[Federal Register: October 14, 2005 (Volume 70, Number 198)]
[Proposed Rules]
[Page 60038-60051]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr14oc05-21]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Parts 302, 303 and 307
State Parent Locator Service; Safeguarding Child Support
Information
AGENCY: Administration for Children and Families, Office of Child
Support Enforcement (OCSE).
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Personal Responsibility and Work Opportunity
Reconciliation Act of 1996 (PRWORA) created and expanded State and
Federal title IV-D child support enforcement databases and
significantly enhanced access to information for title IV-D child
support purposes. States are moving toward integrated service delivery
and developing enterprise architecture initiatives to link their
program databases. This proposed rule is designed to prescribe
requirements for: State Parent Locator Service responses to authorized
location requests; and State IV-D agency safeguarding of confidential
information and authorized disclosures of this information. This
proposed rule would restrict the use of confidential data and
information to child support purposes, with exceptions for certain
disclosures permitted by statute.
DATES: Consideration will be given to comments received by December 13,
2005.
ADDRESSES: Send comments to: Office of Child Support Enforcement,
Administration for Children and Families, 370 L'Enfant Promenade, SW.,
4th floor, Washington, DC 20447. Attention: Director, Policy Division,
Mail Stop: OCSE/DP. Comments will be available for public inspection
Monday through Friday from 8:30 a.m. to 5 p.m. on the 4th floor of the
Department's offices at the above address. You may also transmit
written comments electronically via the Internet at: http://www.regulations.acf.gov.
To download an electronic version of the rule,
you may access http://www.regulations.gov.
FURTHER INFORMATION CONTACT: Yvette Hilderson Riddick, Policy and
Automation Liaison, OCSE, 202-401-4885, e-mail: yriddick@acf.hhs.gov.
Deaf and hearing-impaired individuals may call the Federal Dual Party
Relay Service at 1-800-877-8339 between 8 a.m. and 7 p.m. eastern time.
[[Page 60039]]
SUPPLEMENTARY INFORMATION:
Statutory Authority
This notice of proposed rulemaking is published under the authority
granted to the Secretary by section 1102 of the Social Security Act
(the Act), 42 U.S.C. 1302. Section 1102 authorizes the Secretary to
publish regulations that may be necessary for the efficient
administration of the functions for which he is responsible under the
Act.
The provisions of this proposed rule pertaining to the Federal
Parent Locator Service (PLS) implement section 453 of the Act, 42
U.S.C. 653. Section 453 requires the Secretary to establish and conduct
a Federal PLS to obtain and transmit specified information to
authorized persons for purposes of establishing parentage,
establishing, modifying, or enforcing child support obligations, and
enforcing any Federal or State law with respect to a parental
kidnapping; or making or enforcing a child custody or visitation
determination, as described in section 463 of the Act. It authorizes
the Secretary to use the services of State entities to carry out these
functions.
The provisions relating to the State PLS implement section 454(8)
of the Act, 42 U.S.C. 654(8), which requires each State plan for child
support enforcement to provide that the State will: (1) Establish a
service to locate parents utilizing all sources of information and
available records and the Federal PLS; and (2) subject to the privacy
safeguards in section 454(26) of the Act, 42 U.S.C. 654(26), disclose
only the information described in sections 453 and 463 of the Act to
the authorized persons specified in those sections.
The provisions relating to the States' computerized support
enforcement systems implement section 454A of the Act, 42 U.S.C. 654a,
which requires States' systems to perform such functions as the
Secretary may specify relating to management of the State title IV-D
program.
In addition, the provisions pertaining to safeguarding of
information implement section 454(26) of the Act, which requires the
State IV-D agency to have in effect safeguards, applicable to all
confidential information handled by the State agency, that are designed
to protect the privacy rights of the parties. Nothing in this rule is
meant to prevent the appropriate use of administrative data for program
oversight, management, and research.
Organization of Preamble Discussion
The preamble discussion that follows is divided into two sections.
The first section discusses amendments to the regulations on locating
individuals and their assets in response to authorized location
requests. The second section discusses a proposed new regulation on
safeguarding and disclosure of State information and amendments to the
regulation on security and confidentiality of information in
computerized support enforcement systems.
Provisions of the Regulation
Section 1. State Parent Locator Service (Sec. Sec. 302.35, 303.3,
303.20, and 303.70)
Current Federal regulations governing the IV-D program offer
minimal guidance on the role of the State PLS. Federal regulations at
45 CFR 301.1 define the term ``State PLS'' to mean ``the service
established by the IV-D agency pursuant to section 454(8) of the Act to
locate parents.'' Resident parent in this proposed rule refers to
custodial parent as established by the IV-D agency.
The regulations at 45 CFR 302.35 (a) and (b) require the IV-D
agency to establish a central State PLS office using all relevant
sources of information and records in the State, in other States, and
in the Federal PLS.
At paragraph (c) of Sec. 302.35, the role of the State PLS is
addressed primarily in relation to the Federal PLS, specifying the
individuals and entities from which the State PLS may accept requests
to use the Federal PLS. Paragraph (d) restricts disclosure of Federal
PLS information to these authorized persons. The current regulation
does not provide guidance regarding information obtained through the
State PLS from State sources. This proposed rule is intended to provide
that guidance.
The regulation is silent about information obtained by the State
PLS from State sources. States have interpreted both section 454(8) of
the Act and current Sec. 302.35 to permit use of State resources for
non-IV-D location purposes, including location for custody and
visitation purposes. This interpretation is also based upon a reading
of section 453 of the Act that the ``authorized persons'' who are
permitted to make a request to the Federal PLS--including private
collection agencies or attorneys under the umbrella of ``agent or
attorney of a child--would also be authorized to submit requests for
location services to the State PLS for matching against the State's own
databases and against the databases of other States, often via the
Child Support Enforcement Network.
The proposed amendments to the State PLS regulations are designed
to:
Address statutory changes from the Personal Responsibility
and Work Opportunity Reconciliation Act of 1996 regarding the
information available to the State PLS from the Federal PLS;
Reflect current processes, such as the automated match
data that States routinely receive and no longer have to request from
the Federal PLS; and
Address disclosure of information obtained by the State
PLS from State sources.
Section 302.35, State Parent Locator Service
The current regulation at Sec. 302.35(a) contains a State plan
requirement that the IV-D agency shall establish a State Parent Locator
Service (PLS) using: (1) All relevant sources of information and
records available in the State, and in other States as appropriate; and
(2) the Federal PLS of the Department of Health and Human Services.
Proposed paragraph (a) would modify the current requirement for
each State to ``establish'' a State PLS, since all States now have one,
and instead require each State to ``maintain'' a State PLS ``to provide
locate information to authorized persons for authorized purposes.''
The proposed Sec. 302.35(a)(1), covering IV-D cases, is designed
to require that the State PLS access ``the Federal PLS and all relevant
sources of information and records available in the State, and in other
States as appropriate, for locating custodial and noncustodial parents
for IV-D purposes.'' This proposed amendment makes clear that the State
may use the State PLS for locating either parent for IV-D purposes.
This is particularly important when a State is unable to distribute
child support collections because it does not have a current address
for the custodial parent. This paragraph also refers the reader to 45
CFR 303.3 for locate requirements and locate sources to be used for IV-
D cases.
Revised paragraph (a)(2), covering locate requests for authorized
non-IV-D individuals and purposes, would require a IV-D agency to
access and release information authorized to be disclosed under section
453(a)(2) of the Act from ``the Federal PLS and, unless prohibited by
State law or written policy, information from relevant in-State sources
of information and records, as appropriate'' to respond to locate
requests from a non-IV-D entity or individual specified in paragraph
(c), for purposes specified in paragraph (d), as discussed below. This
proposed provision implements sections 453 (a)(2) and 454(8) of the
Act. Section 453(a)(2) of the Act establishes the Federal PLS to locate
an individual,
[[Page 60040]]
wages and other income from employment, and asset information. Section
454(8) of the Act requires the State PLS to access and release
information described in sections 453 and 463 of the Act from the FPLS
and from ``all sources of information and available records'' in the
State to ``authorized persons specified in such sections for the
purposes specified in such sections.''
For non-IV-D requests, under proposed paragraph (a)(2) the State
PLS would not access IRS information or financial institution data
match information, which are available only to IV-D agencies, and to a
limited extent to their agents, under Federal statute. The Internal
Revenue Code (IRC) 26 USC6103(1), (6), (8), and (10) prohibits release
of IRS information outside of the IV-D program, except for limited
release allowed to IV-D contractors. This proposed regulation further
restricts release of financial information received from the financial
institution data match (FIDM) process under section 466(a)(17) of the
Act. This prohibition implements the statutory responsibility of IV-D
programs to safeguard confidential information not specifically
authorized for release under section 453 of the Act. In addition, the
restriction on release of financial information is intended to protect
the privacy of individuals and their financial assets.
The State PLS must not access data in its computerized support
enforcement system or forward the request to another State IV-D agency
for locate. The State PLS would not be required to make subsequent
location attempts if initial efforts fail to find the individual or
information sought. However, if a requestor demonstrates that there is
reason to believe that new information may be available, the State IV-D
agency must make a subsequent location attempt. The State PLS would be
used only in conjunction with a request for information from the
Federal PLS in non-IV-D requests.
The current regulation at paragraph (b) requires that the IV-D
agency must ``establish a central State PLS office and may also
designate additional IV-D offices within the State to submit requests
to the Federal PLS.'' The proposed amendment to current Sec. 302.35(b)
would remove mention of a State PLS ``office,'' in acknowledgment of
changes in technology, which have prompted many States to alter their
organizational structure and eliminate such ``offices.'' It would also
require the IV-D agency to ``maintain'' rather than ``establish'' a
central State PLS.
The current Sec. 302.35(c)(1) through (5) specify the authorized
persons and entities from whom the State PLS shall accept requests for
locate information. The proposed amendments to paragraph (c) aim to
strengthen the process by which authorized requestors obtain locate
information through the State PLS, specifically with respect to
requests from a resident parent, legal guardian, attorney, or agent of
a non-IV-A child, as explained below.
Proposed Sec. 302.35(c)(2), covering IV-D agency requests for
information, has been reworded slightly for simplicity, but is
otherwise unchanged and is reprinted for ease of review.
Current Sec. 302.35(c)(3) simply refers to the ``resident parent,
legal guardian, attorney, or agent of a child'' in non-IV-A cases as
authorized persons. This paragraph would be expanded to address two
concerns. The first concern addresses evidence of noncompliance with
the statutory and regulatory requirement that requestors under section
453(c)(3) of the Act pay a fee pursuant to section 453(e)(2) of the
Act. The second concern involves a private non-IV-D individual or
entity acting on behalf of a non-IV-A child (whether or not the child
is receiving services under the IV-D plan).
Proposed Sec. 302.35(c)(3) makes it clear that the State PLS will
accept locate requests from the resident parent, legal guardian,
attorney or agent of a child who is not receiving aid under title IV-A
of the Act only if key requirements are met. The proposed regulation
would require the individual to: (i) Attest that the request is being
made to obtain information on, or to facilitate the discovery of, an
individual for the purpose of establishing parentage, establishing,
setting the amount of, modifying, or enforcing child support
obligations; (ii) attest that any information obtained through the
Federal or State PLS will be used solely for these purposes and
otherwise treated as confidential; (iii) provide evidence (e.g., an ID)
that the requestor is the resident (custodial) parent, legal guardian
or attorney of a child not receiving aid under title IV-A of the Act,
or if an agent of such a child, evidence of a valid contract that meets
any requirements in State law or written policy for acting as an agent;
(iv) provide evidence that the requestor is the named individual who
has requisite authority (e.g., guardianship papers identifying the
requestor as the guardian) and (v) pay the Federal PLS fee required
under section 453(e)(2) of the Act and current Sec. 303.70(e)(2)(i) of
this chapter (redesignated herein as Sec. 303.70(f)(2)(i)), if the
State does not pay the fee itself. The proposal also specifies that the
State may charge a fee to cover its costs of processing these requests.
A State's fee must be as close to actual costs as possible, so as not
to discourage requests to use the Federal PLS. See 304.23(e) and 304.50
(a).
The attestations proposed in new clauses (i) and (ii) of Sec.
302.35(c)(3) are modeled after the attestations that IV-D Directors or
designees make in receiving Federal PLS data from OCSE under current
Sec. 303.70(d)(1) and (2). The goal is to apply to private individuals
and entities requesting Federal PLS data under section 453(c)(3) the
same standard to which IV-D agencies must adhere.
Proposed clause (iii) strengthens the process for ensuring that the
requestor is one of the individuals authorized to act on behalf of a
non-IV-A child for purposes of Federal PLS locate requests.
Proposed clause (iv) is intended to bolster the process for
ensuring the required Federal fee is paid, to clarify that the State
also may recover its costs through a fee, and to ensure that States are
aware that no Federal financial participation is available in
expenditures that States incur if they pay these fees themselves in
non-IV-D cases. As indicated in Sec. 304.50(a) the IV-D agency must
exclude from its quarterly expenditures claims an amount to all fees
which are collected during the quarter under the title IV-D State plan
all fees which are collected during the quarter under title IV-D.
The proposed paragraph (c)(4) simplifies the language regarding the
use of the Federal PLS for parental kidnapping, child custody or
visitation cases. Previously, section 463 of the Act allowed States to
enter into agreements to use the Federal PLS for parental kidnapping
cases. Now States are required to have these agreements in place. The
new language reflects the mandatory nature of this use, rather than
making it contingent upon the existence of an agreement, as before.
OCSE issued a recent Action Transmittal to raise awareness about use of
the Federal PLS to locate a parent or child in order to: (1) Make or
enforce a custody or visitation order; or (2) enforce a Federal or
State law in a parental kidnapping case. This Action Transmittal, OCSE-
AT-03-06, dated December 22, 2003, is available on the OCSE website at
http://www.acf.hhs.gov/programs/cse under the heading Policy Documents.
The proposed paragraph (c)(5) merely rewords in simpler fashion the
current language allowing locate requests from State title IV-B and
title IV-E agencies.
The current paragraph (d) is redesignated as paragraph (e), as
discussed below. A new paragraph (d) is
[[Page 60041]]
proposed to be added to specify the authorized purposes for which the
State PLS and the Federal PLS may be used and the locate information
that may be released for these purposes. Paragraph (d)(1) covers the
purposes of parentage and child support and related authorized releases
of information. It pertains to IV-D and non-IV-D authorized persons and
programs, including title IV-B and IV-E agencies. Proposed paragraph
(d)(2) covers the purposes of enforcing a State law with respect to the
unlawful taking or restraint of a child or for making or enforcing a
child custody or visitation determination and the related authorized
releases of information. The new paragraph (d) is intended to clarify
how the purpose, requestor, and authorized release of information are
tied together in responding to an information request. Section 463 of
the Act, 42 U.S.C. 663, limits the information that may be disclosed
for this type of inquiry.
Paragraph (d) of the current regulation, redesignated here as
paragraph (e), requires privacy safeguards for Federal PLS information
only. The proposed amendment, specifies at paragraphs (e)(1) and (2)
that, subject to the requirements of this section and the privacy
safeguards required under section 454(26) of the Act, the State PLS
shall disclose ``Federal PLS information'' described in sections 453
and 463 of the Act and ``information from in-State locate sources as
required by this section and described in Sec. 303.3(b)(1) of this
chapter'' only to authorized persons for authorized purposes.
A proposed Appendix A has been added at the end of this section to
show graphically the linkages between authorizing statute, authorized
purpose, authorized person or program, and authorized information.
Section 303.3, Location of Noncustodial Parents in IV-D Cases
The current regulation at Sec. 303.3, Location of noncustodial
parents, is divided into three main paragraphs. Paragraph (a) defines
the term ``location.'' Paragraph (b) specifies the types of cases in
which ``the IV-D agency must attempt to locate all noncustodial parents
or sources of income and/or assets when location is necessary to take
necessary action.'' Paragraphs (b)(1) through (5) describe the steps
the IV-D agency must take under this standard. Paragraph (c) requires
the State to establish guidelines defining diligent efforts to serve
process.
Under the proposed regulation, Sec. 303.3 is re-titled ``Location
of noncustodial parents in IV-D cases.''
Under paragraph (a) location is defined to mean ``information
concerning the physical whereabouts of the noncustodial parent, or the
noncustodial parent's employers(s), other sources of income or assets,
as appropriate, which is sufficient and necessary to take the next
appropriate action in a case.'' The proposed amendment to paragraph (a)
clarifies that the definition of ``location'' is applicable for this
section only. It further clarifies that ``location'' is an action that
means ``obtaining information,'' not simply ``information.''
The proposed amendments to paragraph (b) and its subparagraphs
clarify which location requirements apply to IV-D cases.
Paragraph 303.3(b) requires the IV-D agency to attempt to locate a
noncustodial parent in a IV-D case when location is needed to take
necessary action. Paragraphs (b)(1) through (5) provide an extensive
list of location sources, which as discussed below are unchanged for
the most part from the current regulation. While all of these sources
cited in Sec. 303.3(b)(1) are available in IV-D cases, they may not be
all available in response to non-IV-D location requests, depending upon
State law or written policy. We believe State IV-D agencies should
search State databases upon receiving a request from a resident parent,
legal guardian, attorney, or agent of a child but are allowing States
to determine the extent of that search, in accordance with State law or
policy. Therefore we have proposed adding the words ``for IV-D
services'' in paragraph (b) to clarify that location provisions under
this paragraph are required in IV-D cases only.
Current paragraphs (b)(1) and (2) remain unchanged, but are
republished to aid the reader.
Paragraph (b)(3) currently requires timely access of all
appropriate locations sources and specifies that this includes the
Federal PLS. We propose to remove the words ``including transmitting
appropriate cases to the Federal PLS'' because States now submit cases
to the Federal Case Registry for automatic matching with the National
Directory of New Hires for locate purposes.
The existing regulation at paragraph (b)(4) requires the IV-D
agency to ``Refer appropriate cases to the IV-D agency of any other
State, in accordance with the requirements of Sec. 303.7 of this
part.'' The proposed amendment inserts the word ``IV-D'' before the
word ``cases'' to clarify that the IV-D agency of State 1 may refer
only IV-D cases to the IV-D agency of State 2.
Current paragraph (b)(5) remains unchanged, but is republished to
aid the reader.
Proposed new paragraph (b)(6) is intended to draw a direct link
between the IV-D agency's duty to locate noncustodial parents and the
duty to safeguard information. The proposal incorporates by reference
both the existing statutory requirement at section 454(26) of the Act
and the proposed regulatory requirement at Sec. 303.21.
Current paragraph (c) regarding diligent efforts to serve process
is unchanged, but is republished to aid the reader in reviewing this
section.
Section 303.20, Minimum Organizational and Staffing Requirements
The current regulation at Sec. 303.20 describes the minimum
organizational and staffing requirements for the IV-D agency. Paragraph
(b) of this section requires an organizational structure and staff
sufficient to fulfill specified State level functions, including, in
paragraph (b)(7), ``operation of the State Parent Locator Service as
required under Sec. 302.35 of this chapter.''
The proposed amendment to Sec. 303.20(b)(7) inserts ``Sec. 303.3
and 303.70'' after the citation ``Sec. 302.35.'' The amendment is
designed to heighten awareness about the critical role of the State PLS
and ensure that the IV-D agency dedicates adequate resources to comply
with the State PLS's responsibilities.
Section 303.21, Safeguarding and Disclosure of Confidential Information
As discussed below we are proposing to add a new Section 303.21
that will address safeguarding and disclosure of confidential
information. This proposed regulation is discussed below in Section 2
of the Preamble.
Section 303.70, Procedures for Submissions to the State Parent Locator
Service (State PLS) or the Federal Parent Locator Service (Federal PLS)
The following proposes that the Federal PLS reflect the automated
matching and return of information to IV-D agencies in IV-D cases from
the Federal PLS's Federal Case Registry and National Directory of New
Hires. We are proposing to revise this section to address the current
processes under which States no longer ``request'' Federal PLS
information and we propose to replace the word ``requests'' with
``submittals'' wherever it appears. We are also proposing to
redesignate
[[Page 60042]]
paragraph (a) as (b) and to insert a new paragraph (a) in this section.
Paragraph (b) as redesignated includes language regarding a central
State PLS ``office.'' For the reasons discussed earlier with regard to
Sec. 302.35, we are proposing to omit mention of a central ``office.''
The words ``submit requests for information'' are replaced with ``make
submittals'' and the phrase ``for the purposes specified in paragraph
(a)'' is added at the end.
Current paragraph (b) is redesignated as (c) and ``requests'' is
replaced by ``submittals''.
The existing regulation at Sec. 303.70(c) is redesignated as
paragraph (d). The current paragraph (c)(2) requires the IV-D agency to
make ``every reasonable effort'' to find the individual's SSN prior to
submitting a request to the Federal PLS. The newly designated paragraph
(d)(2) changes this wording to ``reasonable efforts,'' in recognition
of the increased technological capabilities at the Federal level to
identify an individual's SSN, or to search without it. In addition, in
newly designated paragraph (d)(1) and (2), references to ``requests''
have been changed to ``submittals'' and ``parent'' has been changed to
``parent or putative father'' to clarify that information may also be
sought to determine paternity.
Existing paragraph (c)(3) requires that the request indicate
``whether the individual is or has been a member of the armed services,
if known.'' Existing paragraph (c)(4) requires that the request
indicate ``whether the individual is receiving, or has received, any
Federal compensation or benefits, if known.'' Because the Federal PLS
now automatically conducts a search to determine whether a person is or
has been a member of the armed services, this proposed amendment
removes current Sec. 303.70(c)(3). The rationale for the proposed
removal of current Sec. 303.70(c)(4) regarding searches for receipt of
Federal compensation or benefits is the same as that for removal of
current Sec. 303.70(c)(3). Removal of these two obsolete paragraphs
necessitates the redesignation of current paragraph (c)(5) as new
paragraph (d)(3).
The current regulation at Sec. 303.70(d) has been redesignated as
paragraph (e). It requires that each request from the State PLS to the
Federal PLS be accompanied by a statement from the IV-D director,
attesting to compliance with the listed requirements. Due to the
expansion of the Federal PLS, submittals to the Federal PLS from the
State PLS are received electronically. In addition, there has been a
great increase in the volume of submittals. Although the concept of
requiring an attestation remains important, requiring an attestation
with every submittal is impractical and overwhelming. Thus, the
proposed regulation allows for a single, annual attestation of
compliance by the IV-D director regarding the use of the Federal PLS.
The revised paragraph (e)(1)(i) would replace language about requests
for information with language specifying that the IV-D agency will
``obtain'' information, since States obtain most Federal PLS
information automatically now without request. A new paragraph
(e)(1)(ii) would clarify that the IV-D agency will only provide
information to authorized persons as specified in sections 453(c) and
463(d) of the Act.
Proposed paragraph (e)(2) is new and would require that, in the
case of a submittal made on behalf of a resident parent, legal
guardian, attorney or agent of a child not receiving aid under title
IV-A, the IV-D agency must verify that the requestor has complied with
the provisions of Sec. 302.35. The proposed paragraph is designed to
add more specificity about the role of the State PLS as a gatekeeper to
the Federal PLS and heighten the State PLS's scrutiny of requests made
by non-IV-D entities or individuals for Federal PLS services. The
cross-reference to Sec. 302.35 is intended to tighten up the
procedures for accepting such requests.
Proposed paragraph (e)(3), formerly paragraph (d)(2), has been
changed to specify that the IV-D agency shall treat information
obtained through the Federal PLS as confidential and shall safeguard
the information in accordance with statutory requirements and proposed
Sec. 303.21. The IV-D agencies must continue to emphasize to any other
entities with which they share information the importance of treating
the information as confidential and safeguarding it.
Current paragraph (e) has been redesignated as (f). In new
paragraph (f)(1), the statutory references have been accompanied by
explanatory phrases to enable the reader to better understand their
meaning without requiring reference to the Act. In addition, current
paragraph (e)(4)(i) is redundant of other language in this section and
we propose to remove it and redesignate (e)(4)(ii) and (iii) as
(f)(4)(i) and (ii). Finally, we propose to replace the word
``transmitted'' in new paragraph (f)(4)(ii) with the word ``paid'' to
allow OCSE to alter payment methods as technology advances, without a
change to the regulations.
Section 2. Safeguarding and Disclosure of Confidential Information
(Sec. 303.21 and Amended Sec. 307.13)
In the late 1990s, several amendments to the Social Security Act
dramatically expanded the scope of information available to State IV-D
agencies. The chart that follows lists the specific laws that had an
impact on, or otherwise expanded access to and information received by,
the Federal PLS and state child support enforcement programs. In
addition, the amended legislation rendered obsolete or inconsistent
several Federal regulations at 45 CFR chapter III, including the former
regulation at 45 CFR 303.21, Safeguarding information. That regulation
was not fully responsive to the post-PRWORA context in which the IV-D
program now operates and it was removed by an interim final rule
published in the Federal Register on February 9, 1999 (64 FR 6237,
finalized on May 12, 2003 at 68 FR 25293). The Description of
Regulatory Provisions is in the Preamble to the interim final rule
indicated that OCSE would ``develop comprehensive guidance consistent
with PRWORA's provisions concerning safeguarding information, including
any implementing regulations that may be necessary.''
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Law Summary of major requirements
------------------------------------------------------------------------
Debt Collection Improvement Act --Increase the collection of non-
(DCIA) of 1996 (Pub. L. 1104-134) tax debt, including past-due child
(See also Executive Order 13019, support, through administrative
September 16, 1998, and 31 CFR offsets.
285.1 and 285.3).
Personal Responsibility and Work --Transit certifications of child
Opportunity Reconciliation Act support debts from IV-D agencies
(PRWORA) (Pub. L. 104-193). to State Department for passport
restrictions.
--Reimburse SSA for SSN verfication
and SDNHs for furnishing
information.
--Prohibit disclosure of FPLS
information if the State notifies
HHS of family violence.
[[Page 60043]]
Balanced Budget Reconciliation Act --2% of set-aside funds made
of 1997 (Pub. L. 105-33). available for use by Secretary for
operation FPLS, to extent costs
not recovered through user fees.
--Expand FPLS data available for
research.
Adoption and Safe Families Act of --Make FPLS available to specified
1997 (Pub. L. 105-89). State IV-E and IV-B agencies.
Taxpayer Relief Act of 1997 (Pub. --Require that FCR include names
L. 105-34). and SSNs of children and that data
be available to Treasury for tax
administration.
Child Support Performance and --Establish a new incentive funding
Incentives Act of 1998 (CSPIA) scheme based upon States'
(Pub. L. 105-200). performance levels.
--Assist States and multistate
financial institutions, through
the FPLS, in conducting a
financial institution data match
system.
--Delete information rom the NDNH
in 24 months, restrict use of NDNH
data for child support purposes
and permit HHS to retain samples
of data for specified research
purposes.
--Impose a penalty for misuse of
information in the NDNH.
Consolidated Appropriations Act of --Require HHS to match NDNH data
1999 (Pub. L. 106-113). against Department of Education
data to collect debts on student
loans and grant overpayments.
--Expand penalty for misuing NDNH
data.
Consolidated Appropriations Act of --Adds HUD access.
2004 (Pub. L. 108-199).
------------------------------------------------------------------------
In recent years, a frequently voiced position of State and local
officials is the need for more data sharing across automated systems,
particularly to provide better support for case managers in integrating
services to clients. State officials often highlight the need for
expanded capabilities to query multiple automated systems to support
local program managers in obtaining the information they need to meet
their particular management challenges. In making a disclosure under
this provision, the IV-D agency may only disclose the minimum amount of
confidential information needed for the purpose provided.
The General Accounting Office (GAO) has issued several recent
reports that examine the barriers to data sharing. These reports,
available from GAO, include ``The Challenge of Data Sharing: Results of
a GAO-Sponsored Symposium on Benefit and Loan Programs' (GAO-01-67,
October 20, 2000). A GAO symposium was held July 7-8, 2000 and a major
issue that it addressed was privacy and data sharing. The Child Support
Enforcement program's National Directory of New Hires was frequently
cited by symposium participants to illustrate both the benefits of data
sharing and the privacy concerns. Participants discussed how access to,
and use of, shared information could be appropriately limited to
official personnel for authorized purposes related to program
administration.
Many States now have enterprise architecture plans that envision
systems integration efforts to support the delivery of integrated
services and that advance the ``no wrong door'' concept for clients
seeking services. In the past, because of different program and funding
requirements, most of the State client information and eligibility
systems were designed and built in relative isolation. To support an
integrated approach to service delivery, current information systems
may be integrated to allow greater sharing of client data and prevent
redundant data collection, to the degree allowed by Federal and State
law. States pursuing this approach to customer service cite privacy and
security of data as major considerations. As a result, States are eager
for guidance on how to restrict access to authorized users for
authorized purposes only.
In addition, we now have tribal child support programs funded under
section 455(f) of the Act. States need to know what information may be
provided to tribal child support agencies.
These proposed regulations will add a new 45 CFR 303.21 to address
the following concerns:
What information is covered by safeguarding requirements?
Who is subject to the regulation?
What general rule applies to the information and the
agencies and entities subject to the regulation?
What exceptions are there?
What safeguards are required?
What penalties apply if the regulation is violated?
We also propose to amend 45 CFR 307.13, Security and
confidentiality for computerized support enforcement systems in
operation after October 1, 1997, for consistency with the changes in
this proposed regulation requiring disclosure from the computerized
support enforcement system of noncustodial parent names, addresses,
telephone numbers and identifying IV-A case numbers to Workforce
Investment Boards, in accordance with section 454A(f)(5) of the Act, as
discussed further below.
Proposed Section 303.21, Safeguarding and Disclosure of Confidential
Information
The proposed regulation consists of six paragraphs: (a) Definition;
(b) Scope; (c) General rule; (d) Authorized disclosures; (e)
Safeguards; and (f) Penalties for unauthorized disclosure.
Proposed Section 303.21(a), Definition
The proposed regulation begins with a definition of the term
``confidential information.'' Paragraph (a) would provide that
``confidential information means any information relating to a
specified individual or an individual who can be identified by
reference to one or more factors specific to him or her, including, but
not limited, to the individual's Social Security number, residential
and mailing addresses, employment information, and financial
information. The amount of support ordered and the amount of a support
collection are not considered confidential information for purposes of
this section.''
Proposed Sec. 303.21(a) is designed to serve two primary purposes.
First, the proposed new Sec. 303.21 provides for safeguarding
information pertaining to individuals, including not only ``applicants
or recipients of support enforcement services,'' but also other
individuals about whom information is maintained by the IV-D agency,
such as information about noncustodial parents and children receiving
IV-D services, as well as individuals not receiving IV-D services, such
as newly hired employees reported to the State Directory of New Hires,
who may have no connection to the IV-D program.
Second, the proposed regulation provides that the responsibility of
the IV-D agency to safeguard information applies to information that
specifically relates to an identified or identifiable
[[Page 60044]]
individual. Thus, the phrase ``including but not limited to'' in Sec.
303.21(a) is intended to highlight the types of information maintained
by the IV-D agency that are most likely to be associated with a
specific individual.
Proposed Section 303.21(b), Scope
The definition of the term ``confidential information'' in proposed
Sec. 303.21(a) is followed by a provision describing the scope of the
proposed regulation. Proposed paragraph (b) reads: ``The requirements
of this section apply to the IV-D agency, any other State or local
agency or official to whom the IV-D agency delegates any of the
functions of the IV-D program, any official with whom a cooperative
agreement as described in Sec. 302.34 has been entered into, and any
person or private agency from whom the IV-D agency has purchased
services pursuant to Sec. 304.22.''
The provision extends the application of the proposed regulation
beyond the IV-D agency to encompass individuals and entities performing
IV-D functions under contract or cooperative agreement with the IV-D
agency or from whom the IV-D agency has purchased services. Proposed
Sec. 303.21(b) comports with language in existing Sec. 302.12, which
requires that each State plan provide for the establishment or
designation of a single and separate organizational unit to administer
the IV-D plan. Section 302.12(a)(2) makes it clear that the IV-D agency
shall be responsible and accountable for the operation of the IV-D
program but, with limited exceptions, need not perform all the
functions of the IV-D program. If the agency delegates any of the IV-D
functions or purchases services from any individual or entity, however,
Sec. 302.12(a)(3) makes it clear that the IV-D agency shall have
responsibility for securing compliance with the State plan. In part,
proposed Sec. 303.21(b) tracks the language in Sec. 302.12(a)(3) and
is generally intended to clarify that entities under cooperative
agreement with the IV-D agency and private contractors to the IV-D
agency are bound by the same safeguarding requirements that bind the
IV-D agency and its employees. The proposed provision relating to
private contractors is similar to a requirement that applies to Federal
contractors under the Privacy Act of 1974 (5 U.S.C. 552a(m)(1)), which
governs Federal agencies, as well as the HHS regulations implementing
the Privacy Act (45 CFR 5b.2(b)(1)).
Proposed Section 303.21(c), General Rule
Proposed paragraph (c) presents a general rule which states that
``[e]xcept as authorized by the Act and implementing regulations, no
entity described in paragraph (b) of this section shall disclose any
confidential information obtained in connection with the performance of
IV-D functions outside the administration of the IV-D program.''
The general rule at proposed Sec. 303.21(c) prohibiting disclosure
of confidential information is modeled after both the Federal Privacy
Act and section 6103 of the IRC. Both the Privacy Act and the IRC
provision on safeguarding data begin with a general prohibition on
disclosure and then enumerate specific exceptions to the general rule.
Proposed paragraph (d), described immediately below, enumerates the
exceptions to the general rule presented in proposed paragraph (c).
Proposed Section 303.21(d), Authorized Disclosures
Proposed paragraph (d) sets forth the authorized disclosures that
are exceptions to the general rule prohibiting disclosure of
confidential information. Modeled after the first exception to the
general prohibition against disclosure of tax information in section
6103 of the IRC, paragraph (d)(1) authorizes disclosure to the
individual to whom the information pertains and anyone he or she
designates. It would also enable the IV-D agency to release information
that may be needed by an individual applying for certain services. In
keeping with the view that an individual may consent to, or request,
disclosure, this paragraph would make explicit that an individual shall
be provided with his or her own confidential information, if requested.
This would not include confidential information concerning any other
individual involved in the case.
Under proposed paragraph (d)(2), the IV-D agency would be required
to disclose information for certain limited purposes, as designated.
Under paragraph (d)(2)(i), and to the extent that it does not interfere
with the IV-D agency meeting its own obligations, information must be
shared for administration of programs under titles IV (TANF, child and
family services, and foster care and adoption programs), XIX (Medicaid
program), and XXI (State Children's Health Insurance [SCHIP] program).
Information is required to be shared with State programs under title IV
and XIX in accordance with sections 454A(f)(3) and 453A(h)(2) of the
Act. Using the Secretary's rule making authority under section 1102 of
the Act, we included authority for States to share information with
title XXI programs because of their close relationship with the IV-D
program and because medical support is an important aspect of the Child
Support Enforcement program.
Similarly, the proposed regulation would include disclosure to
tribal programs authorized under titles IV-A and IV-D because of the
need for these programs to work closely with State IV-D programs. State
IV-D agencies are required to share information with these programs
only to the extent that it does not interfere with their ability to
meet their own obligations.
Programs receiving confidential information may use the information
only for the purpose for which it was disclosed and may not redisclose
the information. Based on the Secretary's general rulemaking authority
in Section 1102, this rule proposes in paragraph (d)(2)(ii), that
information may be disclosed for investigations, prosecutions or
criminal or civil proceedings related to the administration of the
programs listed in paragraph (d)(2)(i). Paragraph (d)(2)(iii) would
permit the release of information to appropriate agencies and officials
in cases of suspected child abuse. Release of such information would
take the best interest of the child in consideration. Finally,
paragraph (d)(2)(iv) would permit the release of information to
programs designated pursuant to sections 453A and 1137 of the Act for
income and eligibility verification purposes.
Proposed paragraph (d)(3) would require that, except for
disclosures to title IV-A agencies, authorized disclosures under Sec.
303.21(d)(2) shall not include confidential information from the
National Directory of New Hires or Federal Case Registry, unless the
information has been independently verified. No IRS information or
financial institution data match information could be disclosed outside
the administration of the IV-D program, unless independently verified
or specifically authorized in Federal statute. IRS information is
restricted as specified in the IRC. Note that financial institution
data matches are authorized under section 466(a)(17) of the Act to
increase the effectiveness of the IV-D program. Although a match occurs
in coordination with the Federal PLS, financial institution data match
information is not maintained by the Federal PLS, nor is it retrieved
for Federal PLS location efforts outside the IV-D program. The
information received in a financial institution data match may be used
only as authorized in section 466(a)(17) of the Act for the purposes of
locating and encumbering assets of a parent owing past-due
[[Page 60045]]
support. In addition, section 453 of the Act does not include specific
reference to the Federal role as intermediary in the financial
institution data match required under section 466(a)(17) of the Act
and, therefore, information received from such matches is not included
in ``information described in sections 453 and 463'' required to be
disclosed under section 454(8) of the Act to ``authorized persons''
referenced in those sections. Further, we believe that it is critical
for IV-D agencies to protect and use only for IV-D purposes any
financial information received as a result of these matches.
Proposed Section 303.21(e), Safeguards
This proposed section has its historical antecedent in 45 CFR
303.21(b). Proposed paragraph (e) provides that ``In addition to, and
not in lieu of, the safeguards described in Sec. 307.13 of this
chapter, which governs computerized support enforcement systems, the
IV-D agency shall establish appropriate safeguards to comply with the
provisions of this section.'' Covered entities shall have in place
appropriate administrative, technical, and physical safeguards. The
cross-reference to part 307 is intended to make it clear that the
proposed regulation applies to all confidential information obtained by
the IV-D agency, whether the data is maintained in an automated or non-
automated fashion.
Proposed paragraph (e) also provides that these ``safeguards shall
also prohibit disclosure to any committee or legislative body (Federal,
State, or local) of any confidential information, unless authorized by
the individual as specified in paragraph (d) of this section.'' This
makes clear that a legislative body or governmental committee cannot
compel the release of information pertaining to an individual without
consent of the individual.
Proposed Section 303.21(f), Penalties for Unauthorized Disclosure
Proposed paragraph (f) provides that ``[a]ny disclosure of
confidential information in violation of the Act and implementing
regulations remains subject to any State and Federal statutes that
impose legal sanctions for such disclosure.''
The reference to Federal law in proposed Sec. 303.21(f) reflects
the fact that, in addition to State statutes imposing legal sanctions,
Federal statutes may also contain legal sanctions regarding the
unauthorized disclosure of confidential information. Federal law grants
the Secretary authority to ensure State compliance with the
requirements of title IV-D through a variety of mechanisms, including
reductions in quarterly payments and State plan disapproval. For
example, pursuant to section 452(a) of the Act, the Secretary may
disapprove a State's IV-D plan if the plan fails to comply with the
requirements of section 454, including paragraph (26) of that section,
requiring States to safeguard confidential information.
An Appendix A has been included at the end of this section to show
graphically the linkages between authorizing statute, authorized
purposes for release of information, authorized persons or programs,
and authorized information.
Section 307.13--Security and Confidentiality for Computerized Support
Enforcement Systems in Operation After October 1, 1997
Section 307.13 addresses security and confidentiality of
computerized systems. We are revising paragraph (a) of Sec. 307.13.
Under the proposed rule, current paragraphs (a), (a)(1) and (a)(2) are
unchanged, but have been republished to aid the reader. Paragraph (a)
requires the State IV-D agency to have safeguards, including written
policies, concerning access to data in the State's computerized support
enforcement system. Paragraph (a)(1) requires the IV-D agency to have
written policies to permit access to and use of data to the extent
needed to carry out the State IV-D program. Paragraph (a)(2) requires
the IV-D agency to specify in its written policies the data that may be
used for particular program purposes, and the personnel permitted
access to such data.
Current Sec. 307.13(a)(3) requires that the State agency have
written procedures to permit access to data by title IV-A and XIX
programs, as necessary for their program purposes We are proposing to
revise this paragraph to require the IV-D agency exchange data from its
computerized support enforcement system with other title IV programs
and the State Children's Health Insurance Program (SCHIP), to the
extent that it does not interfere with the IV-D agency meeting its own
obligations. The Office of the Inspector General, HHS, has conducted
studies in cooperation with several States that demonstrated that many
noncustodial parents are able to contribute to the costs of public
health insurance, including SCHIP, on behalf of their children. The
exchange and sharing of data between IV-D agencies and various other
State and tribal IV-A and IV-D agencies, as well as State Medicaid and
SCHIP programs, is critical to the success of these programs achieving
their mutual goals, ensuring that families attain and maintain their
independence from government cash and medical assistance.
In addition, the proposed regulation adds a new paragraph (a)(4) to
require written policies that permit disclosure of noncustodial parent
names, addresses, telephone numbers and identifying IV-A case numbers
to Workforce Investment Boards (formerly called private industry
councils) that receive welfare-to-work grants, as authorized in section
454A(f)(5) of the Act. These Boards support work for low-income
noncustodial parents in their service areas.
The proposed paragraph (a)(5) would require written policies that
limit disclosure, outside the IV-D program, of National Directory of
New Hire or Federal Case Registry information, IRS information or
financial institution data match information, from the computerized
support enforcement system, to information that has been independently
verified. The rationale for these limitations is discussed previously
in this Preamble. The single exception would be the required disclosure
of National Directory of New Hire or Federal Case Registry information
to title IV-A agencies, where verification before disclosure is not
required.
Paperwork Reduction Act
Section 302.35(c) contains an information collection requirement.
As required by the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)),
the Administration for Children and Families has submitted a copy of
this section to the Office of Management and Budget (OMB) for its
review.
The Locate Request Attestation in the proposed Sec. 302.35(c)(3)
is the information collection requirement, which is proposed to ensure
that only authorized persons obtain information from the Federal PLS.
The State IV-D agency would be required to obtain an attestation from
each resident parent, legal guardian, attorney or agent of a child not
receiving aid under title IV-A who requests information from the
Federal PLS. Each requesting individual must: (1) Attest that the
request for locate information is being made for an authorized purpose;
(2) attest that the information will be used only for the authorized
purpose and otherwise treated as confidential; and (3) provide evidence
that the requestor is an authorized person. This information will be
used to verify that the person making the request for Federal PLS
information is in fact the resident parent, legal guardian, attorney or
agent
[[Page 60046]]
of a child not receiving aid under title IV-A and to ensure that this
person understands that the information must only be used for child
support purposes and otherwise treated as confidential.
The respondents affected by this information collection are State
agencies and the parent, legal guardian, attorney or agent of a child
not receiving aid under title IV-A.
----------------------------------------------------------------------------------------------------------------
Estimated number of Proposed frequency of Average burden per
respondents response response Total annual burden
----------------------------------------------------------------------------------------------------------------
54........................... 1 per week................ .25 hour.................. 702 hours.
----------------------------------------------------------------------------------------------------------------
The Administration for Children and Families will consider comments
by the public on this proposed collection of information in the
following areas:
Evaluating whether the proposed collection is necessary
for the proper performance of the functions of ACF, including whether
the information will have practical utility;
Evaluating the accuracy of the ACF's estimate of the
burden of the proposed collection[s] of information, including the
validity of the methodology and assumptions used;
Enhancing the quality, usefulness, and clarity of the
information to be collected; and
Minimizing the burden of the collection of information on
those who are to respond, including through the use of appropriate
automated, electronic, mechanical, or other technology, e.g.,
permitting electronic submission of responses.
OMB is required to make a decision concerning the collection of
information contained in these proposed regulations between 30 and 60
days after publication of this document in the Federal Register.
Therefore, a comment is best assured of having its full effect if OMB
receives it within 30 days of publication. This does not affect the
deadline for the public to comment to the Department on the proposed
regulations. Written comments to OMB for the proposed information
collection should be sent directly to the following: Office of
Management and Budget, Paperwork Reduction Project, 725 17th Street,
NW., Washington, DC20503, Attention: Desk Officer for the
Administration for Children and Families.
Regulatory Flexibility Analysis
The Secretary certifies that, under 5 U.S.C. 605(b), as enacted by
the Regulatory Flexibility Act (Pub. L. 96-354), this rule will not
result in a significant impact on a substantial number of small
entities. The primary impact is on State governments. State governments
are not considered small entities under the Act.
Regulatory Impact Analysis
Executive Order 12866 requires that regulations be reviewed to
ensure that they are consistent with the priorities and principles set
forth in the Executive Order. The Department has determined that this
rule is consistent with these priorities and principles. This
regulation responds to State requests for guidance on data privacy
issues and therefore should not raise negative impact concerns.
Unfunded Mandates Reform Act of 1995
Section 202 of the Unfunded Mandates Reform Act of 1995 requires
that a covered agency prepare a budgetary impact statement before
promulgating a rule that includes any Federal mandate that may result
in the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector, of $100 million or more in any one
year.
If a covered agency must prepare a budgetary impact statement,
section 205 further requires that it select the most cost-effective and
least burdensome alternative that achieves the objectives of the rule
and is consistent with the statutory requirements. In addition, section
203 requires a plan for informing and advising any small governments
that may be significantly or uniquely impacted by the rule.
We have determined that this rule will not result in the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector, of more than $100 million in any one year.
Accordingly, we have not prepared a budgetary impact statement,
specifically addressed the regulatory alternatives considered, or
prepared a plan for informing and advising any significantly or
uniquely impacted small governments. Based on FY2004 data and analysis,
some States allowing Private Collection Agencies to submit requests for
location services to the FPLS, would at most double the amount of
locate requests received by the FPLS. In FY2004, states reimbursed the
FPLS for 20% of these types of costs. Therefore, the net cost to the
FPLS would be less than .2% of the overall FPLS costs.
Congressional Review
This notice of proposed rule making is not a major rule as defined
in 5 U.S.C. chapter 8.
Assessment of Federal Regulations and Policies on Families
Section 654 of the Treasury and General Government Appropriations
Act of 1999 requires Federal agencies to determine whether a proposed
policy or regulations may affect family well-being. If the agency's
determination is affirmative, then the agency must prepare an impact
assessment addressing seven criteria specified in the law. This
regulation protects the confidentiality of information contained in the
records of State child support enforcement agencies. These regulations
will not have an impact on family well-being as defined in the
legislation.
Executive Order 13132
Executive Order 13132 prohibits an agency from publishing any rule
that has federalism implications if the rule either imposes substantial
direct compliance costs on State and local governments and is not
required by statute, or the rule preempts state law, unless the agency
meets the consultation and funding requirements of section 6 of the
Executive Order. We do not believe the regulation has federalism impact
as defined in the Executive order. However, consistent with Executive
Order 13132, the Department specifically solicits comments from State
and local government officials on this proposed rule.
List of Subjects
45 CFR Part 302
Child support, Grants programs/social programs, Reporting and
recordkeeping requirements.
45 CFR Part 303
Child support, Grant programs/social programs, Reporting and
recordkeeping requirements.
45 CFR Part 307
Child support, Grant programs/social programs, computer technology,
[[Page 60047]]
Reporting and recordkeeping requirements.
(Catalog of Federal Domestic Assistance Programs No. 93.563, Child
Support Enforcement Program.)
Dated: October 26, 2004.
Wade F. Horn,
Assistant Secretary for Children and Families.
Approved: June 24, 2005.
Michael O. Leavitt,
Secretary of Health and Human Services.
For the reasons discussed above, we propose to amend title 45
chapter III of the Code of Federal Regulations as follows:
PART 302--STATE PLAN REQUIREMENTS
1. The authority citation for part 302 is revised to read as
follows:
Authority: 42 U.S.C. 651 through 658, 660, 664, 666, 667, 1302,
1396a(a)(25), 1396b(d)(2), 1396b(o), 1396b(p), 1396(k).
2. Section 302.35 is revised to read as follows:
Sec. 302.35 State parent locator service.
The State plan shall provide as follows:
(a) State PLS. The IV-D agency shall maintain a State PLS to
provide locate information to authorized persons for authorized
purposes.
(1) For IV-D cases--The State PLS shall access the Federal PLS and
all relevant sources of information and records available in the State,
and in other States as appropriate, for locating custodial and
noncustodial parents for IV-D purposes. Locate requirements for IV-D
cases are specified in Sec. 303.3 of this chapter; and
(2) For authorized non-IV-D individuals and purposes--(i) The State
PLS shall access and release information authorized to be disclosed
under Section 453(a)(2) of the Act from the Federal PLS and, unless
prohibited by State law or written policy, information from relevant
in-State sources of information and records, as appropriate, for
locating noncustodial parents upon request of authorized individuals
specified in paragraph (c) of this section, for authorized purposes
specified in paragraph (d) of this section.
(ii) For a non-IV-D request, the State PLS shall not release
information from the computerized support enforcement system required
under part 307 of this chapter, IRS information, or financial
institution data match information, nor shall the State PLS forward the
request to another State IV-D agency.
(iii) The State PLS need not make subsequent location attempts if
locate efforts fail to find the individual sought.
(iv) The State PLS may only be used in conjunction with a request
for information from the Federal PLS in non-IV-D cases.
(b) Central State PLS requirement. The IV-D agency shall maintain a
central State PLS to submit requests to the Federal PLS.
(c) Authorized persons. The State PLS shall accept requests for
locate information only from the following authorized persons:
(1) Any State or local agency or official providing child and
spousal support services under the State plan;
(2) A court that has authority to issue an order or to serve as the
initiating court in an action to seek an order against a noncustodial
parent for the support and maintenance of a child, or any agent of such
court;
(3) The resident parent, legal guardian, attorney, or agent of a
child who is not receiving aid under title IV-A of the Act only if the
individual:
(i) Attests that the request is being made to obtain information
on, or to facilitate the discovery of, any individual in accordance
with section 453(a)(2) of the Act for the purpose of establishing
parentage, establishing, setting the amount of, modifying, or enforcing
child support obligations;
(ii) Attests that any information obtained through the Federal or
State PLS shall be used solely for these purposes and shall be
otherwise treated as confidential;
(iii) Provides evidence that the requestor is either the resident
parent, legal guardian or attorney of a child not receiving aid under
title IV-A, or if an agent of such a child, evidence of a valid
contract that meets any requirements in State law or written policy for
acting as an agent; and
(iv) Pays the fee required for Federal PLS services under section
453(e)(2) of the Act and Sec. 303.70(f)(2)(i) of this chapter, if the
State does not pay the fee itself. The State may also charge a fee to
cover its costs of processing the request, which must be as close to
actual costs as possible, so as not to discourage requests to use the
Federal PLS. If the State itself pays the fee for use of the Federal
PLS or the State PLS in a non-IV-D case, Federal financial
participation is not available in those expenditures.
(4) Authorized persons as defined in Sec. 303.15 of this chapter
in connection with parental kidnapping, child custody or visitation
cases; or
(5) A State agency that is administering a program operated under a
State plan under titles IV-B or IV-E of the Act.
(d) Authorized purposes for requests. The State PLS shall obtain
location information under this section only for the purposes specified
in paragraphs (d1) and (d2) of this section:
(1) To locate an individual who may be the parent of a child in a
IV-D or non-IV-D case. The State PLS shall locate individuals for the
purpose of establishing parentage, or establishing, setting the amount
of, modifying, or enforcing child support obligations or for
determining who has or may have parental rights with respect to a
child. For these purposes, only information available through the
Federal PLS or the State PLS may be provided. This information is
limited to Social Security number(s), most recent address, employer
name and address, employer identification number, wages or other income
from, and benefits of, employment, including rights to, or enrollment
in, health care coverage, or asset and debt information;
(2) To locate an individual sought for the unlawful taking or
restraint of a child or for child custody or visitation purposes. The
State PLS shall locate individuals for the purpose of enforcing a State
law with respect to the unlawful taking or restraint of a child or for
making or enforcing a child custody or visitation determination as
defined in section 463(d)(1) of the Act. For this purpose, only the
information available through the Federal PLS or the State PLS may be
provided. This information is limited to most recent address and place
of employment of a parent or child.
(e) Locate information subject to disclosure. Subject to the
requirements of this section and the privacy safeguards required under
section 454(26) of the Act, the State PLS shall disclose the following
information to authorized persons for authorized purposes:
(1) Federal PLS information described in sections 453 and 463 of
the Act; and
(2) Information from in-State locate sources as required by this
section and described in Sec. 303.3(b)(1) of this chapter.
[[Page 60048]]
Appendix A to Sec. 302.35--Locating Individuals Through the State PLS
\1\
---------------------------------------------------------------------------
\1\Related regulations on locate function: 45 CFR 303.3,
Location of Noncustodial Parents in IV-D Cases; 45 CFR 303.20,
Minimum Organizational and Staffing Requirements; 45 CFR 303.70,
Procedures for Providing Information to the State PLS from the
Federal PLS.
Authority: Sec. 453 of the Act; 45 CFR 302.35, State Parent
Locator Service.
------------------------------------------------------------------------
Authorized person/ Authorized
Authorized purpose program information
------------------------------------------------------------------------
A. Locating a parent or child State IV-D From FPLS, in-
involved in a IV-D child agencies. state sources and
support case. other states as
appropriate,
individual's
name, address and
SSN; employer's
name, address,
and Federal
Employer
Identification
Number (FEIN),
wages, income and
benefits from
employment,
including health
care coverage,
and asset or debt
information.
B. Locating a parent or child Court/ From FPLS, and
involved in a non-IV-D child agent of court from in-state
support case. with authority to sources (unless
issue support prohibited),
order. first 6 items
Resident above, wages,
parent, legal income and
guardian, benefits from
attorney or agent employment,
of a non-IV-A including health
child.. care coverage,
and asset or debt
information
available from a
Federal or State
agency. No
automated system
or other states'
data; no IRS
information; no
FIDM information;
no subsequent
attempts to
locate unless
additional
information is
provided.
C. Locating an individual sought A court From FPLS and in-
in a parental kidnapping, child with jurisdiction state sources
custody or visitation case. to order/enforce (unless
custody or prohibited), most
visitation. recent address
Agent/ and place of
attorney of state employment. No
with authority to automated system
enforce custody or other states'
or visitation data; no IRS
rights.. information; no
Agent or FIDM information;
attorney of US or no subsequent
a state with attempts to
authority to locate unless
investigate, additional
enforce or information is
prosecute provided.
unlawful taking
or restraint of a
child..
D. Locating an individual who is State IV-B and IV- From FPLS, and
or may be a parent of a child. E agencies. from in-state
sources (unless
prohibited) first
6 items above,
wages, income and
benefits from
employment,
including health
care coverage,
and asset or debt
information if
available from a
Federal or State
agency.
No automated
system or other
states' data; no
IRS information;
no FIDM
information; no
subsequent
attempts to
locate.
------------------------------------------------------------------------
PART 303--STANDARDS FOR PROGRAM OPERATIONS
1. The authority citation for part 303 is amended to read as
follows:
Authority: 42 U.S.C. 651 through 658, 660, 663, 664, 666, 667,
1302, 1396a(a)(25), 1396b(d)(2), 1396b(o), 1396b(p) and 1396(k).
2. Revise Sec. 303.3 to read as follows:
Sec. 303.3 Location of noncustodial parents in IV-D cases.
(a) Definition. For purposes of this section, location means
obtaining information concerning the physical whereabouts of the
noncustodial parent, or the noncustodial parent's employer(s), other
sources of income or assets, as appropriate, which is sufficient and
necessary to take the next appropriate action in a IV-D case.
(b) For all cases referred to the IV-D agency for IV-D services
because of an assignment of support rights or cases opened upon
application for IV-D services under Sec. 302.33 of this chapter, the
IV-D agency must attempt to locate all noncustodial parents or their
sources of income and/or assets when location is necessary to take a
necessary action. Under this standard, the IV-D agency must:
(1) Use appropriate location sources such as the Federal PLS;
interstate location networks; local officials and employees
administering public assistance, general assistance, medical
assistance, food stamps, and social services (whether such individuals
are employed by the State or a political subdivision); relatives and
friends of the noncustodial parent, current or past employers; the
local telephone company; the U.S. Postal Service; financial references;
unions; fraternal organizations; and police, parole, and probation
records, if appropriate; and State agencies and departments, as
authorized by State law, including those departments which maintain
records of public assistance, wages, and employment, unemployment
insurance, income taxation, driver's licenses, vehicle registration,
and criminal records and other sources;
(2) Establish working relationships with all appropriate agencies
in order to use locate resources effectively;
(3) Within no more than 75 calendar days of determining that
location is necessary, access all appropriate location sources and
ensure that location information is sufficient to take the next
appropriate action in a case;
(4) Refer appropriate IV-D cases to the IV-D agency of any other
State, in accordance with the requirements of Sec. 303.7. The IV-D
agency of such other State shall follow the procedures in paragraphs
(b)(1) through (b)(3) of this section for such cases, as necessary,
except that the responding State is not required to access the Federal
PLS;
(5) Repeat location attempts in cases in which previous attempts to
locate noncustodial parents or sources of income and/or assets have
failed, but adequate identifying and other information exists to meet
requirements for submittal for location, either quarterly or
immediately upon receipt of new information which may aid in location,
whichever occurs sooner. Quarterly attempts may be limited to automated
sources, but must include accessing State employment security files.
Repeated attempts because of new information which may aid in location
must meet the requirements of paragraph (b)(3) of this section; and
[[Page 60049]]
(6) Have in effect safeguards, applicable to all confidential
information handled by the IV-D agency, that are designed to protect
the privacy rights of the parties and that comply with the requirements
of section 454(26) of the Act and Sec. 303.21.
(c) The State must establish guidelines defining diligent efforts
to serve process. These guidelines must include periodically repeating
service of process attempts in cases in which previous attempts to
serve process have failed, but adequate identifying and other
information exists to attempt service of process.
4. Section 303.20 is amended by revising paragraph (b)(7) as
follows:
Sec. 303.20 Minimum organizational and staffing requirements.
(b) * * *
(7) Operation of the State PLS as required under Sec. Sec. 302.35,
303.3, and 303.70 of this chapter.
* * * * *
5. In 45 CFR part 303, Sec. 303.21 is added to read as follows:
Sec. 303.21 Safeguarding and disclosure of confidential information.
(a) Definition. Confidential information means any information
relating to a specified individual or an individual who can be
identified by reference to one or more factors specific to him or her,
including but not limited to the individual's Social Security number,
residential and mailing addresses, employment information, and
financial information. The amount of support ordered and the amount of
a support collection are not considered confidential information for
purposes of this section.
(b) Scope. The requirements of this section apply to the IV-D
agency, any other State or local agency or official to whom the IV-D
agency delegates any of the functions of the IV-D program, any official
with whom a cooperative agreement as described in Sec. 302.34 of this
chapter has been entered into, and any person or private agency from
whom the IV-D agency has purchased services pursuant to Sec. 304.22 of
this chapter.
(c) General rule. Except as authorized by the Act and implementing
regulations, no entity described in paragraph (b) of this section shall
disclose any confidential information obtained in connection with the
performance of IV-D functions outside the administration of the IV-D
program.
(d) Authorized disclosures. (1) The entities described in paragraph
(b) of this section shall, subject to such requirements as the Office
may prescribe, disclose confidential information to such person or
persons designated by the individual to whom the information relates to
the extent necessary to comply with the consent or request of the
individual. These entities shall also provide an individual his or her
confidential information, upon request. This does not include providing
an individual with confidential information concerning any other
individual involved in the case.
(2) The IV-D agency must, to the extent that it does not interfere
with the IV-D agency meeting its own obligations and subject to such
requirements as the Office may prescribe, disclose confidential
information for purposes directly connected with:
(i) The administration of the plan or program approved under titles
IV, XIX, or XXI of the Act;
(ii) Any investigation, prosecution or criminal or civil proceeding
conducted in connection with the administration of any such plan or
program;
(iii) Reporting to an appropriate agency or official, information
on known or suspected instances of physical or mental injury, sexual
abuse or exploitation, or negligent treatment or maltreatment of a
child under circumstances which indicate that the child's health or
welfare is threatened; and
(iv) Reporting to programs designated pursuant to sections 453A and
1137 of the Act for purposes of income and eligibility verification.
(3) With the exception of disclosures to title IV-A agencies,
authorized disclosures under paragraph (d)(2) of this section shall not
include confidential information from the National Directory of New
Hires or the Federal Case Registry, unless the information has been
independently verified. No IRS information or financial institution
data match information may be disclosed outside the administration of
the IV-D program, unless independently verified or otherwise authorized
in Federal statute.
(e) Safeguards. In addition to, and not in lieu of, the safeguards
described in Sec. 307.13 of this chapter, which governs computerized
support enforcement systems, the IV-D agency shall establish
appropriate safeguards to comply with the provisions of this section.
These safeguards shall prohibit disclosure to any committee or
legislative body (Federal, State, or local) of any confidential
information, unless authorized by the individual about whom the
information relates as specified in paragraph (d) of this section.
(f) Penalties for unauthorized disclosure. Any disclosure of
confidential information in violation of the Act and implementing
regulations shall be subject to any State and Federal statutes that
impose legal sanctions for such disclosure.
Appendix A to Sec. 303.21--Safeguarding Confidential Information
[Confidential information must be safeguarded and released only as
authorized]
----------------------------------------------------------------------------------------------------------------
Authorized person/
Authority Authorized purpose program Authorized information
----------------------------------------------------------------------------------------------------------------
A. Sec 453(l) of the Act; Sec 454 (1) Comply with Individual to whom Individual's own
(26) of the Act; Sec. 1102 of the request of individual. information relates. confidential information
Act; 45 CFR 303.21--authorized from any IV-D agency
release of information. records.
(2) To report child Appropriate agency or Limited to confidential
abuse or neglect. official. information from IV-D
agency records (including
computerized support
enforcement system at
state option) to extent
necessary to make report;
no NDNH, FCR, IRS or FIDM
information unless
independently verified.
[[Page 60050]]
(3) For Administration Title IV, XIX, and XXI Limited to confidential
or investigation of programs, including information from IV-D
authorized programs. tribal programs under agency records (including
these titles. computerized support
enforcement system at
state option) to extent
necessary for
administration or
investigation of programs;
no NDNH, FCR, IRS or FIDM
information unless
independently verified,
except NDNH or FCR
information is available
to IV-A programs without
verification.
(B) Sec. 454A(f)(3) and (5) of the (1) To perform state State or tribal Confidential information in
Act; Sec 1102 of the Act; and 45 agency agencies automated system; no NDNH,
CFR 307.13--computerized support responsibilities of administering Title FCR, IRS or FIDM
enforcement system. designated programs. IV, XIX, and XXI information unless
programs. independently verified,
except NDNH or FCR
information is available
to IV-A programs without
verification.
(2) To identify and Workforce Investment NCP name, address, phone
contact NCPs for Boards that receive number and identifying IV-
participation in welfare-to-work A, case number; no NDNH,
welfare-to-work grants. FCR, IRS or FIDM
program. information unless
independently verified.
C. Sec 453A(h)(2) and 1137 of the Income and eligibility State agencies Limited to the following
Act--State Directory of New Hires. verification purposes administering title employer-reported
of designated IV-A, Medicaid, information provided to
programs. unemployment the SDNH--individual's
compensation, food name, address and SSN and
stamp, or other state employer's name, address
program under a plan and FEIN (federal employer
approved under title identification number);
I, X, XIV or XVI of programs must
the Act. independently verify the
information before taking
action affecting the
individual; no NDNH, FCR,
IRS or FIDM information
unless independently
verified.
----------------------------------------------------------------------------------------------------------------
6. Revise Sec. 303.70 to read as follows:
Sec. 303.70 Procedures for submissions to the State Parent Locator
Service (State PLS) or the Federal Parent Locator Service (Federal
PLS).
(a) For the purpose of locating individuals in a paternity
establishment case, a case involving the establishment, modification,
or enforcement of a support order, a case involving the unlawful taking
or restraint of a child or a child custody or visitation case, the
Federal PLS will compare information in the Federal Case Registry and
the National Directory of New Hires and report match information to the
State IV-D agency or agencies involved in the case, consistent with
section 453 of the Act.
(b) Only the central State PLS may make submittals to the Federal
PLS for the purposes specified in paragraph (a) of this section.
(c) All submittals shall be made in the manner and form prescribed
by the Office.
(d) All submittals shall contain the following information:
(1) The parent's or putative father's name;
(2) The parent's or putative father's social security number (SSN).
If the SSN is unknown, the IV-D agency must make reasonable efforts to
ascertain the individual's SSN before making a submittal to the Federal
PLS; and
(3) Any other information prescribed by the Office.
(e) The director of the IV-D agency or his or her designee shall
attest annually to the following:
(1)(i) The IV-D agency will only obtain information to facilitate
the discovery of any individual in accordance with section 453(a)(2) of
the Act for the purpose of establishing parentage, establishing,
setting the amount of, modifying, or enforcing child support
obligations, or for determining who has or may have parental rights
with respect to a child, or in accordance with section 453(a)(3) for
enforcing a State law with respect to the unlawful taking or restraint
of a child, or for making or enforcing a child custody or visitation
determination as defined in section 463(d)(1) of the Act.
(ii) The IV-D agency will only provide information to the
authorized persons specified in sections 453(c) or 463(d) of the Act.
(2) In the case of a submittal made on behalf of a resident parent,
legal guardian, attorney or agent of a child not receiving aid under
title IV-A, the IV-D agency will verify that the requesting individual
has complied with the provisions of Sec. 302.35 of this chapter.
(3) The IV-D agency will treat any information obtained through the
Federal PLS as confidential and shall safeguard the information under
the requirements of sections 453(b), 453(l), 454(8), 454(26), and
463(c) of the Act, Sec. 303.21 and instructions issued by the Office.
(f)(1) The IV-D agency shall reimburse the Secretary for the fees
required under:
(i) Section 453(e)(2) of the Act whenever Federal PLS services are
furnished to a resident parent, legal guardian, attorney or agent of a
child not receiving aid under title IV-A of the Act;
(ii) Section 454(17) of the Act whenever Federal PLS services are
furnished in parental kidnapping and child custody or visitation cases;
(iii) Section 453(k)(3) of the Act whenever a State agency receives
information from the Federal PLS pursuant to section 453 of the Act.
(2)(i) The IV-D agency may charge an individual requesting
information, or pay without charging the individual, the fees
referenced in paragraph (f)(1) of this section.
(ii) The State may recover the fee required under section 453(e)(2)
of the Act from the noncustodial parent who owes a support obligation
to a family on whose behalf the IV-D agency is providing services and
repay it to the individual requesting information or itself.
(iii) State funds used to pay the fee under section 453(e)(2) of
the Act are not program expenditures under the State plan but are
program income under Sec. 304.50 of this chapter.
(3) The fees referenced in paragraph (f)(1) of this section shall
be reasonable and as close to actual costs as possible so as not to
discourage use of the Federal PLS by authorized individuals.
(4)(i) If a State fails to pay the fees charged by the Office under
this section, the services provided by the Federal PLS in cases subject
to the fees may be suspended until payment is received.
(ii) Fees shall be paid in the amount and manner prescribed by the
Office in instructions.
[[Page 60051]]
PART 307--COMPUTERIZED SUPPORT ENFORCEMENT SYSTEMS IN OPERATION
AFTER OCTOBER 1, 1997
1. The authority citation for part 307 continues to read as
follows:
Authority: 42 U.S.C. 652 through 658, 664, 666 through 669A, and
1302.
2. Amend Sec. 307.13 by revising paragraph (a) to read as follows:
Sec. 307.13 Security and confidentiality for computerized support
enforcement systems in operation after October 1, 1997.
* * * * *
(a) Information integrity and security. Have safeguards protecting
the integrity, accuracy, completeness of, access to, and use of data in
the computerized support enforcement system. These safeguards shall
include written policies concerning access to data by IV-D agency
personnel, and the sharing of data with other persons to:
(1) Permit access to and use of data to the extent necessary to
carry out the State IV-D program under this chapter;
(2) Specify the data which may be used for particular IV-D program
purposes, and the personnel permitted access to such data;
(3) Permit exchanging information with State and tribal agencies
administering programs under titles IV, XIX, and XXI of the Act, to the
extent necessary to carry out State and tribal agency responsibilities
under such programs in accordance with section 454A(f)(3) of the Act;
and to the extent that it does not interfere with IV-D agency meeting
its own obligations.
(4) Permit disclosure of noncustodial parent names, addresses,
telephone numbers, and identifying IV-A case number information to
Workforce Investment Boards (formerly called private industry councils)
that receive welfare-to-work grants as specified in section 454A(f)(5)
of the Act.
(5) Except for disclosure of National Directory of New Hire or
Federal Case Registry information to title IV-A agencies, limit
disclosure of National Directory of New Hire or Federal Case Registry
information, IRS information or financial institution data match
information, outside the IV-D program, to information that has been
independently verified.
* * * * *
[FR Doc. 05-20508 Filed 10-13-05; 8:45 am]
BILLING CODE 4184-01-P