§997.26 15 CFR Ch. IX (1–1–15 Edition) · PDF filebeen integrated into the...

438

15 CFR Ch. IX (1–1–15 Edition) § 997.26

(1) The individual is employed or con-tracted by a certified RICE that has been integrated into the System by memorandum of agreement with NOAA, and that is participating in the System, as defined in § 997.26(b);

(2) The individual is identified by the RICE, as required in § 997.23(d)(3) and (f)(1)(i), as one of the individuals re-sponsible for the collection, manage-ment, or dissemination of ocean, coast-al, and Great Lakes observation data; and

(3) The individual is responsive to federal government control.

(d) The protection afforded to em-ployees of a RICE with regard to liabil-ity applies only to specific individuals employed or contracted by a RICE who meet the requirements of § 997.26(c) and

who are responsible for the collection, management, or dissemination of ocean, coastal, and Great Lakes obser-vation data. The RICE must identify to NOAA’s satisfaction: The individual(s) responsible for overall system manage-ment, as applicable, the individual(s) responsible for observations system management across the region, and the individual(s) responsible for manage-ment of data operations across the re-gion. In accepting certification, the RICE will concede to NOAA the power to ensure these individuals comply with the requirements of this rule in their daily operations and that they are responsive to NOAA through the agreement the RICE has with NOAA.

PARTS 998–999 [RESERVED]

VerDate Sep<11>2014 13:06 Apr 01, 2015 Jkt 235053 PO 00000 Frm 00448 Fmt 8010 Sfmt 8006 Y:\SGML\235053.XXX 235053Rm

ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

439

CHAPTER XI—NATIONAL TECHNICAL INFORMATION SERVICE, DEPARTMENT OF

COMMERCE

Part Page 1100–1109 [Reserved] 1110 Certification program for access to the Death Mas-

ter File ................................................................. 441 1180 Transfer by Federal agencies of scientific, tech-

nical and engineering information to the Na-tional Technical Information Service .................. 443

1181–1199 [Reserved]


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

441


PART 1110—CERTIFICATION PRO-GRAM FOR ACCESS TO THE DEATH MASTER FILE

Subpart A—General

Sec. 1110.1 Description of rule; applicability. 1110.2 Definitions used in this part.

Subpart B—Certification Program

1110.100 Scope. 1110.101 Submission of certification. 1110.102 Certification.

Subpart C—Penalties and Audits

1110.200 Imposition of penalty. 1110.201 Audits.

Subpart D—Fees

1110.300 Fees.

AUTHORITY: Pub. L. 113–67, Sec. 203.

SOURCE: 79 FR 16670, Mar. 26, 2014, unless otherwise noted.

Subpart A—General

§ 1110.1 Description of rule; applica-bility.

(a) The Bipartisan Budget Act of 2013 (Pub. L. 113–67), Section 203, provides for the establishment of a fee-based certification program for persons who seek access to the Death Master File (DMF), and prohibits disclosure of DMF information for an individual dur-ing the three-calendar-year period fol-lowing the individual’s death, unless the person requesting the information has been certified.

(b) This part is applicable to any Per-son seeking access to a Limited Access DMF, as defined in this part.

§ 1110.2 Definitions used in this part. The following definitions are applica-

ble to this part: Act. The Bipartisan Budget Act of

2013 (Pub. L. 113–67). Certified Person. A Person who has

been certified under the certification program established under this part and is eligible to access the Limited Access DMF.

DMF. Death Master File.

Death Master File. Information on the name, social security account number, date of birth, and date of death of de-ceased individuals maintained by the Commissioner of Social Security, other than information that was provided to such Commissioner under section 205(r) of the Social Security Act (42 U.S.C. 405(r)).

Limited Access DMF. The DMF prod-uct made available by NTIS which in-cludes DMF with respect to any de-ceased individual at any time during the three-calendar-year period begin-ning on the date of the individual’s death.

NTIS. The National Technical Infor-mation Service, United States Depart-ment of Commerce.

Open Access DMF. The DMF product made available by NTIS which does not include DMF with respect to any de-ceased individual at any time during the three-calendar-year period begin-ning on the date of the individual’s death.

Person. This term includes corpora-tions, companies, associations, firms, partnerships, societies, and joint stock companies, as well as individuals.

Subpart B—Certification Program

§ 1110.100 Scope.

(a) Any Person desiring access to the Limited Access DMF must certify in accordance with this part. Upon ac-ceptance of a Person’s certification by NTIS, such Person will be a Certified Person, will be entered into the pub-licly available list of Certified Persons maintained by NTIS, and will be eligi-ble to access the Limited Access DMF made available by NTIS through sub-scription.

(b) Certification under this part is not required for any Person to access the Open Access DMF made available by NTIS; however, a Certified Person may also access the Open Access DMF.

§ 1110.101 Submission of certification.

In order to become certified under the certification program established under this part, a Person must submit a completed certification statement, using the form NTIS FM161 with OMB


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

442

15 CFR Ch. XI (1–1–15 Edition) § 1110.102

Control Number 0692–0013, and its ac-companying instructions at https:// dmf.ntis.gov.

§ 1110.102 Certification. In order to be certified to be eligible

to access the Limited Access DMF under the certification program estab-lished under this part, a Person shall certify, in the manner set forth in this part and pursuant to section 1001 of title 18, United States Code, that

(a) Such Person’s access to the Lim-ited Access DMF is appropriate be-cause:

(1) Such Person has a legitimate fraud prevention interest, or has a le-gitimate business purpose pursuant to a law, governmental rule, regulation, or fiduciary duty, and shall specify the basis for so certifying;

(2) Such Person has systems, facili-ties, and procedures in place to safe-guard the accessed information, and experience in maintaining the con-fidentiality, security, and appropriate use of accessed information, pursuant to requirements similar to the require-ments of section 6103(p)(4) of the Inter-nal Revenue Code of 1986;

(3) Such Person agrees to satisfy the requirements of such section 6103(p)(4) as if such section applied to such Per-son;

(4) Such Person shall not, with re-spect to DMF of any deceased indi-vidual at any time during the three- calendar-year period beginning on the date of the individual’s death:

(i) Disclose such deceased individ-ual’s DMF to any person other than a person who meets the requirements of paragraphs (a)(1) through (3) of this section;

(ii) Disclose such deceased individ-ual’s DMF to any person who uses the information for any purpose other than a legitimate fraud prevention interest or a legitimate business purpose pursu-ant to a law, governmental rule, regu-lation, or fiduciary duty;

(iii) Disclose such deceased individ-ual’s DMF to any person who further discloses the information to any person other than a person who meets the re-quirements of paragraphs (a)(1) through (3) of this section; or

(iv) Use any such deceased individ-ual’s DMF for any purpose other than a

legitimate fraud prevention interest or a legitimate business purpose pursuant to a law, governmental rule, regula-tion, or fiduciary duty,

(b) The certification required in this section shall state whether such Per-son intends to disclose such deceased individual’s DMF to any person, and if so, shall state the manner of such dis-closure and how such Person will en-sure compliance with paragraphs (a)(4)(i) through (iii) of this section.

Subpart C—Penalties and Audits

§ 1110.200 Imposition of penalty.

(a) General. (1) Any Person certified under this part who receives DMF in-cluding information about any de-ceased individual at any time during the three-calendar-year period begin-ning on the date of the individual’s death, and who during such three-cal-endar-year period:

(i) Discloses such deceased individ-ual’s DMF information to any person other than a person who meets the re-quirements of § 1110.102(a)(1) through (3);

(ii) Discloses such deceased individ-ual’s DMF to any person who uses the information for any purpose other than a legitimate fraud prevention interest or a legitimate business purpose pursu-ant to a law, governmental rule, regu-lation, or fiduciary duty;

(iii) Discloses such deceased individ-ual’s DMF to any person who further discloses the information to any person other than a person who meets the re-quirements of § 1110.102(a)(1) through (3); or

(iv) Uses any such deceased individ-ual’s DMF for any purpose other than a legitimate fraud prevention interest or a legitimate business purpose pursuant to a law, governmental rule, regula-tion, or fiduciary duty

(2) Any Person to whom such infor-mation is disclosed, whether or not such Person is certified under this part, who further discloses or uses such information as described in paragraphs (a)(1)(i) through (iv) of this section shall pay to the General Fund of the United States Department of the Treasury a penalty of $1,000 for each such disclosure or use.


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

443

Nat’l Technical Info. Serv., Commerce § 1180.2

(b) Limitation on Penalty. The total amount of the penalty imposed under this part on any Person for any cal-endar year shall not exceed $250,000.

§ 1110.201 Audits. Any Person certified under this part

shall, as a condition of certification, agree to be subject to audit by NTIS to determine the compliance by such Per-son with the requirements of this part. NTIS may conduct periodic and un-scheduled audits of the systems, facili-ties, and procedures of any Certified Person relating to such Certified Per-son’s access to, and use and distribu-tion of, Limited Access DMF, during regular business hours.

Subpart D—Fees § 1110.300 Fees.

Fees for the costs associated with evaluating applications for certifi-cation of Certified Persons under this part are as follows: Processing of Certification

Form and maintenance of Registry of Certified Per-sons .................................... $200.00

PART 1180—TRANSFER BY FEDERAL AGENCIES OF SCIENTIFIC, TECH-NICAL AND ENGINEERING IN-FORMATION TO THE NATIONAL TECHNICAL INFORMATION SERV-ICE

Sec. 1180.1 Purpose and scope. 1180.2 Definitions. 1180.3 General rule. 1180.4 Preparing a product for transfer. 1180.5 Timeliness. 1180.6 Production of additional copies. 1180.7 Exceptions. 1180.8 Appointment of Agency Liaison Offi-

cers. 1180.9 Affiliates. 1180.10 NTIS permanent repository. 1180.11 Relation to other laws and proce-

dures. APPENDIX TO PART 1180—SAMPLE FUNDING

AGREEMENT CLAUSE FOR DIRECT SUBMIS-SION OF PRODUCTS

AUTHORITY: Sec. 108 of Pub. L. 102–245, 106 Stat. 7 (15 U.S.C. 3704b–2).

SOURCE: 59 FR 10, Jan. 3, 1994, unless other-wise noted.

§ 1180.1 Purpose and scope. (a) The purpose of this regulation is

to facilitate public access to the vast amount of scientific, technical and en-gineering information (STEI) that is produced by and for federal agencies.

(b) This regulation provides a variety of methods for federal agencies to adopt to ensure the timely transfer to the National Technical Information Service (NTIS) of all unclassified STEI that is available for public dissemina-tion and that results from federal fund-ing. It is issued pursuant to the author-ity contained in Section 108 of the American Technology Preeminence Act (Pub. L. 102–245).

§ 1180.2 Definitions. Agency means a federal agency as

that term is defined in Section 4 of the Stevenson-Wydler Technology Innova-tion Act of 1980, as amended (15 U.S.C. 3703(8));

Director means the Director of the National Technical Information Serv-ice.

Federally funded refers to STEI which results from federal research and devel-opment activities funded in whole or in part with federal funds, whether per-formed by the agency itself or by con-tractors, grantees, cooperative re-search partners, joint venture partners, or under any similar arrangement in-volving federal funds.

Final when used to describe an STEI product means a product that the orig-inating agency or contractor/grantee thereof intends for public dissemina-tion and may exclude interim status reports routinely furnished to agencies by contractors and grantees for moni-toring and other internal purposes and which are not intended for public dis-semination.

Product includes, but is not limited to, any report, manual, standard, speci-fication, book, paper, chart, map, graph, data collection, data file, data compilation, software, audio/video pro-duction, technology application assess-ment generated pursuant to Section 11(c) of the Stevenson-Wydler Tech-nology Innovation Act of 1980 (15 U.S.C. 3710(c)), as well as materials pertaining to training technology and other feder-ally owned or originated technologies, and applies to items produced in-house


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

444

15 CFR Ch. XI (1–1–15 Edition) § 1180.3

or outside the agency through the Gov-ernment Printing Office, its contrac-tors, Federal Prison Industries or any other producer, provided that such ma-terial is intended by the agency for public dissemination.

Scientific, technical and engineering in-formation means—

(1) Basic and applied research that results from the efforts of scientists and engineers in any medium (includ-ing new theory and information ob-tained from experimentation, observa-tion, instrumentation or computation in the form of text, numeric data or images), and

(2) Information that bears on busi-ness and industry generally, such as economic information, market infor-mation and related information, if the agency determines such information would be of value to consumers of the information described in paragraph (1) of this definition.

Summary means information relating to an ongoing research project likely to result in a final product.

§ 1180.3 General rule.

Unless an exception applies under section 1180.7, each federal agency shall, within the time period specified in this regulation, transfer to NTIS—

(a) At least one copy of every final STEI product resulting from the agen-cy’s federally funded research and de-velopment activities, and

(b) A summary of the agency’s new and on-going research that is likely to result in a final STEI product

if such final product or summary is un-classified and is intended by the agency for public dissemination.

§ 1180.4 Preparing a product for trans-fer.

(a) Every final STEI product or sum-mary shall, to the extent practicable, be prepared in a format that is con-sistent with one of the various formats found in NTIS guidelines. In addition, every such product shall—

(1) Be accompanied by a report docu-mentation page (SF 298) or its elec-tronic equivalent;

(2) Be in a form capable of high qual-ity reproduction appropriate to the me-dium;

(3) In the case of software, be accom-panied by relevant documentation, such as operating manuals, but not in-cluding printed source code; and

(4) In the case of a product not print-ed by the Government Printing Office, be accompanied by a statement as to whether the product has been made available for depository distribution by the Government Printing Office.

(b) Each federal agency shall transfer or have transferred to NTIS those STEI products funded by it that are pro-tected by copyright only if there is a li-cense reserved to the Government. In such cases, the agency shall inform NTIS of the terms of the license. Sug-gested language for inclusion in agency funding instruments is contained in the Appendix to this part.

(c) If an agency has generated or funded an STEI product which should be available for public dissemination but has embedded within it any copy-righted material, the designated liai-son appointed pursuant to § 1180.8 should work with NTIS to determine if it would be appropriate to seek a li-cense from the copyright holder in order to make the STEI product avail-able.

§ 1180.5 Timeliness.

A single copy of a final product or summary described in § 1180.3 must be transferred to NTIS within fifteen days of the date it is first made available for public dissemination through any dis-tribution channel, and, whenever prac-tical, as soon as it has been approved by the agency for final printing or other reproduction, unless the agency and the Director have otherwise agreed.

§ 1180.6 Production of additional cop-ies.

Unless the agency determines that such action would not be feasible, it shall make appropriate arrangements to enable NTIS, from time to time and at NTIS’s own discretion and expense, to ride agency printing and other re-production orders.

§ 1180.7 Exceptions.

(a) An agency shall not be required to take any further action to submit a


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

445

Nat’l Technical Info. Serv., Commerce § 1180.10

copy of a final STEI product to NTIS or one of its affiliates if—

(1) It has designated NTIS to receive a single copy of each STEI product once it has been produced, has made the arrangements specified in § 1180.6, if appropriate, and has made arrange-ments to receive appropriate certifi-cation from a contractor, grantee or other external performer of federally funded research that a copy has been sent to NTIS or one of its affiliates within the appropriate time period pur-suant to obligations incurred in the ap-plicable funding agreement (see Appen-dix to this part) or pursuant to such other system as the agency has estab-lished to ensure timely transfer;

(2) The agency and the Director have executed an appropriate agreement or memorandum of understanding estab-lishing an alternative system for com-pliance; or

(3) The federally funded STEI is pro-tected by copyright for which no li-cense has been reserved to the Govern-ment that would allow distribution by NTIS;

(4) The product is an agency gen-erated article that is published in a pri-vately produced journal; or

(5) The agency and the Director, pur-suant to paragraph (b) of this section, have agreed that the transfer of a prod-uct otherwise covered by these regula-tions would not be appropriate.

(b) An agency and the Director shall be deemed to be in agreement within the meaning of paragraph (a)(3) of this section if the Director has not objected within 30 days to an agency’s written notification of its determination that timely transfer of a product or cat-egory of products would not be appro-priate under section 108 of the Amer-ican Technology Preeminence Act. Ex-amples of inappropriate transfers in-clude:

(1) Transfers that could cause signifi-cant harm to an agency’s existing dis-semination program that is operating on a cost recovery basis, is operating in compliance with the policies described by OMB Circular A–130, and for which special arrangements that would per-mit supplemental distribution by NTIS cannot be negotiated.

(2) Federally funded STEI that has received, or is likely to receive, wide-

spread distribution to most potential users at no charge.

§ 1180.8 Appointment of Agency Liai-son Officers.

The head of each agency shall ap-point or designate an officer or em-ployee to serve as the STEI Liaison. The Liaison shall, to the extent au-thorized by the head of the agency—

(1) In cooperation with the Director, determine what products or summaries produced by the Government shall be transferred to NTIS on an ongoing basis;

(2) Determine which funding agree-ments are to require contractors and grantees to submit products directly to NTIS (for which purpose the Appendix to this part contains suggested lan-guage that agencies may wish to in-clude in applicable funding instru-ments);

(3) Appoint additional liaison officers for major units or components of an agency if the Director and Liaison offi-cer agree this would further the pur-poses of this regulation; and

(4) Enter into appropriate agree-ments with the Director and perform any other agency responsibilities de-scribed in this regulation.

§ 1180.9 Affiliates. (a) The Director may recognize any

federal agency or component of an agency as an affiliate for the purpose of receiving, on behalf of NTIS, any STEI product that is required to be trans-ferred under these regulations if NTIS has entered into a memorandum of un-derstanding with the Liaison Officer under which the recognized affiliate agrees to the ongoing transfer of all STEI products to NTIS in a timely manner and otherwise agrees to as-sume the role of an affiliate.

(b) A transfer by an agency to an ap-proved affiliate shall be deemed a transfer to NTIS within the meaning of these regulations.

§ 1180.10 NTIS permanent repository. A product, or category of product,

will normally be accepted and main-tained as part of NTIS’ permanent re-pository as a service to agencies unless the Director advises the Liaison Officer that it has not been so accepted. In


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

446

15 CFR Ch. XI (1–1–15 Edition) § 1180.11

general, transferred products will not be accepted if they have not been prop-erly prepared as required by Section 1180.4 or if NTIS believes that the cost of adding them to the repository will significantly exceed anticipated bene-fits to the public as measured by fore-seeable demand. A product announced by NTIS as being available from NTIS shall be deemed to have been accepted by NTIS as part of its permanent re-pository.

§ 1180.11 Relation to other laws and procedures.

(a) Nothing in these regulations shall be deemed to exempt an agency from any of the following requirements:

(1) Compliance with the Freedom of Information Act (5 U.S.C. 552);

(2) Compliance with any require-ments to protect material that con-tains classified national security infor-mation;

(3) Compliance with requirements to protect personal or other information that may not be disclosed without ap-propriate authority under applicable laws and procedures, such as the Pri-vacy Act (5 U.S.C. 552a);

(4) Compliance with laws and regula-tions applicable to federal records under Title 44 of the United States Code or regulations issued by the Na-tional Archives and Records Adminis-tration (36 CFR, chapter XII);

(5) Compliance with requirements to distribute publications through the De-pository Library Program either di-rectly or through NTIS as prescribed in subsection (d) of this section; and

(6) In the case of an agency that is also a component of an agency as that term is defined in § 1180.2, compliance with all applicable requirements and procedures of the parent agency re-garding these regulations.

(b) Nothing in these regulations shall be deemed to require an agency to take any of the following actions:

(1) To use NTIS as an agency’s exclu-sive distribution channel;

(2) To transfer to NTIS information on matters that are specifically au-thorized under criteria established by an Executive Order to be kept secret in the interest of national defense or for-eign policy and are in fact properly

classified pursuant to such Executive Order; or

(3) to transfer, produce, or dissemi-nate any other information that is re-quired by law to be withheld, which the agency is authorized to withhold, or which is not intended by the agency for public dissemination.

(c) No contractor, grantee, or em-ployee of a Federal agency shall sub-mit a final STEI product directly to NTIS unless authorized to do so by the Liaison or the Liaison’s designate, which authorization may be provided in an approved funding agreement (see Appendix to this part).

(d) In order to facilitate cooperation between agencies and the Depository Libraries—

(1) NTIS will, as soon as possible, but not later than six months from the ef-fective date of these regulations, pro-vide each Depository Library at no charge, online access to a current list of all final STEI products provided to NTIS under these regulations that have been entered into the NTIS sys-tem.

(2) The online system described in subsection (d) of this section will in-clude an option that will allow each Depository Library thirty days from the date a product is added to the on-line listing to identify a product that it wishes to receive and that has not oth-erwise been made available to it.

(3) NTIS will accumulate these re-quests and, within a reasonable time, transfer them to the originating agen-cy for fulfillment of each of the identi-fied products.

(4) In lieu of the procedures described in paragraph (d)(3) of this section, NTIS will offer to enter into simple cost recovery arrangements with the originating agency to duplicate and ship the identified products to the re-questing Libraries in the format that the agency determines to be most cost effective, including microfiche, paper, diskette, or disc.

(5) NTIS will also establish, as soon as practical, a system of full text on-line access to final STEI products for the Depository Libraries at no charge to them. Those final STEI products provided to NTIS in a format pre-scribed by NTIS as suitable for online dissemination under this system will


ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

447

Nat’l Technical Info. Serv., Commerce Pt. 1180, App.

be made available to the Libraries at no charge to the originating agency, will be maintained online indefinitely, and will be available to the Libraries without regard to the thirty day selec-tion time limit described in paragraph (d)(2) of this section.

(6) The services in this paragraph will be provided to Depository Libraries on the condition that they agree to ensure that online access to the NTIS listing described in paragraph (d)(1) of this section is restricted to the Library and its staff and that the full text products provided online pursuant to paragraph (d)(5) of this section are available only to the community served by that Li-brary.

APPENDIX TO PART 1180—SAMPLE FUND-ING AGREEMENT CLAUSE FOR DIRECT SUBMISSION OF PRODUCTS

Agencies electing to allow for their con-tractors, grantees, etc. to submit final prod-

ucts directly to NTIS are encouraged to em-ploy a provision similar to the following in the applicable funding agreement:

‘‘The (contractor)/(recipient) shall certify to the (contracting) (grants) officer—

‘‘(1) a copy of all scientific, technical and engineering information products created or finalized in whole or in part with the funds requested has been or will be transferred to NTIS or a recognized affiliate (at the same time that it is provided to the sponsoring agency) (when the agency has determined that the product is approved for public dis-semination) but no later than fifteen days after it is first made available for public dis-semination through any other distribution channel, and

‘‘(2) NTIS, or a recognized affiliate, has been advised as to whether the product is protected by copyright and, if so, a copy of the terms of any licenses reserved to the Government has been sent to NTIS, along with a copy of the SF 298.’’



ajet

te o

n D

SK

2VP

TV

N1P

RO

D w

ith C

FR

§997.26 15 CFR Ch. IX (1–1–15 Edition) · PDF filebeen integrated into the...

Documents

Transcript of §997.26 15 CFR Ch. IX (1–1–15 Edition) · PDF filebeen integrated into the...