90 Nondiscrimination on the basis of age in programs

or activities receiving Federal financial assist

ance 91

Nondiscrimination on the basis of age in HHS pro

grams or activities receiving Federal financial

assistance ... 92 Uniform administrative requirements for grants

and cooperative agreements to State and local

governments ....... 93 New restrictions on lobbying 94 Responsible prospective contractors 95 General administration-grant programs (public

assistance and medical assistance) 96

Block grants 97 Consolidation of grants to the insular areas 98 Child care and development block grant 99 Procedure for hearings for the child care and devel

opment block grant ...... 100 Intergovernmental review of Department of Health

and Human Services programs and activities561 .. 101–199 (Reserved]

416 443 454

456 475 529 530



AND PRODUCTION OF DOCU$L1 Location of HHS regulations.

MENTS IN PROCEEDINGS WHERE Regulations for HHS's programs and THE UNITED STATES IS NOT A activities are located in several dif- PARTY ferent titles of the Code of Federal Regulations:


2.1 Scope, purpose, and applicability. Regulations having HHS-wide applica- 2.2 Definitions. tion or which the Office of the Secretary ad- 2.3 Policy on presentation of testimony and ministers are located in Parts 1-99 of Title production of documents. 4.

2.4 Procedures when voluntary testimony is • Health regulations are located at Parts requested or when an employee is sub1-399 of Title 42.

poenaed. • Health care financing regulations are lo

2.5 Subpoenas duces tecum. cated at Parts 400 499 of Title 42. These in

2.6 Certification and authentication of

records. clude regulations for Medicare and Medicaid.

• Human development services regulations AUTHORITY: 5 U.S.C. 301, 5 U.S.C. 552. are located at Parts 200-299 and 1300-1399 of

SOURCE: 52 FR 37146, Oct. 5, 1987, unless Title 45. These include regulations for Head otherwise noted. Start, social services, social and nutrition services for older persons, rehabilitative $21 Scope, purpose, and applicability, services, developmental disabilities services,

(a) This part sets forth rules to be Native American programs, and various programs relating to families and children. followed when a Department of Health • Social Security regulations are located

and Human Services employee, other at Parts 400 499 of Title 20.

than an employee of the Food and Drug • Food and Drug regulations are located at

Administration, is requested or subpoeParts 1-1299 of Title 21.

naed to provide testimony, in a deposi• Procurement (contract) regulations are tion, trial, or other similar proceeding, located at Chapter 3 of Title 41.

concerning information acquired in the Each volume of the Code contains an

course of performing official duties or

because of the employee's official ceindex of its parts.

pacity. This part also sets forth proce (5 U.S.C. 301)

dures for the handling of subpoenas (44 FR 61598, Oct. 26, 1979, as amended at 48

duces tecum and other requests for any FR 35099, Aug. 3, 1983)

document in the possession of the De

partment of Health and Human Serv$ 1.2 Subject matter of Office of the ices other than the Food and Drug AdSecretary regulations in Parts 1-99. ministration, and to requests for cer

tification of copies of documents. SepaThis subject matter of the regula

rate regulations, 21 CFR part 20 and 20 tions in Parts 1–99 of this title in

CFR part 401, govern the Food and cludes:

Drug Administration and requests for • Civil rights/nondiscrimination: Parts 80, 81, certain information maintained by the 83, 84, 86, 90.

Social Security Administration, and • Protection of human subjects: Part 46. those regulations are not affected by Day care requirements: Part 71.

this part. Information, privacy, advisory Committees:

(b) It is the policy of the Department Parts 5, 5a, 5b, 11, 17, 99.

of Health and Human Services to pro• Personnel: Parts 50, 57, 73, 73a.

vide information, data, and records to • Grants and letter of credit administration,

non-federal litigants to the same exproperty, hearing rights: Parts 10, 12, 15, 16, 74,

tent and in the same manner that they 75, 77, 95.

are available to the general public. The • Claims: Parts 30, 35.

availability of Department of Health • Inventions and patents: Parts 6, 7, 8.

and Human Services' employees to tes• Miscellaneous: Parts 3, 4, 9, 67.

tify in litigation not involving Federal (5 U.S.C. 301)

parties is governed by the Department

of Healt Human Services' policy (50 FR 781, Jan. 7, 1985, as amended at 52 FR

on m 28658, July 31, 1987)

strict impartiality


with respect to private litigants and to minimize the disruption of official duties.

(c) This part applies to state and local court, administrative, and legislative proceedings and Federal court and administrative proceedings.

(d) This part does not apply to:

(1) Any civil or criminal proceedings where the United States, the Department of Health and Human Services, and any agency thereof, or any other Federal agency is a party.

(2) Congressional requests or subpoenas for testimony or documents.

(3) Consultative services and technical assistance provided by the Department of Health and Human Services, or any agency thereof, in carrying out its normal program activities.

(4) Employees serving as expert witnesses in connection with professional and consultative services as approved outside activities in accordance with 45 CFR 73.735–704 and 73.735–708. (In cases where employees are providing such outside services, they must state for the record that the testimony represents their own views and does not necessarily represent the official position of the Department of Health and Human Services.)

(5) Employees making appearances in their private capacity in legal or administrative proceedings that do not relate to the Department of Health and Human Services (such as cases arising out of traffic accidents, crimes, domestic relations, etc.) and not involving professional and consultative services.

(6) Any matters covered in 21 CFR part 20, involving the Food and Drug Administration, and 20 CFR part 401, involving the Social Security Administration.

(7) Any civil or criminal proceedings in State court brought on behalf of the Department of Health and Human Services.

the Department, the Agency Head for the purposes of this part is as follows:

(1) Office of the Secretary-Assistant Secretary for Management and Budget;

(2) Office of Human Development Services Assistant Secretary for Human Development Services;

(3) Public Health Service Assistant Secretary for Health;

(4) Health Care Financing Administration-Administrator;

(5) Family Support AdministrationAssistant Secretary for Family Support;

(6) Social Security AdministrationCommissioner; and

(7) Office of the Inspector GeneralInspector General.

Employee includes commissioned officers in the Public Health Service Commissioned Corps, as well as regular and special Department of Health and Human Services employees (except employees of the Food and Drug Administration), and any employees of health insurance intermediaries and carriers performing functions under agreements entered into pursuant to sections 1816 and 1842 of the Social Security Act, 42 U.S.C. 1395h, 1395u.

Testify and testimony includes both inperson, oral statements before a court, legislative or administrative body and statements made pursuant to depositions, interrogatories, declarations, affidavits, or other formal participation. (52 FR 37146, Oct. 5, 1987, as amended at 55 FR 4611, Feb. 9, 1990)

$ 2.3 Policy on presentation of testi

mony and production of documents. (a) No Department of Health and Human Services employee may provide testimony or produce documents in any proceedings to which this part applies concerning information acquired in the course of performing official duties or because of the employee's official relationship with the Department of Health and Human Services unless authorized by the Agency head pursuant to this part based on a determination by the Agency head, after consultation with the Office of the General Counsel, that compliance with the request would promote the objectives of the Department of Health and Human Services.

(52 FR 37146, Oct. 5, 1987, as amended at 55 FR 4611, Feb. 9, 1990)

8 2.2 Definitions.

Agency Head refers to the head of the relevant operating division or other major component of the Deparment of Health and Human Services, or his or her delegatees. For each component of

record(s) on the ground that it is prohibited by this section, and state that the production of the record(s) involved will be handled by the procedures and disclosure rules established in 45 CFR Part 5.

8 2.6 Certification and authentication

of records. Upon request, Department of Health and Human Services' agencies will certify the authenticity of copies of records that are to be disclosed pursuant to 45 CFR Part 5 and will authenticate copies of records previously disclosed. Fees for such certification are set forth in 45 CFR 5.43(e). (52 FR 37146, Oct. 5, 1987, as amended at 55 FR 4611, Feb. 9, 1990)

(b) The Office of the General Counsel will request the assistance of the Department of Justice where necessary to represent the interests of the Department of Health and Human Services and its employees under this part. 324 Procedures when voluntary testi

mony is requested or when an em

ployee is subpoenaed. (a) All requests for testimony by a Department of Health and Human Services employee in his or her official capacity and not subject to the exceptions set forth in $2.1(d), of this part, must be in writing and must state the nature of the requested testimony, why the information sought is unavailable by any other means, and the reasons why the testimony would be in the interests of the Department of Health and Human Services or the Federal Government.

(b) If the Agency head denies approval to comply with a subpoena for testimony, or if the Agency head has not acted by the return date, the employee will appear at the stated time and place, unless advised by the Office of the General Counsel that responding to the subpoena would be inappropriate (in such circumstances as, for example, an instance where the subpoena was not validly issued or served, where the subpoena has been withdrawn, or where discovery has been stayed), produce a copy of these regulations, and respectfully decline to testify or produce any documents on the basis of these regulations.



Subpart A-General

Sec. 3.1 Definitions. 3.2 Applicability. 3.3 Compliance. 3.4 False reports and reports of injury or

damage. 3.5 Lost and found, and abandoned property. 3.6 Nondiscrimination.

Subpart B-Traffic regulations.

3.21 Emergency vehicles. 3.22 Request for identification. 3.23 Parking. 3.24 Parking permits. 3.25 Servicing of vehicles. 3.26 Speed limit. 3.27 Bicycles.

Subpart C-Facilities and Grounds

8 2.5 Subpoenas duces tecum.

(a) Subpoenas duces tecum for records of the Department of Health and Human Services shall be deemed a request for records under the Freedom of Information Act and shall be handled pursuant to the rules governing public disclosure established in 45 CFR Part 5.

(b) Whenever а. subpoena duces tecum, in appropriate form, has been lawfully served upon a Department of Health and Human Services' employee commanding the production of any record, such employee, after consultation with the Office of the General Counsel, shall appear in response thereto, respectfully decline to produce the

3.41 Admission to facilities or grounds. 3.42 Restricted activities. 3.43 Removal of property. 3.44 Solicitation.

Subpart D-Penalties

3.61 Penalties.

AUTHORITY: 40 U.S.C. 318-318d. 486; Delegation of Authority, 33 FR 604.

SOURCE: 55 FR 2068, Jan. 22, 1990, unless otherwise noted.

Subpart A-General

83.1 Definitions.

Director means the Director or Acting Director of the National Institutes of Health (NIH), or other officer or employee of NIH to whom the authority involved has been delegated.

Enclave means, unless the context requires a different meaning, the area, containing about 318 acres, acquired by the United States in several parcels in the years 1935 through 1983, and any further future acquisitions, comprising the National Institutes of Health located in Montgomery County, Maryland, over which the United States acquired exclusive jurisdiction under the Act of March 31, 1953, Chapter 158 (1953 Maryland Laws 311).

Police officer means a uniformed or non-uniformed police officer appointed under a delegation of authority to the Director under Title 40 United States Code section 318 or 318d; any other Federal law enforcement officer; and any other person whose law enforcement services are secured by contract, or upon request or deputation from a State or local law enforcement agency.

Servicing of vehicles; 83.42 Hobbies and sports; and $3.42(1) Smoking.

(c) All regulations in this part are in addition to the provisions in the United States Code, including title 18 relating to crimes and criminal procedure, and title 21 relating to food and drugs, which apply:

(1) Without regard to the place of the offense, or

(2) To areas (such as the enclave) subject to the “special maritime and territorial jurisdiction of the United States," as defined in Title 18 United States Code section 7.

(d) In accordance with the Assimilative Crimes Act (18 U.S.C. 13), whoever is found guilty of an offense which, although not made punishable by any act of Congress, nor any provision of these regulations, would be punishable if committed within the State of Maryland, shall be guilty of a like offense and subject to a like punishment. In the event of an irreconcilable conflict between a provision of this part and a Maryland statute governing the identical subject matter, this part shall control.

(e) Federal criminal statutes which apply. The following Federal criminal statutes in the United States Code apply to' Federal enclaves and elsewhere without regard to the place of the offense. This listing is provided solely for the information of the public and is not all-inclusive. The omission of other Federal statutes does not mean that such other statutes do not apply. In any given situation, the cited statutory provisions and any amendments in effect when the alleged offense occurred shall determine the specifics of the offense, applicability, and penalty.

8 3.2 Applicability.

(a) The regulations in this part apply to all areas in the enclave and to all persons on or within the enclave, except as otherwise provided.

(b) The regulations in this part do not apply to occupants, their visitors, and other authorized persons in areas used as living quarters:

(1) When specifically made inapplicable, and

(2) In the case of the following provisions: $3.24 Parking permits; $3.25

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