
From the U.S. Code Online via GPO Access
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[Laws in effect as of January 23, 2000]
[Document not affected by Public Laws enacted between
  January 23, 2000 and December 4, 2001]
[CITE: 42USC1306]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
                       CHAPTER 7--SOCIAL SECURITY
 
   SUBCHAPTER XI--GENERAL PROVISIONS, PEER REVIEW, AND ADMINISTRATIVE 
                             SIMPLIFICATION
 
                       Part A--General Provisions
 
Sec. 1306. Disclosure of information in possession of Social 
        Security Administration or Department of Health and Human 
        Services
        

(a) Disclosure prohibited; exceptions

    (1) No disclosure of any return or portion of a return (including 
information returns and other written statements) filed with the 
Commissioner of Internal Revenue under title VIII of the Social Security 
Act or under subchapter E of chapter 1 or subchapter A of chapter 9 of 
the Internal Revenue Code [of 1939], or under regulations made under 
authority thereof, which has been transmitted to the head of the 
applicable agency by the Commissioner of Internal Revenue, or of any 
file, record, report, or other paper, or any information, obtained at 
any time by the head of the applicable agency or by any officer or 
employee of the applicable agency in the course of discharging the 
duties of the head of the applicable agency under this chapter, and no 
disclosure of any such file, record, report, or other paper, or 
information, obtained at any time by any person from the head of the 
applicable agency or from any officer or employee of the applicable 
agency, shall be made except as the head of the applicable agency may by 
regulations prescribe and except as otherwise provided by Federal law. 
Any person who shall violate any provision of this section shall be 
deemed guilty of a felony and, upon conviction thereof, shall be 
punished by a fine not exceeding $10,000 for each occurrence of a 
violation, or by imprisonment not exceeding 5 years, or both.
    (2) For purposes of this subsection and subsection (b) of this 
section, the term ``applicable agency'' means--
        (A) the Social Security Administration, with respect to matter 
    transmitted to or obtained by such Administration or matter 
    disclosed by such Administration, or
        (B) the Department of Health and Human Services, with respect to 
    matter transmitted to or obtained by such Department or matter 
    disclosed by such Department.

(b) Requests for information and services

    Requests for information, disclosure of which is authorized by 
regulations prescribed pursuant to subsection (a) of this section, and 
requests for services, may, subject to such limitations as may be 
prescribed by the head of the applicable agency to avoid undue 
interference with his functions under this chapter, be complied with if 
the agency, person, or organization making the request agrees to pay for 
the information or services requested in such amount, if any (not 
exceeding the cost of furnishing the information or services), as may be 
determined by the head of the applicable agency. Payments for 
information or services furnished pursuant to this section shall be made 
in advance or by way of reimbursement, as may be requested by the head 
of the applicable agency, and shall be deposited in the Treasury as a 
special deposit to be used to reimburse the appropriations (including 
authorizations to make expenditures from the Federal Old-Age and 
Survivors Insurance Trust Fund, the Federal Disability Insurance Trust 
Fund, the Federal Hospital Insurance Trust Fund, and the Federal 
Supplementary Medical Insurance Trust Fund) for the unit or units of the 
applicable agency which furnished the information or services. 
Notwithstanding the preceding provisions of this subsection, requests 
for information made pursuant to the provisions of part D of subchapter 
IV of this chapter for the purpose of using Federal records for locating 
parents shall be complied with and the cost incurred in providing such 
information shall be paid for as provided in such part D of subchapter 
IV of this chapter.

(c) Cost reimbursement

    Notwithstanding sections 552 and 552a of title 5 or any other 
provision of law, whenever the Commissioner of Social Security or the 
Secretary determines that a request for information is made in order to 
assist a party in interest (as defined in section 1002 of title 29) with 
respect to the administration of an employee benefit plan (as so 
defined), or is made for any other purpose not directly related to the 
administration of the program or programs under this chapter to which 
such information relates, such Commissioner or Secretary may require the 
requester to pay the full cost, as determined by such Commissioner or 
Secretary, of providing such information.

(d) Compliance with requests

    Notwithstanding any other provision of this section, in any case in 
which--
        (1) information regarding whether an individual is shown on the 
    records of the Commissioner of Social Security as being alive or 
    deceased is requested from the Commissioner for purposes of 
    epidemiological or similar research which the Commissioner in 
    consultation with the Secretary of Health and Human Services finds 
    may reasonably be expected to contribute to a national health 
    interest, and
        (2) the requester agrees to reimburse the Commissioner for 
    providing such information and to comply with limitations on 
    safeguarding and rerelease or redisclosure of such information as 
    may be specified by the Commissioner,

the Commissioner shall comply with such request, except to the extent 
that compliance with such request would constitute a violation of the 
terms of any contract entered into under section 405(r) of this title.

(e) Public inspection

    Notwithstanding any other provision of this section the Secretary 
shall make available to each State agency operating a program under 
subchapter XIX of this chapter and shall, subject to the limitations 
contained in subsection (e) \1\ of this section, make available for 
public inspection in readily accessible form and fashion, the following 
official reports (not including, however, references to any internal 
tolerance rules and practices that may be contained therein, internal 
working papers or other informal memoranda) dealing with the operation 
of the health programs established by subchapters XVIII and XIX of this 
chapter--
---------------------------------------------------------------------------
    \1\ So in original. Probably should be subsection ``(f)''.
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        (1) individual contractor performance reviews and other formal 
    evaluations of the performance of carriers, intermediaries, and 
    State agencies, including the reports of follow-up reviews;
        (2) comparative evaluations of the performance of such 
    contractors, including comparisons of either overall performance or 
    of any particular aspect of contractor operation; and
        (3) program validation survey reports and other formal 
    evaluations of the performance of providers of services, including 
    the reports of follow-up reviews, except that such reports shall not 
    identify individual patients, individual health care practitioners, 
    or other individuals.

(f) Opportunity for review

    No report described in subsection (e) of this section shall be made 
public by the Secretary or the State subchapter XIX agency until the 
contractor or provider of services whose performance is being evaluated 
has had a reasonable opportunity (not exceeding 60 days) to review such 
report and to offer comments pertinent parts of which may be 
incorporated in the public report; nor shall the Secretary be required 
to include in any such report information with respect to any deficiency 
(or improper practice or procedures) which is known by the Secretary to 
have been fully corrected, within 60 days of the date such deficiency 
was first brought to the attention of such contractor or provider of 
services, as the case may be.

(Aug. 14, 1935, ch. 531, title XI, Sec. 1106, as added Aug. 10, 1939, 
ch. 666, title VIII, Sec. 802, 53 Stat. 1398; amended Aug. 28, 1950, ch. 
809, title IV, Sec. 403(d), 64 Stat. 559; Pub. L. 85-840, title VII, 
Sec. 701, Aug. 28, 1958, 72 Stat. 1055; Pub. L. 89-97, title I, 
Sec. 108(c), title III, Sec. 340, July 30, 1965, 79 Stat. 339, 411; Pub. 
L. 90-248, title I, Sec. 168, title II, Sec. 241(c)(1), Jan. 2, 1968, 81 
Stat. 875, 917; Pub. L. 92-603, title II, Sec. 249C(a), Oct. 30, 1972, 
86 Stat. 1428; Pub. L. 93-647, Sec. 101(d), Jan. 4, 1975, 88 Stat. 2360; 
Pub. L. 97-35, title XXII, Sec. 2207, Aug. 13, 1981, 95 Stat. 838; Pub. 
L. 98-369, div. B, title VI, Sec. 2663(j)(2)(D)(ii), (l), July 18, 1984, 
98 Stat. 1170, 1171; Pub. L. 103-296, title I, Sec. 108(b)(2)-(5), title 
III, Secs. 311(a), 313(a), Aug. 15, 1994, 108 Stat. 1481, 1482, 1525, 
1530.)

                       References in Text

    Title VIII of the Social Security Act, referred to in subsec. 
(a)(1), probably refers to former title VIII of the Act, which was 
classified to subchapter VIII (Sec. 1001 et seq.) of this chapter prior 
to its omission from the Code as superseded by the provisions of the 
Internal Revenue Code of 1939 and the Internal Revenue Code of 1986.
    Subchapter E of chapter 1 and subchapter A of chapter 9 of the 
Internal Revenue Code of 1939, referred to in subsec. (a), were 
comprised of sections 480 to 482 and 1400 to 1432, respectively, and 
were repealed (subject to certain exceptions) by section 7851(a)(1)(A), 
(3) of Title 26, Internal Revenue Code of 1954 (act Aug. 16, 1954, ch. 
736, 68A Stat. 3). The I.R.C. 1954 was redesignated I.R.C. 1986 by Pub. 
L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.
    For provision deeming a reference in other laws to a provision of 
the 1939 Code as a reference to the corresponding provisions of the 1986 
Code, see section 7852(b) of the 1986 Code. For table of comparisons of 
the 1939 Code to the 1986 Code, see table preceding section 1 of Title 
26, Internal Revenue Code. The Internal Revenue Code of 1986 is 
classified generally to Title 26.
    Part D of subchapter IV of this chapter, referred to in subsec. (b), 
is classified to section 651 et seq. of this title.
    Subchapter XVIII of this chapter, referred to in subsec. (e), is 
classified to section 1395 et seq. of this title.
    Subchapter XIX of this chapter, referred to in subsecs. (e) and (f), 
is classified to section 1396 et seq. of this title.


                               Amendments

    1994--Subsec. (a). Pub. L. 103-296, Sec. 313(a), in par. (1), 
substituted ``felony'' for ``misdemeanor'', ``$10,000 for each 
occurrence of a violation'' for ``$1,000'', and ``5 years'' for ``one 
year''.
    Pub. L. 103-296, Sec. 108(b)(2), designated existing provisions as 
par. (1), substituted ``head of the applicable agency'' for 
``Secretary'' wherever appearing and ``employee of the applicable 
agency'' for ``employee of the Department of Health and Human Services'' 
in two places, and added par. (2).
    Subsec. (b). Pub. L. 103-296, Sec. 108(b)(3), substituted ``head of 
the applicable agency'' for ``Secretary'' wherever appearing and 
``applicable agency which'' for ``Department of Health and Human 
Services which''.
    Subsec. (c). Pub. L. 103-296, Sec. 108(b)(4), substituted ``the 
Commissioner of Social Security or the Secretary'' for ``the Secretary'' 
where first appearing and ``such Commissioner or Secretary'' for ``the 
Secretary'' where appearing subsequently in two places.
    Subsec. (d). Pub. L. 103-296, Sec. 311(a)(3), added subsec. (d). 
Former subsec. (d) redesignated (e).
    Pub. L. 103-296, Sec. 108(b)(5) in subsec. (d) as added by Pub. L. 
103-296, Sec. 311(a)(3), in par. (1) substituted ``Commissioner of 
Social Security'' for ``Secretary'' after ``records of the'', 
``Commissioner'' for ``Secretary'' after ``from the'', ``Commissioner in 
consultation with the Secretary of Health and Human Services'' for 
``Secretary'' after ``which the'', and in par. (2) and closing 
provisions substituted ``Commissioner'' for ``Secretary'' wherever 
appearing.
    Subsec. (e). Pub. L. 103-296, Sec. 311(a)(1), redesignated subsec. 
(d) as (e). Former subsec. (e) redesignated (f).
    Subsec. (f). Pub. L. 103-296, Sec. 311(a)(1), (2), redesignated 
subsec. (e) as (f) and substituted ``subsection (e)'' for ``subsection 
(d)''.
    1984--Subsec. (a). Pub. L. 98-369, Sec. 2663(l), substituted 
``Secretary'' and ``Department of Health and Human Services'' for 
``Administrator'' and ``Federal Security Agency'', respectively, 
wherever appearing.
    Subsec. (b). Pub. L. 98-369, Sec. 2663(j)(2)(D)(ii), substituted 
``Health and Human Services'' for ``Health, Education, and Welfare''.
    1981--Subsec. (a). Pub. L. 97-35, Sec. 2207(1), substituted ``as 
otherwise provided by Federal law'' for ``as provided in part D of 
subchapter IV of this chapter''.
    Subsec. (c). Pub. L. 97-35, Sec. 2207(2), added subsec. (c).
    1975--Subsec. (a). Pub. L. 93-647, Sec. 101(d)(1), inserted ``and 
except as provided in part D of subchapter IV of this chapter'' after 
``may by regulations prescribe''.
    Subsec. (b). Pub. L. 93-647, Sec. 101(d)(2), inserted provision 
relating to compliance with requests for information made pursuant to 
part D of subchapter IV of this chapter for purpose of using Federal 
records to locate parents.
    Subsec. (c). Pub. L. 93-647, Sec. 101(d)(3), repealed subsec. (c) 
relating to requests by State or local agencies for most recent address 
of any individual maintained pursuant to section 405 of this title and 
requirements for release of such information.
    1972--Subsecs. (d), (e). Pub. L. 92-603 added subsecs. (d) and (e).
    1968--Subsec. (c)(1). Pub. L. 90-248, Sec. 241(c)(1), struck out 
``IV,'' after ``I,'' and inserted ``or part A of subchapter IV of this 
chapter,'' after ``XIX of this chapter,''.
    Subsec. (c)(1)(A), (B). Pub. L. 90-248, Sec. 168(a), designated 
existing provisions as subpar. (A), redesignated former subpars. (A) to 
(D) as cls. (i) to (iv) thereof, and added subpar. (B).
    Subsec. (c)(2). Pub. L. 90-248, Sec. 168(b)(1), substituted ``(and, 
in the case of a request under paragraph (1)(A), shall be accompanied by 
a certified copy of the order referred to in clauses (i) and (iv) 
thereof)'' for ``, and shall be accompanied by a certified copy of the 
order referred to in paragraph (1)(A) of this subsection''.
    Subsec. (c)(3). Pub. L. 90-248, Sec. 168(b)(2), substituted 
``authorized by subparagraph (A)(iv) or (B)'' for ``authorized by 
subparagraph (D)''.
    1965--Subsec. (b). Pub. L. 89-97, Sec. 108(c), provided for use of 
special deposit in the Treasury (made up of payments for information and 
services furnished) to reimburse authorizations to make expenditures 
from the Federal Hospital Insurance Trust Fund and the Supplementary 
Medical Insurance Trust Fund.
    Subsec. (c). Pub. L. 89-97, Sec. 340, added subsec. (c).
    1958--Subsec. (b). Pub. L. 85-840 amended subsec. (b) generally, 
authorizing compliance with requests for services if the agency, person, 
or organization making the request agrees to pay for the services.
    1950--Act Aug. 28, 1950, amended section generally, designating 
existing provisions as subsec. (a), substituting ``under subchapter E of 
chapter 1 or subchapter A of chapter 9 of the Internal Revenue Code of 
1939'' for ``the Federal Insurance Contributions Act,'' reflecting the 
transfer of functions from the Social Security Board to the Federal 
Security Administrator and the Federal Security Agency, and adding 
subsec. (b).


                    Effective Date of 1994 Amendment

    Amendment by section 108(b)(2)-(5) of Pub. L. 103-296 effective Mar. 
31, 1995, see section 110(a) of Pub. L. 103-296, set out as a note under 
section 401 of this title.
    Amendment by section 311(a) of Pub. L. 103-296, applicable with 
respect to requests for information made after Aug. 15, 1994, see 
section 311(c) of Pub. L. 103-296, set out as a note under section 6103 
of Title 26, Internal Revenue Code.
    Section 313(c) of Pub. L. 103-296 provided that: ``The amendments 
made by this section [amending this section and section 1307 of this 
title] shall apply to violations occurring on or after the date of the 
enactment of this Act [Aug. 15, 1994].''


                    Effective Date of 1984 Amendment

    Amendment by Pub. L. 98-369 effective July 18, 1984, but not to be 
construed as changing or affecting any right, liability, status, or 
interpretation which existed (under the provisions of law involved) 
before that date, see section 2664(b) of Pub. L. 98-369, set out as a 
note under section 401 of this title.


                    Effective Date of 1975 Amendment

    Amendment by Pub. L. 93-647 effective Aug. 1, 1975, see section 
101(f) of Pub. L. 93-647, set out as an Effective Date note under 
section 651 of this title.


                    Effective Date of 1972 Amendment

    Section 249C(b) of Pub. L. 92-603 provided that: ``The provisions of 
subsection (a) [amending this section] shall apply with respect to 
reports which are completed by the Secretary after the third calendar 
month following the enactment of this Act [Oct. 30, 1972].''

                  Section Referred to in Other Sections

    This section is referred to in sections 1306b, 1382 of this title; 
title 26 section 6103.
