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Subtitle A-Department of Health,

Education, and Welfare
General Administration

Part 4 5 6 7 8

9 10 12


14 20

30 35 40

Service of process.
Availability of information to the public pursuant to Public Law 90–23.
Inventions and patents (general).
Employee inventions.
Inventions resulting from research grants, fellowship awards, and contracts

for research.
Use of facilities by students and other qualified individuals.
Departmental Fellowship Review Panel.
Disposal and utilization of surplus real property for educational purposes

and public health purposes.
Allocation and utilization of surplus personal property for educational, pub-

lic health, and civil defense purposes.
Minimum standards of operation for State agencies for surplus property.
Vending stands for the blind on Federal property in the custody of the

Department of Health, Education, and Welfare.
Claims collection.
Tort claims against the Government.
Reimbursement for damage or destruction of personal belongings of officers

and employees.
U.S. exchange visitor program-requests for waiver of foreign residence

Interchange of personnel with states.
Federal financial assistance for noncommercial educational television broad.

cast facilities.
Standards for a merit system of personnel administration.
Standards of conduct.
Nondiscrimination in Federally-assisted programs of the Department of

Health, Education, and Welfare-effectuation of Title VI of the Civil

Rights Act of 1964.
Practice and procedure for hearings under Part 80 of this Title.
Control of air pollution from new motor vehicles and new motor vehicle


55 60

70 73 80

81 85

Subpart - Procedures for Requesting Access to



5.51 Procedure.

5.52 Copies of records.
5.53 Denial of requests for records.

Subpart E-Fees

5.60 Policy on fees.

5.61 Fee schedules.

5.62 Publication of fee schedules.

5.63 Searching records.
5.64 Copying.

5.65 Certification or authentication.

Subpart F-Exemptions

5.70 Exemptions.

5.71 Records specifically required by Execu-

tive order to be kept secret in the

interest of the national defense or

foreign policy.

5.72 Records relating solely to the Internal

personnel rules and practices of the


5.73 Records specifically exempted from

disclosure by statute.
5.74 Trade secrets and commercial or fi-

nancial information obtained from

any person and privileged or cond-


5.75 Interagency or intraagency memo-

randums or letters which would not

be available by law to a private

party in litigation with the agency.

5.76 Personnel and medical files and sim-

llar files the disclosure of which

would constitute a clearly unwar-

ranted invasion of personal privacy.

5.77 Investigatory files compiled for law en-

forcement purposes except to the

extent available by law to a private


5.78 Records contained in or related to

examination, operating, or condition

reports prepared by, on behalf of, or

for the use of the Department or

any operating agency responsible for

the regulation or supervision of fi-

nancial institutions.

5.79 Geological and geophysical informa-

tion and data (including maps) con-

cerning wells.

Subpart G—Administrative Review

5.80 Review of denial of a record.

5.81 Time for initiation of request for


5.82 By whom review is made.

5.83 Contents of request for review.

5.84 Consideration on review.

5.85 Decisions on review.

Appendix A—Examples of kinds of exempt


AUTHORITY: The provisions of this Part 5
issued under 81 Stat. 54; 7 U.S.C. 2243, 5

U.S.C. 552.

SOURCE: The provisions of this part 5 ap-

pear at 32 F.R. 9315, June 30, 1967, unless

otherwise noted.

Subpart A-Definitions

models, equipment, or processing mate

rials; or formulae, designs, drawings, or $ 5.1 Act.

other items of valuable property; books, As used in this part, "Act" means magazines, pamphlets, or other refersection 552 of Title 5, United States ence material in formally organized and Code, as amended by Public Law 90-23, officially designated libraries of the Decodifying the Act of July 4, 1966, some- partment, which are available under the times referred to as the "Public Infor- rules of the particular library concerned. mation Act".

Subpart B-What Records Are $ 5.2 Department.

Available As used in this part, "Department"

$ 5.11 Purpose and scope. means the Department of Health, Education, and Welfare, which consists of This part constitutes the regulation of the Office of the Secretary and the

the Department respecting the availabilseveral operating agencies.

ity to the public, pursuant to the Act,

of records of the Department. It informs $ 5.3 Operating agency.

the public about what records are availAs used in this part, “operating able and where and how they may be agency" means the constituent operating obtained. It does not revoke, modify, or agencies of the Department, i.e., the Pub- supersede the following regulations of lic Health Service, the Office of Educa- operating agencies: tion, the Social Security Administration,

Social Security Administration-20 CFR Part the Social and Rehabilitation Service

401. and the Food and Drug Administration. Food and Drug Administration-21 CFR Part (32 F.R. 14895, Oct. 27, 1967]


Public Health Service-42 CFR Part 1, and $ 5.4 Heads of Office of Secretary and Saint Elizabeths Hospital, NIMH, PHS-42 operating agencies.

CFR Part 301. The heads of the Office of the Secre

(32 F.R. 9315, June 30, 1967, as amended at tary and the operating agencies are the

32 F.R. 14895, Oct. 27, 1967) following:

$ 5.12 General policy. Office of the Secretary-Secretary of Health, The Department's policy is one of the Education, and Welfare.

fullest responsible disclosure limited only Public Health Service-Surgeon General. Office of Education Commissioner of Edu

by the obligations of confidentiality and cation.

the administrative necessities recognized Social Security Administration-Commis

by the Act. Unless otherwise exempted sioner of Social Security.

from disclosure pursuant to law, records Social and Rehabilitation Service-Admin- of the Department shall be available for

istrator, Social and Rehabilitation Service. inspection and copying in accordance Food and Drug Administration Commis- with this part. The establishment of recsioner of Food and Drugs.

ords search and copying services in (32 F.R. 14895, Oct. 27, 1967)

especially designated centers shall sup8 5.5 Records.

plement, and in no way curtail, the free

access of public inquirers throughout the As used in this part: (a) "Record" includes books, bro

Department. chures, punch cards, magnetic tapes,

§ 5.13 Records available. paper tapes, sound recordings, maps, (a) Publication in the Federal Regpamphlets, photographs, slides, motion ister. The following shall be published in pictures, or other documentary mate- the FEDERAL REGISTER: rials, regardless of physical form or (1) Descriptions of the Department's characteristics, made or received by the central and field organization and the Department in pursuant of Federal law established places at which, the officers or in connection with the transaction of from whom, and the methods whereby, public business and preserved by the the public may secure information, make Department as evidence of the organiza- submittals or requests, or obtain decition, functions, policies, decisions, pro- sions; cedures, operations, programs, or other (2) Statements of the general course activities.

and method by which the Department's (b) "Record” does not include: Ob- functions are channeled and determined, jects or articles such as tangible exhibits, including the nature and requirements

of all formal and informal procedures available;

(3) Rules of procedures, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations;

(4) Substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by the Department;

(5) Every amendment, revision, or repeal of the foregoing.

(b) Agency opinions and orders. The Department shall, in accordance with this part and applicable regulations, make available for public inspection and copying:

(1) All final opinions (including concurring and dissenting opinions) and all orders made in the adjudication of cases (initial decisions and reconsiderations thereof in matters that are not the result of administrative proceedings such as hearings or formal appeals—for example, initial decisions and reconsiderations on claims for benefits-are not "opinions and orders in the adjudication of cases”);

(2) Those statements of policy and interpretations which have been adopted by the agency and are not published in the FEDERAL REGISTER;

(3) Administrative staff manuals and instructions to staff that affect any member of the public; unless such materials are promptly published and copies offered for sale. The Department shall maintain and make available for public inspection and copying current indexes providing identifying information for the public as to any matter which is issued, adopted, or promulgated after July 4, 1967, and which is required by this paragraph (b) to be published or made available.

(c) Availability of records on request. In addition to the records made available pursuant to paragraphs (a) and (b) of this section, the Department shall, upon request for identifiable records made in accordance with this part, make such records available to any person, unless it is determined that such records must be withheld from disclosure and are exempt unger subsection (b) of the Act and Subpart F of this part.

§ 5.14 Published documents.

Published records of the Department, whether or not available for purchase, shall be made available for examination in or through the appropriate Information Centers. § 5.15 Creation of records.

Records are not required to be created by compiling selected items from the files, and records are not required to be created to provide the requester with such data as ratios, proportions, percentages, per capitas, frequency distributions, trends, correlations, and comparisons. If such data have been compiled and are available in the form of a record, the record shall be made available as provided in this part. 5.16 Deletion of identifying details.

Whenever any final opinion, order, or other materials required to be made available pursuant to subsection (a) (2) of the Act relates to a private party or parties and the release of the name or names or other identifying details will constitute a clearly unwarranted invasion of personal privacy, the record shall be published or made available with such identifying details left blank, or shall be published or made available with obviously fictitious substitutes and with a notification such as the following as a preamble:

Names of parties and certain other identifying details have been removed (and fictitious names substituted] in order to prevent a clearly unwarranted invasion of the personal privacy of the individuals involved. § 5.17 Records in record centers.

When a request is made for identifiable records of the Department which have been stored in the National Archives or other record centers of the General Services Administration, but would otherwise be available under this Act, such records shall be requested by the Department for the requester. § 5.18 Destroyed records.

Records of specified form or character are destroyed after the lapse of time specified in the Records Disposal Act of 1943 (44 U.S.C. 366-380), the Federal Property Management Regulations (41 CFR Part 101-111), and the Records Control Schedules (Appendices A and B of the Department of Health, Education,

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