§ 5.3 Principal operating components.

(a) Principal operating components are those major program organizations which report to the Secretary. There are five principal operating components: The Public Health Service, the Office of Human Development, the Education Division, the Social and Rehabilitation Service, and the Social Security Administration.

(b) The Public Health Service is comprised of the Office of the Assistant Secretary for Health, the Alcohol, Drug Abuse, and Mental Health Administration, Center for Disease Control, the Food and Drug Administration, the Health Resources Administration, the Health Services Adminis

tration, and the National Institutes of Health.

(c) The Education Division is comprised of the Office of the Assistant Secretary for Education, the Office of Education and the National Institute of Education.

(d) The Social Security Administration includes intermediaries and carriers performing functions under agreements entered into pursuant to sections 1816 and 1842 of the Social Security Act.

[40 FR 26512, June 24, 1975]

§ 5.4 Heads of Office of the Secretary, Principal Operating Components, PHS Agencies and Education Agencies.

The heads of the Office of the Secretary and principal operating components are as follows:

Office of the Secretary-Secretary
Health and Human Services

of

Public Health Service-Assistant Secretary for Health

Office of Human Development-Assistant Secretary for Human Development Education Division-Assistant Secretary for Education

Social and Rehabilitation Service-Administrator, Social and Rehabilitation Service Social Security Administration-Commissioner of Social Security

The Secretary has delegated to the Assistant Secretary for Administration and Management those responsibilities vested by the regulation in heads of principal operating components. [40 FR 26512, June 24, 1975]

§ 5.5 Records.

As used in this part:

(a) "Record" includes books, brochures, punch cards, magnetic tapes, paper tapes, sound recordings, maps, pamphlets, photographs, slides, motion pictures, or other documentary materials, regardless of physical form or characteristics, made or received by the Department in pursuant of Federal law or in connection with the transaction of public business and preserved by the Department as evidence of the organization, functions, policies, decisions, procedures, operations, programs, or other activities.

(b) "Record" does not include: Objects or articles such as tangible exhibits, models, equipment, or processing

materials; or formulae, designs, drawings, or other items of valuable property; books, magazines, pamphlets, or other reference material in formally organized and officially designated libraries of the Department, which are available under the rules of the particular library concerned.

Subpart B-What Records Are Available

§ 5.11 Purpose and scope.

This part constitutes the regulation of the Department respecting the availability to the public, pursuant to the Act, of records of the Department. It informs the public what records are generally available. The components of the Department may issue implementing regulations which are consistent with this part. To the extent that they are consistent, existing implementing regulations remain in full force and effect.

[40 FR 26512, June 24, 1975]

§ 5.12 General policy.

The Department's policy is one of the fullest responsible disclosure limited only by the obligations of confidentiality and the administrative necessities recognized by the Act. Unless otherwise exempted from disclosure pursuant to law, records of the Department shall be available for inspection and copying in accordance with this part. The establishment of records search and copying services in especially designated centers shall supplement, and in no way curtail, the free access of public inquirers throughout the Department.

85.13 Records available.

(a) Publication in the Federal Register. The following shall be published in the FEDERAL REGISTER:

(1) Descriptions of the Department's central and field organization and the established places at which, the officers from whom, and the methods whereby, the public may secure information, make submittals or requests, or obtain decisions;

(2) Statements of the general course and method by which the Depart

ment's functions are channeled and determined, 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 under subsection (b) of the Act and Subpart F of this part.

85.14 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.

§ 5.18 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 Parts 101-111), and the Records Control Schedules (Appendices A and B of the Department of Health and Human Services 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.

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-3535 Market Street, Philadelphia, Pa. 19104

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

Region V-300 South Wacker Drive, Chicago, Illinois 60606

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

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

Region VIII-Federal Office Building, 19th and Stout Streets, Denver, Colo. 80202. Region IX-Federal Office Building, 50 Fulton Street, San Francisco, Calif. 94102. Region X-Arcade Plaza Building, 1321 Second Avenue, Seattle, WA 98101.

(c) Centers are maintained for the principal operating components and their subsidiaries at the following locations:

Social Security Administration.

Social and Rehabilitation Service

(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 ad

dress 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 FR 9315, June 30, 1967, as amended at 32 FR 14895, Oct. 27, 1967; 38 FR 22231, Aug. 17, 1973; 39 FR 28631, Aug. 9, 1974; 40 FR 26512, June 24, 1975]

§ 5.32 Freedom of Information Officers.

(a) Only Freedom of Information Officers as listed below have the authority to release or deny records in response to Freedom of Information Act requests.

(1) HHS Freedom of Information Officer. If the records you seek are addressed to or from an official or office of the Office of the Secretary, including OS Staff Divisions, or if the records you seek are the records of any organizational unit of the Department not specifically identified below, or if the records you seek involve more than one Operating Division of the Department, only the HHS Freedom of Information Officer or his or her designee, may determine whether to release or deny the records.

(2) Regional Freedom of Information Officer. If the records you seek are addressed to or from an official or office of the Office of the Regional Director (i.e., Office of the Secretary, including OS Staff Divisions, in regional Offices), or if the records you seek involve more than one Operating Division in the region, only the Regional Public Affairs Director, who also is the Regional Freedom of Information Officer, or his or her designee, may determine whether to release or deny the records.

(3) OHDS Freedom of Information Officer. If the records you seek are exclusively records of the Office of Human Development Services, including its records in the regions, only the Director, Office of Public Affairs, OHDS, who also is the OHDS Freedom of Information Officer, or his or her designee, may determine whether to release or deny the records.

(4) PHS Freedom of Information Officer. If the records you seek are exclusively records of the Public Health Service, or if the records you seek involve more than one health agency of the Public Health Service, including its records in the regions, only the Director, Office of Public Affairs, PHS, who also is the PHS Freedom of Information Officer, or his or her designee,

may determine whether to release or deny the records except as follows:

(i) CDC Freedom of Information Officer. If the records you seek are exclusively records of the Centers for Disease Control, only the Director, Office of Public Affairs, CDC, who also is the CDC Freedom of Information Officer, or his or her designee, may determine whether to release or deny the records.

(ii) FDA Freedom of Information Officer. If the records you seek are exclusively records of the Food and Drug Administration, only the Assistant Commissioner for Public Affairs, FDA, who also is the FDA Freedom of Information Officer, or his or her designee, may determine whether to release or deny the records.

(iii) NIH Freedom of Information Officer. If the records you seek are exclusively records of the National Institutes of Health, only the Associate Director of Communications, NIH, who also is the NIH Freedom of Information Officer, or his or her designee, may determine whether to release or deny the records.

(5) SSA Freedom of Information Officer. If the records you seek are exclusively records of the Social Security Administration, including its records in the regions, only the Director, Office of Information, SSA, who also is the SSA Freedom of Information Officer, or his or her designee, may determine whether to release or deny the records.

(6) HCFA Freedom of Information Officer. If the records you seek are exclusively records of the Health Care Financing Administration, including its records in the regions, only the Director, Office of Public Affairs, HCFA, who also is the HCFA Freedom of Information Officer, or his or her designee, may determine whether to release or deny the records.

(b) The Assistant Secretary for Public Affairs must concur in any designations and in any further delegations of these authorities.

[47 FR 20309, May 12, 1982]

§ 5.33 Duty hours.

The Information Centers shall be open to the public on regular work