Page images

Part 76 77 79

Page 151 182



81 82 85

State-administered programs
Definitions that apply to Department regulations
Intergovernmental review of Department of Edu-

cation programs and activities
Uniform administrative requirements for grants

and cooperative agreements to state and local

governments ......
General Education Provisions Act-enforcement
New restrictions on lobbying
Governmentwide debarment and suspension (non-

procurement) and governmentwide requirements

for drug-free workplace (grants)
Drug and alcohol abuse prevention
Protection of human subjects
Student rights in research, experimental pro-

grams, and testing ......
Family educational rights and privacy

188 217 230

86 97 98

242 263 272

286 289




STATES OF AMERICA PART 3-OFFICIAL SEAL Sec. 3.1 Definitions. 3.2 Description. 3.3 Authority to affix seal. 3.4 Use of the seal.

AUTHORITY: 20 U.S.C. 3472 and 3485, unless otherwise noted.

SOURCE: 45 FR 86491, Dec. 31, 1980, unless otherwise noted. $3.1 Definitions.

For the purposes of this part:

(a) ED means all organizational units $3.3 Authority to affix seal. of the Department of Education.

The Secretary and the Secretary's (b) Embossing Seal means a display of

designees are authorized to affix the the form and content of the Official

Official Seal, replicas, reproductions, Seal made on a die so that the Seal can and embossing seals to appropriate be embossed on paper or other media. documents, certifications, and other

(c) Official Seal means the original(s) material for all purposes as authorized of the Seal showing the exact form, by this section. content, and colors.

(Authority: 20 U.S.C. 3474) (d) Replica means a copy of the Official Seal displaying the identical form, $3.4 Use of the seal. content, and colors.

(a) Use by any person or organization (e) Reproduction means a copy of the

outside of the Department may be Official Seal displaying the form and

made only with the Department's prior content, reproduced in only one color.

written approval. (f) Secretary means the Secretary of (b) Requests by any person or organiEducation.

zation outside of the Department for

permission to use the Seal must be 83.2 Description.

made in writing to Director of Public The Official Seal of the Department Affairs, U.S. Department of Education, of Education is described as follows:

400 Maryland Avenue, SW., WashStanding upon a mound, an oak tree ington, DC 20202, and must specify, in with black trunk and limbs and green

detail, the exact use to be made. Any foliage in front of a gold rising sun,

permission granted applies only to the issuing gold rays on a light blue disc, specific use for which it was granted enclosed by a dark blue border with

and is not to be construed as permis

sion for any other use. gold edges bearing the inscription "DEPARTMENT

(c) In regard to internal use, replicas OF EDUCATION” above a star at either side of the words

may be used only: “UNITED STATES OF AMERICA” in

(1) For display in or adjacent to ED

facilities, in Departmental auditosmaller letters in the base; letters and

riums, presentation rooms, hearing stars in white. The Offical Seal of the

rooms, lobbies, and public document Department is modified when used in

rooms; reproductions in black and white and

(2) In offices of senior officials; when embossed. As so modified, it ap

(3) For official awards, certificates, pears below.

medals, and plaques;


(4) For electronic media, motion picture film, video tape and other audiovisual media prepared by or for ED and attributed thereto;

(5) On official publications which represent the achievements or mission of ED;

(6) In non-ED facilities in connection with events and displays sponsored by ED, and public appearances of the Secretary or other senior ED officials; and

(7) For other internal purposes as determined by the Director for Management;

(d) In regard to internal use, reproductions may be used only

(1) On ED letterhead stationery;

(2) On official ED identification cards, security, and other approved credentials;

(3) On business cards for ED employees;

(4) On official ED signs;

(5) On official publications or graphics issued by and attributed to ED, or joint statements of ED with one or more other Federal agencies, State or local governments, or foreign governments;

(6) On official awards, certificates, and medals;

(7) On electronic media, motion picture film, video tape, and other audiovisual media prepared by or for ED and attributed thereto; and

(8) For other internal purposes as determined by the Director for Management.

(e) Embossing seals may be used only internally

(1) On ED legal documents, including interagency

intergovernmental agreements, agreements with State or local governments, foreign patent applications, certification(s) of true copies, and similar documents;

(2) On official awards and certificates; and

(3) For other purposes as determined by the General Counsel or the Director for Management.

(f) Falsely making, forging, counterfeiting, mutilating, or altering the Official Seal, replicas, reproductions, or embossing seals, or knowingly using or possessing with fraudulent intent and altered official seal, replica, reproduction or embossing seal is punishable under 18 U.S.C. 506.


(g) Any person using the Official Seal, replicas, reproductions, or embossing seals in a manner inconsistent with the provisions of this part is subject to the provisions of 18 U.S.C. 1017, which states penalties for the wrongful use of an Official Seal, and to other provisions of law as applicable. [45 FR 86491, Dec. 31, 1980, as amended at 53 FR 4620, Feb. 17, 1988; 56 FR 65388, Dec. 16, 1991; 65 FR 57286, Sept. 22, 2000]


$4.1 Service of process required to be

served on or delivered to Secretary. Summons, complaints, subpoenas, and other process which are required to be served on or delivered to the Secretary of Education shall be delivered to the General Counsel or a Deputy General Counsel, by mail at 400 Maryland Avenue SW., Washington, DC 20202 or by personal service at that address. The persons above designated are authorized to accept service of such process. (Authority: 5 U.S.C. 301) [47 FR 16780. Apr. 20, 1982)


ANT TO PUB. L. 90-23

Subpart A-Definitions

5.1 Act.
5.2 Department.
5.5 Records.
5.6 Statutory definitions.

Subpart B-What Records Are Available 5.11 Purpose and scope. 5.12 General policy. 5.13 Records available. 5.14 Published documents. 5.15 Creation of records. 5.16 Deletion of identifying details. 5.17 Records in record centers. 5.18 Destroyed records. 5.19 Records of other departments and agen


Subpart C-Freedom of Information Officer 5.32 Freedom of information officer.

Subpart D-Procedures for Requesting

Access to Records 5.51 Procedure. 5.52 Copies of records. 5.53 Denial of requests for records.

Subpart E-Fees and Charges 5.60 Schedule of fees. 5.61 Notification of estimated fees. 5.62 Advance payment of fees. 5.63 Payment of fees and interest. 5.64 Waiver or reduction of fees. Subpart F-Availability of Specific Records 5.70 Policy. 5.71 Protection of personal privacy and pro

prietary information. 5.72 Records available. 5.73 Records not available. 5.74 Further disclosure.

Subpart G-Administrative Review 5.80 Review of denial of a record. 5.81 Time for initiation of request for re

view. 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 TO PART 5

AUTHORITY: 5 U.S.C. 552.

SOURCE: 45 FR 30803, May 9, 1980, unless otherwise noted.

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.

85.6 Statutory definitions.

The definitions in the Act and the Office of Management and Budget's "Uniform FOIA Fee Schedule and Guidelines," 52 FR 10012 March 27, 1987), apply to this part. (52 FR 32525, Aug. 27, 1987)

Subpart B-What Records Are


Subpart A-Definitions

$5.1 Act.

As used in this part, Act means section 552 of title 5, United States Code, as amended by Pub. L. 90–23, codifying the Act of July 4, 1966, sometimes referred to as the “Freedom of Information Act". $5.2 Department.

As used in this part, Department means the Department of Education. $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 pursuant to Federal law or in connection with the transaction of

85.11 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. 85.12 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,

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 infor made in accordance with this part, mation, make submittals or requests, make such records available to any or obtain decisions;

person, unless it is determined that (2) Statements of the general course such records must be withheld from and method by which the Department's disclosure and are exempt under subfunctions are channeled and deter section (b) of the Act and subpart F of mined, including the nature and re this part. quirements of all formal and informal procedures available;

$5.14 Published documents. (3) Rules of procedures, descriptions

Published records of the Department, of forms available or the places at which forms may be obtained, and in

whether or not available for purchase, structions as to the scope and contents

shall be made available for examina

tion. of all papers, reports, or examinations;

(4) Substantive rules of general applicability adopted as authorized by law,

85.15 Creation of records. and statements of general policy or in Records are not required to be creterpretations of general applicability ated by compiling selected items from formulated and adopted by the Depart the files, and records are not required ment;

to be created to provide the requester (5) Every amendment, revision, or re with such data as ratios, proportions, peal of the foregoing.

percentages, per capitas, frequency dis(b) Agency opinions and orders. The

tributions, trends, correlations, and Department shall, in accordance with comparisons. If such data have been this part and applicable regulations, compiled and are available in the form make available for public inspection

of a record, the record shall be made and copying:

available as provided in this part. (1) All final opinions (including concurring and dissenting opinions) and $5.16 Deletion of identifying details. all orders made in the adjudication of cases (initial decisions and reconsider

Whenever any final opinion, order, or ations thereof in matters that are not

other materials required to be made the result of administrative pro

available pursuant to subsection (a)(2) ceedings such as hearings or formal ap

of the Act relates to a private party or peals are not "opinions and orders in

parties and the release of the name or the adjudication of cases”);

names or other identifying details will (2) Those statements of policy and in

constitute a clearly unwarranted invaterpretations which have been adopted sion of personal privacy, the record by the agency and are not published in

shall be published or made available the FEDERAL REGISTER;

with such identifying details left (3) Administrative staff manuals and blank, or shall be published or made instructions to staff that affect any available with obviously fictitious submember of the public;

stitutes and with a notification such as unless such materials are promptly

the following as a preamble: published and copies offered for sale.

Names of parties and certain other identiThe Department shall maintain and fying details have been removed (and fictimake available for public inspection tious names substituted) in order to prevent and copying current indexes providing

a clearly unwarranted invasion of the peridentifying information for the public

sonal privacy of the individuals involved. as to any matter which is issued,

85.17 Records in record centers. adopted, or promulgated after July 4, 1967, and which is required by this When a request is made for identifiparagraph (b) to be published or made able records of the Department which available.

have been stored in the National Ar(c) Availability of records on request. In chives or other record centers of the addition to the records made available General Services Administration, but pursuant to paragraphs (a) and (b) of would otherwise be available under this this section, the Department shall, Act, such records shall be requested by upon request for identifiable records the Department for the requester.

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