formation relating to an individual and obtained in the administration of Title II, may be furnished for such a purpose to such an officer or employee only upon consent of such individual or his duly authorized representative and of the source of such information or, if such source is not available, of a physician in the employ of the Department. Medical information relating to an individual and obtained in the administration of Title XVIII may be furnished if the source of such information does not object to the disclosure and the individual or his duly authorized representative consents to such disclosure.

(2) To any officer or employee of an agency of a State Government lawfully charged with the administration of a program receiving aid under the Vocational Rehabilitation Act, for the proper administration of such program only, the information specified in the first sentence of subparagraph (1) of this paragraph and in addition:

(i) The name, address, social security account number, and such other information as may be obtained with respect to the alleged disability, of an applicant for benefits on account of disability or for a determination of disability; and

(ii) The name, address, social security account number, and such other information as may be obtained with respect to the alleged disability, of any individual making inquiry concerning benefits on account of disability or concerning a determination of disability, if no objection is made by such individual to the release of such information.

(3) To any officer or employee of an agency of a State government lawfully charged with the administration of a program receiving grants-in-aid under part A of title IV of the Social Security Act, the information specified in subparagraph (1) of this paragraph and in addition, in accordance with requirements and procedures issued from time to time by the Social and Rehabilitation Service, information concerning the whereabouts of an absent parent of a child of a family eligible for, an applicant for, or a recipient of, aid under a program receiving grants-in-aid under part A of title IV of the Social Security Act.

(4) Upon request in writing, to any officer or employee of a State or local agency participating in the administration of a State plan approved under titles I. X. XIV, XVI, or XIX of the Social Security Act, or any other State or local

public assistance program, the most recent address of an individual, and/or the address of his most recent employer, included in the files of the Department maintained pursuant to section 205 of the Act, if:

(i) Such agency certifies that (a) an order has been issued by a court of competent jurisdiction against such individual for the support and maintenance of his child or children who are under the age of 16 in destitute or necessitous circumstances, (b) such child or children are applicants for or recipients of assistance available under such a plan or program, (c) such agency has attempted without success to secure such information from all other sources reasonably available to it, and (d) such information is requested (either for the agency's own use, or on the request and for the use of the court which issued the order) for the purpose of obtaining such support and maintenance; and

(ii) Such request referred to in this subparagraph (4) is accompanied by a certified copy of the order referred to in subdivisions (i) (a) and (d) of this subparagraph.

(h) To a Federal, State, municipal, or hospital official upon written request stating that he has the name or social security account number of a deceased or insane person or a person suffering from amnesia or who is unconscious or in a state equivalent thereto, but cannot establish such person's identity, such identifying data as is available relative to such person which may be determined by the proper officer of the Department to be necessary to assist the requesting officer or agency to make the required identification. Information as to the existence of a legally reportable medical condition of an individual discovered in connection with an application for benefits on account of disability or for a determination of disability may also be furnished to a State or municipal agency required by local law to be furnished such information.

(i) To any officer, agency, establishment, or department of the Federal Government, charged with the duty of conducting an investigation or prosecution, for the purpose of such an investigation or prosecution involving:

(1) An inquiry to determine whether there has been a violation of any provision of the Social Security Act, the Federal Insurance Contributions Act, the Self-Employment Contributions Acts,

the Federal Unemployment Tax Act, or any Federal income tax law, or of any regulation or procedure in effect thereunder, provided such violation is punishable as a crime under any of such laws or under any other Federal statute imposing criminal penalties; or

(2) An inquiry to determine whether any action of an officer or employee of the Department relating to the administration of the Social Security Act was attempted or effected with intent to defraud the United States; or

(3) An inquiry with respect to an alleged theft, forgery, alteration, unlawful negotiation, or destruction of a check issued for a benefit under Title II or Title XVIII of the Social Security Act; or (4) An inquiry relating to the commission or threatened commission of an act of espionage or sabotage or other similar act inimical to the national security: Provided, That such information shall be disclosed only to the Federal Bureau of Investigation or the U.S. Secret Service and only upon written certification by a central official of the requesting agency that the information requested is required in an investigation of major importance to enable it to discharge its statutory responsibility for protecting the national security.

(j) Any return, file, record, report, or other paper or any information may be disclosed when it is to be used in connection with any claim or other proceeding under the Social Security Act and such disclosure is necessary for the proper performance of the duties of any officer or employee of the Department, or of any officer or employee of a State agency to carry out an agreement entered into under section 221 of the Social Security Act, or of any officer or employee of a public or private agency or organization to carry out the health insurance provisions of Title XVIII of said act.

(k) Statistical data or other similar information not relating to any particular person which may be compiled from records regularly maintained by the Department may be disclosed when efficient administration permits. Information contained in or compiled from reports submitted by employers only (other than information relating to any identified or identifiable person except such employers, and other than information relating to any identified or identifiable self-employed individual) may be disclosed, when efficient administration permits, to any other agency of

the Federal Government for use in its statistical and planning work only.

(1) The Commissioner may from time to time prescribe instructions as to the manner of disclosure of the foregoing information.

(m) Disclosure of any return, file, record, report, or other paper or information obtained in the Administration of Title II or Title XVIII of the act not relating or necessary to, or used in or in connection with, the administration of the old-age, survivors, disability, or health insurance programs conducted pursuant to such titles of the act, shall not be subject to the limitation on disclosure in section 1106 of the act and shall be made only as may be otherwise required by law and in accordance with policies prescribed by the Commissioner.

(n) To any officer or employee of an agency of a State government lawfully charged with the supervision of, or financial responsibility for, the care of a person who is mentally incompetent and who is confined in a State mental institution, information regarding his entitlement to benefits under Titles II and XVIII of the Social Security Act, and if entitled, the amount of such benefits and the name and address of the person to whom such benefits have been or are being paid. Disclosure under this paragraph shall be made only upon written certification by the State agency or institution that such informtaion is to be used in connection with the performance of its duties under State law and that there is no other source from which it can obtain such information.

(0) In connection with agreements and modifications of agreements for the coverage of State and local employees entered into pursuant to section 218 of the Social Security Act, the following may be disclosed when efficient administration permits:

(1) The name of a State (or instrumentality of two or more States) with whom an agreement or modification has been entered into, the name or title of the official charged with carrying out the State's responsibilities with respect to an agreement, and the date of an agreement or modification;

(2) The contents of an executed agreement or modification;

(3) Information as to whether or not a State (or instrumentality of two or more States) has indicated an intention or desire to enter into such an agreement or modification, but not including infor

mation as to provisions being considered for inclusion in the proposed agreement or modifications;

(4) Information reported by a State as to whether or not there is in effect in such State or in a political subdivision thereof a retirement system providing benefits to employees thereof; and any other information reported by the State as to such retirement system if service performed by individuals in positions covered by that system has been included in an agreement under section 218 or a modification thereof;

(5) Statistical information, classified by State and county, with respect to public employment and remuneration therefor (other than information relating to any identified or identifiable employee);

(6) Information reported by a State, after a referendum has been conducted on whether services in positions covered by a retirement system should be excluded from or included under such an agreement, of the number of employees eligible to vote in such referendum, the number who actually voted therein, and the number who voted in favor of inclusion of such service.

(p) Pursuant to the provisions of section 290 (c) of the Immigration and Nationality Act, to any officer or employee of the Department of Justice of the United States lawfully charged with the administration of title II of such act available information required to be furnished by such section, for the purpose of such administration only, upon written request of the Attorney General of the United States or of an official of the Department of Justice duly authorized by him to make such request.

(q) Information obtained by carriers and intermediaries in the administration of title XVIII of the Act indicating unethical practices or a course of unprofessional conduct by a physician or other practitioner in furnishing services to beneficiaries may, after securing proper professional advice, be disclosed to an official of a medical or other applicable professional society or to an official of a State licensing board: Provided, That disclosure under this paragraph shall be made only upon obtaining authorization of the beneficiary where he is the source of the information, unless medical or other considerations would make it inappropriate to obtain such consent.

(r) Information obtained in the administration of title XVIII of the Act

with regard to services furnished a beneficiary by providers of services, physicians, and other persons furnishing services may, where the beneficiary has no legal representative, upon written request, be disclosed to the spouse, an immediate relative or member of the household of the beneficiary, or, for good cause shown, to any other person who has evidenced a demonstrable concern in protecting the interests of the beneficiary: Provided, That disclosure under this paragraph shall be made only upon authorization by the beneficiary, unless medical or other considerations would make it inappropriate to obtain such consent. The term "legal representative" as used in this paragraph has the same meaning as in § 401.4(d).

(s) Upon request in writing by a court having jurisdiction to issue orders or entertain petitions against individuals for the support and maintenance of their children, to such court, the most recent address of an individual or the address of the individual's most recent employer, or both, for the court's exclusive use (and for no other purpose) —

(1) In issuing or determining whether to issue such an order against such individual, or

(2) In determining (in the event such individual is not within the jurisdiction of the court) the court to which a petition for support and maintenance against such individual should be forwarded under any reciprocal arrangements with other States to obtain or modify court orders for support,

upon certification by the court that the information is requested for the use specified in this paragraph. Such certification must bear the signature of the judge or clerk of the court.

(t) Information relating to payments to, and utilization data concerning, providers and other organizations and facilities furnishing services under title XVIII of the Act, obtained in the administration of this title, may be disclosed when efficient administration permits: Provided, That no information identifying any particular beneficiaries shall be disclosed under this paragraph.

(u) To any officer or employee of an agency of the Federal or a State government lawfully charged with the administration of a program receiving grantsin-aid under titles V and XIX of the Social Security Act for the purpose of administration of such titles, except that the release of such information shall not

be authorized by a fiscal intermediary or carrier,

(1) Information, including the identification number, concerning charges made by physicians, other practitioners, or suppliers, and amounts paid under title XVIII of the Act for services furnished to beneficiaries by such physicians, other practitioners, or suppliers, to enable the agency to determine the proper amount of benefits payable for medical services performed in accordance with such titles; or

(2) Information as to physicians or other practitioners that has been disclosed under paragraph (i) (1) or (q);

(3) Information relating to the qualifications and certification status of hospitals and other health care facilities obtained in the process of determining whether, and certifying as to whether, institutions or agencies meet or continue to meet the conditions of participation of providers of services or whether other entities meet or continue to meet the conditions for coverage of services they furnish; or

(4) Information concerning costs of operation and other pertinent information from the financial reports and other records of providers furnishing services pursuant to title XVIII of the Act.

(Sec. 102(a), sec. 5, 79 Stat. 331, 67 Stat. 18, 631; 42 U.S.C. 1395 hh) [20 F.R. 5159, July 20, 1955, as amended at 20 F.R. 9504, Dec. 20, 1955; 21 F.R. 9765, Dec. 11, 1956; 32 F.R. 14894, Oct. 27, 1967; 32 F.R. 15544, Nov. 8, 1967; 33 FR. 20037, Dec. 31, 1968; 34 F.R. 197, Jan. 7, 1969; 34 F.R. 19465, Dec. 9, 1969; 35 F.R. 762, Jan. 20, 1970]

As used in this part the term:

(a) "Claimant" includes a person who files an application or is deemed to have filed an application, on his own behalf, or as guardian of an infant, or as legal representative of an incompetent, or on whose behalf some other person files an application for monthly benefits, a lumpsum death payment, or health insurance benefits for the aged.

(b) "Prospective claimant" includes a living wage earner or self-employed individual, the legal representative of an incompetent wage earner or self-employed individual, the guardian of an infant, the next of kin of a deceased wage earner or self-employed individual, any other person who is equitably entitled by reason of having paid, in whole or part, the burial expenses of the deceased wage earner or self-employed individual, or the

legal representative of such next of kin or equitably entitled person;

(c) "Authorized representative" includes any individual authorized by the claimant or prospective claimant to request or receive information or to act on behalf of the claimant or prospective claimant;

(d) "Legal representative" includes any individual appointed by a court or otherwise authorized by law to act on behalf of a claimant or a prospective claimant:

(e) "Cost of disclosing information" means the actual cost of preparing for disclosure and disclosing such information to a person or agency requesting a disclosure thereof authorized by §§ 401.1 and 401.3;

(f) "Person" includes an individual, a firm, an association, a corporation, a State, a "political subdivision" of a State (as defined in section 218 of the act), or an instrumentality of two or more States.

(g) "Self-Employment Contributions Acts" means the Self-Employment Contributions Act and the Self-Employment Contributions Act of 1954.

(h) "Agency of a State government" includes an intermediary or carrier authorized by such agency to perform duties in the administration of programs under the Social Security Act.

[20 F.R. 5160, July 20, 1955, as amended at 21 F.R. 9766, Dec. 11, 1956; 32 F.R. 14894, Oct. 27, 1967]

§ 401.5 Payment for information in general.

Except as provided in § 401.6, no information, authorized to be disclosed by § 401.1 or § 401.3, shall be prepared for disclosure or disclosed to the person or agency requesting such disclosure until the cost incurred by the Department of disclosing such information shall have paid in full to the Department. [32 F.R. 14894, Oct. 27, 1967]

§ 401.6 Payment for information in specific cases.

In any case falling within any of the paragraphs of this section the payment required as a prerequisite to preparation for disclosure or disclosure of information shall be as specified in such paragraph in lieu of the cost of disclosing such information. In any case in which the receipt of payment in advance, pursuant to this section or § 401.5, would Interfere with efficient administration, the Department may permit such pay

ment to be made at such time or times as it deems consistent with efficient administration.

(a) When the request is for information from the records of wages and selfemployment income of an individual, and the request is made by the individual, his survivor, or the legal representative of the individual or his estate, the information shall be furnished without charge; however, details of information in such records shall be furnished only upon payment of the cost of disclosing such details when the information is furnished for a purpose other than the establishment of eligibility for or entitlement to a benefit or lump-sum death payment or the crediting of earnings under title II.

(b) When the request is made by (1) the Department of Justice of the United States for any purpose specified in § 401.3 (d) or (1), or (2) the Treasury Department of the United States for any purpose specified in § 401.3 (d) or (1), other than for the purpose of administration of, or the purpose of an investigation or prosecution involving an inquiry to determine whether there has been a violation of, a Federal income tax law or any regulation or procedure in effect thereunder, the information shall be furnished without charge.

(c) When the request is made by an agency of a State Government lawfully charged with the administration of a State unemployment compensation law or contribution or tax levied in connection therewith, information relating to individual employees or employers which is necessary for the purpose of such administration may be furnished without charge, except where the request for any such information involves a special statistical study or a special compilation of data (except a comparison study made cooperatively with the State) in which case payment shall be required.

(d) In any case in which determination of the actual cost of disclosing information would interfere with efficient administration, such cost may be fixed at an amount estimated not to exceed actual cost, and the information may be prepared for disclosure and disclosed after payment of such amount. In any case in which the expense of obtaining reimbursement of such cost would be out of proportion to the amount thereof, or in which collection of such amount would

interfere with efficient administration, payment thereof may be waived.

(e) When the request is for medical information obtained under Title II of the Social Security Act relating to an individual, or as to the existence or duration of a disability of an individual, pursuant to 401.3 (a), (f), or (g), by a person or agency thereby authorized to receive such information, the information shall be furnished without charge. 120 F.R. 5160, July 20, 1955, as amended at 22 F.R. 6572, Aug. 15, 1957; 24 FR. 5181, June 25, 1959; 32 FR. 14894, Oct. 27, 1967]