(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

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 about what records are available and where and how they may be obtained. It does not revoke, modify, or supersede the following regulations of the Public Health Service, of the operating agencies or of subsidiaries of operating agencies:

Public Health Service 42 CFR Part 1.

Food and Drug Administration, CP&EHS. PHS 21 CFR Part 4.

St. Elizabeths Hospital, NIMH, PHS 42 CFR Part 300.

Social Security Administration-20 CFR Part 401.

Bureau of Federal Credit Unions, SSA-45 CFR Part 320.

[33 F.R. 18030, Dec. 4, 1968]

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

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.

66-099-72-2

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, 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

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) Centers are maintained for the Office of the Secretary and the operating agencies, or subsidiaries thereof, at the following locations:

HEW North Building, 330 Independence Ave-
nue SW., Washington, D.C. 20201.
Federal Office Building No. 8, 200 C Street
SW., Washington, D.C. 20204.

HEW South Building, 330 C Street SW., Washington, D.C. 20201.

Office of Education__

Social Security Administration..

Social and Rehabilitation Services_.

(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; 33 F.R. 18030, Dec. 4, 1968]

pital, Nichols Avenue beyond Anacostia Avenue SE., Washington, D.C. 20032. Federal Office Building No. 6, 400 Maryland Avenue SW., Washington, D.C. 20202. Social Security Building, 6401 Security Boulevard, Baltimore, Md. 21235 (as set forth in 20 CFR Part 401).

HEW North Building, 330 Independence Avenue SW., Washington, D.C. 20201.

(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]

mation centers shall have, concurrently with other duly authorized officers, a like responsibility for the records of his operating agency. The Information Center Officer for the respective operating agencies shall be as follows:

The Associate Director of Information for Public Services (the Central Information Center Officer).

Assistant Commissioner for Public Information.

Assistant Commissioner for Public Affairs. Assistant Administrator, Office of Public Affairs.

(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 ad

ditional 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. Subpart E-Fees

§ 5.60 Policy on fees.

It is the policy of the Department to provide routine information to the general public without charge. Special information services involving a benefit that does not accrue to the general public shall be subject to the payment of fees, which shall be fixed in such amounts as to recover the cost to the Government of providing such services. Fees will be charged for the following special services:

(a) Reproduction, copying of records;

duplication,

or

(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

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.

§ 5.70

Subpart F-Exemptions
Exemptions.

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