
the Act.
Notwithstanding any other provision
of the law, no person is required to, nor
shall any person be subject to penalty
for failure to comply with a collection
of information, subject to the
requirements of the Paperwork
Reduction Act, unless that collection of
information displays a currently valid
OMB Control Number.
National Environmental Policy Act
This rule will not significantly affect
the quality of the human environment.
Therefore, an environmental assessment
or Environmental Impact Statement is
not required to be prepared under the
National Environmental Policy Act of
1969.
List of Subjects in 15 CFR Part 1110
Certification program, Fees,
Imposition of penalty.
Dated: March 21, 2014.
Bruce Borzino,
Director.
For reasons set forth in the preamble,
the National Technical Information
Service amends 15 CFR chapter XI to
add a new part 1110, as follows:
PART 1110—CERTIFICATION
PROGRAM FOR ACCESS TO THE
DEATH MASTER FILE
Subpart A—General
Sec.
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1110.1
1110.2
Description of rule; applicability.
Definitions used in this part.
Person. This term includes
corporations, companies, associations,
firms, partnerships, societies, and joint
stock companies, as well as individuals.
Subpart B—Certification Program
1110.100 Scope.
1110.101 Submission of Certification.
1110.102 Certification.
Authority: Pub. L. 113–67, Sec. 203.
Subpart A—General
Description of rule; applicability.
(a) The Bipartisan Budget Act of 2013
(Pub. L. 113–67), Section 203, provides
for the establishment of a fee-based
certification program for persons who
seek access to the Death Master File
(DMF), and prohibits disclosure of DMF
information for an individual during the
three-calendar-year period following the
individual’s death, unless the person
requesting the information has been
certified.
(b) This part is applicable to any
Person seeking access to a Limited
Access DMF, as defined in this part.
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§ 1110.2
Definitions used in this part.
The following definitions are
applicable to this part:
Act. The Bipartisan Budget Act of
2013 (Pub. L. 113–67).
Certified Person. A Person who has
been certified under the certification
program established under this part and
is eligible to access the Limited Access
DMF.
DMF. Death Master File.
Death Master File. 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)).
Limited Access DMF. The DMF
product made available by NTIS which
includes DMF with respect to any
deceased individual at any time during
the three-calendar-year period
beginning on the date of the individual’s
death.
NTIS. The National Technical
Information Service, United States
Department of Commerce.
Open Access DMF. The DMF product
made available by NTIS which does not
include DMF with respect to any
deceased individual at any time during
the three-calendar-year period
beginning on the date of the individual’s
death.
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In order to become certified under the
certification program established under
this part, a Person must submit a
completed certification statement, using
the form NTIS FM161 with OMB
Control Number 0692–0013, and its
accompanying instructions at https://
dmf.ntis.gov.
§ 1110.102
Subpart C—Penalties and Audits
§ 1110.100
Subpart D—Fees
1110.300 Fees.
§ 1110.1
(i) Disclose such deceased
individual’s DMF to any person other
than a person who meets the
requirements of paragraphs (a)(1)
through (3) of this section;
(ii) Disclose such deceased
individual’s DMF to any person who
uses the information for any purpose
other than a legitimate fraud prevention
interest or a legitimate business purpose
pursuant to a law, governmental rule,
regulation, or fiduciary duty;
(iii) Disclose such deceased
individual’s DMF to any person who
further discloses the information to any
person other than a person who meets
the requirements of paragraphs (a)(1)
through (3) of this section; or
(iv) Use any such deceased
individual’s DMF for any purpose other
than a legitimate fraud prevention
interest or a legitimate business purpose
pursuant to a law, governmental rule,
regulation, or fiduciary duty,
(b) The certification required in this
section shall state whether such Person
intends to disclose such deceased
individual’s DMF to any person, and if
so, shall state the manner of such
disclosure and how such Person will
ensure compliance with paragraphs
(a)(4)(i) through (iii) of this section.
Subpart B—Certification Program
Subpart C—Penalties and Audits
1110.200 Imposition of Penalty.
1110.201 Audits.
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Scope.
(a) Any Person desiring access to the
Limited Access DMF must certify in
accordance with this part. Upon
acceptance of a Person’s certification by
NTIS, such Person will be a Certified
Person, will be entered into the publicly
available list of Certified Persons
maintained by NTIS, and will be eligible
to access the Limited Access DMF made
available by NTIS through subscription.
(b) Certification under this part is not
required for any Person to access the
Open Access DMF made available by
NTIS; however, a Certified Person may
also access the Open Access DMF.
§ 1110.101
Submission of Certification.
Certification.
In order to be certified to be eligible
to access the Limited Access DMF under
the certification program established
under this part, a Person shall certify, in
the manner set forth in this part and
pursuant to section 1001 of title 18,
United States Code, that
(a) Such Person’s access to the
Limited Access DMF is appropriate
because:
(1) Such Person has a legitimate fraud
prevention interest, or has a legitimate
business purpose pursuant to a law,
governmental rule, regulation, or
fiduciary duty, and shall specify the
basis for so certifying;
(2) Such Person has systems,
facilities, and procedures in place to
safeguard the accessed information, and
experience in maintaining the
confidentiality, security, and
appropriate use of accessed information,
pursuant to requirements similar to the
requirements of section 6103(p)(4) of the
Internal Revenue Code of 1986;
(3) Such Person agrees to satisfy the
requirements of such section 6103(p)(4)
as if such section applied to such
Person;
(4) Such Person shall not, with
respect to DMF of any deceased
individual at any time during the threecalendar-year period beginning on the
date of the individual’s death:
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§ 1110.200
Imposition of Penalty.
(a) General. (1) Any Person certified
under this part who receives DMF
including information about any
deceased individual at any time during
the three-calendar-year period
beginning on the date of the individual’s
death, and who during such threecalendar-year period:
(i) Discloses such deceased
individual’s DMF information to any
person other than a person who meets
the requirements of § 1110.102(a)(1)
through (3);
(ii) Discloses such deceased
individual’s DMF to any person who
uses the information for any purpose
other than a legitimate fraud prevention
interest or a legitimate business purpose
pursuant to a law, governmental rule,
regulation, or fiduciary duty;
(iii) Discloses such deceased
individual’s DMF to any person who
further discloses the information to any
person other than a person who meets
the requirements of § 1110.102(a)(1)
through (3); or
(iv) Uses any such deceased
individual’s DMF for any purpose other
than a legitimate fraud prevention
interest or a legitimate business purpose
pursuant to a law, governmental rule,
regulation, or fiduciary duty
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Federal Register / Vol. 79, No. 58 / Wednesday, March 26, 2014 / Rules and Regulations
(2) Any Person to whom such
information is disclosed, whether or not
such Person is certified under this part,
who further discloses or uses such
information as described in paragraphs
(a)(1)(i) through (iv) of this section shall
pay to the General Fund of the United
States Department of the Treasury a
penalty of $1,000 for each such
disclosure or use.
(b) Limitation on Penalty. The total
amount of the penalty imposed under
this part on any Person for any calendar
year shall not exceed $250,000.
§ 1110.201
Audits.
Any Person certified under this part
shall, as a condition of certification,
agree to be subject to audit by NTIS to
determine the compliance by such
Person with the requirements of this
part. NTIS may conduct periodic and
unscheduled audits of the systems,
facilities, and procedures of any
Certified Person relating to such
Certified Person’s access to, and use and
distribution of, Limited Access DMF,
during regular business hours.
Subpart D—Fees
§ 1110.300
Fees.
Fees for the costs associated with
evaluating applications for certification
of Certified Persons under this part are
as follows:
Processing of Certification Form
and maintenance of Registry of
Certified Persons ......................
$200.00
[FR Doc. 2014–06701 Filed 3–25–14; 8:45 am]
BILLING CODE 3510–04–P
COMMODITY FUTURES TRADING
COMMISSION
17 CFR Part 49
RIN 3038–AE14
Swap Data Repositories—Access to
SDR Data by Market Participants
Commodity Futures Trading
Commission.
ACTION: Interim final rule; request for
comment.
AGENCY:
The Commodity Futures
Trading Commission (‘‘Commission’’ or
‘‘CFTC’’) is adopting an interim final
rule to clarify the scope of permissible
access by market participants to swap
data and information maintained by a
registered swap data repository (‘‘SDR’’).
Specifically, the interim final rule
clarifies that, for a swap that is executed
anonymously on a swap execution
facility or designated contract market,
and then cleared in accordance with the
emcdonald on DSK67QTVN1PROD with RULES
SUMMARY:
VerDate Mar<15>2010
16:11 Mar 25, 2014
Jkt 232001
Commission’s straight-through
processing requirements, the data and
information maintained by a registered
SDR that may be accessed by either
counterparty to the swap does not
include the identity of the other
counterparty to the swap, the identity of
the other counterparty’s clearing
member for the swap, or such
counterparty’s or clearing member’s
legal entity identifier.
DATES: Effective date: This interim final
rule is effective March 26, 2014.
Comment date: Comments on this
interim final rule must be submitted on
or before April 25, 2014.
ADDRESSES: You may submit comments,
identified by RIN number 3038–AE14,
by any of the following methods:
• Agency Web site—via Comments
Online process: https://
comments.cftc.gov. Follow the
instructions for submitting comments
through the Web site.
• Mail: Melissa D. Jurgens, Secretary
of the Commission, Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street NW.,
Washington, DC 20581.
• Hand delivery/courier: Same as
Mail, above.
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments
through the portal.
Please submit your comments using
only one method.
All comments must be submitted in
English, or if not, accompanied by an
English translation. Comments will be
posted as received to https://
www.cftc.gov. You should submit only
information that you wish to make
available publicly. If you wish the
Commission to consider information
that you believe is exempt from
disclosure under the Freedom of
Information Act, a petition for
confidential treatment of the exempt
information may be submitted according
to the procedures established in § 145.9
of the Commission’s regulations.1
The Commission reserves the right,
but shall have no obligation, to review,
pre-screen, filter, redact, refuse, or
remove any or all of your submission
from https://www.cftc.gov that it may
deem to be inappropriate for
publication, such as obscene language.
All submissions that have been redacted
or removed that contain comments on
the merits of this action will be retained
in the public comment file and will be
considered as required under the
Administrative Procedure Act and other
applicable laws, and may be accessible
under the Freedom of Information Act.
FOR FURTHER INFORMATION CONTACT:
Nora Flood, Attorney Advisor, (202)
418–5354, nflood@cftc.gov, or Laurie
Gussow, Special Counsel, (202) 418–
7623, lgussow@cftc.gov, Division of
Market Oversight, Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street NW.,
Washington, DC 20581.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
A. Dodd-Frank Act Section 728; CEA
Section 21
B. Access to SDR Data by Market
Participants
II. Scope of Permissible Access to SDR Data
and Information by Counterparties to
Anonymously Executed, Cleared Swaps
A. Discussion
B. Amendment to 17 CFR 49.17(f)(2)
III. Request for Comment on Interim Final
Rule
IV. Related Matters
A. Administrative Procedure Act
B. Paperwork Reduction Act
C. Regulatory Flexibility Act
D. Cost Benefit Considerations
I. Background
A. Dodd-Frank Act Section 728; CEA
Section 21
On July 21, 2010, President Obama
signed into law the Dodd-Frank Wall
Street Reform and Consumer Protection
Act (‘‘Dodd-Frank Act’’).2 Title VII of
the Dodd-Frank Act amended the
Commodity Exchange Act (‘‘CEA’’ or
‘‘Act’’) 3 to establish a comprehensive
new regulatory framework for swaps.
The legislation was enacted to reduce
systemic risk, increase transparency,
and promote market integrity within the
financial system by, among other things:
(1) Providing for the registration and
comprehensive regulation of swap
dealers and major swap participants; (2)
imposing clearing and trade execution
requirements on standardized derivative
products; (3) creating a rigorous
recordkeeping and data reporting regime
with respect to swaps, including realtime public reporting; and (4) enhancing
the Commission’s rulemaking and
enforcement authorities over all
registered entities, intermediaries and
swap counterparties subject to the
Commission’s oversight.
Section 728 of the Dodd-Frank Act
added new section 21 to the CEA,
establishing swap data repositories, or
‘‘SDRs’’, as a new category of
Commission registered entity. The SDR
2 Public
1 See
PO 00000
17 CFR 145.9.
Frm 00022
Fmt 4700
37
Sfmt 4700
Law 111–203, 124 Stat. 1376 (2010).
U.S.C. 1 et seq.
E:\FR\FM\26MRR1.SGM
26MRR1
]]>Agencies
[Federal Register Volume 79, Number 58 (Wednesday, March 26, 2014)]
[Rules and Regulations]
[Pages 16668-16672]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-06701]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
National Technical Information Service
15 CFR Part 1110
[Docket Number: 140321001-4001-01]
RIN 0692-AA21
Temporary Certification Program for Access to the Death Master
File
AGENCY: National Technical Information Service, U.S. Department of
Commerce.
[[Page 16669]]
ACTION: Interim final rule.
-----------------------------------------------------------------------
SUMMARY: The National Technical Information Service is issuing this
interim final rule to establish a certification program under which
persons may obtain immediate access to the publicly available Death
Master File (DMF), pursuant to Section 203 of the Bipartisan Budget Act
of 2013 (Act). This rule sets forth temporary requirements to become a
certified person, provides that certified persons will be subject to
periodic and unscheduled audits, and provides for the imposition of
penalty upon any person who discloses or uses DMF information in a
manner not in accordance with the Act. This rule also provides for the
charging of fees for the certification program.
DATES: This rule is effective on March 26, 2014. Comments are due on
this interim final rule on or before 5:00 p.m. Eastern time April 25,
2014.
ADDRESSES: National Technical Information Service, 5301 Shawnee Road,
Alexandria, VA 22312. 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.
FOR FURTHER INFORMATION CONTACT: John Hounsell at jhounsell@ntis.gov,
by mail at NTIS, 5301 Shawnee Road, Alexandria, VA 22312, or by
telephone at 703-605-6184. Information about the DMF made available to
the public by NTIS may be found at https://dmf.ntis.gov.
SUPPLEMENTARY INFORMATION:
Background
This interim final rule establishes a temporary certification
program for persons who seek access to the Death Master File (DMF), as
defined in 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 an individual's 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 the establishment of 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 Director, National Technical Information Service (NTIS).
NTIS published a Request for Information and Advance Notice of
Public Meeting on the Certification Program for Access to the Death
Master File (RFI) at 79 FR 11735, available at https://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04584.pdf. The public meeting was held
March 4, 2014, from 9:00 a.m. to 12:00 p.m. Eastern time at the United
States Patent and Trademark Office, Madison Building West, 600 Dulany
Street, Alexandria, VA 22314. The public meeting was also webcast.
Written comments received in response to the RFI, and a transcription
of oral comments made and comments submitted via webcast at the public
meeting, may be viewed at https://dmf.ntis.gov/.
In response to the RFI, NTIS received approximately 70 written
comments, as well as oral and webcast comments at the public meeting.
Among the commenters, 12 were insurance companies, 9 were industry
associations, 6 were banks or credit services, 4 were pension funds,
approximately 20 were various types of service providers, and the rest
were individuals, including 8 genealogists, 6 investigators and 3
medical researchers. Among the insurance companies and service
providers, the most frequent comment received was that without
continued access to the DMF, these organizations would be unable to
prevent various types of fraud. For example, life insurance companies
commented that they use the DMF to ensure that they are paying a valid
claim to proper beneficiaries. Other commenters stressed that their
continued access to the DMF is necessary to prevent credit card fraud.
Others commented that they require continued access to the DMF to
complete timely research to locate legal heirs to estates and unclaimed
property. The statute and the temporary certification program
established under this interim final rule permit all entities that meet
the certification requirements to have access to the Limited Access DMF
(as defined in the rule). In contrast, others commented that the nature
of their use of the DMF was such that the Act should not be applied to
them in accessing the DMF; however, the Act does not provide for
exceptions.
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 three-calendar-year period beginning on the date of the
individual's death, unless such person is certified under a program
established under the Act.
Section 203(b)(1) of the Act directs the Secretary to establish a
program to certify persons who are eligible to access the information
contained on the Death Master File, and to perform periodic and
unscheduled audits of certified persons to determine compliance with
the program.
Under Section 203(b)(2) of the Act, a person shall not be certified
under the program unless such person certifies that access to the
information 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 charge
fees to recover all costs of evaluating applications for certification
and auditing, inspecting, and monitoring certified persons under the
program. Section 203(b)(3)(B) of the Act requires the Secretary to
report annually to the Congress on the fees collected and the cost of
administering the program.
Section 203(c)(1) of the Act provides that any certified person who
receives DMF information as defined in Section 203(a), and who (A)
discloses such information to any person other than a person meeting
the requirements of subparagraphs (A), (B), and (C) of subsection
(b)(2), or (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), shall pay a penalty of $1,000 for
each such disclosure or use, as shall any person to whom such
information is disclosed who further discloses or uses such information
as described in the preceding subparagraphs. Under Section 203(c)(2),
there is a $250,000 limit on the total penalty that can be imposed on
any person for any calendar year, unless
[[Page 16670]]
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, the Freedom of Information Act
(FOIA) shall not apply to compel any Federal agency to disclose
information contained on the Death Master File with respect to any
deceased individual at any time during the three-calendar-year period
beginning on the date of the individual's death to anyone other than a
certified person. Section 203(e)(2) of the Act provides that Section
203 shall be considered a statute under FOIA section 552(b)(3).
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.
As noted in the RFI, several Members of Congress described their
understanding of the purpose and meaning of Section 203 during
Congressional debate on the Joint Resolution which became the Act, and
citations to those Member statements are provided in the RFI. The RFI
also provides background on the component of the DMF covered by Section
203, which originates from the Social Security Administration.
In addition, to comply with the certification program requirements
established under this interim final rule, certified persons who
receive Limited Access DMF may not themselves redistribute such
information in an unrestricted manner, including over the Internet.
The interim final rule defines ``Persons'' to include corporations,
companies, associations, firms, partnerships, societies, and other
stock companies, as well as individuals, but does not include Executive
departments or agencies. Executive departments or agencies will not
have to complete the Certification Form as set forth in the rule. Those
working on behalf of and authorized by Executive departments or
agencies may access the Limited Access DMF through that sponsoring
Executive department or agency. If, however, an Executive department or
agency wishes those working on its behalf to access the Limited Access
DMF directly from NTIS, then those working on behalf of that Executive
department or agency will be required to complete and submit the
Certification Form as set forth in the rule and enter into a
subscription agreement with NTIS in order to access the Limited Access
DMF.
This interim final rule contains general provisions regarding
implementation of the Act and establishes the interim procedure for
becoming a certified person. These general provisions and the interim
procedure are effective immediately. Due to the extremely important
issues raised by potential misuse of the DMF, including concerns about
availability of sensitive information transmitted across the Internet,
and the statutory deadline for establishing a certification program,
NTIS is issuing this interim final rule. NTIS plans to continue to
refine the certification program, consistent with the Act through a
separate notice and comment rulemaking process, to be initiated as soon
as possible.
Additional Information
Executive Order 12866
This rule has been determined to be significant of Executive Order
12866.
Executive Order 12612
This rule does not contain policies with Federalism implications
sufficient to warrant preparation of a Federalism assessment under
Executive Order 12612.
Administrative Procedure Act
NTIS finds good cause to waive the notice and comment provisions in
5 U.S.C 553(b)(B) because failure to do so would be contrary to the
public interest. Under Section 203 of the Act, on March 26, 2014, the
Secretary must cease any and all disclosure of DMF data within three
calendar years of a person's death unless the recipient of the data is
certified. Many of the current subscribers of the DMF data, such as
insurance companies and credit card companies, use the data for fraud
prevention purposes. If this rule is not effective by March 26, 2014,
these companies will no longer be able to receive data necessary to
prevent fraud in their industry. At the public meeting NTIS held on
March 4, commenters explained why they thought their use of the DMF was
legitimate under the Act, and emphasized the necessity of uninterrupted
access to the DMF for their business. Comments were also received
regarding the content of a certification form that might be used in
conjunction with a certification program under the Act. Given the
statutory deadline associated with implementing the Act, it was not
possible to address all of the arguments and comments presented before
promulgating this interim final rule. Waiving the notice and comment
requirements of the Administrative Procedure Act to make this rule
effective immediately will allow entities who use the DMF for
legitimate purposes, as defined in the Act, to continue to access the
data through certification of their compliance with the requirements of
Section 203.
Regulatory Flexibility Act
Because notice and comment are not required under 5 U.S.C. 553, or
any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are inapplicable. As such, a
regulatory flexibility analysis is not required, and none has been
prepared.
Paperwork Reduction Act
This interim final rule contains a collection of information
requirement subject to the Paperwork Reduction Act and which has been
approved by the Office of Management and Budget (OMB) under Control
Number 0692-0013. This interim final rule requires that applicants
certify their compliance with the requirements of Section 203 of the
Act.
Notwithstanding any other provision of the law, no person is
required to, nor shall any person be subject to penalty for failure to
comply with a collection of information, subject to the requirements of
the Paperwork Reduction Act, unless that collection of information
displays a currently valid OMB Control Number.
National Environmental Policy Act
This rule will not significantly affect the quality of the human
environment. Therefore, an environmental assessment or Environmental
Impact Statement is not required to be prepared under the National
Environmental Policy Act of 1969.
List of Subjects in 15 CFR Part 1110
Certification program, Fees, Imposition of penalty.
Dated: March 21, 2014.
Bruce Borzino,
Director.
For reasons set forth in the preamble, the National Technical
Information Service amends 15 CFR chapter XI to add a new part 1110, as
follows:
PART 1110--CERTIFICATION PROGRAM FOR ACCESS TO THE DEATH MASTER
FILE
Subpart A--General
Sec.
[[Page 16671]]
1110.1 Description of rule; applicability.
1110.2 Definitions used in this part.
Subpart B--Certification Program
1110.100 Scope.
1110.101 Submission of Certification.
1110.102 Certification.
Subpart C--Penalties and Audits
1110.200 Imposition of Penalty.
1110.201 Audits.
Subpart D--Fees
1110.300 Fees.
Authority: Pub. L. 113-67, Sec. 203.
Subpart A--General
Sec. 1110.1 Description of rule; applicability.
(a) The Bipartisan Budget Act of 2013 (Pub. L. 113-67), Section
203, provides for the establishment of a fee-based certification
program for persons who seek access to the Death Master File (DMF), and
prohibits disclosure of DMF information for an individual during the
three-calendar-year period following the individual's death, unless the
person requesting the information has been certified.
(b) This part is applicable to any Person seeking access to a
Limited Access DMF, as defined in this part.
Sec. 1110.2 Definitions used in this part.
The following definitions are applicable to this part:
Act. The Bipartisan Budget Act of 2013 (Pub. L. 113-67).
Certified Person. A Person who has been certified under the
certification program established under this part and is eligible to
access the Limited Access DMF.
DMF. Death Master File.
Death Master File. 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)).
Limited Access DMF. The DMF product made available by NTIS which
includes DMF with respect to any deceased individual at any time during
the three-calendar-year period beginning on the date of the
individual's death.
NTIS. The National Technical Information Service, United States
Department of Commerce.
Open Access DMF. The DMF product made available by NTIS which does
not include DMF with respect to any deceased individual at any time
during the three-calendar-year period beginning on the date of the
individual's death.
Person. This term includes corporations, companies, associations,
firms, partnerships, societies, and joint stock companies, as well as
individuals.
Subpart B--Certification Program
Sec. 1110.100 Scope.
(a) Any Person desiring access to the Limited Access DMF must
certify in accordance with this part. Upon acceptance of a Person's
certification by NTIS, such Person will be a Certified Person, will be
entered into the publicly available list of Certified Persons
maintained by NTIS, and will be eligible to access the Limited Access
DMF made available by NTIS through subscription.
(b) Certification under this part is not required for any Person to
access the Open Access DMF made available by NTIS; however, a Certified
Person may also access the Open Access DMF.
Sec. 1110.101 Submission of Certification.
In order to become certified under the certification program
established under this part, a Person must submit a completed
certification statement, using the form NTIS FM161 with OMB Control
Number 0692-0013, and its accompanying instructions at https://dmf.ntis.gov.
Sec. 1110.102 Certification.
In order to be certified to be eligible to access the Limited
Access DMF under the certification program established under this part,
a Person shall certify, in the manner set forth in this part and
pursuant to section 1001 of title 18, United States Code, that
(a) Such Person's access to the Limited Access DMF is appropriate
because:
(1) Such Person has a legitimate fraud prevention interest, or has
a legitimate business purpose pursuant to a law, governmental rule,
regulation, or fiduciary duty, and shall specify the basis for so
certifying;
(2) Such Person has systems, facilities, and procedures in place to
safeguard the accessed information, and experience in maintaining the
confidentiality, security, and appropriate use of accessed information,
pursuant to requirements similar to the requirements of section
6103(p)(4) of the Internal Revenue Code of 1986;
(3) Such Person agrees to satisfy the requirements of such section
6103(p)(4) as if such section applied to such Person;
(4) Such Person shall not, with respect to DMF of any deceased
individual at any time during the three-calendar-year period beginning
on the date of the individual's death:
(i) Disclose such deceased individual's DMF to any person other
than a person who meets the requirements of paragraphs (a)(1) through
(3) of this section;
(ii) Disclose such deceased individual's DMF to any person who uses
the information for any purpose other than a legitimate fraud
prevention interest or a legitimate business purpose pursuant to a law,
governmental rule, regulation, or fiduciary duty;
(iii) Disclose such deceased individual's DMF to any person who
further discloses the information to any person other than a person who
meets the requirements of paragraphs (a)(1) through (3) of this
section; or
(iv) Use any such deceased individual's DMF for any purpose other
than a legitimate fraud prevention interest or a legitimate business
purpose pursuant to a law, governmental rule, regulation, or fiduciary
duty,
(b) The certification required in this section shall state whether
such Person intends to disclose such deceased individual's DMF to any
person, and if so, shall state the manner of such disclosure and how
such Person will ensure compliance with paragraphs (a)(4)(i) through
(iii) of this section.
Subpart C--Penalties and Audits
Sec. 1110.200 Imposition of Penalty.
(a) General. (1) Any Person certified under this part who receives
DMF including information about any deceased individual at any time
during the three-calendar-year period beginning on the date of the
individual's death, and who during such three-calendar-year period:
(i) Discloses such deceased individual's DMF information to any
person other than a person who meets the requirements of Sec.
1110.102(a)(1) through (3);
(ii) Discloses such deceased individual's DMF to any person who
uses the information for any purpose other than a legitimate fraud
prevention interest or a legitimate business purpose pursuant to a law,
governmental rule, regulation, or fiduciary duty;
(iii) Discloses such deceased individual's DMF to any person who
further discloses the information to any person other than a person who
meets the requirements of Sec. 1110.102(a)(1) through (3); or
(iv) Uses any such deceased individual's DMF for any purpose other
than a legitimate fraud prevention interest or a legitimate business
purpose pursuant to a law, governmental rule, regulation, or fiduciary
duty
[[Page 16672]]
(2) Any Person to whom such information is disclosed, whether or
not such Person is certified under this part, who further discloses or
uses such information as described in paragraphs (a)(1)(i) through (iv)
of this section shall pay to the General Fund of the United States
Department of the Treasury a penalty of $1,000 for each such disclosure
or use.
(b) Limitation on Penalty. The total amount of the penalty imposed
under this part on any Person for any calendar year shall not exceed
$250,000.
Sec. 1110.201 Audits.
Any Person certified under this part shall, as a condition of
certification, agree to be subject to audit by NTIS to determine the
compliance by such Person with the requirements of this part. NTIS may
conduct periodic and unscheduled audits of the systems, facilities, and
procedures of any Certified Person relating to such Certified Person's
access to, and use and distribution of, Limited Access DMF, during
regular business hours.
Subpart D--Fees
Sec. 1110.300 Fees.
Fees for the costs associated with evaluating applications for
certification of Certified Persons under this part are as follows:
Processing of Certification Form and maintenance of Registry $200.00
of Certified Persons........................................
[FR Doc. 2014-06701 Filed 3-25-14; 8:45 am]
BILLING CODE 3510-04-P
