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and Welfare Records Management Manual).

§ 5.19 Records of other departments and agencies.

Requests for records which originated in or concern matters which originated in another Department or Government agency may be forwarded to the Department or agency primarily concerned and the requester so notified.

Subpart C-Where Information
Centers Are Located

§ 5.31 Information centers or facilities. (a) The Department maintains its Central Information Center at the following location:

Department of Health, Education, and Welfare, North Building, 330 Independence Avenue SW., Washington, D.C. 20201. This Center shall include a records reference and copying service, and shall have as its primary goal the provision, as far as practicable, of information service covering the programs and activities of the Department.

(b) The Department maintains an Information Center or information facilities in each of its Regional Offices as follows:

Region I-John F. Kennedy Federal Building, Boston, Mass. 02203.

Region II-42 Broadway, New York, N.Y. 10004.

Region III-220 Seventh Street NE., Charlottesville, Va. 22901.

Region IV-50 Seventh Street NE., Atlanta, Ga. 30323.

Region V-New Post Office Building, 433 West Van Buren Street, Chicago, Ill. 60607.

Region VI-601 East 12th Street, Kansas City, Mo. 64106.

Region VII-1114 Commerce Street, Dallas, Tex. 75202.

Region VIII-Federal Office Building, 19th and Stout Streets, Denver, Colo. 80202. Region IX-Federal Office Building, 50 Fulton Street, San Francisco, Calif. 94102.

(c) The following operating agencies of the Department maintain subsidiary centers at the following locations: Public Health Service-HEW South Building, 330 C Street SW., Washington, D.C. 20201. Office of Education-Federal Office Building No. 6, 400 Maryland Avenue SW., Washington, D.C. 20202.

Social Security Administration-Social Security Building, 6401 Security Boulevard, Baltimore, Md. 21235.

Food and Drug Administration-Federal Office Building No. 8, 200 C Street SW., Washington, D.C. 20204.

The Department's Central Information Center serves as the information center for the following:

Office of the Secretary and the Social and Rehabilitation Service.

Saint Elizabeths Hospital, National Institute of Mental Health, Public Health Service, maintains a subsidiary Information Center as to records of Saint Elizabeths Hospital at the following address: Administration Building, Saint Elizabeths Hospital, Nichols Avenue beyond Anacostia Avenue SE., Washington, D.C. 20032.

(d) The operating agencies may establish such other information centers as they may hereafter determine. Upon the establishment of such additional center(s) the operating agency shall publish in the FEDERAL REGISTER a notice thereof, containing the address thereof, materials to be maintained therein, and the official who has a like responsibility to that of the Information Center Officers provided for in § 5.32 or § 5.53. [32 F.R. 9315, June 30, 1967, as amended at 32 F.R. 14895, Oct. 27, 1967]

§ 5.32 Information center officers.

(a) (1) The Central Information Center Officer shall be responsible for determining whether records of the Office of the Secretary must be withheld from disclosure.

(2) The Public Information Officer, Social and Rehabilitation Service, shall be responsible for denying requests made at or through the Central Information Center for the Social and Rehabilitation Service.

(b) The Regional Information Center Officer in each region shall have a like responsibility for records of the Office of the Secretary in his region. The Regional Information Center Officer in each region shall be the Assistant to the Regional Director (for Information).

(c) The Information Center Officer for each of the operating agency information centers shall have, concurrently with other duly authorized officers, a like responsibility for the records of his operating agency. The Information Center

Officers for the respective operating Subpart D-Procedures for Requestagencies shall be as follows: ing Access to Records Procedure.

Public Health Service: Assistant to the Surgeon General and Director of Information.

Office of Education: Information Center Officer.

Social Security Administration: Information Officer.

Food and Drug Administration: Information Center Officer.

Saint Elizabeths Hospital, NIMH, PHS (as to records of Saint Elizabeths Hospital): Public Information Officer.

[32 F.R. 9315, June 30, 1967, as amended at 32 F.R. 14895, Oct. 27, 1967]

§ 5.33 Duty hours.

The Information Centers shall be open to the public on regular work days during the regular duty hours of the installation where located.

§ 5.34 Material in the information cen

ters.

(a) The Central Information Center shall contain or shall have available, as a minimum, the following:

(1) FEDERAL REGISTER, Code of Federal Regulations, and regulations of the Department contained therein;

(2) Precedent final opinions and orders in the adjudication of cases issued subsequent to July 4, 1967;

(3) Administrative staff manuals which affect members of the public; (4) Administrative program manuals which affect members of the public.

(5) Those statements of policy and interpretations issued or adopted after July 4, 1967, and used or relied upon as precedents not otherwise published;

(6) Current indices of the foregoing materials issued, adopted or promulgated after July 4, 1967.

(b) Each Regional Office Information Center shall contain the records required by paragraph (a) of this section and in addition such records appertaining to the activities of that Regional Office as may be determined by the Regional Information Center Officer.

(c) The Information Centers of the operating agencies shall contain or shall provide for the availability of the material appertaining to the activities of the respective operating agency.

[32 F.R. 9315, June 30, 1967, as amended at 32 F.R. 14895, Oct. 27, 1967]

§ 5.51

(a) A request for any information or record may be made at (1) the Department's Central Information Center, (2) any Regional Office Information Center, or (3) any subsidiary Information Center of an operating agency. A request may also be made at any appropriate office of the Department or of any operating agency.

(b) Requests made at the Central or a Regional Office Information Center for information or records not located there shall, if reduced to writing by the requester, be forwarded to the proper office. If a request is made at any other Center or office of the Department or any operating agency and the information or record is not located where the request is made, the requester shall be referred to the proper Center or office, or if the request is put in writing it may be forwarded to the proper office.

(c) A request should identify the requested record by brief description, containing the name, number or date as applicable, sufficient to enable the record to be identified and located. A reasonable time should be allowed for records to be located, reproduced, and mailed.

(d) The request should include the fee or request determination of the fee. § 5.52 Copies of records.

Copies of available records shall be produced as promptly as possible upon receipt of the fee therefor. Copying service shall be limited to not more than two copies of any single page, except that additional copies may be made where administrative considerations permit. Records which are published or available for sale need not be copied.

§ 5.53 Denial of requests for records.

Written requests for inspection or copying of records shall be denied only by the Department's Information Center Officer, the appropriate Information Center Officer of the region or the operating agency, or other duly authorized officer of the operating agency. Denials of written requests shall be in writing. Oral requests may be dealt with orally, but if the requester is dissatisfied with the disposition of such a request he shall be asked to put the request in writing.

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(b) Certification or authentication of records;

(c) Searches of or for records.

§ 5.61 Fee schedules.

Since the cost of such services may vary between operating agencies of the Department due to variations in the way in which records are organized and maintained, in copying equipment, or for other reasons, each operating unit of the Department providing such services shall establish and publish schedules of fees for the above services and on the basis described below. New or modified fee schedules may be published from time to time in recognition of changes in costs to the Government or changing circumstances. No fee shall be charged for searching for records which are contained in the Department Information Centers designated in or in accordance with § 5.31.

§ 5.62 Publication of fee schedules.

Fee schedules shall be published in the FEDERAL REGISTER by the Assistant Secretary for Administration for the Office of the Secretary and by the agency head for his operating agency. Schedules shall also be posted at the Information Centers and made available to the public when information is requested in writing. [32 F.R. 9315, June 30, 1967, as amended at 32 F.R. 14895, Oct. 27, 1967]

§ 5.63 Searching records.

Fees for searching shall be computed as follows:

(a) A predetermined standard hourly rate for labor and personal services of employees of the Department. Such hourly rates shall be published in advance.

(b) Actual cost to the Government of materials, postage and other direct costs, plus indirect costs to the Government. Such costs shall be determined for each request, at the time of the request, allowing a reasonable period for the development of the estimate.

§ 5.64 Copying.

Fees for copy or duplicating services shall be set on a per page basis. The fee shall be maintained as a predetermined standard rate.

§ 5.65 Certification or authentication.

A fee for certification or authentication of records shall be set on a per document basis. The fee shall be on the basis of a predetermined standard rate. Where the request includes making a copy of the record to be certified, the applicable fee for copying will also be charged. Where the requester furnishes a copy of the document to be authenticated or certified which requires comparison with the record on file, a comparing fee based upon predetermined hourly rates will be applicable.

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No record duly requested shall be withheld from disclosure unless it comes within one of the following classes of records exempted by the Act. Appendix A to this part contains some examples of the kinds of materials which fall within one or more classes exempt from all requirements of the Act. Disclosure of particular items of such kinds will nevertheless be made when this can be done consistently with obligations of confidentiality and administrative necessity as determined by the official considering the request.

[32 F.R. 9315, June 30, 1967, as amended at 32 F.R. 14895, Oct. 27, 1967]

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classified in accordance with applicable § 5.75 procedures.

[32 F.R. 9315, June 30, 1967, as amended at 32 F.R. 14895, Oct. 27, 1967]

§ 5.72

Records relating solely to the internal personnel rules and practices of the Department.

This exemption covers only those internal rules or instructions to personnel relating to how employees carry out their assigned functions and activities for which the Department has responsibility. Thus, materials which provide guidelines or instructions to employees relating to tolerances, selection of cases, quantums of proof, and the like, are within this exemption. However, materials having only management significance, such as rules relating to work hours, leave, promotion plans, while relating to personnel, may be disclosed.

[32 F.R. 9315, June 30, 1967, as amended at 32 F.R. 14895, Oct. 27, 1967]

§ 5.73 Records specifically exempted from disclosure by statute.

This exemption preserves the full force and effect of statutes which restrict public access to specific Government records. Several such statutes apply to records and information of the Department.

§ 5.74 Trade secrets and commercial or financial information obtained from any person and privileged or confidential.

This exemption protects generally against disclosure of information which the person furnishing it customarily would not release to the public or which is submitted by him in reliance upon the Department's assurance that it will not be disclosed. It includes records which fall in any one of such categories as: Trade secrets; technical, commercial, or financial information which is privileged through general custom and usage in the same line of endeavor; information which is obtained from any person under explicit or implicit pledge of confidentiality; and information which is privileged under any of the following privileges: Doctor-patient, lender-borrower, attorney-client, or Governmentinformer privileges. It also includes data and views of scientists, scholars, or consultants submitting or making judgments on research designs in applications for grant or other support.

Interagency or intraagency memorandums or letters which would not be available by law to a private party in litigation with the agency.

This exemption preserves the existing freedom of Government officials and employees to engage in full and frank communication with each other; whether such expression relates, for example, to a recommendation for legislation, to the evaluation of a grant application, or to the recommendation to select one or another case for the enforcement of a law or regulation. Thus, proposed budgets which have not been transmitted to the Congress, the recommendations of an expert or consultant or advisory committee whose advice was sought by the agency, an opinion relating to liability of the Department in a medical malpractice lawsuit are not, except to the same extent routinely available to a party in litigation with the agency, available for inspection and copying. This exemption includes internal memorandums, opinions and recommendations, correspondence and documents, as well as notations, route slips, and working papers; materials received or generated by the Department before the transaction to which they relate has been completed. § 5.76 Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy. This exemption covers all personal, private, financial, or business information contained in any files which, if disclosed to the public, would constitute a clearly unwarranted invasion of the privacy of any person. This exemption includes such matters as names of unsuccessful applicants as well as other data which invades personal privacy. § 5.77 Investigatory files compiled for law enforcement purposes except to the extent available by law to a private party.

This exemption covers all matters, including sources of information or complaints, in investigative files and reports compiled for law enforcement or regulatory activities of the Department, or relating to matters in litigation.

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§ 5.79 Geological and geophysical information and data (including maps) concerning wells.

Subpart G-Administrative Review § 5.80 Review of denial of a record.

This subpart provides for the review of a denial, pursuant to § 5.53, of a written request for inspection or copying of a record.

§ 5.81 Time for initiation of request for review.

A person whose request has been denied may initiate a review by filing a request for review within 30 days of the date of the denial of the request. § 5.82 By whom review is made.

Review shall be made by the Assistant Secretary for Administration, or his designee, in respect to records of the Office of the Secretary, or by the head of an operating agency, or his designee, in respect to records of that operating agency. Requests for review by the Assistant Secretary shall be addressed to him at 330 Independence Avenue SW., Washington, D.C. 20201. Requests for review by an operating agency head shall be addressed to the head of the agency. § 5.83

Contents of request for review.

The request for review shall include a copy of the written request and the denial.

§ 5.84 Consideration on review.

Review shall be considered on the basis of the written record including any written argument submitted by the requester.

§ 5.85 Decisions on review.

(a) Decisions on review shall be in writing. If the decision is in favor of the requester, the decision shall order records made available to the requester as provided in the decision.

(b) The decision, if adverse to the requester, shall briefly state the reasons for the decision, and shall be promptly communicated to the requester, and shall constitute final action of the Department.

(c) All such decisions constituting precedents shall be indexed and available for inspection and copying in the same manner as final orders and opinions subject to subsection (a) (2) of the Act.

(d) Adverse decisions pursuant to this subpart may be reviewed by the courts as

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provided in subsection (a)(3) of the Act.

APPENDIX A-EXAMPLES OF KINDS OF EXEMPT RECORDS

This appendix sets forth examples of kinds of materials which are exempt from mandatory disclosure pursuant to one or more of the exemptions in subsection (b) of the Act and Subpart F of this part.

1. Grant applications or research proposals which reveal research investigators' protocols or research designs.

2. Records of interim progress or incomplete development of Department-supported or Department-conducted studies or research projects, including notes, notebooks, and recordings compiled in the course of unfinished research.

3. Records containing information which is privileged through custom and usage in the same line of endeavor, or which is appropriately given to an agency in confidence and has been obtained from members of the public through questionnaires, surveys, and other inquiries.

4. Records of deliberations, discussions, comments, evaluations, and notes of members of advisory committees, study or review panels, task forces, or work groups.

5. Grant or loan applications which contain information exempt (e.g., under § 5.74 or § 5.76) from mandatory disclosure.

NOTE: Any of the records or materials in the examples noted in paragraphs 1-5 above may, however, be available for disclosure if the person requesting the record obtains the consent of the person who submitted the material or whose right of personal privacy is involved in its disclosure.

6. Manuals, guidelines, instructions, and other materials which are for guidance of employees in evaluating applications, in establishing or carrying out audit or inspection procedures, allowable tolerances, or quantums of proof, or in selection or handling of cases in litigation, and materials of similar kinds which cannot be disclosed to the public without defeating their purpose.

7. Patients' hospital, clinical, and medical records including related correspondence; medical histories, and supporting material; financial and property records and reports pertaining to patients in hospitals or clinics. 8. Records of pharmaceutical and related information concerning investigational drugs, revealed to the Department by private

sources.

9. Procurement and disposal plans which if prematurely released would give aid to speculators.

10. Records of correspondence between Federal and State or local officials, privileged through custom and usage or where disclosure might prejudice negotiations in progress.

11. Respecting Food and Drug Administration regulatory activities: Trade secrets or commercial or confidential information voluntarily revealed in requests for opinions,

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