[Federal Register Volume 85, Number 45 (Friday, March 6, 2020)]
[Proposed Rules]
[Pages 13104-13118]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-03844]
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DEPARTMENT OF STATE
22 CFR Part 171
[Public Notice 10955]
RIN 1400-AE00
Public Access to Information
AGENCY: Department of State.
ACTION: Proposed rule.
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SUMMARY: The Department of State (the Department) proposes to revise
its regulations of May 6, 2016, governing the availability to the
public of information that is under the control of the Department.
There have been changes in the law governing disclosure of such
information, including the Freedom of Information Act Improvement Act
of 2016. This proposed rule reflects changes in the FOIA and consequent
changes in the Department's procedures since the last revision of the
Department's regulations on public access to information.
DATES: The Department of State will accept comments on this proposed
rule until May 5, 2020.
ADDRESSES: You may submit comments by any of the following methods, and
you must include the Regulatory Information Number (RIN) in the subject
line of your message.
Mail (paper, disk, or CD-ROM submissions): Director,
Office of Information Programs and Services, Room B-266, U.S.
Department of State, 2201 C Street NW, Washington, DC 20520.
Fax: (202) 485-1669.
Persons with access to the internet may view this rule and
submit comments by going to www.regulations.gov and searching for
docket number DOS-2019-0042.
Inspection of public comments: All comments received before the
close of the comment period will be available for public inspection,
including any personally identifiable or confidential business or
financial information that is included in a comment. The Department of
State will post all comments received before the close of the comment
period at www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Alice Kottmyer, Attorney-Adviser,
Office of the Legal Adviser, [email protected], 202-647-2318.
SUPPLEMENTARY INFORMATION: This proposed rule implements the Freedom of
Information Act (FOIA) Improvement Act of 2016, Public Law 114-185, and
updates the Department's FOIA regulations at 22 CFR part 171. The
following is a summary of the substantive changes.
The proposed rule, in Sec. 171.4, provides updated procedures and
addresses for submitting FOIA requests to the Department, including
procedures for requesting information about the requester and requests
for visa information.
Subpart B of the proposed rule (Sec. 171.10 through Sec. 171.17)
contains the rules governing the processing of a FOIA request. Proposed
Sec. 171.11 covers the Department's initial processing of a request;
it clarifies the information that is to be provided as part of a
request, the Department's process for responding to requests, and
consultation and referral with respect to requests. Proposed Sec.
171.12 covers the timing of responses to a request, including multi-
track processing, expedited processing, and ``unusual circumstances''
(as defined in the FOIA) that might affect the Department's ability to
respond. Proposed Sec. 171.13 covers responses to requests, including
the procedures upon denial of a request. The proposed updates add a
provision for consultation with the Department of Justice's Office of
Information Policy with respect to invocation of a FOIA exclusion.
Proposed Sec. 171.14 modifies the Department's process with respect to
reviews of business information, including procedures for the business
owner of the information to object to the release of the information.
Proposed Sec. 171.15 revises the timeline for submission of
appeals to 90 days and provides for information to be given to
requesters about dispute resolution services at various stages of the
processing of a request, in accordance with the FOIA Improvement Act of
2016. Proposed Sec. 171.16 provides updates on the fees to be charged
for FOIA requests, including how fees are calculated. This proposed
section provides an updated explanation of the term, ``representative
of the news media.''
Subpart C contains the rule's Privacy Act provisions. There are
minor changes throughout this subpart.
[[Page 13105]]
In Subpart D, the proposed rule adds information about processing
of requests for confidential financial disclosure reports.
Finally, the proposed rule makes numerous minor changes throughout,
to conform more closely to the Department of Justice's Template for
Agency FOIA Regulations.
Regulatory Findings
Administrative Procedure Act
The Department is publishing this rule under the provisions of 5
U.S.C. 553, with a 60-day public comment period.
Regulatory Flexibility Act
The Department of State, in accordance with the Regulatory
Flexibility Act, 5 U.S.C. 605(b), has reviewed this regulation and, by
approving it, certifies that this rule will not have a significant
economic impact on a substantial number of small entities.
Unfunded Mandates Act of 1995
This rule will not result in the expenditure by State, local, and
tribal governments, in the aggregate, or by the private sector, of $100
million or more in any year, and it will not significantly or uniquely
affect small governments. Therefore, no actions were deemed necessary
under the provisions of the Unfunded Mandates Reform Act of 1995.
Small Business Regulatory Enforcement Fairness Act of 1996
This rule is not a major rule as defined by section 804 of the
Small Business Regulatory Enforcement Fairness Act of 1996. This rule
will not result in an annual effect on the economy of $100 million or
more; a major increase in costs or prices; or significant adverse
effects on competition, employment, investment, productivity,
innovation, or on the ability of United States-based companies to
compete with foreign-based companies in domestic and import markets.
Executive Order 12988--Civil Justice Reform
The Department has reviewed this regulation in light of Executive
Order 12988 to eliminate ambiguity, minimize litigation, establish
clear legal standards, and reduce burden.
Executive Orders 12372 and 13132--Federalism
This regulation will not have substantial direct effects on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government. Therefore, in accordance with Executive
Order 13132, it is determined that this rule does not have sufficient
federalism implications to require consultations or warrant the
preparation of a federalism summary impact statement. The regulations
implementing Executive Order 12372 regarding intergovernmental
consultation on Federal programs and activities do not apply to this
regulation.
Executive Order 13175--Consultation and Coordination With Indian Tribal
Governments
The Department has determined that this rulemaking will not have
tribal implications, will not impose substantial direct compliance
costs on Indian tribal governments, and will not pre-empt tribal law.
Accordingly, the requirements of Executive Order 13175 do not apply to
this rulemaking.
Executive Orders 12866 and 13563--Improving Regulation and Regulatory
Review
The Department has considered this rule in light of these Executive
Orders and affirms that this regulation is consistent with the guidance
therein. The benefits of this rulemaking for the public include, but
are not limited to, providing an up-to-date procedure for requesting
information from the Department that is consistent with the FOIA
Improvement Act of 2016. The Department is aware of no more than a
minimal cost to the public from this rulemaking.
Executive Order 13771--Reducing Regulation and Controlling Regulatory
Costs
This rule is not subject to the requirements of Executive Order
13771 because it is expected to result in no more than de minimis
costs.
Paperwork Reduction Act
This rule does not impose or revise any reporting or recordkeeping
requirements subject to the Paperwork Reduction Act, 44 U.S.C. Chapter
35.
List of Subjects in 22 CFR Part 171
Administrative practice and procedure, Freedom of information,
Privacy.
For the reasons set forth in the preamble, revise 22 CFR part 171
to read as follows:
PART 171--PUBLIC ACCESS TO INFORMATION
Subpart A--General Policy and Procedures
Sec.
171.1 General provisions.
171.2 Types of records maintained.
171.3 Records available on the Department's website.
171.4 Requests for information--types and how made.
171.5 Archival records.
Subpart B--Freedom of Information Act Provisions
171.10 Purpose and scope.
171.11 Processing requests.
171.12 Timing of responses to requests.
171.13 Responses to requests.
171.14 Business information.
171.15 Administrative appeals.
171.16 Fees to be charged.
171.17 Preservation of records.
Subpart C--Privacy Act Provisions
171.20 Purpose and scope.
171.21 Definitions.
171.22 Request for access to records.
171.23 Request to amend or correct records.
171.24 Request for an accounting of record disclosures.
171.25 Appeals from denials of PA amendment requests.
171.26 Exemptions.
Subpart D--Access to Financial Disclosure Reports
171.30 Purpose and scope.
171.31 Requests for Public Financial Disclosure Reports--OGE Form
278.
171.32 Denial of Public Access to Confidential Financial Disclosure
Reports--OGE Form 450.
Authority: 22 U.S.C. 2651a; 5 U.S.C. 552, 552a; 5 U.S.C. app.
107(a); E.O. 12600 (52 FR 23781); Pub. L. 114-185; Pub. L. 95-521,
92 Stat. 1824 (codified as amended at 5 U.S.C. app. 101-505); 5 CFR
part 2634.
Subpart A--General Policy and Procedures
Sec. 171.1 General provisions.
(a) This part contains the rules that the Department of State and
the Foreign Service Grievance Board (FSGB), an independent body, follow
in processing requests for records under the Freedom of Information Act
(FOIA), as amended, 5 U.S.C. 552, and the Privacy Act of 1974 (PA), as
amended, 5 U.S.C. 552a. These rules should be read in conjunction with
the text of the FOIA, the PA, and the Uniform Freedom of Information
Fee Schedule and Guidelines published by the Office of Management and
Budget (``OMB Guidelines'').
(b) Definitions. (1) For purposes of subparts A and B of this part,
record means information regardless of its physical form or
characteristics--including information created, stored,
[[Page 13106]]
and retrievable by electronic means--that is created or obtained by the
Department and under the control of the Department at the time of the
request, including information maintained for the Department by an
entity under government contract for records management purposes. It
does not include records that are not already in existence and that
would have to be created specifically to respond to a request.
(2) For purposes of subparts A and B of this part, control means
the Department's legal authority over a record, taking into account the
ability of the Department to use and dispose of the record, the intent
of the record's creator to retain or relinquish control over the
record, the extent to which Department personnel have read or relied
upon the record, and the degree to which the record has been integrated
into the Department's record-keeping systems or files.
(3) For purposes of this part, Department means the United States
Department of State, including its field offices, Foreign Service posts
abroad, and its components. This part does not address FOIA requests to
the U.S. Agency for International Development (USAID); such requests
should be submitted as described at www.usaid.gov/foia-requests.
(4) For purposes of subparts A and B of this part, component means
the offices that respond directly to requests concerning records under
their jurisdiction: the Office of the Inspector General; the Bureau of
Consular Affairs' Directorates for Visa Services, Passport Services,
and Overseas Citizens Services; the Bureau of Diplomatic Security; the
Bureau of Human Resources; the Office of Medical Services; and the
Foreign Service Grievance Board.
Sec. 171.2 Types of records maintained.
Most of the records maintained by the Department pertain to the
formulation and execution of U.S. foreign policy. The Department also
maintains certain records that pertain to individuals, such as
applications for U.S. passports, applications for U.S. visas, records
on consular assistance given abroad by U.S. Foreign Service posts to
U.S. citizens and legal permanent residents, and records on Department
employees. Further information on the types of records maintained by
the Department may be obtained by reviewing the Department's records
disposition schedules, which are available on the Department's FOIA
website at www.foia.state.gov.
Sec. 171.3 Records available on the Department's website.
(a) Information that is required to be published in the Federal
Register under 5 U.S.C. 552(a)(1) is regularly updated by the
Department and found on its public website: www.state.gov. See also 22
CFR part 5. Records that are required by the FOIA to be made available
for public inspection in an electronic format under 5 U.S.C. 552(a)(2)
also are available on the Department's public website. Included on the
Department's FOIA home page, www.foia.state.gov, are links to other
sites where Department information may be available and to the
Department's records disposition schedules. Also available on the FOIA
website are certain records released by the Department pursuant to
requests under the FOIA and compilations of records reviewed and
released in certain special projects. Links to the Department's Privacy
Act Systems of Records Notices are available at www.state.gov/privacy.
In addition, see 22 CFR part 173 regarding materials disseminated
abroad by the Department.
(b) The Department's Office of Inspector General (OIG) is
responsible for determining which of its records are required to be
made publicly available on its website at www.stateoig.gov. OIG will
ensure that its website of posted records and indices is reviewed and
updated on an ongoing basis.
Sec. 171.4 Requests for information--types and how made.
(a) General Information. (1) Requests for records made in
accordance with this part must be made in writing. FOIA requests may be
made to the Office of Information Programs and Services (A/GIS/IPS) by
email to [email protected], through the Department's FOIA website
(www.foia.state.gov), by fax to (202) 261-8579, or by mail to the
address below. PA requests must be made in writing and signed, and the
requester's signature must be either notarized or made under penalty of
perjury pursuant to 28 U.S.C. 1746. See Sec. 171.22(a). PA requests
may be made to A/GIS/IPS by email to [email protected], by fax to
(202) 261-8579, or by mail. FOIA and PA requests made by mail should be
addressed to: Office of Information Programs and Services (A/GIS/IPS),
Room B-266, U.S. Department of State, 2201 C Street NW, Washington, DC
20520.
(2) Requests for passport records covered under PA System of
Records Notice 26 (available at www.state.gov/system-of-records-notices-privacy-office/) must be made in writing, and may be submitted
directly to the Law Enforcement Liaison Division of the Passport
Services directorate (PPT) of the Bureau of Consular Affairs by mailing
the request to U.S. Department of State, Office of Law Enforcement
Liaison, FOIA Officer, 44132 Mercure Circle, P.O. Box 1227, Sterling,
VA 20166-1227. Requests for passport records and information that do
not need to be certified may also be emailed to [email protected].
(3) Requests for records of the OIG must be made in writing, and
may be submitted via email to [email protected], by fax to 703-284-
1866, or by mail addressed to FOIA Officer, Officer of General Counsel,
Office of Inspector General, U.S. Department of State, 1700 N. Moore
Street, Suite 800, Arlington, VA 22209. Submission by email is
preferred. Guidance and contact information is available on the OIG's
website at www.stateoig.gov/foiarequest.
(4) The Office of Information Programs and Services, the Law
Enforcement Liaison Division of the Passport Services directorate, and
the OIG are the only Department components authorized to accept FOIA
and PA requests submitted to the Department.
(5) The requester should provide the specific citation to the
authority under which he or she is requesting information (e.g., the
FOIA, the PA, or Mandatory Declassification Review (MDR) under the
current Executive Order on classification). This will facilitate the
processing of the request. When individual U.S. citizens and lawful
permanent residents request access to records about themselves, the
Department processes responsive records maintained in Privacy Act
systems of records under both the FOIA and the PA to provide requesters
with the greatest degree of access to the records. Information in such
records will be withheld only if it is exempt from access under both
laws; if the information is exempt under only one of the laws, it will
be released. Responsive records that are not maintained in a Privacy
Act system of records are processed only under the FOIA.
(6) A requester who requests records about himself or herself,
including passport records, must comply with the verification of
identity requirements as set forth in Sec. 171.22 (the Privacy Act
Provisions) in order for the request to be processed under the PA.
(7) Where a request for records pertains to a third party or to a
requester's own records outside of a request under the Privacy Act, a
requester may receive greater access by submitting a notarized
authorization signed by the person whose records are
[[Page 13107]]
requested, or by submitting a declaration made in compliance with the
requirements set forth in 28 U.S.C. 1746 by the person whose records
are requested, authorizing disclosure of the records to the requester,
or by submitting proof that the third party is deceased (e.g., a copy
of a death certificate or an obituary). As an exercise of
administrative discretion, the Department may require a requester to
supply additional information if necessary in order to verify that a
particular individual has consented to disclosure or is deceased.
(8) Requests for visa information. The Immigration and Nationality
Act, as amended, section 222(f) (8 U.S.C. 1202(f)), provides that the
records of the Department of State and of diplomatic and consular
offices of the United States pertaining to the issuance or refusal of
visas or permits to enter the United States must be considered
confidential and shall be used only for certain enumerated purposes,
including the formulation, amendment, administration, or enforcement of
the immigration, nationality, and other laws of the United States. As a
result, information subject to release in response to a request for
visa records about an individual may be limited. Requests for visa
records should include the following information for the applicant and,
if applicable, the petitioner: Full name, as well as any aliases used;
current address; email; and date and place of birth (including city,
state, and country). Additional information describing the records
sought will assist the Department in properly identifying the
responsive records and in processing the request. Attorneys or other
legal representatives requesting visa information on behalf of a visa
applicant should submit a statement with the request signed by the
applicant (and the petitioner if the records sought pertain to a
petition) authorizing release of the requested visa information to the
representative. Alternatively, requestors may submit a DS-4240 to
certify their identity and to provide authorization by the applicant
(and the petitioner if the records sought pertain to a petition) to
release the requested information to the legal representative. Forms
created by other Federal agencies will not be accepted.
(b) Description of records sought. Although no particular format is
required, a request must reasonably describe the Department record(s)
that the requester seeks. Requesters must describe the records sought
in sufficient detail to enable agency personnel to locate them with a
reasonable amount of effort. To the extent possible, requesters should
include specific information that may assist the Department in
identifying the requested record(s), such as the date, title or name,
author, recipient, subject matter, case number, file designation
reference number, or timeframe. If after receiving a request the
Department determines that the request does not reasonably describe the
records sought, the Department will inform the requester that the
request is insufficient and may ask for additional information.
Requests should also specify the records sought; failure to do so may
delay the agency's response. Any records provided in response to a
request will be provided in the form or format requested if a
releasable form of the records is readily reproducible in that form or
format. Requesters must provide contact information, such as their
phone number, email address, and/or mailing address, to assist the
Department in communicating with them and providing released records.
(c) While the Department makes every effort to provide the greatest
possible access to all requested records regardless of the statute(s)
under which the information is requested, the following guidance is
provided for the benefit of requesters:
(1) The Freedom of Information Act applies to requests for records
concerning the general activities of government and of the Department
in particular (see subpart B of this part).
(2) The Privacy Act applies to requests from U.S. citizens or legal
permanent resident aliens for records about them that are maintained by
the Department in a system of records retrievable by the individual's
name or personal identifier (see subpart C of this part).
Sec. 171.5 Archival records.
The Department ordinarily transfers records designated as
historically significant to the National Archives when they are 25
years old. Accordingly, requests for some Department records 25 years
old or older should be submitted to the National Archives by mail
addressed to Special Access and FOIA Staff, National Archives at
College Park, 8601 Adelphi Road, Room 5500, College Park, MD 20740-
6001; by fax to (301) 837-1864; or by email to
[email protected]. The Department's website,
www.foia.state.gov, has additional information regarding archival
records.
Subpart B--Freedom of Information Act Provisions
Sec. 171.10 Purpose and scope.
This subpart contains the rules the Department follows under the
Freedom of Information Act (FOIA) as amended, 5 U.S.C. 552. The rules
should be read together with the FOIA, which provides additional
information about access to records and contains the specific
exemptions that are applicable for withholding information; the Uniform
Freedom of Information Fee Schedule and Guidelines published by the
Office of Management and Budget (OMB Guidelines); and information
located at www.foia.state.gov. The Department processes requests for
records maintained in a Privacy Act (PA) system of records under the
FOIA as well. As a result, requests that seek such records are also
subject to this subpart.
Sec. 171.11 Processing requests.
(a) In general. (1) The Office of Information Programs and Services
(A/GIS/IPS) is responsible for initial action on all FOIA requests for
Department records, with two exceptions: Requests seeking records under
the purview of the Office of Inspector General (OIG), which receives
and processes requests for OIG records (see Sec. 171.4(a)(3)); and
requests seeking records under the purview of the Law Enforcement
Liaison Division of the Passport Services directorate of the Bureau of
Consular Affairs (CA), which receives and processes requests for
certain consular records (see Sec. 171.4(a)(2)).
(2) For requests for which A/GIS/IPS is responsible for initial
action, A/GIS/IPS will issue all initial decisions on whether a request
is valid (or has subsequently been perfected), and whether to grant or
deny requests for a fee waiver or for expedited processing.
(3) After A/GIS/IPS takes initial action, all requests for records
coming under the jurisdiction of the following components are processed
by those components, although A/GIS/IPS may provide review and
coordination support to these components in some situations: The Bureau
of Consular Affairs' Directorates for Visa Services, Passport Services,
and Overseas Citizens Services; the Bureau of Diplomatic Security; the
Bureau of Human Resources; and the Office of Medical Services.
Additionally, the Foreign Service Grievance Board (FSGB), as an
independent body, processes all FOIA requests seeking access to its
records and responds directly to requesters.
(b) Receipt of request. The Department is in receipt of a request
when it reaches A/GIS/IPS, OIG, or PPT, depending on which office is
the proper recipient. At that time, the Department must send an
acknowledgement letter to the requester that identifies the date of
receipt of the request in the proper office (A/GIS/IPS, OIG, or PPT),
and the
[[Page 13108]]
case tracking number. When one of these offices determines that a
request was misdirected within the Department, that office must
promptly route the request to the proper office(s) within the
Department.
(c) Cut-off date and exclusions. In determining which records are
responsive to a request, the Department ordinarily will include only
records in its possession as of the date of initiation of the search
for responsive records, unless the requester has specified an earlier
cut-off date. A record that is excluded from the requirements of the
FOIA pursuant to 5 U.S.C. 552(c) is not considered responsive to a
request.
(d) Consultation, referral, and coordination. When reviewing
records located in response to a request, the component processing the
request will determine whether another agency of the Federal Government
is better able to determine whether the record is exempt from
disclosure under the FOIA. As to any such record, the component must
proceed in one of the following ways:
(1) Consultation. When records originated with the Department, but
contain within them information of interest to another agency or other
Federal Government office, the component processing the request should
typically consult with that other entity prior to making a release
determination.
(2) Referral. (i) When the component processing the request
believes that a different Department component or other Federal
Government agency is better able to determine whether to disclose the
record, the component processing the request typically should refer the
responsibility for responding to the request regarding that record to
that component or agency, as long as the referral is to an entity
subject to the FOIA. Ordinarily, the agency that originated the record
will be presumed to be best able to make the disclosure determination.
However, if the component processing the request and the originating
agency jointly agree that the former is in the better position to
respond regarding the record, then the record may be handled as a
consultation.
(ii) Whenever the component processing the request refers any part
of the responsibility for responding to a request to another entity,
the component must document the referral, maintain a copy of the record
that it refers, and notify the requester of the referral and inform the
requester of the name(s) of the entity to which the record was
referred, including that entity's FOIA contact information.
(3) Coordination. The standard referral procedure is not
appropriate where disclosure of the identity of the component or agency
to which the referral would be made could harm an interest protected by
an applicable exemption, such as the exemptions that protect personal
privacy or national security interests. For example, if a non-law
enforcement component responding to a request for records on a living
third party locates within its files records originating with a law
enforcement agency, and if the existence of that law enforcement
interest in the third party was not publicly known, then to disclose
that law enforcement interest could cause an unwarranted invasion of
the personal privacy of the third party. Similarly, if a component
locates within its files material originating with an Intelligence
Community agency, and the involvement of that agency in the matter is
classified and not publicly acknowledged, then to disclose or give
attribution to the involvement of that Intelligence Community agency
could cause national security harm. In such instances, in order to
avoid harm to an interest protected by an applicable exemption, the
component that received the request should coordinate with the
originating component or agency to seek its views on the whether the
record may be disclosed. The release determination for the record that
is the subject of the coordination will be conveyed to the requester by
the component that originally received the request.
(e) Timing of responses to consultations and referrals. All
consultations and referrals received by the Department will be handled
according to the date that the perfected FOIA request was received by
the first agency.
(f) Agreements regarding consultations and referrals. The
Department may make agreements with other agencies to eliminate,
reduce, or streamline the need for consultations or referrals for
particular types of records.
Sec. 171.12 Timing of responses to requests.
(a) In general. The Department ordinarily will respond to requests
in the order received. In instances involving misdirected requests that
are re-routed pursuant to Sec. 171.11(b), the response time will
commence on the date that the request is received by the proper office
that is designated to receive requests (A/GIS/IPS, OIG or PPT), but in
any event not later than 10 working days after the request is first
received by any of these three offices.
(b) Multi-track processing. The Department has a specific track for
requests that are granted expedited processing, in accordance with the
standards that are set forth in paragraph (d) of this section. An
intake office (A/GIS/IPS, OIG, or PPT) may also designate additional
processing tracks that, for example, distinguish between simple and
more complex requests based on the estimated amount of work and/or time
needed to process the request. Among the factors that may also be
considered are the number of records requested, the number of pages
involved in processing the request, and the need for consultations or
referrals. The Department must advise requesters of the track in which
their request falls and, when appropriate, should offer the requesters
an opportunity to narrow their request so that it can be placed in a
different processing track.
(c) Unusual circumstances. Whenever the statutory time limit for
processing a request cannot be met because of ``unusual
circumstances,'' as defined in the FOIA, and the Department extends the
time limit on that basis, the Department must, before expiration of the
20-day period to respond, notify the requester in writing of the
unusual circumstances involved. Where the extension exceeds 10 working
days, the Department must, as described by the FOIA, provide the
requester with an opportunity to modify the request or arrange an
alternative time period for processing the original or a modified
request. The Department must make available its designated FOIA contact
and its FOIA Public Liaison for this purpose. In the written notice to
the requester, the Department must also alert the requester to the
availability of the Office of Government Information Services to
provide dispute resolution services.
(d) Expedited processing. (1) The Department must process requests
and appeals on an expedited basis whenever the Department determines
that:
(i) Failure to obtain requested records on an expedited basis could
reasonably be expected to pose an imminent threat to the life or
physical safety of an individual;
(ii) With respect to a request made by a person primarily engaged
in disseminating information, there exists an urgency to inform the
public concerning actual or alleged Federal Government activity; or
(iii) Failure to release the information would impair substantial
due process rights or harm substantial humanitarian interests.
(2) A request for expedited processing may be made at the time of
the initial request for records or at any later time. Requests for
expedited processing must be submitted to the office responsible
[[Page 13109]]
for receiving the FOIA request (A/GIS/IPS, OIG, or PPT). When making a
request for expedited processing of an administrative appeal, the
request must be submitted to A/GIS/IPS, or OIG in the case of appeals
of OIG decisions (see Sec. 171.15). A Department FOIA office that
receives a misdirected request for expedited processing must forward it
promptly to the correct office responsible for receiving requests (A/
GIS/IPS, OIG, or PPT) for its determination. The time period for making
the determination on the request for expedited processing commences on
the date that the correct office receives the request, provided that
the Department will be considered to have received the request for
expedited processing no more than 10 working days after the request for
expedited processing is received by A/GIS/IPS, OIG, or PPT.
(3) A requester who seeks expedited processing must submit a
statement, certified to be true and correct, explaining in detail the
basis for making the request for expedited processing. For example,
under paragraph (d)(1)(ii) of this section, a requester who is not a
full-time member of the news media must establish that the requester is
a person whose primary professional activity or occupation is
information dissemination, though it need not be the requester's sole
occupation. Such a requester also must establish a particular urgency
to inform the public about the government activity involved in the
request--one that extends beyond the public's right to know about
government activity generally. The existence of numerous articles
published on a given subject can be helpful in establishing the
requirement that there be an ``urgency to inform'' the public on the
topic. As a matter of administrative discretion, the Department may
waive the formal certification requirement.
(4) A notice of the determination whether to grant expedited
processing must be provided to the requester within 10 calendar days of
the date of the receipt of the request for expedited processing in the
appropriate office (whether A/GIS/IPS, OIG, or PPT). If expedited
processing is granted, the request must be given priority, placed in
the processing track for expedited requests, and processed as soon as
practicable. If a request for expedited processing is denied, the
Department must act on any appeal of that decision expeditiously.
Sec. 171.13 Responses to requests.
(a) In general. The Department will, to the extent practicable,
communicate with requesters having access to the internet using
electronic means, such as email or a web portal.
(b) Acknowledgment of requests. The Department must acknowledge the
request in writing and assign it an individualized tracking number if
it will take longer than 10 working days to process. The Department
must include in the acknowledgment a brief description of the records
sought to allow requesters to more easily keep track of their requests.
The Department may in its discretion divide a multi-part request into
multiple requests in order to facilitate processing.
(c) Estimated dates of completion and interim responses. Upon
request, the Department will provide an estimated date by which the
Department expects to provide a response to the requester. If a request
involves a voluminous amount of material, or searches in multiple
locations, the agency may provide interim responses, releasing the
records on a rolling basis.
(d) Grants of requests. Once the Department makes a determination
to grant a request in full or in part, it must notify the requester in
writing. The Department also must inform the requester of any fees
charged under Sec. 171.16 and must disclose the requested records to
the requester promptly upon payment of any applicable fees. The
Department must inform the requester of the availability of the FOIA
Public Liaison to offer assistance.
(e) Adverse determinations of requests. If the Department makes an
adverse determination denying a request in any respect, it must notify
the requester of that determination in writing. Adverse determinations,
or denials of requests, include decisions that: The requested record is
exempt from disclosure, in whole or in part; the request does not
reasonably describe the records sought; the information requested is
not a record subject to the FOIA; the requested record does not exist,
cannot be located, or has been destroyed; or the requested record is
not readily reproducible in the form or format sought by the requester.
Adverse determinations also include denials involving fees or fee
waiver matters or denials of requests for expedited processing.
(f) Content of denial. The denial must be signed by the head of the
component processing the request, or designee, and must include:
(1) The name and title or position of the person responsible for
the denial;
(2) A brief statement of the reasons for the denial, including any
FOIA exemption applied in denying the request;
(3) An estimate of the volume of any records or information
withheld, such as the number of pages or some other reasonable form of
estimation, although such an estimate is not required if the volume is
otherwise indicated by deletions marked on records that are disclosed
in part or if providing an estimate would harm an interest protected by
an applicable exemption; and
(4) A statement that the denial may be appealed under Sec. 171.15,
and a description of the requirements set forth therein.
(5) A statement notifying the requester of the assistance available
from the Department's FOIA Public Liaison and the dispute resolution
services offered by the Office of Government Information Services of
the National Archives and Records Administration.
(g) Markings on released documents. Markings on released documents
must be clearly visible to the requester. Records disclosed in part
must be marked to show the amount of information deleted and the
exemption under which the deletion was made unless doing so would harm
an interest protected by an applicable exemption. The location of the
information deleted must also be indicated on the record, if
technically feasible.
(h) Use of record exclusions. (1) In the event that the Department
identifies records that may be subject to exclusion from the
requirements of the FOIA pursuant to 5 U.S.C. 552(c), A/GIS/IPS or OIG
must confer with the Department of Justice, Office of Information
Policy to obtain approval to apply the exclusion.
(2) Any time the Department invokes an exclusion, it must maintain
an administrative record of the process of invocation and approval of
the exclusion by OIP.
Sec. 171.14 Business information.
(a) Definitions. The following definitions apply for purposes of
this section:
(1) Business information means commercial or financial information
obtained by the Department from a submitter that may be exempt from
disclosure under Exemption 4 of the FOIA, 5 U.S.C. 552(b)(4).
(2) Submitter means any person or entity from which the Department
obtains business information, directly or indirectly. The term includes
corporations, partnerships, and sole proprietorships; state, local, and
tribal governments; foreign governments, NGOs and educational
institutions. This
[[Page 13110]]
term does not include another Federal Government entity.
(b) Designation of business information. A submitter of business
information must use good-faith efforts to designate by appropriate
markings at the time of submission any portions of its submission that
it considers exempt from disclosure under FOIA Exemption 4. These
designations expire ten years after the date of the submission unless
the submitter requests, and provides justification for, a longer
designation period.
(c) Notice to submitters. (1) The Department must provide a
submitter with prompt written notice whenever records containing its
business information are requested under the FOIA if the agency
determines that it may be required to disclose the records, provided:
(i) The information has been designated in good faith by the
submitter as information considered exempt from disclosure under
Exemption 4; or
(ii) The Department has reason to believe that the requested
information may be exempt from disclosure under Exemption 4, but has
not yet determined whether the information is protected from
disclosure.
(2) The notice must either describe the business information
requested or include a copy of the requested records or record portions
containing the information. In cases involving a voluminous number of
submitters, the Department may post or publish a notice in a place or
manner reasonably likely to inform the submitters of the proposed
disclosure, instead of sending individual notifications.
(d) When notice is not required. The notice requirements of this
section do not apply if:
(1) The Department determines that the information is exempt from
disclosure under the FOIA, and therefore will not be disclosed;
(2) The information has been lawfully published or has been
officially made available to the public;
(3) Disclosure of the information is required by statute (other
than the FOIA) or by a regulation issued in accordance with the
requirements of Executive Order 12600; or
(4) The designation made by the submitter under paragraph (b) of
this section appears obviously frivolous. In such a case, the
Department must give the submitter written notice of any final decision
to disclose the information a reasonable number of days prior to a
specified disclosure date.
(e) Opportunity to object to disclosure. The Department must allow
a submitter a reasonable time to respond to the notice described in
paragraph (c) of this section and must specify that time period in the
notice. If a submitter has any objections to disclosure, it should
provide the Department a detailed written statement that specifies all
grounds for withholding the particular information under any exemption
of the FOIA. In order to rely on Exemption 4 as basis for
nondisclosure, the submitter must explain why the information
constitutes a trade secret or commercial or financial information that
is privileged or confidential. In the event that a submitter fails to
respond to the notice within the time specified in it, the submitter
will be considered to have no objection to disclosure of the
information. The Department is not required to consider any information
received after any disclosure decision. Information provided by a
submitter under this subpart may itself be subject to disclosure under
the FOIA.
(f) Notice of intent to disclose. The Department will consider a
submitter's objections and specific grounds for nondisclosure in
deciding whether to disclose business information. Whenever the
Department decides to disclose information over the objection of a
submitter, it must give the submitter written notice, which must
include:
(1) A statement of the reason(s) why each of the submitter's
disclosure objections was not sustained;
(2) A description of the information to be disclosed or copies of
the records as the Department intends to release them; and
(3) A specified disclosure date, which must be a reasonable time
after the notice.
(g) Notice of FOIA lawsuit. Whenever a requester files a lawsuit
seeking to compel the disclosure of business information, the
Department must promptly notify the submitter.
(h) Notice to requester. The Department must notify the requester
whenever it provides a submitter with notice and an opportunity to
object to disclosure; whenever it notifies a submitter of its intent to
disclose requested information; and whenever a submitter files a
lawsuit seeking to prevent the disclosure of the requested information.
Sec. 171.15 Administrative appeals.
(a) Requirements for making an appeal. (1) Requesters may appeal
any adverse determinations made on their FOIA request by the
Department. Examples of adverse determinations are provided in Sec.
171.13(d). The requester must make the appeal in writing and to be
considered timely it must be postmarked, or in the case of electronic
submissions, transmitted, within 90 calendar days after the date of the
adverse determination. The appeal must clearly identify the component's
determination that is being appealed and the assigned request number.
To facilitate handling, the requester should mark both the appeal
letter and envelope, or subject line of the electronic transmission,
``Freedom of Information Act Appeal.''
(2) To appeal any adverse determinations made by A/GIS/IPS or a
component other than OIG, requesters must submit an administrative
appeal to the A/GIS/IPS FOIA Appeals Office using any of the following
methods: By mail to the Appeals Officer, Office of Information Programs
and Services (A/GIS/IPS), Room B-266, U.S. Department of State, 2201 C
Street NW, Washington, DC 20520; by fax to (202) 261-8579; or by email
to [email protected].
(3) To appeal any adverse determinations made by OIG, requesters
must submit an administrative appeal to OIG via email to
[email protected], by fax to 703-284-1866, or by mail addressed to the
FOIA Officer, Officer of General Counsel, Office of Inspector General,
U.S. Department of State, 1700 N Moore Street, Suite 800, Arlington, VA
22209. Contact information for OIG is available on OIG's FOIA website
at www.stateoig.gov/foiaappeals. For those cases in which both A/GIS/
IPS and OIG provided written denials to the requester, the requester
may administratively appeal to both A/GIS/IPS and OIG and each office
will handle its respective portion of the appeal.
(4) To appeal any adverse determinations made by the FSGB,
requesters must submit an administrative appeal to A/GIS/IPS using the
methods listed above in paragraph (2). A/GIS/IPS will assign a tracking
number to the appeal and forward it to the FSGB, which is an
independent body, for adjudication.
(b) Adjudication of appeals. (1) The A/GIS/IPS Director or designee
will act on behalf of the Assistant Secretary for Administration on all
appeals of A/GIS/IPS FOIA determinations under this section. Likewise,
the General Counsel of OIG or his/her designee will act on behalf of
the Inspector General on all appeals of OIG FOIA determinations under
this section.
(2) An appeal ordinarily will not be adjudicated if the request
becomes a matter of FOIA litigation.
[[Page 13111]]
(c) Decisions on appeals. The Department must provide its decision
on an appeal in writing. A decision that upholds the Department's
determination in whole or in part must include a brief statement of the
reason for the affirmance, including any FOIA exemptions applied. The
decision must inform the requester that the decision represents the
final decision of the Department; must advise the requester of the
statutory right to file a lawsuit; and must inform the requester of the
dispute resolution services offered by the Office of Government
Information Services of the National Archives and Records
Administration (OGIS) as a non-exclusive alternative to litigation. If
a decision is remanded or modified on appeal, the requester will be
notified in writing. The appropriate component will then further
process the request in accordance with that appeal determination and
respond directly to the requester.
(d) Engaging in dispute resolution services provided by OGIS.
Dispute resolution is a voluntary process. If a component agrees to
participate in the dispute resolution services provided by OGIS, it
will actively engage as a partner to the process in an attempt to
resolve the dispute.
(e) When appeal is required. Before seeking review by a court of
the Department's adverse determination, a requester must first submit a
timely administrative appeal.
Sec. 171.16 Fees to be charged.
(a) In general. (1) The Department will charge fees for processing
requests under the FOIA in accordance with the provisions of this
section and with the OMB Guidelines. For purposes of assessing fees,
the FOIA establishes three categories of requesters:
(i) Commercial use requesters,
(ii) Non-commercial scientific or educational institutions or news
media requesters, and
(iii) All other requesters. Different fees are assessed depending
on the category.
(2) Requesters may seek a fee waiver. The Department considers fee
waivers in accordance with the requirements set forth below. To resolve
any issues that arise under this section, the Department may contact a
requester for additional information. The Department must use the most
efficient and least costly methods to comply with requests for records
made under the FOIA. The Department shall attempt to notify the
requester if fees are estimated to exceed $25.00, unless the requester
has expressed a willingness to pay fees as high as those anticipated.
Such notification shall include a breakdown of the fees for search,
review, and duplication. The Department ordinarily will collect all
applicable fees before sending copies of records to a requester.
Requesters must pay fees by check or money order made payable to the
Treasury of the United States, or by another method as determined by
the Department.
(b) Definitions. For purposes of this section:
(1) Commercial use request is a request that asks for information
for a use or purpose that furthers a commercial, trade, or profit
interest, which can include furthering those interests through
litigation. The Department's decision to place a requester in the
commercial use category will be made on a case-by-case basis based on
the requester's intended use of the information. The Department will
notify requesters of their placement in this category.
(2) Direct costs are those expenses the Department incurs in
searching for, duplicating, and, in the case of commercial use
requests, reviewing records in response to a FOIA request. For example,
direct costs include the salary of the employee performing the work
(i.e., the basic rate of pay for the employee, plus 16 percent of that
rate to cover benefits) and the cost of operating computers and other
electronic equipment, such as photocopiers and scanners. The term does
not include overhead expenses such as the costs of space, and of
heating or lighting of a facility.
(3) Duplication is reproducing a copy of a record, or of the
information contained in it, necessary to respond to a FOIA request.
Copies can take the form of paper, audiovisual materials, or electronic
records, among others.
(4) Educational institution is any school that operates a program
of scholarly research. A requester in this category must show that the
request is made in connection with the requester's role at the
educational institution. The Department may seek verification from the
requester that the request is in furtherance of scholarly research. The
Department will advise requesters of their placement in this category.
(5) Non-commercial scientific institution is an institution that is
not operated on a ``commercial'' basis, as defined in paragraph (b)(1)
of this section and that is operated solely for the purpose of
conducting scientific research the results of which are not intended to
promote any particular product or industry. A requester in this
category must show that the request is authorized by and is made under
the auspices of a qualifying institution and that the records are
sought to further scientific research and are not for a commercial use.
The Department will advise requesters of their placement in this
category.
(6) Representative of the news media is any person or entity that
gathers information of potential interest to a segment of the public,
uses its editorial skills to turn the raw materials into a distinct
work, and distributes that work to an audience. The term ``news'' means
information that is about current events or that would be of current
interest to the public. Examples of news media entities include
television or radio stations that broadcast news to the public at large
and publishers of periodicals that disseminate news and make their
products available through a variety of means to the general public,
including news organizations that disseminate solely on the internet. A
request for records supporting the news-dissemination function of the
requester shall not be considered to be for a commercial use. Freelance
journalists who demonstrate a solid basis for expecting publication
through a news media entity shall be considered as a representative of
the news media. A publishing contract would provide the clearest
evidence that publication is expected; however, the Department shall
also consider a requester's past publication record in making this
determination. The Department will advise requesters of their placement
in this category.
(7) Review is the examination of a record located in response to a
request in order to determine whether any portion of it is exempt from
disclosure. Review time includes processing any record for disclosure,
such as doing all that is necessary to prepare the record for
disclosure, including the process of redacting the record and marking
the appropriate exemptions. Review costs are properly charged even if a
record ultimately is not disclosed. Review time also includes time
spent both obtaining and considering any formal objection to disclosure
made by a business information submitter under Sec. 171.14 but it does
not include time spent resolving general legal or policy issues
regarding the application of exemptions.
(8) Search is the process of looking for, identifying, and
retrieving records or information responsive to a request. Search time
includes page-by-page or line-by-line identification of information
within records and the reasonable efforts expended to locate and
retrieve information from electronic records.
(c) Charging fees. In responding to FOIA requests, the Department
will
[[Page 13112]]
charge the following fees unless a waiver or reduction of fees has been
granted under paragraph (j) of this section. Because the fee amounts
provided below already account for the direct costs associated with a
given fee type, the Department should not add any additional costs to
charges calculated under this section.
(1) Search. (i) Requests made by educational institutions, non-
commercial scientific institutions, or representatives of the news
media are not subject to search fees. Search fees shall be charged for
all other requesters, subject to restrictions of paragraph (j) of this
section. The Department may properly charge for time spent searching
even if responsive records are not located, or if records are
determined to be entirely exempt from disclosure.
(ii) For each hour spent by personnel searching for requested
records, the fees shall be as stated at the following website:
foia.state.gov/Request/Guide.aspx (section VII, ``Fees'') and
www.stateoig.gov/foiafees for OIG requested records.
(iii) For requests that require the retrieval of records stored by
the Department at a Federal records center operated by the National
Archives and Records Administration (NARA), the Department will charge
additional costs in accordance with the Transactional Billing Rate
Schedule established by NARA.
(2) Review. The Department will charge review fees to requesters
who make commercial use requests. Review fees will be assessed in
connection with the initial review of the record, i.e., the review
conducted to determine whether an exemption applies to a particular
record or portion of a record. No charge will be made for review at the
administrative appeal stage of exemptions applied at the initial review
stage. However, if a particular exemption is deemed to no longer apply,
any costs associated with the Department's re-review of the records in
order to consider the use of other exemptions may be assessed as review
fees. Review fees shall be charged at the same rates as those charged
for a search under paragraph (c)(1)(ii) of this section.
(3) Duplication. The Department will charge duplication fees to all
requesters, subject to the restrictions of paragraph (d) of this
section. The Department must honor a requester's preference for
receiving a record in a particular form or format where it is readily
reproducible by the Department in the form or format requested. The
Department charges the direct costs of producing the copy, including
operator time. Where paper documents must be scanned in order to comply
with a requester's preference to receive the records in an electronic
format, the requester must also pay the direct costs associated with
scanning those materials. Duplication fees are as stated at the
following website: foia.state.gov/Request/Guide.aspx (section VII,
``Fees'').
(d) Restrictions on charging fees. (1) The Department will not
charge search fees for requests by educational institutions, non-
commercial scientific institutions, or representatives of the news
media, unless the records are sought for a commercial use.
(2) If the Department fails to comply with the FOIA's time limits
in which to respond to a request, it may not charge search fees, or, in
the instances of requests from requesters described in paragraph (d)(1)
of this section, may not charge duplication fees, except as described
in paragraphs (d)(2)(i) through (iii) of this section.
(i) If the Department has determined that unusual circumstances as
defined by the FOIA apply and the agency provided timely written notice
to the requester in accordance with the FOIA, a failure to comply with
the time limit is excused for an additional 10 days.
(ii) If the Department has determined that unusual circumstances as
defined by the FOIA apply, and more than 5,000 pages are necessary to
respond to the request, the Department may charge search fees, or, in
the case of requesters described in paragraph (d)(1) of this section,
may charge duplication fees, if the following steps are taken. The
Department must have provided timely written notice of unusual
circumstances to the requester in accordance with the FOIA, and the
Department must have discussed with the requester via written mail,
email, or telephone (or made not less than three good-faith attempts to
do so) how the requester could effectively limit the scope of the
request in accordance with 5 U.S.C. 552(a)(6)(B)(ii). If this exception
is satisfied, the Department may charge all applicable fees incurred in
the processing of the request.
(iii) If a court has determined that exceptional circumstances
exist as defined by the FOIA, a failure to comply with the time limits
shall be excused for the length of time provided by the court order.
(3) Except for requesters seeking records for a commercial use, the
Department must provide without charge:
(i) The first 100 pages of duplication (or the cost equivalent for
other media); and
(ii) The first two hours of search.
(4) When, after deducting the 100 free pages (or its cost
equivalent) and the first two hours of search, the total fee calculated
under paragraph (c) of this section is $25.00 or less, no fee will be
charged.
(5) Apart from the stated provisions regarding waiver or reduction
of fees, see paragraph (j) of this section, the Department may in its
sole discretion decide to not assess fees or to reduce them if it is in
the best interests of the government not to do so.
(e) Notice of anticipated fees in excess of $25.00. (1) When the
Department determines or estimates that the fees to be assessed in
accordance with this section will exceed $25.00, the Department must
notify the requester of the actual or estimated amount of the fees,
including a breakdown of the fees for search, review, or duplication,
unless the requester has indicated a willingness to pay fees as high as
those anticipated. If only a portion of the fee can be estimated
readily, the Department will advise the requester accordingly. If the
request is not for commercial use, the notice will specify that the
requester is entitled to the statutory entitlements of 100 pages of
duplication at no charge and, if the requester is charged search fees,
two hours of search time at no charge, and will advise the requester
whether those entitlements have been provided.
(2) In cases in which the Department has notified the requester
that the actual or estimated fees are in excess of $25.00, the request
will not be considered received and further work will not be completed
until the requester commits in writing to pay the actual or estimated
total fee, or designates some amount of fees the requester is willing
to pay; or in the case of a noncommercial use requester who has not yet
been provided with the requester's statutory entitlements, designates
that the requester seeks only that which can be provided by the
statutory entitlements. The requester must provide the commitment or
designation in writing, and must, when applicable, designate an exact
dollar amount the requester is willing to pay. The Department is not
required to accept payments in installments.
(3) If the requester has indicated a willingness to pay some
designated amount of fees, but the Department estimates that the total
fee will exceed that amount, the Department will toll the processing of
the request when it notifies the requester of the estimated fees in
excess of the amount the requester has indicated a willingness to pay.
The Department will inquire whether the requester wishes to revise
[[Page 13113]]
the amount of fees the requester is willing to pay or modify the
request. Once the requester responds, the time to respond will resume
from where it was at the date of the notification.
(4) The Department must make available its FOIA Public Liaison or
other FOIA professional to assist any requester in reformulating a
request to meet the requester's needs at a lower cost.
(f) Charges for other services. Although not required to provide
special services, if a component chooses to do so as a matter of
administrative discretion, the direct costs of providing the service
shall be charged. Examples of such services include certifying that
records are true copies, providing multiple copies of the same
document, or sending records by means other than first class mail.
(g) Charging interest. The Department may charge interest on any
unpaid bill starting on the 31st day following the date the bill was
sent to the requester. Interest charges will be assessed at the rate
provided in 31 U.S.C. 3717 and shall accrue from the date of the
billing until payment is received by the Department. The fact that a
fee has been received by the Department within the thirty-day grace
period, even if not processed, shall stay the accrual of interest. The
Department must follow the provisions of the Debt Collection Act of
1982 (Pub. L. 97-365, 96 Stat. 1749), as amended, and its
administrative procedures, including the use of consumer reporting
agencies, collection agencies, and offset.
(h) Aggregating requests. When the Department reasonably believes
that a requester or a group of requesters acting in concert is
attempting to divide a single request into a series of requests for the
purpose of avoiding fees, the Department may aggregate those requests
and charge accordingly. The Department may presume that multiple
requests of this type made within a 30-day period have been made in
order to avoid fees. For requests separated by a longer period,
components will aggregate them only where there is a reasonable basis
for determining that aggregation is warranted in view of all the
circumstances involved. Multiple requests involving unrelated matters
cannot be aggregated.
(i) Advance payments. (1) For requests other than those described
in paragraphs (i)(2) or (i)(3) of this section, the Department cannot
require a requester to make an advance payment before work is commenced
or continued on a request. Payment owed for work already completed
(i.e., payment before copies are sent to the requester) is not advance
payment.
(2) When the Department estimates or determines that a total fee to
be charged under this section will exceed $250, it may require that the
requester make an advance payment up to the amount of the entire
anticipated fee before beginning to process the request. The Department
may elect to process the request prior to collecting fees when it
receives a satisfactory assurance of full payment from a requester with
a history of prompt payment.
(3) Where a requester has previously failed to pay a properly
charged FOIA fee to any component within 30 calendar days of the date
of its billing, the Department may require the requester to pay the
full amount due, plus any applicable interest on that prior request,
and to make an advance payment of the full amount of any anticipated
fee before the Department begins to process a new request or continues
to process a pending request or any appeal from that requester. Where
the Department has a reasonable basis to believe that a requester has
misrepresented the requester's identity in order to avoid paying
outstanding fees, it may require that the requester provide proof of
identity. Additionally, if a requester has failed to pay a fee properly
charged by another U.S. Government agency in a FOIA case, the
Department may require proof that such fee has been paid before
processing a new or pending request from that requester.
(4) In cases in which the Department requires advance payment, the
request will not be considered received and further work will not be
completed until the required payment is received. If the requester does
not pay the advance payment within 30 calendar days after the date of
the Department's fee determination, the request will be closed.
(j) Requirements for waiver or reduction of fees. (1) Requesters
may seek a waiver of fees by submitting a written application
demonstrating how disclosure of the requested information is in the
public interest because it is likely to contribute significantly to
public understanding of the operations or activities of the government
and is not primarily in the commercial interest of the requester.
(2) The Department must furnish records responsive to a request
without charge or at a reduced rate when it determines, based on all
available information, that the factors described in paragraphs
(j)(2)(i) through (iii) of this section are satisfied:
(i) Disclosure of the requested information would shed light on the
operations or activities of the government. The subject of the request
must concern identifiable operations or activities of the Federal
Government with a connection that is direct and clear, not remote or
attenuated.
(ii) Disclosure of the requested information is likely to
contribute significantly to public understanding of those operations or
activities. This factor is satisfied when the following criteria are
met:
(A) Disclosure of the requested records must be meaningfully
informative about government operations or activities. The disclosure
of information that already is in the public domain, in either the same
or a substantially identical form, would not be meaningfully
informative if nothing new would be added to the public's
understanding.
(B) The disclosure must contribute to the understanding of a
reasonably broad audience of persons interested in the subject, as
opposed to the individual understanding of the requester. A requester's
expertise in the subject area as well as the requester's ability and
intention to effectively convey information to the public shall be
considered. The Department will presume that a representative of the
news media satisfies this consideration.
(iii) The disclosure must not be primarily in the commercial
interest of the requester. To determine whether disclosure of the
information is primarily in the commercial interest of the requester,
the Department will consider the following factors:
(A) The Department must identify whether the requester has any
commercial interest that would be furthered by the requested
disclosure. A commercial interest includes any commercial, trade, or
profit interest. Requesters must be given an opportunity to provide
explanatory information regarding this consideration.
(B) If there is an identified commercial interest, the Department
must determine whether that is the primary interest furthered by the
request. A waiver or reduction of fees is justified when the
requirement of paragraphs (j)(2)(i) and (ii) of this section are
satisfied and any commercial interest is not the primary interest
furthered by the request. The Department ordinarily will presume that
when a news media requester has satisfied the requirements of
paragraphs (j)(2)(i) and (ii) of this section, the request is not
primarily in the commercial interest of the requester.
[[Page 13114]]
Disclosure to data brokers or others who merely compile and market
government information for direct economic return will not be presumed
to primarily serve the public interest.
(3) Where only some of the records to be released satisfy the
requirements for a waiver or reduction of fees, a waiver or reduction
must be granted for those records.
(4) Requests for a waiver or reduction of fees should be made when
the request is first submitted to the Department and should address the
criteria referenced above. A requester may submit a fee waiver request
at a later time so long as the underlying record request is pending or
on administrative appeal. When a requester who has committed to pay
fees subsequently asks for a waiver of those fees and that waiver is
denied, the requester must pay any costs incurred up to the date the
fee waiver request was received.
Sec. 171.17 Preservation of records
The Department must preserve all correspondence pertaining to the
requests that it receives under this subpart, as well as copies of all
requested records, until disposition or destruction is authorized
pursuant to title 44 of the United States Code and applicable records
disposition schedules, including the General Records Schedule 4.2 of
the National Archives and Records Administration. The Department must
not dispose of or destroy records while they are the subject of a
pending request, appeal, or lawsuit under the FOIA.
Subpart C--Privacy Act Provisions
Sec. 171.20 Purpose and scope.
This subpart contains the rules that the Department follows when
implementing certain provisions of the Privacy Act of 1974 (PA), as
amended, 5 U.S.C. 552a. These rules should be read together with the
statute. The rules in this subpart apply to all records in systems of
records maintained by the Department that are retrieved by an
individual's name or personal identifier. They describe the procedures
by which individuals may request access to records about themselves,
request amendment or correction of those records, and request an
accounting of disclosures of those records by the Department. If any
records retrieved pursuant to an access request under the PA are found
to be exempt from access under that Act, they will be processed for
possible disclosure under the Freedom of Information Act (FOIA), 5
U.S.C. 552, as amended. No fees shall be charged when an individual
requests access to or amendment of his or her own PA records.
Sec. 171.21 Definitions.
As used in this subpart, the following definitions shall apply:
(a) Individual means a citizen or a legal permanent resident alien
(LPR) of the United States.
(b) Maintain includes maintain, collect, use, or disseminate.
(c) Record means any item, collection, or grouping of information
about an individual that is maintained by the Department and that
contains the individual's name or the identifying number, symbol, or
other identifying particular assigned to the individual, such as a
fingerprint, voice print, or photograph.
(d) System of records means a group of any records under the
control of the Department from which information is retrieved by the
name of an individual or by some identifying number, symbol, or other
identifying particular assigned to an individual.
Sec. 171.22 Request for access to records.
(a) In general. Requests for access to records under the PA must be
made in writing and sent to the Office of Information Programs and
Services, the Office of Passport Services within the Bureau of Consular
Affairs, or the Office of Inspector General at the addresses given in
Sec. 171.4. The Director of the Office of Information Programs and
Services (A/GIS/IPS) is responsible for acting on all PA requests for
Department records except for requests received directly by the Office
of Inspector General, which processes its own requests for information,
and the Office of Passport Services within the Bureau of Consular
Affairs, which receives directly and processes its own PA requests for
information as described in PA System of Record Notice STATE-26. All
processing of PA requests coming under the jurisdiction of the
Directorates for Visa Services and Overseas Citizens Services in the
Bureau of Consular Affairs, the Bureau of Diplomatic Security, the
Bureau of Human Resources, the Office of Medical Services, and the
Foreign Service Grievance Board (FSGB) are handled by those bureaus or
offices.
(b) Description of records sought. Requests for access should
describe the requested record(s) in sufficient detail to permit
identification of the record(s). At a minimum, requests should include
the individual's full name (including maiden name, if appropriate) and
any other names used, current complete mailing address, and date and
place of birth (city, state and country). Helpful information includes
the approximate time period of the record and the circumstances that
give the individual reason to believe that the Department maintains a
record under the individual's name or personal identifier, and, if
known, the system of records in which the record is maintained. In
certain instances, it may be necessary for the Department to request
additional information from the requester, either to ensure a full
search, or to ensure that a record retrieved does in fact pertain to
the individual.
(c) Verification of personal identity. The Department will require
reasonable identification of individuals requesting records about
themselves under the PA's access provisions to ensure that records are
only accessed by the proper persons. Requesters must state their full
name, current address, citizenship or legal permanent resident alien
status, and date and place of birth (city, state, and country). The
request must be signed, and the requester's signature must be either
notarized or made under penalty of perjury pursuant to 28 U.S.C. 1746.
If the requester seeks records under another name the requester has
used, a statement, under penalty of perjury, that the requester has
also used the other name must be included. Requesters seeking access to
copies of the Passport Services' passport records must meet the
requirements in paragraph (d) of this section.
(d) Special requirements for passport records. Given the sensitive
nature of passport records and their use, requesters seeking access to
copies of passport records from Passport Services under the PA must
submit a letter that is either notarized or made under penalty of
perjury pursuant to 28 U.S.C. 1746, which includes the full name at
birth and any subsequent name changes of the individual whose records
are being requested (if submitting the request on behalf of a minor,
provide the representative's full name as well); the date and place of
birth of the individual whose records are being requested; the
requester's current mailing address; and, if available, daytime
telephone number and email address; the date or estimated date the
passport(s) was issued; the passport number of the person whose records
are being sought, if known; and any other information that will help to
locate the records. The requester must also include a clear copy of
both sides of the requester's valid government-issued photo
identification, e.g., a driver's license.
(e) Authorized third party access. The Department shall process all
properly authorized third party requests, as
[[Page 13115]]
described in this section, under the PA. In the absence of proper
authorization from the individual to whom the records pertain, the
Department will process third party requests under the FOIA. The
Department's form, DS-4240, may be used to certify identity and provide
third party authorization. Forms created by other Federal agencies will
not be accepted.
(1) Parents and guardians of minor children. Upon presentation of
acceptable documentation of the parental or guardian relationship, a
parent or guardian of a U.S. citizen or LPR minor (an unmarried person
under the age of 18) may, on behalf of the minor, request records under
the PA pertaining to the minor. In any case, U.S. citizen or LPR minors
may request such records on their own behalf.
(i) Verification of parentage or guardianship of minor children.
When making a request as the parent or guardian of a minor child, for
access to records about that individual, a requester must establish:
(A) The identity of the individual who is the subject of the
records, by stating the name, current address, date and place of birth;
(B) The requester's own identity, as required in paragraph (c) of
this section;
(C) That the requester is the parent of that individual, which the
requester may prove by providing a copy of the individual's birth
certificate showing parentage, or by providing a court order
establishing guardianship; and
(D) That the requester is acting on behalf of that individual in
making the request.
(2) Guardians of incompetent adults. A guardian of an individual
who has been declared by a court to be incompetent may act for and on
behalf of the incompetent individual upon presentation of appropriate
documentation of the guardian relationship.
(i) Verification of guardianship of incompetent adult. When making
a request as the guardian of someone determined by a court to be
incompetent, for access to records about that individual, a requester
must establish:
(A) The identity of the individual who is the subject of the
records, by stating the name, current address, date and place of birth;
(B) The requester's own identity, as required in paragraph (c) of
this section;
(C) That the requester is the guardian of that individual, which
the requester may prove by providing a copy of a court order
establishing guardianship; and
(D) That the requester is acting on behalf of that individual in
making the request.
(2) Authorized representatives or designees. When an individual
wishes to authorize the Department to permit a third party access to
his or her records, the individual to whom the records pertain must
submit, in addition to the identity verification information described
in paragraph (c) (or paragraph (d) of this section if the request is
for passport records), a signed statement from the individual to whom
the records pertain, either notarized or made under penalty of perjury
pursuant to 28 U.S.C. 1746, giving the Department authorization to
release records about the individual to the third party. The designated
third party must submit identity verification information described in
paragraph (c) of this section. Third party requesters seeking access to
copies of the Passport Office's records must submit a clear copy of
both sides of a valid government-issued photo identification (e.g., a
driver's license) in addition to the other information described above.
(f) Referrals and consultations. If the Department determines that
records retrieved as responsive to the request were created by another
agency, it ordinarily will refer the records to the originating agency
for direct response to the requester. If the Department determines that
Department records retrieved as responsive to the request are of
interest to another agency, it may consult with the other agency before
responding to the request. The Department may make agreements with
other agencies to eliminate the need for consultations or referrals for
particular types of records.
(g) Records relating to civil actions. Nothing in this subpart
entitles an individual to access to any information compiled in
reasonable anticipation of a civil action or proceeding.
(h) Time limits. The Department will acknowledge the request
promptly and furnish the requested information as soon as possible
thereafter.
Sec. 171.23 Request to amend or correct records.
(a) An individual has the right to request that the Department
amend a record pertaining to the individual that the individual
believes is not accurate, relevant, timely, or complete.
(b) Requests to amend records must be in writing and mailed or
delivered to A/GIS/IPS or OIG at the address given in Sec. 171.4, with
ATTENTION: PRIVACY ACT AMENDMENT REQUEST written on the envelope. A/
GIS/IPS or OIG will coordinate the review of the request with the
appropriate offices under its purview. The Department will require
verification of personal identity as provided in Sec. 171.22(c) before
it will initiate action to amend a record. Amendment requests should
contain, at a minimum, identifying information needed to locate the
record in question, a description of the specific correction requested,
and an explanation of why the existing record is not accurate,
relevant, timely, or complete. The request must be signed, and the
requester's signature must be either notarized or made under penalty of
perjury pursuant to 28 U.S.C. 1746. The requester should submit as much
pertinent documentation, other information, and explanation as possible
to support the request for amendment.
(c) All requests for amendments to records shall be acknowledged
within 10 working days.
(d) In reviewing a record in response to a request to amend, the
Department shall review the record to determine if it is accurate,
relevant, timely, and complete.
(e) If the Department agrees with an individual's request to amend
a record, it shall:
(1) Advise the individual in writing of its decision;
(2) Amend the record accordingly; and
(3) If an accounting of disclosure has been made, advise all
previous recipients of the record of the amendment and its substance.
(f) If the Department denies an individual's request to amend a
record, it shall advise the individual in writing of its decision and
the reason for the refusal, and the procedures for the individual to
request further review. See Sec. 171.25.
Sec. 171.24 Request for an accounting of record disclosures.
(a) How made. Except where accountings of disclosures are not
required to be kept, as set forth in paragraph (b) of this section, or
where accountings of disclosures do not need to be provided to a
requesting individual pursuant to 5 U.S.C. 552a(c)(3), an individual
has a right to request an accounting of any disclosure that the
Department has made to another person, organization, or agency of any
record about such individual, provided that the disclosed records are
maintained in a system of records. This accounting shall contain the
date, nature, and purpose of each disclosure as well as the name and
address of the recipient of the disclosure. Any request for accounting
should identify each
[[Page 13116]]
particular record in question and may be made by writing directly to A/
GIS/IPS at the address given in Sec. 171.4.
(b) Where accountings not required. The Department is not required
to keep an accounting of disclosures in the case of:
(1) Disclosures made to employees within the Department who have a
need for the record in the performance of their duties; and
(2) Disclosures required under the FOIA.
Sec. 171.25 Appeals from denials of PA amendment requests.
(a) If the Department denies a request for amendment of such
records, the requester shall be informed of the reason for the denial
and of the right to appeal the denial within 90 working days of the
date of the Department's denial letter.
(b) For decisions made by A/GIS/IPS, requesters should submit their
appeal to the A/GIS/IPS FOIA Appeals Office. The contact information
for A/GIS/IPS is contained in the FOIA Reference Guide, which is
available at www.state.gov. Appeals can be submitted by mail or email
to [email protected]. To facilitate handling, the requester should
mark both the appeal letter and envelope, or subject line of the
electronic transmission, ``Privacy Act Appeal.''
(c) For decisions made by OIG, requesters should submit their
appeal to the OIG. The contact information for OIG is available at
www.stateoig.gov/foiaappeals. To facilitate handling, the requester
should mark both the appeal letter and envelope, or subject line of the
electronic transmission, ``Privacy Act Appeal.''
(d) Appellants should submit an administrative appeal of any
denial, in whole or in part, of a request for access to FSGB records
under the PA to A/GIS/IPS at the above address. A/GIS/IPS will assign a
tracking number to the appeal and forward it to the FSGB, which is an
independent body, for adjudication.
(e) A/GIS/IPS or OIG will decide appeals from denials of PA
amendment requests within 30 working days from the date when the appeal
is received, unless an extension of that period for good cause shown is
needed.
(f) Decisions will be made in writing, and appellants will receive
notification of the decision. A reversal will result in reprocessing of
the request in accordance with that decision. An affirmance will
include a brief statement of the reason for the affirmance and will
inform the appellant that the decision represents the final decision of
the Department and of the right to seek judicial review of the
decision, when applicable.
(g) If the decision is that a record shall be amended in accordance
with the appellant's request, A/GIS/IPS or OIG shall direct the office
under its purview that is responsible for the record to amend the
record, advise all previous recipients of the record of the amendment
and its substance (if an accounting of previous disclosures has been
made), and so advise the individual in writing.
(h) If the decision is that the amendment request is denied, in
addition to the notification required by paragraph (f) of this section,
A/GIS/IPS or OIG shall advise the appellant:
(1) Of the right to file a concise Statement of Disagreement
stating the reasons for disagreement with the decision of the
Department;
(2) Of the procedures for filing the Statement of Disagreement;
(3) That any Statement of Disagreement that is filed will be made
available to anyone to whom the record is subsequently disclosed,
together with, at the discretion of the Department, a brief statement
by the Department summarizing its reasons for refusing to amend the
record;
(4) That prior recipients of the disputed record will be provided a
copy of any statement of disagreement, to the extent that an accounting
of disclosures was maintained.
(i) If the appellant files a Statement of Disagreement under
paragraph (h) of this section, the Department will clearly annotate the
record so that the fact that the record is disputed is apparent to
anyone who may subsequently access the record. When the disputed record
is subsequently disclosed, the Department will note the dispute and
provide a copy of the Statement of Disagreement. The Department may
also include a brief summary of the reasons for not amending the
record. Copies of the Department's statement shall be treated as part
of the individual's record for granting access; however, it will not be
subject to amendment by an individual under this part.
Sec. 171.26 Exemptions.
Systems of records maintained by the Department are authorized to
be exempt from certain provisions of the PA under both general and
specific exemptions set forth in the Act. In utilizing these
exemptions, the Department is exempting only those portions of systems
that are necessary for the proper functioning of the Department and
that are consistent with the PA. Where compliance would not interfere
with or adversely affect the law enforcement process, and/or where it
may be appropriate to permit individuals to contest the accuracy of the
information collected, the applicable exemption may be waived, either
partially or totally, by the Department or the OIG, in the sole
discretion of the Department or the OIG, as appropriate. Records exempt
under 5 U.S.C. 552a(j) or (k) by the originator of the record remain
exempt if subsequently incorporated into any Department system of
records, provided the reason for the exemption remains valid and
necessary.
(a) General exemptions. If exempt records are the subject of an
access request, the Department will advise the requester of their
existence and of the name and address of the source agency, unless that
information is itself exempt from disclosure.
(1) Individuals may not have access to records maintained by the
Department that are maintained or originated by the Central
Intelligence Agency under 5 U.S.C. 552a(j)(1).
(2) In accordance with 5 U.S.C. 552a(j)(2), individuals may not
have access to records maintained or originated by an agency or
component thereof that performs as its principal function any activity
pertaining to the enforcement of criminal laws, including police
efforts to prevent, control, or reduce crime or to apprehend criminals,
and the activities of prosecutors, courts, correctional, probation,
pardon, or parole authorities, and which consists of:
(i) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition
of criminal charges, sentencing, confinement, release, and parole and
probation status;
(ii) Information compiled for the purpose of a criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or
(iii) Reports identifiable to an individual compiled at any stage
of the process of enforcement of the criminal laws from arrest or
indictment through release from supervision. The reason for invoking
these exemptions is to ensure effective criminal law enforcement
processes. Records maintained by the Department in the following
systems of records are exempt from all of the provisions of the PA
except paragraphs (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6),
(e)(7), (e)(9), (e)(10), and (e)(11), and (i) of this section, to the
extent to which they meet the criteria of section (j)(2) of 5 U.S.C.
552a. The names of the systems correspond to those published
[[Page 13117]]
in the Federal Register by the Department.
Office of Inspector General Investigation Management System. STATE-
53.
Information Access Program Records. STATE-35.
Risk Analysis and Management. STATE-78.
Security Records. STATE-36.
(b) Specific exemptions. Portions of the following systems of
records are exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), and (4), (G),
(H), and (I), and (f). The names of the systems correspond to those
published in the Federal Register by the Department.
(1) Exempt under 5 U.S.C. 552a(k)(1). Records contained within the
following systems of records are exempt under this section to the
extent that they are subject to the provisions of 5 U.S.C. 552(b)(1).
(i) Board of Appellate Review Records. STATE-02.
(ii) Congressional Correspondence. STATE-43.
(iii) Congressional Travel Records. STATE-44.
(iii) Coordinator for the Combating of Terrorism Records. STATE-06.
(iv) External Research Records. STATE-10.
(v) Extradition Records. STATE-11.
(vi) Family Advocacy Case Records. STATE-75.
(vii) Foreign Assistance Inspection Records. STATE-48.
(viii) Human Resources Records. STATE-31.
(ix) Information Access Programs Records. STATE-35.
(x) Intelligence and Research Records. STATE-15.
(xi) International Organizations Records. STATE-17.
(xii) Law of the Sea Records. STATE-19.
(xiii) Legal Case Management Records. STATE-21.
(xiv) Munitions Control Records. STATE-42.
(xv) Overseas Citizens Services Records. STATE-05.
(xvi) Passport Records. STATE-26.
(xvii) Personality Cross Reference Index to the Secretariat
Automated Data Index. STATE-28.
(xviii) Personality Index to the Central Foreign Policy Records.
STATE-29.
(xix) Personnel Payroll Records. STATE-30.
(xx) Office of Inspector General Investigation Management System.
STATE-53.
(xxi) Records of the Office of the Assistant Legal Adviser for
International Claims and Investment Disputes. STATE-54.
(xxii) Risk Analysis and Management Records. STATE-78.
Rover Records. STATE-41.
(xxiii) Records of Domestic Accounts Receivable. STATE-23.
(xxiv) Records of the Office of White House Liaison. STATE-34.
(xxv) Refugee Records. STATE-59.
(xxvi) Security Records. STATE-36.
(xxvii) Visa Records. STATE-39.
(2) Exempt under 5 U.S.C. 552a(k)(2). Records contained within the
following systems of records are exempt under this section to the
extent that they consist of investigatory material compiled for law
enforcement purposes, subject to the limitations set forth in 5 U.S.C.
552a(k)(2).
(i) Board of Appellate Review Records. STATE-02.
(ii) Coordinator for the Combating of Terrorism Records. STATE-06.
(iii) Extradition Records. STATE-11.
(iv) Family Advocacy Case Records. STATE-75
(v) Foreign Assistance Inspection Records. STATE-48.
(vi) Garnishment of Wages Records. STATE-61.
(vii) Information Access Program Records. STATE-35.
(viii) Intelligence and Research Records. STATE-15.
(ix) Munitions Control Records. STATE-42.
(x) Overseas Citizens Services Records. STATE-05.
(xi) Passport Records. STATE-26.
(xii) Personality Cross Reference Index to the Secretariat
Automated Data Index. STATE-28.
(xiii) Personality Index to the Central Foreign Policy Records.
STATE-29.
(xiv) Office of Foreign Missions Records, STATE-81.
(xv) Office of Inspector General Investigation Management System.
STATE-53.
(xvi) Risk Analysis and Management Records. STATE-78.
(xvii) Security Records. STATE-36.
(xviii) Visa Records. STATE-39.
(3) Exempt under 5 U.S.C. 552a(k)(3). Records contained within the
following systems of records are exempt under this section to the
extent that they are maintained in connection with providing protective
services pursuant to 18 U.S.C. 3056.
(i) Extradition Records. STATE-11.
(ii) Information Access Programs Records. STATE-35.
(iii) Intelligence and Research Records. STATE-15.
(iv) Overseas Citizens Services Records. STATE-05.
(v) Passport Records. STATE-26.
(vi) Personality Cross-Reference Index to the Secretariat Automated
Data Index. STATE-28.
(vii) Personality Index to the Central Foreign Policy Records.
STATE-29.
Security Records. STATE-36.
(viii) Visa Records. STATE-39.
(4) Exempt under 5 U.S.C. 552a(k)(4). Records contained within the
following systems of records are exempt under this section to the
extent that they are required by statute to be maintained and are used
solely as statistical records.
(i) Foreign Service Institute Records. STATE-14.
(ii) Human Resources Records. STATE-31.
(iii) Information Access Programs Records. STATE-35.
(iv) Overseas Citizens Services Records, STATE-05
(v) Personnel Payroll Records. STATE-30.
(vi) Security Records. STATE-36.
(5) Exempt under 5 U.S.C. 552a(k)(5). Records contained within the
following systems of records are exempt under this section to the
extent that they consist of investigatory material compiled solely for
the purpose of determining suitability, eligibility, or qualifications
for Federal civilian employment, military service, Federal contracts,
or access to classified information, but only to the extent that
disclosure of such material would reveal the identity of a confidential
informant.
(i) Records Maintained by the Office of Civil Rights. STATE-09.
(ii) Foreign Assistance Inspection Records. STATE-48.
(iii) Foreign Service Grievance Board Records. STATE-13.
(iv) Human Resources Records. STATE-31.
(v) Information Access Programs Records. STATE-35.
(vi) Legal Adviser Attorney Employment Application Records. STATE-
20.
(vii) Overseas Citizens Services Records. STATE-25.
(viii) Personality Cross-Reference Index to the Secretariat
Automated Data Index. STATE-28.
(ix) Office of Inspector General Investigation Management System.
STATE-53.
(x) Records of the Office of White House Liaison. STATE-34.
(xi) Risk Analysis and Management Records. STATE-78.
(xii) Rover Records. STATE-41.
(xiii) Security Records. STATE-36.
(xiv) Senior Personnel Appointments Records. STATE-47.
(6) Exempt under 5 U.S.C. 552a(k)(6). Records contained within the
following systems of records are exempt under this section to the
extent that they consist of testing or examination material used solely
to determine
[[Page 13118]]
individual qualifications for appointment or promotion in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process.
(i) Foreign Service Institute Records. STATE-14.
(ii) Human Resources Records. STATE-31.
(iii) Information Access Programs Records. STATE-35.
(iv) Records Maintained by the Office of Civil Rights. STATE-09
(v) Security Records. STATE-36.
(7) Exempt under 5 U.S.C. 552a(k)(7). Records contained within the
following systems of records are exempt under this section to the
extent that they consist of evaluation material used to determine
potential for promotion in the armed services, but only to the extent
that such disclosure would reveal the identity of a confidential
informant.
(i) Overseas Citizens Services Records. STATE-25.
(ii) Human Resources Records. STATE-31.
(iii) Information Access Programs Records. STATE-35.
(iv) Personality Cross-Reference Index to the Secretariat Automated
Data Index. STATE-28.
(v) Personality Index to the Central Foreign Policy Records. STATE-
29.
Subpart D--Access to Financial Disclosure Reports
Sec. 171.30 Purpose and scope.
This subpart sets forth the process by which persons may request
access to public financial disclosure reports filed with the Department
in accordance with sections 101 and 103(l) of the Ethics in Government
Act of 1978, 5 U.S.C. app. 101 and 103(l), as amended. The retention,
public availability, and improper use of these reports are governed by
5 U.S.C. app. 105 and 5 CFR 2634.603. It also sets forth the
restrictions on access to confidential financial disclosure reports
filed under 5 CFR 2634, Subpart I, in accordance with sections 107(a)
of the Ethics in Government Act of 1978, 5 U.S.C. app. 107(a) and 5 CFR
2634.604.
Sec. 171.31 Requests for Public Financial Disclosure Reports--OGE
Form 278
Requests for access to public financial disclosure reports filed
with the Department should be made by submitting the information
required by 5 CFR 2634.603(c) or a completed Office of Government
Ethics request form, OGE Form 201, to [email protected] or the
Office of the Assistant Legal Adviser for Ethics and Financial
Disclosure, U.S. Department of State, 2201 C Street NW, Washington, DC
20520. The OGE Form 201 may be obtained by visiting www.oge.gov or
writing to the address above.
Sec. 171.32 Denial of Public Access to Confidential Financial
Disclosure Reports--OGE Form 450
No member of the public shall have access to confidential financial
disclosure reports filed pursuant to 5 CFR 2634, Subpart I, except
pursuant to the order of a Federal court or as otherwise provided under
the Privacy Act. See 5 U.S.C. 552a.
Carrie Cabelka,
Assistant Secretary, Bureau of Administration, Department of State.
[FR Doc. 2020-03844 Filed 3-5-20; 8:45 am]
BILLING CODE 4710-24-P