PART 4-SERVICE OF PROCESS § 4.1

Service of process in actions under Title II of the Social Security Act. Summons and complaint, subpoenas, and other process which are required to be delivered to the Secretary of Health, Education, and Welfare in actions arising under Title II of the Social Security Act shall be delivered to the Deputy General Counsel, the Secretary to the Deputy General Counsel, or the Secretary to the General Counsel, Office of the General Counsel, 330 Independence Avenue SW., Washington, D.C. 21235, or delivered to the Secretary to the Assistant General Counsel, Old-Age and Survivors Insurance Division, Office of the General Counsel, or the Supervisor (Docket, Files and Control Unit), Office of the General Counsel, Social Security Building, 6401 Security Boulevard, Baltimore 35, Maryland. The persons above designated are authorized to accept service of such process.

(Reorg. Plan No. 1 of 1953, 18 F.R. 2053, 3 CFR 1953 Supp.; sec. 205, 53 Stat. 1368, sec. 207, 72 Stat. 176, as amended; 42 U.S.C. 405 and 1400j) [28 F.R. 2860, Mar. 22, 1963, as amended at 32 F.R. 6684, May 2, 1967]

5.75 Interagency

or intraagency memorandums 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 similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy. 5.77 Investigatory files compiled for law enforcement purposes except to the extent available by law to a private party.

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 financial institutions.

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

Subpart G-Administrative Review

Review of denial of a record.

5.80

5.81

Time for initiation of request for review.

5.82

By whom review is made.

5.83

5.84

Consideration on review.

5.85

5.16 Deletion of identifying details.

5.17 Records in record centers.

Contents of request for review.

Decisions on review.

Appendix A-Examples of kinds of exempt records.

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 appear at 32 F.R. 9315, June 30, 1967, unless otherwise noted.

Subpart A-Definitions

§ 5.1 Act.

As used in this part, "Act" means section 552 of Title 5, United States Code, as amended by Public Law 90-23, codifying the Act of July 4, 1966, sometimes referred to as the "Public Information Act".

§ 5.2 Department.

As used in this part, "Department" means the Department of Health, Education, and Welfare, which consists of the Office of the Secretary and the several operating agencies.

§ 5.3 Operating agency.

As used in this part, "operating agency" means the constituent operating agencies of the Department, i.e., the Consumer Protection and Environmental Health Services, the Health Services and Mental Health Administration, the National Institutes of Health, the Office of Education, the Social Security Administration, and the Social and Rehabilitation Service. Three operating agencies, the Consumer Protection and Environmental Health Services, the Health Services and Mental Health Administration, and the National Institutes of Health, constitute the Public Health Service. [33 F.R. 18030, Dec. 4, 1968]

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

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] General policy.

§ 5.12

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.

§ 5.13 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 Department'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 iden

tifying 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.

§ 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.

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.