Social Security Number Fraud Prevention, 33527-33530 [2020-11899]
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33527
Rules and Regulations
Federal Register
Vol. 85, No. 106
Tuesday, June 2, 2020
This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by
the Superintendent of Documents.
NUCLEAR REGULATORY
COMMISSION
10 CFR Parts 9 and 35
[NRC–2018–0303]
RIN 3150–AK27
Social Security Number Fraud
Prevention
Nuclear Regulatory
Commission.
ACTION: Direct final rule.
AGENCY:
The U.S. Nuclear Regulatory
Commission (NRC) is amending its
regulations to implement the Social
Security Number Fraud Prevention Act
of 2017. This statute directed agencies
to issue regulations that prohibit the
inclusion of an individual’s Social
Security account number (Social
Security number or SSN) on any
document sent through the mail unless
the head of the agency deems it
necessary and the appropriate
precautions are taken to protect the
SSN. Applicants, licensees, and
members of the public who are required
to submit a form containing a SSN may
be affected.
DATES: This direct final rule is effective
August 17, 2020, unless significant
adverse comments are received by July
2, 2020. If this direct final rule is
withdrawn as a result of such
comments, timely notice of the
withdrawal will be published in the
Federal Register. Comments received
after this date will be considered if it is
practical to do so, but the NRC is able
to ensure consideration only for
comments received on or before this
date. Comments received on this direct
final rule will also be considered to be
comments on a companion proposed
rule published in the Proposed Rules
section of this issue of the Federal
Register.
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SUMMARY:
You may submit comments
by any of the following methods:
ADDRESSES:
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• Federal Rulemaking Website: Go to
https://www.regulations.gov and search
for Docket ID NRC–2018–0303. Address
questions about NRC dockets to Carol
Gallagher; telephone: 301–415–3463;
email: Carol.Gallagher@nrc.gov. For
technical questions contact the
individuals listed in the FOR FURTHER
INFORMATION CONTACT section of this
document.
• Email comments to:
Rulemaking.Comments@nrc.gov. If you
do not receive an automatic email reply
confirming receipt, then contact us at
301–415–1677.
• Mail comments to: Secretary, U.S.
Nuclear Regulatory Commission,
Washington, DC 20555–0001, ATTN:
Rulemakings and Adjudications Staff.
For additional direction on obtaining
information and submitting comments,
see ‘‘Obtaining Information and
Submitting Comments’’ in the
SUPPLEMENTARY INFORMATION section of
this document.
FOR FURTHER INFORMATION CONTACT:
Alexa Sieracki, Office of Nuclear
Materials Safety and Safeguards, U.S.
Nuclear Regulatory Commission,
Washington, DC 20555–0001; telephone:
301–415–7509, email: Alexa.Sieracki@
nrc.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Obtaining Information and Submitting
Comments
II. Procedural Background
III. Discussion
IV. Section-by-Section Analysis
V. Regulatory Flexibility Certification
VI. Regulatory Analysis
VII. Backfitting and Issue Finality
VIII. Plain Writing
IX. Environmental Assessment and Final
Finding of No Significant Environmental
Impact
X. Paperwork Reduction Act Statement
XI. Congressional Review Act
I. Obtaining Information and
Submitting Comments
A. Obtaining Information
Please refer to Docket ID NRC–2018–
0303 when contacting the NRC about
the availability of information for this
action. You may obtain publiclyavailable information related to this
action by any of the following methods:
• Federal Rulemaking Website: Go to
https://www.regulations.gov and search
for Docket ID NRC–2018–0303.
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• NRC’s Agencywide Documents
Access and Management System
(ADAMS): You may obtain publiclyavailable documents online in the
ADAMS Public Documents collection at
https://www.nrc.gov/reading-rm/
adams.html. To begin the search, select
‘‘Begin Web-based ADAMS Search.’’ For
problems with ADAMS, please contact
the NRC’s Public Document Room (PDR)
reference staff at 1–800–397–4209, 301–
415–4737, or by email to pdr.resource@
nrc.gov.
• Attention: The Public Document
Room (PDR), where you may examine
and order copies of public documents is
currently closed. You may submit your
request to the PDR via email at
PDR.Resource@nrc.gov or call 1–800–
397–4209 between 8:00 a.m. and 4:00
p.m. (EST), Monday through Friday,
except Federal holidays.
B. Submitting Comments
Please include Docket ID NRC–2018–
0303 in your comment submission.
The NRC cautions you not to include
identifying or contact information that
you do not want to be publicly
disclosed in your comment submission.
The NRC will post all comment
submissions at https://
www.regulations.gov as well as enter the
comment submissions into ADAMS.
The NRC does not routinely edit
comment submissions to remove
identifying or contact information.
If you are requesting or aggregating
comments from other persons for
submission to the NRC, then you should
inform those persons not to include
identifying or contact information that
they do not want to be publicly
disclosed in their comment submission.
Your request should state that the NRC
does not routinely edit comment
submissions to remove such information
before making the comment
submissions available to the public or
entering the comment into ADAMS.
II. Procedural Background
Because the NRC anticipates that this
action will be non-controversial, the
NRC is using the ‘‘direct final rule
procedure’’ for this rule. The
amendments to the rule will become
effective on August 17, 2020. However,
if the NRC receives significant adverse
comments on this direct final rule by
July 2, 2020, then the NRC will publish
a document that withdraws this action
and will subsequently address the
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comments received in a final rule as a
response to the companion proposed
rule published in the Proposed Rules
section of this issue of the Federal
Register. Absent significant
modifications to the proposed revisions
requiring republication, the NRC will
not initiate a second comment period on
this action.
A significant adverse comment is a
comment where the commenter
explains why the rule would be
inappropriate, including challenges to
the rule’s underlying premise or
approach, or would be ineffective or
unacceptable without a change. A
comment is adverse and significant if it
meets the following criteria:
(1) The comment opposes the rule and
provides a reason sufficient to require a
substantive response in a notice-andcomment process. For example, a
substantive response is required in the
following circumstances:
(a) The comment causes the NRC to
reevaluate (or reconsider) its position or
conduct additional analysis;
(b) The comment raises an issue
serious enough to warrant a substantive
response to clarify or complete the
record; or
(c) The comment raises a relevant
issue that was not previously addressed
or considered by the NRC.
(2) The comment proposes a change
or an addition to the rule, and it is
apparent that the rule would be
ineffective or unacceptable without
incorporation of the change or addition.
(3) The comment causes the NRC to
make a change (other than editorial) to
the rule. For detailed instructions on
filing comments, please see the
ADDRESSES section of this document.
III. Discussion
The President signed into law the
Social Security Number Fraud
Prevention Act of 2017 (the Act) on
September 15, 2017, to reduce the risk
of identity theft by directing agencies to
‘‘issue regulations specifying the
circumstances under which inclusion of
a social security account number on a
document sent by mail is necessary.’’ 1
The Act restricts the inclusion of an
SSN on any document sent by mail
‘‘unless the head of the agency
determines that the inclusion of the
[SSN] on the document is necessary.’’ 2
The Act directs agencies to issue
regulations that specify when inclusion
of an SSN is necessary, include
instructions for the partial redaction of
SSNs where feasible, and provide a
requirement that SSNs not be visible on
1 Public
2 Public
Law 115–59, Section 2(b).
Law 115–59, Section 2(a).
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19:46 Jun 01, 2020
the outside of any package sent by
mail.3 These regulations must be issued
no later than 5 years after the date of
enactment of the Act.
The NRC determined that rulemaking
was necessary because the Act requires
the NRC to amend its regulations. This
effort could not be achieved through
issuing guidance, as guidance
documents are not legally binding and
cannot be used to amend regulations.
The NRC’s rulemaking is narrowly
tailored to address the requirements
specifically set forth in the Act;
therefore, the NRC determined that a
direct final rule was appropriate,
because the amendments are required
by statute, expected to be noncontroversial, and unlikely to yield
public comment resulting in a
significant change to the NRC’s
proposal. A direct final rule is
preferable to a final rule because it
allows for the opportunity for public
comment, should there be any
additional regulations that the public
identifies as needing amendment or any
additional considerations the NRC
needs to evaluate to implement the Act.
To comply with the Act, the NRC
examined whether SSNs are necessary
in any of the written communications to
the NRC required by regulation. The Act
only applies to written communications
sent or received via mail by the NRC
that include SSNs. The Act does not
apply to a licensee’s validation of an
individual’s SSN because the SSN
would not be included in written
communications with the NRC in those
cases. If inclusion of SSNs is not
necessary, then each associated
regulation would need to be amended to
remove the inclusion of the SSN in the
required documents. If inclusion of
SSNs is necessary, the NRC must
consider whether partial redaction of
the SSN is feasible and amend the
regulations accordingly to meet the
‘‘requirement that [SSNs] not be visible
on the outside of any package sent by
mail.’’ 4
Based on its review, the agency has
concluded that, in all instances where it
requires full or partial SSNs to be
included in written communications,
this information is necessary for identity
confirmation. Reasons for this include
instances when individuals have similar
or same names and cases where outside
factors require the NRC to collect either
a full or partial SSN. For example, the
collection may be required by law or by
another agency. The NRC already
requests SSNs to be partially redacted in
documents sent by mail whenever
3 Public
4 Public
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Law 115–59, Section 2(b)(1)–(2).
Law115–59, Section 2(b)(2).
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feasible. Therefore, the NRC concluded
that minimal changes to its regulations
are needed to reduce the inclusion of
full or partial SSNs. However, the
agency determined that the following
amendments are needed to fully
implement the Act:
• In § 9.1, a new Subpart E needs to
be added concerning the use of SSNs in
documents sent by mail.
• In §§ 35.3045 and 35.3047, language
should be revised to prioritize the use
of identification numbers that are not
SSNs when identifying patients.
In anticipation of the above revisions,
all applicable NRC forms have been
proactively modified to include
language that SSNs must not be visible
on the outside of any package sent by
mail.
IV. Section-by-Section Analysis
The following paragraphs describe the
specific changes in this direct final rule.
Section 9.1
Scope and Purpose
This direct final rule adds new
paragraph (e).
Subpart E—Social Security Number
Fraud Prevention Act Requirements
This direct final rule adds new
subpart E—Social Security Number
Fraud Prevention Act Requirements.
Section 35.3045 Report and
Notification of a Medical Event
This direct final rule revises
paragraph (g)(1)(ii) to replace ‘‘social
security number or identification
number’’ with ‘‘identification number or
if no other identification number is
available, the social security number.’’
Section 35.3047 Report and
Notification of a Dose to an Embryo/
Fetus or a Nursing Child
This direct final rule revises
paragraph (f)(1)(ii) to replace ‘‘social
security number or identification
number’’ with ‘‘identification number or
if no other identification number is
available, the social security number.’’
V. Regulatory Flexibility Certification
Under the Regulatory Flexibility Act
(5 U.S.C. 605(b)), the NRC certifies that
this rule will not, if issued, have a
significant economic impact on a
substantial number of small entities.
This direct final rule affects a number of
‘‘small entities’’ as defined by the
Regulatory Flexibility Act or the size
standards established by the NRC (10
CFR 2.810). However, as indicated in
the regulatory analysis contained in this
document, these amendments do not
have a significant economic impact on
the affected small entities.
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VI. Regulatory Analysis
The NRC has prepared a final
regulatory analysis for this direct final
rule. The analysis examines the costs
and benefits of the alternatives
considered by the NRC. The key
findings are as follows:
• Benefits. This final rule ensures that
the NRC is in compliance with the Act
by doing the following:
(1) Revising regulations in 10 CFR
part 9, § 35.3045(g)(1)(ii), and
§ 35.3047(f)(1)(ii) to address the intent
of the Act; and
(2) Ensuring that NRC forms comply
with the intent of the Act.
In accordance with the Act, the NRC
requests that a SSN be included in
documents sent by mail only when
necessary and partially redacted
whenever feasible. The redacted SSN
should list only the number of digits
necessary and must not be visible from
the outside of packages sent to and from
the NRC.
• Cost to the Industry. This direct
final rule results in no incremental costs
to material or reactor licensees.
• Cost to the Public. This direct final
rule results in no incremental costs to
the public.
• Cost to the NRC. This direct final
rule results in no incremental costs to
the NRC beyond those necessary to
prepare and issue this direct final rule
and make conforming changes to NRC
forms, which are considered costs that
have already been incurred.
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VII. Backfitting and Issue Finality
This direct final rule modifies the
NRC regulations to implement the
requirements of the Act to use SSNs
only where necessary and to partially
redact SSNs to the extent practicable.
These regulations relate solely to
information collection and reporting
requirements. The NRC has long taken
the position that information collection
and reporting requirements are not
subject to the NRC’s backfitting and
issue finality regulations in 10 CFR
50.109, 10 CFR 70.76, 10 CFR 72.62, 10
CFR 76.76, and 10 CFR part 52.
Therefore, the NRC has determined that
the various backfitting and issue finality
provisions do not apply to this final rule
and has not prepared a backfit analysis.
VIII. Plain Writing
The Plain Writing Act of 2010 (Pub.
L. 111–274) requires Federal agencies to
write documents in a clear, concise, and
well-organized manner. The NRC has
written this document to be consistent
with the Plain Writing Act as well as the
Presidential Memorandum, ‘‘Plain
Language in Government Writing,’’
published June 10, 1998 (63 FR 31883).
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IX. Environmental Assessment and
Final Finding of No Significant
Environmental Impact
The Commission has determined
under the National Environmental
Policy Act of 1969, as amended, and the
Commission’s regulations in subpart A
of 10 CFR part 51, that this direct final
rule, if adopted, would not be a major
Federal action significantly affecting the
quality of the human environment and,
therefore, an environmental impact
statement is not required.
This direct final rule amends NRC’s
regulations in 10 CFR parts 9 and 35.
These amendments are necessary to
comply with the Social Security
Number Fraud Prevention Act of 2017,
which directed agencies to issue
regulations that prohibit the inclusion of
an individual’s SSN on any document
sent through the mail unless the head of
the agency deems it necessary and the
appropriate precautions are taken to
protect the SSN. These amendments do
not increase any effect on the
environment.
The determination of this
environmental assessment is that there
will be no significant environmental
impacts from this action.
X. Paperwork Reduction Act
This direct final rule does not contain
any new or amended collections of
information subject to the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501
et seq.). Existing collections of
information were approved by the
Office of Management and Budget
(OMB), approval numbers 3150–0043,
3150–0014, 3150–0046, and 3150–0010.
Public Protection Notification
The NRC may not conduct or sponsor,
and a person is not required to respond
to, a collection of information unless the
document requesting or requiring the
collection displays a currently valid
OMB control number.
XI. Congressional Review Act
This direct final rule is not a rule as
defined in the Congressional Review
Act (5 U.S.C. 801–808).
List of Subjects
10 CFR Part 9
Administrative practice and
procedure, Courts, Freedom of
information, Government employees,
Privacy, Reporting and recordkeeping
requirements, Sunshine Act.
10 CFR Part 35
Biologics, Drugs, Health facilities,
Health professions, Labeling, Medical
devices, Nuclear energy, Occupational
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33529
safety and health, Penalties, Radiation
protection, Reporting and recordkeeping
requirements.
For the reasons set out in the
preamble and under the authority of the
Atomic Energy Act of 1954, as amended;
the Energy Reorganization Act of 1974,
as amended; and 5 U.S.C. 552 and 553,
the NRC is adopting the following
amendments to parts 9 and 35:
PART 9—PUBLIC RECORDS
1. The authority citation for part 9
continues to read as follows:
■
Authority: Atomic Energy Act of 1954, sec.
161 (42 U.S.C. 2201); Energy Reorganization
Act of 1974, sec. 201 (42 U.S.C. 5841); 44
U.S.C. 3504 note.
Subpart A also issued under 31 U.S.C.
9701.
Subpart B also issued under 5 U.S.C. 552a.
Subpart C also issued under 5 U.S.C. 552b.
2. In § 9.1, add paragraph (e) to read
as follows:
■
§ 9.1
Scope and purpose.
*
*
*
*
*
(e) Subpart E implements the
provisions of the Social Security
Number Fraud Prevention Act of 2017,
Public Law 115–59, concerning the use
of Social Security account numbers in
documents sent by mail.
■ 3. Add subpart E, consisting of
§§ 9.300 and 9.301, to read as follows:
Subpart E—Social Security Number
Fraud Prevention Act Requirements
§ 9.300
Scope of subpart.
This subpart implements the Social
Security Number Fraud Prevention Act
of 2017, Public Law 115–59, with
respect to the use of Social Security
account numbers in documents sent by
mail and requirements applicable to
NRC personnel for redacting Social
Security account numbers in documents
sent by mail.
§ 9.301 Social Security account numbers
in documents sent by mail.
(a) Social Security account numbers
shall not be visible on the outside of any
package sent by mail.
(b) A document sent by mail may only
include the Social Security account
number of an individual if it is
determined by the head of the agency
that the inclusion of a Social Security
account number is necessary.
(c) The inclusion of a Social Security
account number of an individual on a
document sent by mail is necessary
when—
(1) Required by law; or
(2) Necessary to identify a specific
individual and no adequate substitute is
available.
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(d) Social Security account numbers
must be partially redacted in documents
sent by mail whenever feasible.
PART 35—MEDICAL USE OF
BYPRODUCT MATERIAL
4. The authority citation for part 35
continues to read as follows:
■
Authority: Atomic Energy Act of 1954,
secs. 81, 161, 181, 182, 183, 223, 234, 274 (42
U.S.C. 2111, 2201, 2231, 2232, 2233, 2273,
2282, 2021); Energy Reorganization Act of
1974, secs. 201, 206 (42 U.S.C. 5841, 5846);
44 U.S.C. 3504 note.
5. In § 35.3045, revise paragraph
(g)(1)(ii) to read as follows:
■
§ 35.3045 Report and notification of a
medical event.
*
*
*
*
*
(g) * * *
(1) * * *
(ii) Identification number or if no
other identification number is available,
the social security number of the
individual who is the subject of the
event; and
*
*
*
*
*
■ 10. In § 35.3047, revise paragraph
(f)(1)(ii) to read as follows:
§ 35.3047 Report and notification of a dose
to an embryo/fetus or a nursing child.
*
*
*
*
*
(f) * * *
(1) * * *
(ii) Identification number or if no
other identification number is available,
the social security number of the
individual who is the subject of the
event; and
*
*
*
*
*
Dated: May 28, 2020.
For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. 2020–11899 Filed 6–1–20; 8:45 am]
BILLING CODE 7590–01–P
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the
Currency
12 CFR Parts 7 and 160
[Docket ID OCC–2019–0027]
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RIN 1557–AE73
Permissible Interest on Loans That Are
Sold, Assigned, or Otherwise
Transferred
Office of the Comptroller of the
Currency, Treasury.
ACTION: Final rule.
AGENCY:
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Federal law establishes that
national banks and savings associations
(banks) may charge interest on loans at
the maximum rate permitted to any
state-chartered or licensed lending
institution in the state where the bank
is located. In addition, banks are
generally authorized to sell, assign, or
otherwise transfer (transfer) loans and to
enter into and assign loan contracts.
Despite these authorities, recent
developments have created legal
uncertainty about the ongoing
permissibility of the interest term after
a bank transfers a loan. This rule
clarifies that when a bank transfers a
loan, the interest permissible before the
transfer continues to be permissible
after the transfer.
DATES: The final rule is effective on
August 3, 2020.
FOR FURTHER INFORMATION CONTACT:
Andra Shuster, Senior Counsel, Karen
McSweeney, Special Counsel, or
Priscilla Benner, Senior Attorney, Chief
Counsel’s Office, (202) 649–5490, for
persons who are deaf or hearing
impaired, TTY, (202) 649–5597, Office
of the Comptroller of the Currency, 400
7th Street SW, Washington, DC 20219.
SUPPLEMENTARY INFORMATION:
SUMMARY:
I. Background
On November 21, 2019, the OCC
published a notice of proposed
rulemaking (proposal or NPR) to codify
its conclusion that when a national bank
or savings association (bank) sells,
assigns, or otherwise transfers (transfers)
a loan, interest permissible before the
transfer continues to be permissible
after the transfer.1
As the proposal explained, a bank
may charge interest on a loan at the
maximum rate permitted to any statechartered or licensed lending institution
in the state where the bank is located.
In addition, banks are generally
authorized to transfer their loans and to
enter into and assign loan contracts.
Despite these authorities, recent
developments have created legal
uncertainty about the ongoing
permissibility of the interest term after
a bank transfers a loan.
Consistent with the proposal, this
regulation addresses that legal
uncertainty by clarifying and
reaffirming the longstanding
understanding that a bank may transfer
a loan without affecting the permissible
interest term. Based on its supervisory
experience, the OCC believes that
unresolved legal uncertainty about this
issue may disrupt banks’ ability to serve
1 Permissible Interest on Loans That Are Sold,
Assigned, or Otherwise Transferred, 84 FR 64229
(Nov. 21, 2019).
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consumers, businesses, and the broader
economy efficiently and effectively,
particularly in times of economic stress.
The OCC also believes that enhanced
legal certainty may facilitate responsible
lending by banks, including in
circumstances when access to credit is
especially critical.
II. Overview of Comments
The OCC received over sixty
comments on its NPR, including
comments from industry trade
associations, nonbank lenders,
community groups, academics, state
government representatives, and
members of the public. Many
commenters expressed support for the
rule. Some stated that the legal
uncertainty discussed in the proposal
has had negative effects on the primary
and secondary markets for bank loans.
They argued that legal certainty
regarding a bank’s ability to transfer
non-usurious loans without affecting the
interest term would benefit banks and
markets, including for liquidity and
diversification purposes. Many
supporting commenters also agreed that
the OCC has the authority to address
this issue by regulation and that the
proposal reflected a permissible
interpretation of relevant Federal
banking law.
The OCC also received comments
opposed to the rule, which raised both
legal and policy concerns. Many
commenters argued that the OCC does
not have the authority to issue this
regulation. Several also argued that the
OCC’s proposal was subject to, but did
not comply with, the substantive and
procedural provisions in 12 U.S.C. 25b.
Opposing commenters also questioned
the need for the rule, stating there is no
evidence that legal uncertainty has had
negative effects on banks or markets.
Relying on these and other arguments,
some commenters also argued that the
OCC’s proposal did not comply with the
Administrative Procedure Act (APA).2
Finally, certain commenters stated that
the NPR would facilitate predatory
lending by promoting rent-a-charter
relationships and allowing nonbanks to
evade otherwise applicable state law.
Two commenters provided empirical
studies analyzing the effects of the
Madden v. Midland Funding, LLC 3
decision (Madden), including evidence
that Madden restricted access to credit
for higher-risk borrowers in states
25
U.S.C. 551 et seq.
F.3d 246 (2d Cir. 2015). In this case, the U.S.
Court of Appeals for the Second Circuit held that
a purchaser of a loan originated by a national bank
could not charge interest at the rate permissible for
the bank if that rate would be impermissible under
the lower usury cap applicable to the purchaser.
3 786
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Agencies
[Federal Register Volume 85, Number 106 (Tuesday, June 2, 2020)]
[Rules and Regulations]
[Pages 33527-33530]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-11899]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
========================================================================
Federal Register / Vol. 85, No. 106 / Tuesday, June 2, 2020 / Rules
and Regulations
[[Page 33527]]
NUCLEAR REGULATORY COMMISSION
10 CFR Parts 9 and 35
[NRC-2018-0303]
RIN 3150-AK27
Social Security Number Fraud Prevention
AGENCY: Nuclear Regulatory Commission.
ACTION: Direct final rule.
-----------------------------------------------------------------------
SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is amending its
regulations to implement the Social Security Number Fraud Prevention
Act of 2017. This statute directed agencies to issue regulations that
prohibit the inclusion of an individual's Social Security account
number (Social Security number or SSN) on any document sent through the
mail unless the head of the agency deems it necessary and the
appropriate precautions are taken to protect the SSN. Applicants,
licensees, and members of the public who are required to submit a form
containing a SSN may be affected.
DATES: This direct final rule is effective August 17, 2020, unless
significant adverse comments are received by July 2, 2020. If this
direct final rule is withdrawn as a result of such comments, timely
notice of the withdrawal will be published in the Federal Register.
Comments received after this date will be considered if it is practical
to do so, but the NRC is able to ensure consideration only for comments
received on or before this date. Comments received on this direct final
rule will also be considered to be comments on a companion proposed
rule published in the Proposed Rules section of this issue of the
Federal Register.
ADDRESSES: You may submit comments by any of the following methods:
Federal Rulemaking Website: Go to https://www.regulations.gov and search for Docket ID NRC-2018-0303. Address
questions about NRC dockets to Carol Gallagher; telephone: 301-415-
3463; email: [email protected]. For technical questions contact
the individuals listed in the FOR FURTHER INFORMATION CONTACT section
of this document.
Email comments to: [email protected]. If you do
not receive an automatic email reply confirming receipt, then contact
us at 301-415-1677.
Mail comments to: Secretary, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, ATTN: Rulemakings and
Adjudications Staff.
For additional direction on obtaining information and submitting
comments, see ``Obtaining Information and Submitting Comments'' in the
SUPPLEMENTARY INFORMATION section of this document.
FOR FURTHER INFORMATION CONTACT: Alexa Sieracki, Office of Nuclear
Materials Safety and Safeguards, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001; telephone: 301-415-7509, email:
[email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Obtaining Information and Submitting Comments
II. Procedural Background
III. Discussion
IV. Section-by-Section Analysis
V. Regulatory Flexibility Certification
VI. Regulatory Analysis
VII. Backfitting and Issue Finality
VIII. Plain Writing
IX. Environmental Assessment and Final Finding of No Significant
Environmental Impact
X. Paperwork Reduction Act Statement
XI. Congressional Review Act
I. Obtaining Information and Submitting Comments
A. Obtaining Information
Please refer to Docket ID NRC-2018-0303 when contacting the NRC
about the availability of information for this action. You may obtain
publicly-available information related to this action by any of the
following methods:
Federal Rulemaking Website: Go to https://www.regulations.gov and search for Docket ID NRC-2018-0303.
NRC's Agencywide Documents Access and Management System
(ADAMS): You may obtain publicly-available documents online in the
ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the search, select ``Begin Web-based ADAMS
Search.'' For problems with ADAMS, please contact the NRC's Public
Document Room (PDR) reference staff at 1-800-397-4209, 301-415-4737, or
by email to [email protected].
Attention: The Public Document Room (PDR), where you may
examine and order copies of public documents is currently closed. You
may submit your request to the PDR via email at [email protected] or
call 1-800-397-4209 between 8:00 a.m. and 4:00 p.m. (EST), Monday
through Friday, except Federal holidays.
B. Submitting Comments
Please include Docket ID NRC-2018-0303 in your comment submission.
The NRC cautions you not to include identifying or contact
information that you do not want to be publicly disclosed in your
comment submission. The NRC will post all comment submissions at
https://www.regulations.gov as well as enter the comment submissions
into ADAMS. The NRC does not routinely edit comment submissions to
remove identifying or contact information.
If you are requesting or aggregating comments from other persons
for submission to the NRC, then you should inform those persons not to
include identifying or contact information that they do not want to be
publicly disclosed in their comment submission. Your request should
state that the NRC does not routinely edit comment submissions to
remove such information before making the comment submissions available
to the public or entering the comment into ADAMS.
II. Procedural Background
Because the NRC anticipates that this action will be non-
controversial, the NRC is using the ``direct final rule procedure'' for
this rule. The amendments to the rule will become effective on August
17, 2020. However, if the NRC receives significant adverse comments on
this direct final rule by July 2, 2020, then the NRC will publish a
document that withdraws this action and will subsequently address the
[[Page 33528]]
comments received in a final rule as a response to the companion
proposed rule published in the Proposed Rules section of this issue of
the Federal Register. Absent significant modifications to the proposed
revisions requiring republication, the NRC will not initiate a second
comment period on this action.
A significant adverse comment is a comment where the commenter
explains why the rule would be inappropriate, including challenges to
the rule's underlying premise or approach, or would be ineffective or
unacceptable without a change. A comment is adverse and significant if
it meets the following criteria:
(1) The comment opposes the rule and provides a reason sufficient
to require a substantive response in a notice-and-comment process. For
example, a substantive response is required in the following
circumstances:
(a) The comment causes the NRC to reevaluate (or reconsider) its
position or conduct additional analysis;
(b) The comment raises an issue serious enough to warrant a
substantive response to clarify or complete the record; or
(c) The comment raises a relevant issue that was not previously
addressed or considered by the NRC.
(2) The comment proposes a change or an addition to the rule, and
it is apparent that the rule would be ineffective or unacceptable
without incorporation of the change or addition.
(3) The comment causes the NRC to make a change (other than
editorial) to the rule. For detailed instructions on filing comments,
please see the ADDRESSES section of this document.
III. Discussion
The President signed into law the Social Security Number Fraud
Prevention Act of 2017 (the Act) on September 15, 2017, to reduce the
risk of identity theft by directing agencies to ``issue regulations
specifying the circumstances under which inclusion of a social security
account number on a document sent by mail is necessary.'' \1\ The Act
restricts the inclusion of an SSN on any document sent by mail ``unless
the head of the agency determines that the inclusion of the [SSN] on
the document is necessary.'' \2\ The Act directs agencies to issue
regulations that specify when inclusion of an SSN is necessary, include
instructions for the partial redaction of SSNs where feasible, and
provide a requirement that SSNs not be visible on the outside of any
package sent by mail.\3\ These regulations must be issued no later than
5 years after the date of enactment of the Act.
---------------------------------------------------------------------------
\1\ Public Law 115-59, Section 2(b).
\2\ Public Law 115-59, Section 2(a).
\3\ Public Law 115-59, Section 2(b)(1)-(2).
---------------------------------------------------------------------------
The NRC determined that rulemaking was necessary because the Act
requires the NRC to amend its regulations. This effort could not be
achieved through issuing guidance, as guidance documents are not
legally binding and cannot be used to amend regulations. The NRC's
rulemaking is narrowly tailored to address the requirements
specifically set forth in the Act; therefore, the NRC determined that a
direct final rule was appropriate, because the amendments are required
by statute, expected to be non-controversial, and unlikely to yield
public comment resulting in a significant change to the NRC's proposal.
A direct final rule is preferable to a final rule because it allows for
the opportunity for public comment, should there be any additional
regulations that the public identifies as needing amendment or any
additional considerations the NRC needs to evaluate to implement the
Act.
To comply with the Act, the NRC examined whether SSNs are necessary
in any of the written communications to the NRC required by regulation.
The Act only applies to written communications sent or received via
mail by the NRC that include SSNs. The Act does not apply to a
licensee's validation of an individual's SSN because the SSN would not
be included in written communications with the NRC in those cases. If
inclusion of SSNs is not necessary, then each associated regulation
would need to be amended to remove the inclusion of the SSN in the
required documents. If inclusion of SSNs is necessary, the NRC must
consider whether partial redaction of the SSN is feasible and amend the
regulations accordingly to meet the ``requirement that [SSNs] not be
visible on the outside of any package sent by mail.'' \4\
---------------------------------------------------------------------------
\4\ Public Law115-59, Section 2(b)(2).
---------------------------------------------------------------------------
Based on its review, the agency has concluded that, in all
instances where it requires full or partial SSNs to be included in
written communications, this information is necessary for identity
confirmation. Reasons for this include instances when individuals have
similar or same names and cases where outside factors require the NRC
to collect either a full or partial SSN. For example, the collection
may be required by law or by another agency. The NRC already requests
SSNs to be partially redacted in documents sent by mail whenever
feasible. Therefore, the NRC concluded that minimal changes to its
regulations are needed to reduce the inclusion of full or partial SSNs.
However, the agency determined that the following amendments are needed
to fully implement the Act:
In Sec. 9.1, a new Subpart E needs to be added concerning
the use of SSNs in documents sent by mail.
In Sec. Sec. 35.3045 and 35.3047, language should be
revised to prioritize the use of identification numbers that are not
SSNs when identifying patients.
In anticipation of the above revisions, all applicable NRC forms
have been proactively modified to include language that SSNs must not
be visible on the outside of any package sent by mail.
IV. Section-by-Section Analysis
The following paragraphs describe the specific changes in this
direct final rule.
Section 9.1 Scope and Purpose
This direct final rule adds new paragraph (e).
Subpart E--Social Security Number Fraud Prevention Act Requirements
This direct final rule adds new subpart E--Social Security Number
Fraud Prevention Act Requirements.
Section 35.3045 Report and Notification of a Medical Event
This direct final rule revises paragraph (g)(1)(ii) to replace
``social security number or identification number'' with
``identification number or if no other identification number is
available, the social security number.''
Section 35.3047 Report and Notification of a Dose to an Embryo/Fetus or
a Nursing Child
This direct final rule revises paragraph (f)(1)(ii) to replace
``social security number or identification number'' with
``identification number or if no other identification number is
available, the social security number.''
V. Regulatory Flexibility Certification
Under the Regulatory Flexibility Act (5 U.S.C. 605(b)), the NRC
certifies that this rule will not, if issued, have a significant
economic impact on a substantial number of small entities. This direct
final rule affects a number of ``small entities'' as defined by the
Regulatory Flexibility Act or the size standards established by the NRC
(10 CFR 2.810). However, as indicated in the regulatory analysis
contained in this document, these amendments do not have a significant
economic impact on the affected small entities.
[[Page 33529]]
VI. Regulatory Analysis
The NRC has prepared a final regulatory analysis for this direct
final rule. The analysis examines the costs and benefits of the
alternatives considered by the NRC. The key findings are as follows:
Benefits. This final rule ensures that the NRC is in
compliance with the Act by doing the following:
(1) Revising regulations in 10 CFR part 9, Sec. 35.3045(g)(1)(ii),
and Sec. 35.3047(f)(1)(ii) to address the intent of the Act; and
(2) Ensuring that NRC forms comply with the intent of the Act.
In accordance with the Act, the NRC requests that a SSN be included
in documents sent by mail only when necessary and partially redacted
whenever feasible. The redacted SSN should list only the number of
digits necessary and must not be visible from the outside of packages
sent to and from the NRC.
Cost to the Industry. This direct final rule results in no
incremental costs to material or reactor licensees.
Cost to the Public. This direct final rule results in no
incremental costs to the public.
Cost to the NRC. This direct final rule results in no
incremental costs to the NRC beyond those necessary to prepare and
issue this direct final rule and make conforming changes to NRC forms,
which are considered costs that have already been incurred.
VII. Backfitting and Issue Finality
This direct final rule modifies the NRC regulations to implement
the requirements of the Act to use SSNs only where necessary and to
partially redact SSNs to the extent practicable. These regulations
relate solely to information collection and reporting requirements. The
NRC has long taken the position that information collection and
reporting requirements are not subject to the NRC's backfitting and
issue finality regulations in 10 CFR 50.109, 10 CFR 70.76, 10 CFR
72.62, 10 CFR 76.76, and 10 CFR part 52. Therefore, the NRC has
determined that the various backfitting and issue finality provisions
do not apply to this final rule and has not prepared a backfit
analysis.
VIII. Plain Writing
The Plain Writing Act of 2010 (Pub. L. 111-274) requires Federal
agencies to write documents in a clear, concise, and well-organized
manner. The NRC has written this document to be consistent with the
Plain Writing Act as well as the Presidential Memorandum, ``Plain
Language in Government Writing,'' published June 10, 1998 (63 FR
31883).
IX. Environmental Assessment and Final Finding of No Significant
Environmental Impact
The Commission has determined under the National Environmental
Policy Act of 1969, as amended, and the Commission's regulations in
subpart A of 10 CFR part 51, that this direct final rule, if adopted,
would not be a major Federal action significantly affecting the quality
of the human environment and, therefore, an environmental impact
statement is not required.
This direct final rule amends NRC's regulations in 10 CFR parts 9
and 35. These amendments are necessary to comply with the Social
Security Number Fraud Prevention Act of 2017, which directed agencies
to issue regulations that prohibit the inclusion of an individual's SSN
on any document sent through the mail unless the head of the agency
deems it necessary and the appropriate precautions are taken to protect
the SSN. These amendments do not increase any effect on the
environment.
The determination of this environmental assessment is that there
will be no significant environmental impacts from this action.
X. Paperwork Reduction Act
This direct final rule does not contain any new or amended
collections of information subject to the Paperwork Reduction Act of
1995 (44 U.S.C. 3501 et seq.). Existing collections of information were
approved by the Office of Management and Budget (OMB), approval numbers
3150-0043, 3150-0014, 3150-0046, and 3150-0010.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless the document requesting
or requiring the collection displays a currently valid OMB control
number.
XI. Congressional Review Act
This direct final rule is not a rule as defined in the
Congressional Review Act (5 U.S.C. 801-808).
List of Subjects
10 CFR Part 9
Administrative practice and procedure, Courts, Freedom of
information, Government employees, Privacy, Reporting and recordkeeping
requirements, Sunshine Act.
10 CFR Part 35
Biologics, Drugs, Health facilities, Health professions, Labeling,
Medical devices, Nuclear energy, Occupational safety and health,
Penalties, Radiation protection, Reporting and recordkeeping
requirements.
For the reasons set out in the preamble and under the authority of
the Atomic Energy Act of 1954, as amended; the Energy Reorganization
Act of 1974, as amended; and 5 U.S.C. 552 and 553, the NRC is adopting
the following amendments to parts 9 and 35:
PART 9--PUBLIC RECORDS
0
1. The authority citation for part 9 continues to read as follows:
Authority: Atomic Energy Act of 1954, sec. 161 (42 U.S.C. 2201);
Energy Reorganization Act of 1974, sec. 201 (42 U.S.C. 5841); 44
U.S.C. 3504 note.
Subpart A also issued under 31 U.S.C. 9701.
Subpart B also issued under 5 U.S.C. 552a.
Subpart C also issued under 5 U.S.C. 552b.
0
2. In Sec. 9.1, add paragraph (e) to read as follows:
Sec. 9.1 Scope and purpose.
* * * * *
(e) Subpart E implements the provisions of the Social Security
Number Fraud Prevention Act of 2017, Public Law 115-59, concerning the
use of Social Security account numbers in documents sent by mail.
0
3. Add subpart E, consisting of Sec. Sec. 9.300 and 9.301, to read as
follows:
Subpart E--Social Security Number Fraud Prevention Act Requirements
Sec. 9.300 Scope of subpart.
This subpart implements the Social Security Number Fraud Prevention
Act of 2017, Public Law 115-59, with respect to the use of Social
Security account numbers in documents sent by mail and requirements
applicable to NRC personnel for redacting Social Security account
numbers in documents sent by mail.
Sec. 9.301 Social Security account numbers in documents sent by mail.
(a) Social Security account numbers shall not be visible on the
outside of any package sent by mail.
(b) A document sent by mail may only include the Social Security
account number of an individual if it is determined by the head of the
agency that the inclusion of a Social Security account number is
necessary.
(c) The inclusion of a Social Security account number of an
individual on a document sent by mail is necessary when--
(1) Required by law; or
(2) Necessary to identify a specific individual and no adequate
substitute is available.
[[Page 33530]]
(d) Social Security account numbers must be partially redacted in
documents sent by mail whenever feasible.
PART 35--MEDICAL USE OF BYPRODUCT MATERIAL
0
4. The authority citation for part 35 continues to read as follows:
Authority: Atomic Energy Act of 1954, secs. 81, 161, 181, 182,
183, 223, 234, 274 (42 U.S.C. 2111, 2201, 2231, 2232, 2233, 2273,
2282, 2021); Energy Reorganization Act of 1974, secs. 201, 206 (42
U.S.C. 5841, 5846); 44 U.S.C. 3504 note.
0
5. In Sec. 35.3045, revise paragraph (g)(1)(ii) to read as follows:
Sec. 35.3045 Report and notification of a medical event.
* * * * *
(g) * * *
(1) * * *
(ii) Identification number or if no other identification number is
available, the social security number of the individual who is the
subject of the event; and
* * * * *
0
10. In Sec. 35.3047, revise paragraph (f)(1)(ii) to read as follows:
Sec. 35.3047 Report and notification of a dose to an embryo/fetus or
a nursing child.
* * * * *
(f) * * *
(1) * * *
(ii) Identification number or if no other identification number is
available, the social security number of the individual who is the
subject of the event; and
* * * * *
Dated: May 28, 2020.
For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. 2020-11899 Filed 6-1-20; 8:45 am]
BILLING CODE 7590-01-P