McDONALD, J.
Congress created the National Practitioner Data Bank (Practitioner Data Bank) and the Healthcare Integrity and Protection Data Bank (Healthcare Data Bank) as national clearinghouses for, inter alia, information from health care entities and licensing boards regarding adverse actions taken against physicians and other licensed health care practitioners. The question we must answer in the present case is whether records received from these federal data banks by a state agency authorized to request this confidential information can be subject to disclosure under our Freedom of Information Act (act), General Statutes § 1-200 et seq.
The named defendant, the Freedom of Information Commission (commission), concluded that federal law permits disclosure of Practitioner Data Bank records if they are subject to disclosure under state law such as the act, but does not permit disclosure of Healthcare Data Bank records. The trial court dismissed the appeal of the plaintiff, the Commissioner of Public Health (department),
The record reveals the following undisputed facts. In August, 2005, a married couple, proceeding as Jane Smith and John Smith, filed an action against Ben Ramaley, a Greenwich obstetrician/gynecologist from whom the couple had obtained an intrauterine insemination procedure. They alleged that DNA tests of the twin girls born as a result of that procedure proved that Ramaley had inseminated Jane Smith with the sperm of someone other than her husband. The complaint further alleged, upon information and belief, that Ramaley intentionally inseminated Jane Smith with his own sperm. Before discovery was completed, the case was settled and the records were sealed.
In January, 2007, the department, which had issued Ramaley's license to practice as a physician and surgeon in Connecticut, received notification from the Practitioner Data Bank of the settlement of a malpractice
The newspaper learned of the department's response to the allegations against Ramaley, and in November, 2009, it sent a letter to the department making a request under the act for all records reviewed by Gfeller in connection with his report, including exhibit A, identified in the report as "National Practitioner Data Bank." After the department complied with the request in part but failed to produce, inter alia, exhibit A, the newspaper filed a complaint with the commission.
The department and the newspaper both appealed from the commission's decision to the Superior Court, which thereafter affirmed the decision and rendered judgment dismissing the appeals. The trial court determined that the department was required to disclose records that it had received from the Practitioner Data Bank under this court's decision in Director of Health Affairs Policy Planning v. Freedom of Information Commission, 293 Conn. 164, 180 n. 13, 977 A.2d 148 (2009), but that different regulatory language addressing Healthcare Data Bank records that was not considered in that case precluded disclosure of those records. Appeals by both parties followed.
On appeal, the department and the newspaper agree that the federal regulations governing confidentiality of Practitioner Data Bank and Healthcare Data Bank records should be construed to
Because the present case requires interpretation of federal statutes and regulations, we must interpret this scheme in accordance with federal law.
With this framework in mind, we turn first to the statutory and regulatory scheme in effect when the newspaper made its request for disclosure in November, 2009. The Health Care Quality Improvement
With respect to the use of information in the Practitioner Data Bank, the 1986 federal act provides in relevant part: "Information reported under this subchapter is considered confidential and shall not be disclosed (other than to the physician or practitioner involved) except with respect to professional review activity ... or in accordance with regulations of the Secretary [of Health and Human Services (secretary) permitting disclosure for employment related decisions]. Nothing in this subsection shall prevent the disclosure of such information by a party which is otherwise authorized, under applicable State law, to make such disclosure...." (Emphasis added.) 42 U.S.C. § 11137(b)(1) (2006). The implementing regulation in turn provided: "Information reported to the [Practitioner Data Bank] is considered confidential and shall not be disclosed outside the [federal agency], except as specified in § 60.10, § 60.11 and § 60.14 [of title 45 of the Code of Federal Regulations]. Persons and entities which receive information from the [Practitioner Data Bank] either directly or from another party must use it solely with respect to the purpose for which it was provided. Nothing in this paragraph shall prevent the disclosure of information by a party which is authorized under applicable State law to make such disclosure." (Emphasis added.) 45 C.F.R. § 60.13(a) (2009).
Several years after it created the Practitioner Data Bank, Congress enacted the Health Insurance Portability and Accountability Act of 1996 (1996 federal act),
With respect to the confidentiality of Healthcare Data Bank records, the 1996 federal act provides no specific parameters but instead authorizes the secretary and the United States Attorney General to issue guidelines to carry out the program; 42 U.S.C. § 1320a-7c (a)(3)(A) (2006); including "procedures to assure that such information is provided and utilized in a manner that appropriately protects the confidentiality of the information and the privacy of individuals receiving health care services and items." 42 U.S.C. § 1320a-7c (a)(3)(B)(ii) (2006). The implementing regulation in turn provided: "Information reported to the [Healthcare Data Bank] is considered confidential and will not be disclosed outside the [federal agency], except as specified in [45 C.F.R.] §§ 61.12 and 61.15. Persons and entities receiving information from the [Healthcare Data Bank], either directly or from another party, must use it solely with respect to the purpose for which it was provided. Nothing in this section will prevent the disclosure of information by a party from its own files used to create such reports where disclosure is otherwise authorized under applicable State or Federal law." (Emphasis added.) 45 C.F.R. § 61.14 (2009).
A comparison of those sections of the Practitioner Data Bank and Healthcare Data Bank regulations that provide an exception to the circumscribed limits to disclosure reveals a clear textual difference. Whereas the Healthcare Data Bank regulation provides that "[n]othing in this section will prevent the disclosure of information by a party from its own files used to create such reports where disclosure is otherwise authorized under applicable State or Federal law"; (emphasis added) 45 C.F.R. § 61.14 (2009); the Practitioner Data Bank regulation contains no such language. Cf. 45 C.F.R. § 60.13(a) (2009) ("[n]othing in this paragraph shall prevent the disclosure of information by a party which is authorized under applicable State law to make such disclosure"). If we were to view the Healthcare Data Bank regulation in isolation, we undoubtedly would be compelled to conclude that the commission could not order a public agency to disclose information received from the Healthcare Data Bank but could only order disclosure of information from the agency's own files that had been provided to the Healthcare Data Bank. Review of the Practitioner Data Bank regulation in isolation might yield a different conclusion because of the absence of the phrase "from its own files used to create such reports." Indeed, this court reached precisely that conclusion in Director of Health Affairs Policy Planning v. Freedom of Information Commission, supra, 293 Conn. at 180 n. 13, 977 A.2d 148 (summarily concluding, in reliance
There is persuasive evidence, however, that despite this textual difference, the regulations were intended to be construed consistently. As we previously have explained, some of the same information collected in the Healthcare Data Bank also is provided to the Practitioner Data Bank. It would be incongruous to conclude that information in Healthcare Data Bank records is not subject to disclosure yet that same information is subject to disclosure once provided to the Practitioner Data Bank. There did not appear to be any mechanism to segregate these records to avoid this problem. See 45 C.F.R. § 61.1(b) (2009) (noting that "[the federal agency's] consolidated reporting mechanism... will sort the appropriate actions into the [Healthcare Data Bank], [the Practitioner Data Bank], or both" [emphasis added]).
In order to construe the regulations consistently, however, we would need to either treat as superfluous the language in the Healthcare Data Bank regulation referring to records created from a party's own files or engraft such language as a judicial gloss onto the Practitioner Data Bank regulation. Although the former approach would yield a result consistent with this court's conclusion in Director of Health Affairs Policy Planning,
Whatever ambiguity might have remained has been dispelled by the recent amendments to the governing scheme. Under § 6403 of the Patient Protection and Affordable Care Act of 2010, Pub.L. No. 111-148, 124 Stat. 763, "the Secretary [is required] to establish a transition period to transfer all data in the [Healthcare Data Bank] to the [Practitioner Data Bank], and, once completed, to cease operations of the [Healthcare Data Bank]. Information previously collected and disclosed to eligible parties through the [Healthcare Data Bank] will then be collected and disclosed to eligible parties through the [Practitioner Data Bank]." 78 Fed.Reg. 20,473; see also id., at 20,474 ("[§] 6403 ... eliminate[s] duplication between the [Healthcare Data Bank] and the [Practitioner Data Bank]"). The new regulation, effective May 6, 2013, prescribes limitations on the disclosure of data bank information following this consolidation: "Information reported to the [Practitioner Data Bank] is considered confidential and shall not be disclosed outside the [federal agency], except as specified in §§ 60.17, 60.18, and 60.21 of this part. Persons and entities receiving information from the [Practitioner Data Bank], either directly or from another party, must use it solely with respect to the purpose for which it was provided. The Data Bank report may not be disclosed, but nothing in this section will prevent the disclosure of information by a party from its own files used to create such reports where disclosure is otherwise authorized under applicable state or Federal law." (Emphasis added.) 45 C.F.R. § 60.20(a) (2013). Thus, there is no question that, under current law, the newspaper would not be entitled to either Practitioner Data Bank records or Healthcare Data Bank records, but nonetheless could receive information subject to disclosure under the act that the department had obtained independently from other sources in its own files.
Notably, the federal agency, in response to a comment on the final rules requesting clarification as to whether Practitioner
We conclude that the federal statutory and regulatory schemes in effect when the newspaper made its request strongly suggest that records received from both the Practitioner Data Bank and the Healthcare Data Bank would not be subject to disclosure under the act. We further conclude that this interpretation is confirmed by the subsequent, clarifying enactments. See Erlenbaugh v. United States, 409 U.S. 239, 243-44, 93 S.Ct. 477, 34 L.Ed.2d 446 (1972) ("a later act can ... be regarded as a legislative interpretation of [an] earlier act ... in the sense that it aids in ascertaining the meaning of the words as used in their contemporary setting, and is therefore entitled to great weight in resolving any ambiguities and doubts" [internal quotation marks omitted]). Contrary to the newspaper's suggestion, we do not find it significant that the amended regulation, 45 C.F.R. § 60.20 (2013), was made effective on May 6, 2013. This regulation was adopted in connection with the consolidation of the two data banks, for which it was necessary to provide a transition period. In addition, the new regulation simply confirms the most reasonable interpretation of the existing schemes. Finally, we note that the clarifying language is not, as a substantive matter, applied retroactively because the clarification simply makes clear what the law meant all along. See Commissioner of Internal Revenue v. Wheeler, 324 U.S. 542, 546, 65 S.Ct. 799, 89 L.Ed. 1166 (1945) ("if the regulation itself was valid and effective, the [later] clarifying amendment ... added nothing to the liability of these taxpayers, and even though the Tax Court relied on it rather than on the regulation, no question of retroactivity is presented"); ABKCO Music, Inc. v. LaVere, 217 F.3d 684, 689 (9th Cir.) ("[i]f ... [the statute] merely clarifies what [the prior statute] was originally intended to mean ... it has no retroactive effect that might be called into constitutional question" [internal quotation marks omitted]), cert. denied, 531 U.S. 1051, 121 S.Ct. 655, 148 L.Ed.2d 559 (2000); Whalen v. United States, 826 F.2d 668, 670-71 (7th Cir.1987) ("We hold that [the statute], as originally enacted in 1976, required that property be passed to a qualified heir in order to qualify for special use valuation. As such, the 1978 clarifying amendment to that section did not change the law and was not retroactive in any substantive sense.").
The judgment is reversed in part and the case is remanded to the trial court with direction to render judgment sustaining the department's appeal.
In this opinion the other justices concurred.
Under federal law, as a general rule, courts are required to defer to an agency's reasonable construction of an ambiguous statute that the agency is charged with implementing; see Chevron U.S.A. Inc. v. Natural Resources Defense Council, Inc., 467 U.S. 837, 843-44, 104 S.Ct. 2778, 81 L.Ed.2d 694 (1984) (Chevron); as well as an agency's reasonable construction of its own ambiguous regulation. See Auer v. Robbins, 519 U.S. 452, 461-62, 117 S.Ct. 905, 137 L.Ed.2d 79 (1997). There are, however, limitations to such deference. See generally Christopher v. SmithKline Beecham Corp., ___ U.S. ___, 132 S.Ct. 2156, 2166-67, 183 L.Ed.2d 153 (2012) (citing circumstances in which deference is not afforded to agency interpretation). Under those circumstances in which deference is not afforded, the agency's interpretation nonetheless is entitled to respect, but only to the extent that its interpretation has the power to persuade. See Skidmore v. Swift & Co., 323 U.S. 134, 140, 65 S.Ct. 161, 89 L.Ed. 124 (1944). Whether Chevron/Auer deference or Skidmore's less deferential standard applies, however, is not always clear in light of various factors that the United States Supreme Court has articulated in an evolving line of cases. See generally 1 R. Pierce, Administrative Law (5th Ed.2010) § 3.5, p. 172 ("Since 2000, the [United States Supreme] Court has issued over a dozen opinions in which it has attempted to clarify the scope of Chevron. Unfortunately, the only thing that emerges clearly from these opinions is that the Justices differ significantly with respect to their views on the scope of Chevron.").
In the present case, the applicable standard is called into question by the fact that the critical sentence at issue in one of the regulations mirrors the statutory language; see Gonzales v. Oregon, 546 U.S. 243, 257, 126 S.Ct. 904, 163 L.Ed.2d 748 (2006) (declining to afford Auer deference when "the underlying regulation does little more than restate the terms of the statute itself"); as well as the nature of the evidence on which the amicus relies — including an opinion letter and a guidebook. Compare id. (declining to afford deference when circumstance in which interpretation was expounded was not one that Congress would have thought of as deserving deference), Coeur Alaska, Inc. v. Southeast Alaska Conservation Council, 557 U.S. 261, 283-84, 129 S.Ct. 2458, 174 L.Ed.2d 193 (2009) (no substantial deference to memorandum issued by agency), and Christensen v. Harris County, 529 U.S. 576, 587, 120 S.Ct. 1655, 146 L.Ed.2d 621 (2000) (no deference to policy statements, agency manuals, and enforcement guidelines), with Auer v. Robbins, supra, 519 U.S. at 462 [117 S.Ct. 905] (deference to interpretation articulated in legal brief). Because our interpretation is consistent with the federal agency's own interpretation and relies on the federal agency's pronouncements to the extent that they are persuasive, we conclude that we need not determine whether Chevron/Auer deference is required. Cf. Edelman v. Lynchburg College, 535 U.S. 106, 114, 122 S.Ct. 1145, 152 L.Ed.2d 188 (2002) ("[T]here is no need to resolve any question of deference here. We find the [agency's] rule not only a reasonable one, but the position we would adopt even if there were no formal rule and we were interpreting the statute from scratch. Because we so clearly agree with the [agency], there is no occasion to defer and no point in asking what kind of deference, or how much.").
"Response: Information reported to the [Practitioner Data Bank] is considered confidential, and access to and use of the information is prescribed by the three statutes that govern the [Practitioner Data Bank]. As stated in [45 C.F.R.] § 60.20 [2013], `Persons and entities receiving information from the [Practitioner Data Bank], either directly or from another party, must use it solely with respect to the purpose for which it was provided.' Both improper use and access to [Practitioner Data Bank] information may result in a civil monetary penalty that is currently set at up to $11,000 for each violation. The Privacy Act also protects the contents of Federal records on individuals from disclosure without the individual's consent, unless the disclosure is for a routine use of the system of records as published annually in the Federal Register. The published routine uses of [Practitioner Data Bank] information, which are based on the laws and the regulations under which the [Practitioner Data Bank] operates, do not allow disclosure to the general public. Given these statutory restrictions on [Practitioner Data Bank] information, [Practitioner Data Bank] information is not releasable through FOIA.
"The confidentiality provisions prohibit the release of the report submitted to the Data Bank. These provisions, though, do not apply to the original documents or records from which the reported information is obtained. The [Practitioner Data Bank's] confidentiality provisions do not impose any new confidentiality requirements or restrictions on those documents or records. Thus, the confidentiality provisions do not bar or restrict the release of the underlying documents, or the information itself, by the entity taking the adverse action or making the payment in settlement of a written medical malpractice complaint or claim. For this reason we inserted clarifying language in [45 C.F.R.] § 60.20 [2013], which already existed in the [Healthcare Data Bank] regulations, stating that an entity is free to release information `from its own files' provided that such disclosure is otherwise permitted by state and Federal law.
"This provision allows the disclosure of information used to create [a Practitioner Data Bank] report, consistent with other legal requirements, however it does not permit the release of the [Practitioner Data Bank] report itself. So, for instance, if a state FOIA law requires the release of records, while it may require the release of the records underlying the report, it would not permit the release of the [Practitioner Data Bank] report itself." (Emphasis added.) 78 Fed.Reg. 20,473, 20,483.