"CONFIDENTIALITY OF FEDERAL STATISTICAL RECORDS ACT".
Document Type:
Collection:
Document Number (FOIA) /ESDN (CREST):
CIA-RDP85B00552R001000080038-3
Release Decision:
RIFPUB
Original Classification:
K
Document Page Count:
22
Document Creation Date:
December 20, 2016
Document Release Date:
July 12, 2007
Sequence Number:
38
Case Number:
Content Type:
OPEN SOURCE
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CIA-RDP85B00552R001000080038-3.pdf | 1.1 MB |
Body:
{ Approved For Release 2007/07/12 : CIA-RDP85B00552R001000080038-3
To provide safeguards for the confidentiality of records
maintained by the Federal Statistical System, and to improve
the efficiency of Federal statistical programs by-permitting
limited sharing of records for statistical purposes under
strong safeguards.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled:
Sec. 101. This Title may be cited as the "Confidentiality of
Federal Statistical Records Act".
FINDINGS AND STATEMENT OF PURPOSES
Sec. 102. The Congress finds that--
(a) Accurate, consistent and timely data are essential to the
conduct of statistical programs;
(b) Information collected or compiled by Federal agencies for
statistical purposes should not be used in individually
identifiable form to make decisions affecting- the person to whom
the information pertains;
(c) There is a need to permit. the sharing of individually
identifiable data for statistical purposes among the Federal
agencies, and those performing statistical activities for them,
in order to reduce paperwork burden and improve the quality of
Federal statistical data; and
'(d) Such sharing should be limited to statistical purposes
which are of sufficient importance to justify interagency
exchange of identifiable data.
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Sec.~103.' Th urposes of this Act are-i
(a) To provide that individually identifiable information
furnished to the Federal Government by persons about themselves
for statistical purposes shall be used only for such purposes and
shall not be used or disclosed for any other purr-.-Z- without
their consent; - --
(b) To reduce the reporting burden and expenses on the public
by establishing conditions for inter-agency exchange of
individually identifiable data solely for. statistical purposes
under strong safeguards to protect the confidentiality of such
data; and.
(c) To prohibit the use in individually identifiable form of
any information collected, compiled or..maintained solely for
statistical purposes under Federal authority or with Federal
funds to make any decision or take any action directly affecting-
the rights, benefits, and privileges of the person to whom the
information pertains, except with the person's consent.
DEFINITIONS
Sec. 104. For purposes of this Act, the term--
(a) "Agency" means agency as defined in-5 U.S.C. 552(e).
(b) ~ "Cooperative statistical program" means a Federally
initiated or sponsored statistical program in which units of
State. and local government participate in the collection or
compilation of nationally standardized statistics. A cooperative
statistical program is undertaken to develop data of a recurrent
nature for the mutal benefit of the participants and involves
multiple States (and in some cases local jurisdictions).
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(c) "Employeeq) means any full or. pastime employee or
officer of an agency, as defined in 5 U.S.C. 2104 and 2105; as
well as any other personnel retained by the -agency . -under
contract, grant, or otherwise, including employees of contractors
and grantees, and of State and local agencies participating in
cooperative statistical:programs with an agency.
(d) "Federal files" means collections or groupings of
.individually identifiable records In the possession of an agency,
as well as those. maintained for the agency under Federal contract
(including .contracts with State and local governments), or
pursuant . to a cooperative agreement with a State or local
government.
(e) "Individually identifiable record" means a record about a -
person, obtained from any source, that could reasonably be
.uniquely associated with the identity of the person to whom it
pertains.
(f) erson" individual, family, household, odd mean proprietorship, partnership, corporation, association, business,
irstic~ur :en, a t&i i shment, religious body 4r 9rganization of any
nature whatsoever, but not including units of State and local
government.
(g) "Protected statistical center" means an a-ci ency, or
organizational unit within an agency designated fox protection
under the provisions of this Act.
(h) "Protected statistical file" means a statistical, file
designated for protection under the provisions of this Act..
(i) ecord" means any item, collection, or grouping of
information -about a person, or a portion of any grouping or.
collection, including:
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(1) norms directory information, Sh as the person's
name, address, telephone number, business address or similar
information;
(2) other numbers, symbols, fingerprints, voiceprints,
photographs, or identifying particulars assigned to,. or
associated with, a person;
(3) any commercial or financial information associated
with a person; or V
(4) any other attributes, affiliations, opinions or
characteristics associated with or assigned to a person.-
(j) "Statistical file" means a Federal file created or
maintained and used exclusively for statistical purposes.
(k) "Statistical purpose" means an objective to develop or
report aggregate or anonymous data in such a way that the
identity of specific persons is not discernable and is not
material to the intended uses of the data.
Sec. 105. The Chief Statistician shall be that person
designated by the Director of the Office of Management and Budget
to carry out the functions assigned by this Act_
Sec. 106.
(a) A statistical file shall be designate in writing by the
Chief Statistician Ds a protected statistical file upon the
written. request of the head of the agency maintaining the file.
Such designation shall be made only when the Chief Statistician
has determined that:
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(1) the fi a is a statistical file;
(2) the agency has established and maintains appropriate
'dministrative, technical and physical safeguards to insure the
integrity, confidentiality, and security of the records-in the
(3) the file was not or is not being created under the
authority of a statute which requires disclosure which conflicts
with the provisions of this Act.
(b) The Chief Statistician`-shall publish, with an opportunity
for public comment, all designations of protected statistical
Iles in the Federal Register.
PROTECTED STATISTICAL L .E~ ,NTRR_S--Q`J`
(a) The Bureau of the Census and the Bureau of Economic
Analysis within. the Department of Commerce; the Bureau of Labor
Statistics within the Department of Labor; the National Center
for Health Statistics and the Office of Research and Statistics
of the Social Security Administration within the Department of
Health and-Human Services; the Statistical Reporting Service and
the Economic Research Service within the Department of
Agriculture; and the Division of Science Resources Studies within
the National Science Foundation are hereby designated as
protected statistical centers, and. are subject to the authority
of the President to revoke-such a designation pursuant to section
107(d).
(b) The President may designate other agencies or
organizational units within an agency as protected statistical
centers upon the written request of the head of the agency, if
the President determines that:
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(1) all J OS maintained by the agenaor organizational
unit are statistical files, except files required for internal
administrative purposes and files containing exclusively
information which is compiled.from or provided'in public records;
(2) the particular agency or organizational unit is-not
specifically required by its substantive law to. operate under
disclosure rules which.conflict with the provisions of this Act;
(3) the agency or unit has established and maintains
appropriate administrative, technical, and physical safeguards to
assure the integrity, confidentiality, and security of the
statistical files.
lea
(c) Upon designation of an agency or organizational unit as a
protected statistical center, each statistical fit maintained by .Q11s
it acquires the status of a protected statistical file,--except f}lv
for files containing exclusively information which is compiled
from or provided in public records.
(d) The President may revoke the designation of a protected
statistical center whenever he determines that the standards in
Section 107(b) are no longer being met. However, such revocation
shall not affect the status of the protected statistical files
being maintained by the agency or organizational unit.
(e) The President shall publish all. designations of a
protected statistical center in the Federal Register,. in
accordance with 5 U.S.C. 553. All revocations of such
designations shall be published in the Federal Register.
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CONSEENTIALITY OF RECORDS CONNED
IN PROTECTED STATISTICAL FILES
Gal~~~ 1s 1J
Sec. 108. Except as provided in Sections 109-and 11Q of this
Act, no agency or employee of an agency ahal1:
(a) Disclose, in an individually identifiable form, y
record contained in a protected statistical file;
(b) Publish or otherwise disclose any information compiled or
obtained from a protected statistical file in any manner which
could reasonably be expected to reveal, in an individually
identifiable form, any information contained in that file; or
(c) Use the information contained in_a protected statistical
file for any purpose other than a statistical purpose.
DISCLOSURES FROM PROTECTED STATISTICAL. FILES
Records, including returns and return information as defined
26 U.S.C. 6103(b), contained in protected statistical files(/-may
only be disclosed in an individually identifiable form under any
of the conditions which.follow (except that, returns and return
information in protected statistical files may not be disclosed
unless the disclosure is permissable under 26 U.S.C. 6103):
(a) To those employees of the agency (or in the case of a
protected statistical center, to those employees of the center)
which maintains .the records who have a need for the records in
the performance of their statistical duties. Where disclosure.
under this provision is to persons performing work for an agency
under a contract, grant, or cooperative statistical agreement,
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use of the records --disclosed must be restri'ed to statistical
purposes, provided for in the contract, grant, or statistical
agreement; except that no.disclosure in individually identifiable
form of records or information either collected and maintained by
the Bureau of Census under authority of Title 13, United States
Code, or received from the Bureau of Census by a _*protected
statistical center shall be made to persons performing work for a
protected statistical center. under a contract, grant, or
cooperative statistical agreement.-
(b) To a protected statistical center pursuant to Section 110
of this Act;
(c) Pursuant to a written request by, or with the prior
written consent of, the person to whom the record pertains',~
provided that: f,114
(1) the parent of any minor; (Rtnf
(2) the legal guardian of any individual who has been
declared to be incompetent due to physical or mental incapacity
or age by a court of competent jurisdiction;
(3) the administrator, executor or trustee of a
decedent's estate;
(4) a decedent's heir at law or next of kin; or
(5) any legal successor to a business entity
may authorize the disclosure of a record contained in a protected
statistical file on behalf of the person to whom the record
pertains. When an agency requests authorization to disclose
information to someone, other than the person to whom the record
pertains or to that person's representative, it must identify the
persons to whom the information will be disclosed and the uses
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that will be mad* of the information, a* must specify the
duration of time during which disclosures can be made;
(d) To the National Archives of the United States as a record
which has sufficient historical or other value to warrant its
continued preservation by the United States Government, or for
evaluation by the Administrator of General Services or his
designee to determine whether the record has such value;
(e) To an agency or to an organizational unit of an agency
hQVL\I_ not designated ? as a protected Stab G al c-Pnter, or to an
5 ~.,/ organizational unit of a State. or local government, provided that
:11%'
such disclosure has been approved in writing by the Chief
Statistician.
(1) Such approval may be given upon the determination by
the Chief Statistician that:
(A) the information to be disclosed js restricted
to a list containing names, addresses and related information
necessary for the collection or compilation of statistics,
provided that the list is- not derived from the decennial or
mid-decade Censuses of Population and Housing;
(B) the information to be disclosed is to be used
solely for a statistical purpose involving the collection or
compilation of statistical data undertaken by employees of that
agency or organizational unit;
(C) the recipient agency or organizational unit of
an agency or of a State and local government has established and
.is maintaining appropriate administrative, technical and physical
safeguards to assure the integrity,,, confidentiality, and'security
of the records to be released to it; and
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(D) in the case of_ disclosure to organizational
units of State or local government; -
(i) .the release is subject to written
agreement by such organizational units which names the employees
to whom the material may be disclosed;
(ii) the information is to be used -for the
collection or compilation of statistical data under a cooperative
program; and
(iii) none of the information to be disclosed;
is . a return or return information as defined in 26 U.S.C.
6103(b). -
(2) Further use or redisclosure of the list-information
by the recipient agency or organizational unit of an agency or of
a State or local government is prohibited;
(f) To an agency or any organizational unit of a State or
Vpcal government for a statistical purpose," provided that:
(1) the person to whom the information contained in the
records pertains was informed, prior to the collection, that the
information was to be given on a voluntary basis and that the
information would be used jointly by the collecting agency and
the agency or organizational unit to which it is to be disclosed;
and -
(2) in the case of disclosure to organizational units of
State or local government, the information is to be used under a
cooperative statistical program;
aa~ use of individually identifiable records is necessary, for the
purpose of conducting a program evaluation or audit relating to
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the collection, compilation, processing and u41 of information in
protected statistical files, provided that:
(1) the audit or evaluation
is authorized by statute:
(2) no information so disclosed shall be., used as
evidence in any administrative, legislative, judicial,- or other
proceeding against anyone other than the agency or protected
statistical center maintaining the files, or its employees;
(3) any information so disclosed shall not be used as
evidence or redisclosed in a manner which would reasonably be
expected. to reveal. the information contained in individually
identifiable records; and
(4) no recontact of persons to whom the records in the
protected statistical file pertain Will be made unless the
auditor or evaluator determines that:
(A) recontact is necessary to accomplish the audit
or evaluation; and
(B) the recontact will be made in a manner that
minimizes both the risk of harm or embarassment to the person and
e risk of adverse consequences to the statistical activity
being audited or.evaluated;
(h) In compliance with an administrative summons or subpoena
or with a judicial order, including asearch warrant or grand
jury subpoena, where the purpose of the disclosure is to assist
investigation or prosecution of violations of the provisions of
phis. Act by an agency or employee maintaining protected
statistical files, or to the attorneys - representing the
Government in such investigation or proceedings, provided that:
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? (1) ?no ?ormation so disclosed ?all be used as
evidence in any administrative, legislative, judicial, or other
proceeding against any, one other than the agency 'or-protected
statistical center maintaining the files, or its-employees;
(2) any information so disclosed shall not tie-used as
evidence or redisclosed in a manner which would reasonably be
expected to reveal the information contained in individually
identifiable records;
(i) To an agency, unit of State or local government, or any
person, solely for statistical purpose, if the information -to be'
disclosed was obtained from _, unit of State government which
collected the data under its own legal authority, and provided
that:
(1) the State official who has legal custody of the
original records gives written consent to the disclosure; and
(2) the disclosure is approved in writing. by the Chief
Statistician;
J
{
VIP
DISCLOSURE OF PROTECTED STATISTICAL FILE 5
s y-q
TO PROTECTED STATISTICAL CENTERS
LA yof
Sec. 110.
(a) Except as provided in SubJe1ction (e), a Federal agency or
protected statistical center my 8isclose records co ag ed in
any protected statistical file a protected statistical center
--;the request of the protected statistical center to be used for
a statistical purpose, provided that the statistical purpose
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cannot be accomAshed efficiently unle-0 the- information
requested is disclosed to the receiving center in individually
identifiable form.
(b) Protected centers requesting individually identifiable
data from protected statistical files shall certify to;the Chief
Statistician that there is a need for the-disclosure.
(c) The receiving center shall remove or destroy the
individual identifier or identifiers associated with the records
at the earliest time. at which such removal or destruction-can
reasonably be accomplished consistent with the purpose of the
.statistical project.
(d) The receiving center is forbidden any subsequent use or
disclosure of the record in individually identifiable form
without the originating agency's written authorization.
(e) If a protected statistical center desires to enter into a
contract with an organization other than an agency to obtain
individually identifiable data which that organization collects
for its own purposes, any limitations on the use of the data
which are provided for in the contract will. be reviewed and
approved by the Chief Statistician before incorporation of these
limitations into the contract. If approved by the Chief
Statistician, such limitations will become binding on the Chief
Statistician and the protected statistical center. --
(f) Should the originating agency refuse to disclose the
requested individually identifiable records, the requesting
agency may appeal to the Chief Stati5'~iian for a determination
of the need for the requested records. The Chief Statistician
maY not require the disclosure if:
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-
14
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?(1) the ?ta were collected sole for statistical
purposes prior to the effective date o?-this, Act and. with an
express guarantee of confidentiality which precludes such-
disclosures;
(2) the data were collected in the 1980 Census of
Population and Housing;
(3) the data were collected or obtained under contracts,
cooperative agreements, or cooperative statistical agreements
executed prior to the date-of enactment.of this Act and the terms
of the contract or agreement prohibit such disclosures;
(4) the disclosure is prohibited under terms of. a
contract approved by the Chief Statistician as provided in
Subsection (e);
(5) the data were obtained from State agencies and such
disclosures are prohibited by State law; or
(6) the disclosure is prohibited by statute in the
interest of national security(f) foreign polic
6-r ejA
IMMUNITY FROM LEGAL PROCESS OF RECORDS IN r r,~)V ;Vn fQ
(a) Except as provided by this Act, all records in protected
statistical files and all individually identifiable Yo_r,s
extracted or derived from suc files:
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(1) shall be immune from legal process and shall not be
admitted as evidence or used for any purpose in any Federal,
State, or-local action, suit, or any judicial, administrative,
legislative, or any other. proceeding; and
(2) shall not be disclosed-pursuant to anY Federal,
State, or local law, including the Freedom of Information Act (5
U.S.C. 552).
(b) The provisions of Section 111(a) shall also apply to
records not in protected statistical files which are:
(1) in the possession of the person to whom they
pertain; and
(2) are file copies of a Federal, State, or local
statistical report form, the sole purpose of which is to obtain
information for inclusion in a protected statistical file, except
that persons in possession of such copies are not.restricted from
disclosing them voluntarily.
DISCLOSURE OF FILES OTHER THAN PROTECTED , tj ~atyltc(
STATISTICAL FILES
Any record or information, except returns and
return information as defined in 26 U.S.C. 6103(b), collected or
intained by an agency in a file other than a protected
statistical file may be disclosed for a statistical purpose to a
protected statistical center
under this Act.
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` ? 16
SANCTIONS AND PENALTIES.
(a) Criminal penalties
Whoever, being or having been an employee, as defined by this
Act:
(1) Intentionally publishes or communicates any
information, the disclosure of which is prohibited under the
provisions of this Act, and which comes into his possession by
reason of -his being employed (or otherwise performing services)
under the provisions of this Act; or
(2) Knowingly uses or attempts to use the authority. of
this Act to establish files for non-statistical purposes, or
knowingly places, causes to be placed or attempts to have placed
among protected statistical files any information, records or
materials other than statistical files shall be guilty of a
misdemeanor and fined not more than $10,000, in addition to any
other penalty. imposed by law.
(b) Civil liability
(1) Any person aggrieved by a violation of this Act with
respect to a record in a protected statistical file which
pertains to that person may maintain a civil action for damages
and for equitable relief against any violator other than an
employee of an agency. A violator shall be liable for all actual
damages sustained by the person as a result of the violation..
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(2) .In ?ition to any actual dSges awarded under
paragraph (1), any agency or person, other than an employee of an
agency, who violates this Act shall be liable to the aggrieved
person for such general damages as the court may allow, but no
less than $100 nor more than $10,000. In determining the amount
of general damages, the ocurt shall consider,' among other
relevant factors, the amount of any actual damages awarded, the'
nature and seriousness of any intangible harm suffered by the
person,. and the extent to which the defendants violation was
intentional.
(3) Upon application by an aggrieved person, the
appropriate United States district court may grant such equitable
and declaratory . relief as is necessary to enforce the
requirements imposed under the Act.
(4) In a successful action brought under paragraphs (1),
(2), or (3), the costs of the action, together with reasonable
attorney's fees as determined by the court, may be awarded in
addition to any damages.
(5) Any action under this section may be brought in the
appropriate United States district :court without regard to the
amount in controversy.
(c) Administrative sanctions
Any contractor or grantee other than aunit of State or
local government who knowingly violates the provisions of this
Act shall be subject to a fine of up to $50,000 or the value of
the contract, whichever is less. Any contractor or grantee who
kngwingly and repeatedly violates. the provisions. of this. Act
shall be subject to debarment from participation in any grant or
contract with the Federal government involving collection or
compilation of individually identifiable records for protected
statistical files or use of individually identifiable records
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18
from protected statistical files for a period of not less than
one year and not more than ten years. Determinations-- of
violations and the terms of debarment shall be made. by the head
of the funding agency in an administrative proceeding- after
opportunity for a hearing in accordance with'section 554 of title
5, United States Code. ;
The Chief Statistician shall promulgate regulations necessary
to carry out the provisions of this Act in accordance with the
requirements of the Administrative Procedure Act.
The provisions of this Act shall take effect one hundred and
eighty days from the date of enactment.
(a) Conforming amendment to the Privacy Act of 1974.
Section 552a of Title 5, United States Code, is amended--
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19
(1) by deleting the word "and" at the end of subsection
(a) (6) , deleting the period at the end of subsection (a) (7) . and
adding a semicolon, followed by the word "and," and adding the
following:
"(8) the term 'protected statistical file'
means a statistical file designated for
protection under the provisions of the
Confidentiality of Federal Statistical
Records Act".
(2) by deleting the word "or" at the end of subsection
(b)(10), deleting the period at the end of subsection (b)(11) and
adding a semicolon, followed by the word "or", and adding the
following:
" (b) (12) to a protected statistical center for a statistical
purpose, as provided in Section 112 of the Confidentiality of
Federal Statistical Records Act."
(3) by striking out the words "subsections (j) and (k)"
in subsection (p) and inserting in their place the words
"subsections (j), (k), and (r) ;" and
(4) by adding after subsection (q) the following new
subsection:
"(r) RECORDS IN PROTECTED STATISTICAL FILES
(1) Records in protected statistical files shall be
exempt from the provisions of.this section, except subsections
(b) (4) , (b) (6) , . (e) (3) , (e) (4) (A) through (F) and (I), (e) (9) ,
and (e) (10) , (1), (o)., and (p).
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(+2) Records in protected statistic files shall be
governed by the provisions of the Confidentiality of Federal
Statistical Records Act.."
(b) Conforming amendments to statutes governing
confidentiality of statistical files maintained by or for
agencies or units named as protected statistical centers
in Section 7(a) of this Act.
(1) Conforming amendment to Title 13, United States
Code--Census
Section 9(a)(3) of Subchapter I of Chapter 1 of Title 13,
United States Code is amended. by deleting the-period at the end
thereof and adding:
"except to the extent permitted by the Confidentiality
of Federal Statistical Records Act."
(2) Conforming amendment to Title 15, United States Code
Section 176a, Title 15, United States Code is amended to
read as follows:
"The confidentiality of information furnished to the
Bureau of Economic Analysis under the provisions of this
title shall be governed by the provisions of .the
Confidentiality of Federal Statistical Records Act"
(3) Conforming amendment to the Public Health Service
Section 308(d) of the Public Health Service Act, as
amended (42 USC 242m(d)) is amended to read as follows:
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"(d)(1) th confidentiality of all i rmation furnished
to the National Center for Health Statistics under
Section 304, 305, 306 or 307 shall be governed by the
provisions of the Confidentiality of Federal Statistical
Records Act..
"(2) No information obtained in the course of activities
undertaken or supported under-section 304, 305,-306, or
307 by units of the Department of Health and Human
Services other than the National Center for Health
Statistics may be used for any purpose other than the
purpose for which it was supplied; and (1)-in the case
of information obtained in the course of health
statistical activities under section 304 or. 306, such.
information may not be published or released in other
form if the particular establishment or person supplying
the .information or described in it is identifiable
unless such establishment or person has consented (as
determined under regulations of the Secretary) to its
publication or release in other form, and (2) in the
case of information obtained in the course of health
services research, evaluations, or demonstrations under
section 304 or 305, such information may not be
published or released in other form if the person who
supplied the information or who is described in it is
identifiable unless such person has consented (as
determined under regulations- of the Secretary) to its
publication or release in other form"
(4) Conforming amendment to the Social Security Act.
Section.1106 of the Social Security Act is amended by adding
after subsection (e) the following new subsection
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"(f) Notwithstanding any other provision of this
section, the confidentiality of individually
identifiable records in protected statistical. files
maintained by or for the Office of Research and
Statistics of the Social- Security Administration,
Department of Health and Human Services will be-governed.
by the provisions of the Confidentiality, of Federal
Statistical Records Act."
(c) Conforming amendment to Section 6103 of the Internal
Revenue Code
Section 6103 of Title 26--Internal Revenue Code is amended--
(1) by amending that part of subsection (j) (1) which
follows (j)(1)(B) to read as follows:
"as the Secretary may prescribe by regulation for the purpose
of, but only to the extent necessary in, the structuring of
censuses and national economic accounts, the maintenance of
the Standard Statistical Establishment List, and conducting
related statistical activities authorized by law."
(2) by amending subsection (j) (4) , replacing the period
at the end of the amended subsection with a comma, and adding the
words "except as, provided by Section 109(e)- of the
Confidentiality of Federal Statistical Records Act."
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