
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: 42USC1320b-10]

 
                 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. 1320b-10. Prohibition of misuse of symbols, emblems, or 
        names in reference to Social Security or Medicare
        

(a) Prohibited acts

    (1) No person may use, in connection with any item constituting an 
advertisement, solicitation, circular, book, pamphlet, or other 
communication, or a play, motion picture, broadcast, telecast, or other 
production, alone or with other words, letters, symbols, or emblems--
        (A) the words ``Social Security'', ``Social Security Account'', 
    ``Social Security System'', ``Social Security Administration'', 
    ``Medicare'', ``Health Care Financing Administration'', ``Department 
    of Health and Human Services'', ``Health and Human Services'', 
    ``Supplemental Security Income Program'', or ``Medicaid'', the 
    letters ``SSA'', ``HCFA'', ``DHHS'', ``HHS'', or ``SSI'', or any 
    other combination or variation of such words or letters, or
        (B) a symbol or emblem of the Social Security Administration, 
    Health Care Financing Administration, or Department of Health and 
    Human Services (including the design of, or a reasonable facsimile 
    of the design of, the social security card issued pursuant to 
    section 405(c)(2)(F) of this title or the Medicare card,,\1\ the 
    check used for payment of benefits under subchapter II of this 
    chapter, or envelopes or other stationery used by the Social 
    Security Administration, Health Care Financing Administration, or 
    Department of Health and Human Services), or any other combination 
    or variation of such symbols or emblems,
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    \1\ So in original.

in a manner which such person knows or should know would convey, or in a 
manner which reasonably could be interpreted or construed as conveying, 
the false impression that such item is approved, endorsed, or authorized 
by the Social Security Administration, the Health Care Financing 
Administration, or the Department of Health and Human Services or that 
such person has some connection with, or authorization from, the Social 
Security Administration, the Health Care Financing Administration, or 
the Department of Health and Human Services. The preceding provisions of 
this subsection shall not apply with respect to the use by any agency or 
instrumentality of a State or political subdivision of a State of any 
words or letters which identify an agency or instrumentality of such 
State or of a political subdivision of such State or the use by any such 
agency or instrumentality of any symbol or emblem of an agency or 
instrumentality of such State or a political subdivision of such State.
    (2)(A) No person may, for a fee, reproduce, reprint, or distribute 
any item consisting of a form, application, or other publication of the 
Social Security Administration unless such person has obtained specific, 
written authorization for such activity in accordance with regulations 
which the Commissioner of Social Security shall prescribe.
    (B) No person may, for a fee, reproduce, reprint, or distribute any 
item consisting of a form, application, or other publication of the 
Department of Health and Human Services unless such person has obtained 
specific, written authorization for such activity in accordance with 
regulations which the Secretary shall prescribe.
    (3) Any determination of whether the use of one or more words, 
letters, symbols, or emblems (or any combination or variation thereof) 
in connection with an item described in paragraph (1) or the 
reproduction, reprinting, or distribution of an item described in 
paragraph (2) is a violation of this subsection shall be made without 
regard to any inclusion in such item (or any so reproduced, reprinted, 
or distributed copy thereof) of a disclaimer of affiliation with the 
United States Government or any particular agency or instrumentality 
thereof.

(b) Civil penalties

    The Commissioner or the Secretary (as applicable) may, pursuant to 
regulations, impose a civil money penalty not to exceed--
        (1) except as provided in paragraph (2), $5,000, or
        (2) in the case of a violation consisting of a broadcast or 
    telecast, $25,000,

against any person for each violation by such person of subsection (a) 
of this section. In the case of any items referred to in subsection 
(a)(1) of this section consisting of pieces of mail, each such piece of 
mail which contains one or more words, letters, symbols, or emblems in 
violation of subsection (a) of this section shall represent a separate 
violation. In the case of any item referred to in subsection (a)(2) of 
this section, the reproduction, reprinting, or distribution of such item 
shall be treated as a separate violation with respect to each copy 
thereof so reproduced, reprinted, or distributed.

(c) Application of other law; compromise, recovery, and deposit into 
        Treasury of civil money penalties

    (1) The provisions of section 1320a-7a of this title (other than 
subsections (a), (b), (f), (h), and (i) and the first sentence of 
subsection (c)) shall apply to civil money penalties under subsection 
(b) of this section in the same manner as such provisions apply to a 
penalty or proceeding under section 1320a-7a(a) of this title.
    (2) Penalties imposed against a person under subsection (b) of this 
section may be compromised by the Commissioner or the Secretary (as 
applicable) and may be recovered in a civil action in the name of the 
United States brought in the district court of the United States for the 
district in which the violation occurred or where the person resides, 
has its principal office, or may be found, as determined by the 
Commissioner or the Secretary (as applicable). Amounts recovered under 
this section shall be paid to the Commissioner or the Secretary (as 
applicable) and shall be deposited as miscellaneous receipts of the 
Treasury of the United States, except that (A) to the extent that such 
amounts are recovered under this section as penalties imposed for misuse 
of words, letters, symbols, or emblems relating to the Social Security 
Administration, such amounts shall be deposited into the Federal Old-Age 
and Survivors Insurance Trust Fund, and (B) to the extent that such 
amounts are recovered under this section as penalties imposed for misuse 
of words, letters, symbols, or emblems relating to the Department of 
Health and Human Services, such amounts shall be deposited into the 
Federal Hospital Insurance Trust Fund or the Federal Supplementary 
Medical Insurance Trust Fund, as appropriate. The amount of such penalty 
when finally determined, or the amount agreed upon in compromise, may be 
deducted from any sum then or later owing by the United States to the 
person against whom the penalty has been imposed.

(d) Enforcement

    The preceding provisions of this section may be enforced through the 
Office of the Inspector General of the Social Security Administration or 
the Office of the Inspector General of the Department of Health and 
Human Services (as appropriate).

(Aug. 14, 1935, ch. 531, title XI, Sec. 1140, as added Pub. L. 100-360, 
title IV, Sec. 428(a), July 1, 1988, 102 Stat. 815; amended Pub. L. 100-
485, title VI, Sec. 608(d)(30)(A), Oct. 13, 1988, 102 Stat. 2424; Pub. 
L. 103-296, title I, Sec. 108(b)(12), title III, Secs. 304(b), 312(a)-
(j), Aug. 15, 1994, 108 Stat. 1484, 1520, 1526, 1527.)


                               Amendments

    1994--Subsec. (a). Pub. L. 103-296, Sec. 312(a), designated existing 
provisions as par. (1), redesignated former pars. (1) and (2) as 
subpars. (A) and (B), respectively, and added par. (2).
    Subsec. (a)(1). Pub. L. 103-296, Sec. 312(c), (d), in closing 
provisions substituted ``convey, or in a manner which reasonably could 
be interpreted or construed as conveying,'' for ``convey'' and inserted 
at end ``The preceding provisions of this subsection shall not apply 
with respect to the use by any agency or instrumentality of a State or 
political subdivision of a State of any words or letters which identify 
an agency or instrumentality of such State or of a political subdivision 
of such State or the use by any such agency or instrumentality of any 
symbol or emblem of an agency or instrumentality of such State or a 
political subdivision of such State.''
    Subsec. (a)(1)(A). Pub. L. 103-296, Sec. 312(b)(1), substituted 
``Administration', `Department of Health and Human Services', `Health 
and Human Services', `Supplemental Security Income Program', or 
`Medicaid', the letters `SSA', `HCFA', `DHHS', `HHS', or `SSI','' for 
``Administration', the letters `SSA' or `HCFA',''.
    Subsec. (a)(1)(B). Pub. L. 103-296, Sec. 312(b)(2), substituted 
``Social Security Administration, Health Care Financing Administration, 
or Department of Health and Human Services'' for ``Social Security 
Administration'' in two places, struck out ``or of the Health Care 
Financing Administration'' before ``, or any other'', and inserted ``or 
the Medicare card,'' after ``section 405(c)(2)(F) of this title''.
    Subsec. (a)(2). Pub. L. 103-296, Sec. 304(b), substituted 
``405(c)(2)(F)'' for ``405(c)(2)(E)''.
    Subsec. (a)(2)(A), (B). Pub. L. 103-296, Sec. 108(b)(12)(A), in par. 
(2) as added by Pub. L. 103-296, Sec. 312(a), designated existing 
provisions as subpar. (A), struck out ``or of the Department of Health 
and Human Services'' after ``Social Security Administration'', 
substituted ``Commissioner of Social Security'' for ``Secretary'', and 
added subpar. (B).
    Subsec. (a)(3). Pub. L. 103-296, Sec. 312(e), added par. (3).
    Subsec. (b). Pub. L. 103-296, Sec. 312(g), substituted ``The'' for 
``(1) Subject to paragraph (2), the'', redesignated subpars. (A) and (B) 
as pars. (1) and (2), respectively, and in par. (1) substituted 
``paragraph (2)'' for ``subparagraph (B)'', and struck out former par. 
(2) which read as follows: ``The total amount of penalties which may be 
imposed under paragraph (1) with respect to multiple violations in any 
one year period consisting of substantially identical communications or 
productions shall not exceed $100,000.''
    Subsec. (b)(1). Pub. L. 103-296, Sec. 312(f) inserted at end ``In 
the case of any items referred to in subsection (a)(1) of this section 
consisting of pieces of mail, each such piece of mail which contains one 
or more words, letters, symbols, or emblems in violation of subsection 
(a) of this section shall represent a separate violation. In the case of 
any item referred to in subsection (a)(2) of this section, the 
reproduction, reprinting, or distribution of such item shall be treated 
as a separate violation with respect to each copy thereof so reproduced, 
reprinted, or distributed.''
    Pub. L. 103-296, Sec. 108(b)(12)(B), substituted ``the Commissioner 
or the Secretary (as applicable)'' for ``the Secretary'' in introductory 
provisions.
    Subsec. (c)(1). Pub. L. 103-296, Sec. 312(h), inserted ``and the 
first sentence of subsection (c)'' after ``and (i)''.
    Subsec. (c)(2). Pub. L. 103-296, Sec. 312(i), at end of second 
sentence substituted comma for period and inserted ``except that (A) to 
the extent that such amounts are recovered under this section as 
penalties imposed for misuse of words, letters, symbols, or emblems 
relating to the Social Security Administration, such amounts shall be 
deposited into the Federal Old-Age and Survivors Insurance Trust Fund, 
and (B) to the extent that such amounts are recovered under this section 
as penalties imposed for misuse of words, letters, symbols, or emblems 
relating to the Department of Health and Human Services, such amounts 
shall be deposited into the Federal Hospital Insurance Trust Fund or the 
Federal Supplementary Medical Insurance Trust Fund, as appropriate.''
    Pub. L. 103-296, Sec. 108(b)(12)(C), substituted ``the Commissioner 
or the Secretary (as applicable)'' for ``the Secretary'' wherever 
appearing.
    Subsec. (d). Pub. L. 103-296, Sec. 312(j), added subsec. (d).
    Pub. L. 103-296, Sec. 108(b)(12)(D), which in subsec. (d) as added 
by Pub. L. 103-296, Sec. 312(j), directed the substitution of ``the 
Office of the Inspector General of the Social Security Administration or 
the Office of the Inspector General of the Department of Health and 
Human Services (as appropriate)'' for ``the Office of Inspector General 
of the Department of Health and Human Services'', was executed by making 
the substitution for ``the Office of the Inspector General of the 
Department of Health and Human Services'' to reflect the probable intent 
of Congress.
    1988--Subsec. (c)(1). Pub. L. 100-485 amended par. (1) generally. 
Prior to amendment, par. (1) read as follows: ``Subsections (c), (d), 
(e), (g), (j), and (k) of section 1320a-7a of this title shall apply 
with respect to violations under subsection (a) of this section and 
penalties imposed under subsection (b) of this section in the same 
manner and to the same extent as such subsections apply with respect to 
claims in violation of section 1320a-7a of this title and penalties 
imposed under section 1320a-7a(a) of this title.''


                    Effective Date of 1994 Amendment

    Amendment by section 108(b)(12) 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 312(a)-(j) of Pub. L. 103-296 applicable with 
respect to violations occurring after Mar. 31, 1995, see section 
312(m)(1) of Pub. L. 103-296, set out as an Effective Date note under 
section 333 of Title 31, Money and Finance.


                    Effective Date of 1988 Amendment

    Amendment by Pub. L. 100-485 effective as if included in the 
enactment of the Medicare Catastrophic Coverage Act of 1988, Pub. L. 
100-360, see section 608(g)(1) of Pub. L. 100-485, set out as a note 
under section 704 of this title.


                             Effective Date

    Section 428(c) of Pub. L. 100-360 provided that: ``The amendments 
made by this section [enacting this section and amending section 1395ss 
of this title] shall take effect on the date of the enactment of this 
Act [July 1, 1988] and shall apply only with respect to violations 
occurring on or after such date.''


                  Reports on Operation of this Section

    Section 312(k) of Pub. L. 103-296 provided that:
    ``(1) In general.--The Secretary of Health and Human Services and 
the Commissioner of Social Security shall each submit to the Committee 
on Ways and Means of the House of Representatives and the Committee on 
Finance of the Senate 3 reports on the operation of section 1140 of the 
Social Security Act [this section] with respect to the Social Security 
Administration or the Department of Health and Human Services during the 
period covered by the report, which shall specify--
        ``(A) the number of complaints of violations of such section 
    received by the Social Security Administration or the Department of 
    Health and Human Services during the period,
        ``(B) the number of cases in which the Social Security 
    Administration or the Department, during the period, sent a notice 
    of violation of such section requesting that an individual cease 
    activities in violation of such section,
        ``(C) the number of cases in which the Social Security 
    Administration or the Department formally proposed a civil money 
    penalty in a demand letter during the period,
        ``(D) the total amount of civil money penalties assessed by the 
    Social Security Administration or the Department under this section 
    during the period,
        ``(E) the number of requests for hearings filed during the 
    period by the Social Security Administration or the Department 
    pursuant to sections 1140(c)(1) [subsec. (c)(1) of this section] and 
    1128A(c)(2) [section 1320a-7a(c)(2) of this title] of the Social 
    Security Act,
        ``(F) the disposition during the period of hearings filed 
    pursuant to sections 1140(c)(1) and 1128A(c)(2) of the Social 
    Security Act, and
        ``(G) the total amount of civil money penalties collected under 
    this section and deposited into the Federal Old-Age and Survivors 
    Insurance Trust Fund or the Health Insurance and Supplementary 
    Medical Insurance Trust Funds, as applicable, during the period.
    ``(2) When due.--The reports required by paragraph (1) shall be 
submitted not later than December 1, 1995, not later than December 1, 
1997, and not later than December 1, 1999, respectively.''


  Consultation by United States Postal Service Regarding Prevention of 
                           Deceptive Mailings

    United States Postal Service to consult and coordinate functions of 
Secretary of Department of Health and Human Services in administration 
of this section, see section 4 of Pub. L. 101-524, set out as a 
Coordination of Functions With Department of Health and Human Services 
note under section 3001 of Title 39, Postal Service.
