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international passenger flights operating
at Terminal B. A carrier must separately
obtain approval from the Port Authority
for Terminal B flights and request
runway slots from the FAA under the
current Level 3 designation Order. After
the effective date for the Level 2
designation, carriers would continue to
work with the Port Authority to
synchronize with the relevant terminals
and gates at EWR to the extent
practicable. Under existing practice, the
FAA regularly works with the Port
Authority and carriers to reconcile
differences between available terminal/
gate and runway times. The FAA
expects this process to continue under
the Level 2 designation based on
impacts to the availability of facilities.
This necessary de-conflicting of carriers’
requested terminal/gate and runway
schedules is likely to be most significant
in the initial transition from Level 3 to
Level 2 in the Winter 2016 and Summer
2017 seasons.
Environmental Considerations
The FAA conducted an
environmental screening for potential
impacts to noise and air emissions
relative to the change of the EWR
designation from Level 3 to Level 2.
Based on the screening, the FAA has
determined that this action may be
categorically excluded from further
environmental analysis according to
FAA Order 1050.1, ‘‘Environmental
Impacts: Policies and Procedures,’’
paragraph 5–6.6.f. Specifically,
paragraph 5–6.6.f states that
‘‘Regulations, standards, and
exemptions (excluding those which if
implemented may cause a significant
impact on the human environment)’’ are
categorically excluded from further
environmental review.
The FAA conducted noise screening
of the proposed action using Area
Equivalent Method and determined that
the action does not have the potential to
cause a significant impact on noise
levels of noise sensitive areas. In
addition, the FAA conducted an
analysis of air emissions using Aviation
Environmental Design Tool and
determined that the action does not
have the potential to cause a significant
impact on air quality or a violation of
Federal, state, tribal, or local air quality
standards under the Clean Air Act, 42
U.S.C. §§ 7401–7671q. Therefore,
implementation of the airport level
change is not expected to result in
significant adverse impacts to the
human environment. The
implementation of this action is not
expected to result in any extraordinary
circumstances in accordance with FAA
Order 1050.1. A copy of the categorical
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exclusion has been placed in the docket
associated with this action.
Future Operational Demand and
Performance Reviews
The FAA will continue to regularly
review and monitor performance at
EWR, as well as carrier compliance with
FAA-approved schedules. The FAA will
continue to review data on actual
operations, including the number of
hourly and daily air traffic operations,
runway capacity and utilization, aircraft
fleet mix, scheduled and unscheduled
demand, on-time performance relative
to schedule, the number and duration of
flight arrival and departure delays,
airfield or other capacity changes, and
air traffic control procedures. The FAA
will publish a notice in April, 2016
announcing the schedule submission
deadline and the declared runway
capacity limits for the Winter 2016
scheduling season.
The FAA expects that delays at EWR
will increase over current levels as
flights are added, but an incremental
increase in delays would not necessarily
mean the FAA would revert to Level 3.
The FAA’s objective while working with
carriers under the Level 2 process is to
appropriately balance and maximize the
use of the available runway capacity at
EWR while maintaining an acceptable
level of delay.
Issued in Washington, DC on April 1, 2016.
Daniel E. Smiley,
Acting Vice President, System Operations
Services.
[FR Doc. 2016–07910 Filed 4–1–16; 4:15 pm]
BILLING CODE 4910–13–P
DEPARTMENT OF STATE
22 CFR Part 171
RIN 1400–AD44
[Public Notice: 9510]
19863
Adviser, Office of Management, U.S.
Department of State, kottmyeram@
state.gov, (202) 647–2318.
SUPPLEMENTARY INFORMATION: On July
28, 2015, the Department published a
notice of proposed rulemaking (NPRM)
to update its FOIA and Privacy Act rules
contained in 22 CFR part 171. See 80 FR
44898, and the discussion therein.
This rulemaking responds to public
comments and finalizes the rule. The
rule is finalized as published in the
NPRM, except for minor format edits;
modifications, as indicated below, in
response to public comments; and the
addition of one clause to § 171.24(a),
which codifies a longstanding provision
of the Privacy Act (5 U.S.C. 552a(c)(3)),
and which was inadvertently omitted
from the NPRM. Since § 171.24(a) is
substantially the same as 5 U.S.C.
552a(c)(3) in the Privacy Act itself, it
need not be published for comment.
Response to Public Comments
The Department would like to thank
the members of the public who invested
time in reviewing the proposed changes
to the FOIA and Privacy Act regulations,
and for providing very useful feedback.
First Public Comment
The first commenter expressed
concern about the proposal for the
Department to charge a fee of 15 cents
per page of duplication. The commenter
pointed out that present day
photocopying and scanning is relatively
cheap, and expressed a belief that the
Department’s lease arrangements reflect
a significantly lesser per page cost than
15 cents; in addition, he stated that
other agencies’ costs vary and might be
lower, and no evidence was provided on
how the Department formulated the fee.
He stated that some other agencies have
lowered duplication costs in their
regulations in the last two years to be in
line with actual direct costs.
Public Access to Information
Department Response
Department of State.
ACTION: Final rule.
The fee charged for photocopying at
the Department is 15 cents per page,
which is charged at a standard rate
throughout the Department for copying
services. This charge is based on the
costs calculated by examining paper
costs, machinery, and services provided
to produce a photocopy. Other agencies
and departments charge FOIA
duplication fees that range from five
cents to twenty cents per page. The
Department’s duplication fee of fifteen
cents per page is in line with what other
agencies and departments charge for
duplication. For this reason, the
Department declines to change the
duplication fee as suggested.
AGENCY:
The Department of State (the
Department) finalizes its revisions to its
regulations implementing the Freedom
of Information Act (FOIA) and the
Privacy Act. The final rule reflects
changes in FOIA and other statutes and
consequent changes in the Department’s
procedures since the last revision of the
Department’s regulations on this
subject.
DATES: This rule is effective on May 6,
2016.
FOR FURTHER INFORMATION CONTACT:
Alice Kottmyer, Office of the Legal
SUMMARY:
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Federal Register / Vol. 81, No. 66 / Wednesday, April 6, 2016 / Rules and Regulations
Second Public Comment
This comment expressed the
following six points:
1. In proposed § 171.11, Processing
requests, the proposed regulations state
that a requester ‘‘shall be considered to
have agreed to pay applicable fees up to
$25, unless a fee waiver is granted.’’ The
commenters believe that the Department
should follow Department of Justice’s
regulations and provide that no fees will
be assessed if the fees are under $25,
which is their approximate cost of
collecting fees. Also, they believe the
Department should at least limit the
presumption to instances in which a fee
waiver has not been requested, per the
Department of Justice’s superseded
regulations.
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Department Response to Point 1
The Department accepts the Justice
Department’s estimate that the cost to
collect fees is approximately $25.00.
The Department agrees to revise
§ 171.14, ‘‘Fees to be charged,’’ to state
the current cost of collecting a fee is
$25.00; therefore, the Department will
process requests without assessing fees
up to $25.00. The Department will also
revise this section to state that the
Department will attempt to notify the
requester if fees are estimated to exceed
$25.00, 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.
2. In proposed § 171.11(f), the
commenters are concerned that the
appeal of expedited processing is
submitted to the Director of IPS, the
same Director who is responsible for
issuing initial determinations on
requests. The regulations should clearly
state if the Director is receiving the
appeals on behalf of the Appeal Review
Panel.
Department Response to Point 2
The Department’s Appeals Review
Panel does not review appeals from
denials of expedited processing. See 22
CFR 171.13(a). For this reason, the
Department will not revise § 171.11(f) as
suggested. The Department will revise
§ 171.11(a) to state that the Division
Chief, Requester Liaison Division, in the
Office of Information Programs and
Services, will issue all initial decisions
on whether a request is valid or
perfected, and whether to grant or deny
requests for a fee waiver and for
expedited processing.
3. The acknowledgement letter in
subsection (i) should include the receipt
date, to assist requesters with
determining an agency’s statutory
response deadline.
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Department Response to Point 3
The Department will revise
§ 171.11(e), ‘‘Receipt of request’’, to
include a subsection that states that
upon receipt IPS will send an
acknowledgement letter to the requester
that will identify the date of receipt of
the request in the proper component, as
identified in § 171.11(a), and the case
tracking number. Subsection (i) sets
forth the information that is available to
a requester by contacting the FOIA
Requester Service Center.
4. The Department’s proposed
consultation procedures in subsection
(m) are limited to agencies only. They
do not account for consultations that
may be required with the Office of the
White House Counsel. The commenters
believe the regulations should address
its FOIA-related consultations with the
Office of White House Counsel.
Department Response to Point 4
Section 171.11(m) ‘‘Referrals and
Consultations’’ states that the
Department will refer documents
created by another agency to that agency
for a release determination. In practice,
the implementation of this section turns
on the identity of the originator of a
document and not on whether the
originator works in an agency or
department or other governmental
entity. The Department will revise
subsection (m) as follows: ‘‘If the
Department determines that Department
records retrieved as responsive to the
request are of interest to another agency
or Federal government office, it may
consult with the other agency or office
before responding to the request.’’
5. Business information. The
Department should specify a minimum
number of days that submitters will
have to provide comments and to file a
‘‘reverse-FOIA’’ lawsuit, respectively.
This is preferred over a ‘‘reasonable
period of time’’. The commenters
recognize that circumstances might
warrant providing one submitter with
more time than another. They believe
five business days would be considered
a ‘‘reasonable period of time,’’ as
Executive Order 12600 requires.
Department Response to Point 5
The Department declines to revise
this subsection as suggested, because
providing some flexibility to submitters
in seeking input in response to a notice
issued under this subsection ensures the
best outcome for the requesters, the
submitters, and the Department.
6. In § 171.16, Waiver or reduction of
fees, the commenters are concerned
with the Department responding to fee
waiver appeals within ‘‘30 working
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days’’ from the date of receipt. Unless
unusual circumstances exist, an agency
must make a determination on a fee
waiver appeal within 20 working days.
Furthermore, they ask for clarification
on who will adjudicate the fee waiver
appeals, as it is presumably not the
‘‘Director of IPS’’ who issues fee
determinations.
Department Response to Point 6
The Department will revise
§ 171.16(e) to state that the Department
must respond to an appeal of a denial
of a fee waiver or fee reduction request
within 20 working days. The
Department’s Appeals Review Panel
does not review appeals from a denial
of a fee waiver. See 22 CFR 171.13(a).
The Department will revise § 171.16 (e)
to state that the Division Chief of the
Requester Liaison Division in IPS will
issue all initial decisions on whether to
grant or deny requests for a fee waiver
and that appeals should be directed to
the Director of IPS.
Third Public Comment
The third public comment was
submitted by the National Archives and
Records Administration’s Office of
Government Information Services
(OGIS). OGIS suggested adding to the
end of § 171.13(d) the following or
similar language: ‘‘If the requester elects
to engage in the mediation services
offered by the Office of Government
Information Services of the National
Archives and Records Administration,
the Department of State must actively
engage as a partner to the mediation
process in an attempt to resolve the
dispute.’’
Department Response
The Department understands the
importance of resolving disputes
between FOIA requesters and Federal
agencies, and will revise this subsection
as follows: ‘‘When the Department of
State engages in the mediation services
offered by OGIS, it will work in good
faith as a partner to the mediation
process in an attempt to resolve the
dispute. The Department reserves its
right to decide on a case-by-case basis
whether to enter into formal mediation
offered by OGIS.’’
Fourth Public Comment
This comment, from Cause of Action,
suggests that the Department revise its
definition of a representative of the
news media, following an opinion of the
District of Columbia Circuit Court in
Cause of Action v. Federal Trade
Commission. While the Department’s
proposed rule states that those
requesting news media status ‘‘make
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their products available to the general
public,’’ Cause of Action requests that
the Department include a nonexhaustive list of the methods an agency
must consider when analyzing this
element of the test, including:
‘‘newsletters, press releases, press
contacts, a Web site, and planned
reports.’’
Furthermore, Cause of Action raised
concern over the ‘‘middleman standard’’
not being included in the Department’s
regulatory definition. Cause of Action
stated that the D.C. Circuit Court
‘‘disagreed with the suggestion that a
public interest advocacy organization
cannot satisfy the statute’s distribution
criterion because it is ‘more like a
middleman for dissemination to the
media than a representative of the
media itself ’. . . There is no indication
that Congress meant to distinguish
between those who reach their ultimate
audiences directly and those who
partner with others to do so.’’ Cause of
Action believes that the final rule
should draw a distinction between those
that market FOIA information for their
direct economic benefit and the Court’s
direction that ‘‘public interest advocacy
organizations’’ can ‘‘partner with
others’’ to disseminate their distinct
works.
Department Response
The regulation states that the
examples provided regarding who may
qualify for news media status are not
all-inclusive; therefore, the Department
does not believe that providing another
non all-inclusive list would help shed
light on the process the Department
employs.
The Department agrees that this
information may be helpful for
requesters to understand how IPS
analyzes a request for representative in
the news media status. For this reason,
the Department will add this
information to its public FOIA Web site.
In the second comment (regarding the
‘‘middleman standard’’), the Office of
Management and Budget (‘‘OMB’’) has
policy-making responsibility for issuing
fee guidance. For this reason, the
Department defers to OMB with regard
to this suggestion.
Regulatory Findings
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Administrative Procedure Act
The Department published 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
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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.
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.
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.
Executive Orders 12866 and 13563—
Improving Regulation and Regulatory
Review
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 foreignbased 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
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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. The Department is aware of
no cost to the public from this
rulemaking.
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, 22 CFR part 171 is revised 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 Web site.
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 Business information.
171.13 Appeal of denial of request for
records.
171.14 Fees to be charged.
171.15 Miscellaneous fee provisions.
171.16 Waiver or reduction of fees.
171.17 Resolving disputes.
171.18 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.
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Subpart D—Process To Request Public
Financial Disclosure Reports
171.30 Purpose and scope.
171.31 Requests.
Authority: 22 U.S.C. 2651a; 5 U.S.C. 552,
552a; E.O. 12600 (52 FR 23781); 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
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§ 171.1
General provisions.
(a) This subpart 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),
5 U.S.C. 552, as amended, and the
Privacy Act of 1974 (PA), 5 U.S.C. 552a,
as amended. Records of the Department
shall be made available to the public
upon request made in compliance with
the access procedures established in this
part, except for any records exempt by
law from disclosure. Regulations at 22
CFR 172.1 through 172.9 govern, inter
alia, the service of subpoenas, court
orders, and other demands or requests
for official Department information or
action, as well as the Department’s
response to demands or requests for
official Department information or
action in connection with legal
proceedings in the United States to
which the Department is not a party.
(b) Definitions. (1) For purposes of
subparts A, B, and D of this part, record
means information regardless of its
physical form or characteristics—
including information created, stored,
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. Information available in
electronic form shall be searched and
compiled in response to a request unless
such search and compilation would
significantly interfere with the operation
of the Department’s automated
information systems.
(2) For purposes of subparts A, B, C,
and D of this part, Department means
the United States Department of State,
including its field offices and Foreign
Service posts abroad.
§ 171.2
Types of records maintained.
Most of the records maintained by the
Department pertain to the formulation
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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 visas to enter the
United States, 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 Web
site at www.foia.state.gov.
§ 171.3 Records available on the
Department’s Web site.
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 Web site: www.state.gov. Records
that are required by the FOIA to be
made available for public inspection
and copying under 5 U.S.C. 552(a)(2)
also are available on the Department’s
public Web site. Included on the
Department’s FOIA home page,
www.foia.state.gov, are links to other
sites where Department information
may be available, links to the
Department’s PA systems of records,
and the Department’s records
disposition schedules. Also available on
the FOIA Web site are certain records
released by the Department pursuant to
requests under the FOIA and
compilations of records reviewed and
released in certain special projects. In
addition, see 22 CFR part 173 regarding
materials disseminated abroad by the
Department.
§ 171.4 Requests for information—types
and how made.
(a) Requests for records made in
accordance with subparts A, B, and C of
this part must be made in writing and
may be made by mail addressed to the
Office of Information Programs and
Services (IPS), U.S. Department of State,
State Annex 2 (SA–2), 515 22nd Street,
NW., Washington, DC 20522–8100, or
by fax to (202) 261–8579, or through the
Department’s FOIA Web site
(www.foia.state.gov). PA requests may
be made by mail or fax only. IPS does
not accept requests submitted by email.
(1) Requests for passport records that
are covered under PA System of Records
Notice 26, including passport records
issued from 1925 to present, should be
mailed to U.S. Department of State, Law
Enforcement Liaison Division, CA/PPT/
S/L/LE, 44132 Mercure Cir, P.O. Box
1227, Sterling, VA 20166. Further
guidance on obtaining passport records
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is available on the Department’s Web
site: travel.state.gov/content/passports/
english/passports/services/obtaincopies-of-passport-records.html.
(2) Requests for records of the Office
of Inspector General (OIG) may be
submitted to U.S. Department of State,
Office of Inspector General, Office of
General Counsel, Washington, DC
20520–0308, ATTN: FOIA officer. In
addition, FOIA requests seeking OIG
records may be submitted via email to
oigfoia@state.gov, which is preferred.
PA requests are accepted by mail only.
Guidance is available on the OIG’s Web
site: oig.state.gov/foia/index.htm.
(3) All other requests for other
Department records must be submitted
to the Office of Information Programs
and Services by one of the means noted
above. The Office of Information
Programs and Services, the Law
Enforcement Liaison Division of the
Office of Passport Services, and the OIG
are the only Department components
authorized to accept FOIA requests
submitted to the Department.
(4) Providing the specific citation to
the statute under which a requester is
requesting information will facilitate the
processing of the request by the
Department. The Department
automatically processes requests for
information maintained in a PA system
of records under both the FOIA and the
PA to provide the requester with the
greatest degree of access to the
requester. Such information may be
withheld only if it is exempt from
access under both laws; if the
information is exempt under only one of
the laws, it must be released.
(b) Although no particular format is
required, a request must reasonably
describe the Department records that are
sought. To the extent that requests are
specific and include all pertinent details
about the requested information, it will
be easier for the Department to locate
responsive records. For FOIA requests,
such details include the subject,
timeframe, names of any individuals
involved, a contract number (if
applicable), and reasons why the
requester believes the Department may
have records on the subject of the
request.
(c) While every effort is made to
guarantee the greatest possible access to
all requesters 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).
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(2) The Privacy Act applies to
requests from U.S. citizens or legal
permanent resident aliens for records
that pertain to 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).
(d) As a general matter, information
access requests are processed in the
order in which they are received.
However, if the request is specific and
the search can be narrowed, it may be
processed more quickly. Additionally,
FOIA requests granted expedited
processing will be placed in the
expedited processing queue (see
§ 171.11(f) for more information). Multitracking of FOIA requests is also used to
manage requests (see § 171.11(h)).
§ 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
(NWCTF), 8601 Adelphi Road, Room
5500, College Park, MD 20740; by fax to
(301) 837–1864; or by email to
specialaccess_foia@nara.gov. The
Department’s Web site,
www.foia.state.gov, has additional
information regarding archival records.
Subpart B—Freedom of Information
Act Provisions
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§ 171.10
Purpose and scope.
This subpart contains the rules that
the Department follows under the
Freedom of Information Act (FOIA), 5
U.S.C. 552, as amended. 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
to 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 records
maintained in a Privacy Act (PA) system
of records that are determined to be
exempt from disclosure under the PA
under the FOIA as well. As a result,
requests that seek such records are also
subject to this subpart.
§ 171.11
Processing requests.
(a) In general. (1) Subject to paragraph
(a)(2) of this section, the Director of the
Office of Information Programs and
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Services (IPS) is responsible for initial
action on all FOIA requests for
Department records with two
exceptions: Requests submitted directly
to the Office of Inspector General (OIG),
which receives and processes requests
for OIG records; and the Office of
Passport Services in the Bureau of
Consular Affairs (PPT), which receives
and processes requests for passport
records (see § 171.4(a)). Once received
by IPS, all requests for records coming
under the jurisdiction of the following
bureaus or offices are processed by
those bureaus, although IPS may
provide review and coordination
support to these bureaus/offices in some
situations: the Bureau of Consular
Affairs’ Office of Visa Services, Office of
Passport Services (except for
information identified in § 171.4(a)),
and Office of Overseas Citizens
Services; the Bureau of Diplomatic
Security; the Bureau of Human
Resources; the Office of Medical
Services; and the Foreign Service
Grievance Board (FSGB). Additionally,
the FSGB, as an independent body,
processes all FOIA requests seeking
access to its records and responds
directly to requesters.
(2) The Division Chief, Requester
Liaison Division, in the Office of
Information Programs and Services,
shall issue all initial decisions on
whether a request is valid or perfected,
and whether to grant or deny requests
for a fee waiver or for expedited
processing.
Definitions. The following definitions
apply for purposes of this section:
(1) 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 recordkeeping systems or files.
(2) Urgently needed information. The
information has a particular value that
will be lost if not disseminated quickly.
Ordinarily this means a breaking news
story of general public interest.
Information of historical interest only or
information sought for litigation or
commercial activities would not
generally qualify, nor would a news
media publication or broadcast deadline
unrelated to the breaking nature of the
story.
(3) Actual or alleged Federal
government activity. The information
concerns actual or alleged actions taken
or contemplated by the government of
the United States, or by one of its
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components or agencies, including the
Congress.
(4) Unusual circumstances means:
(i) The need to search for and collect
the requested records from Foreign
Service posts or Department offices
other than IPS;
(ii) The need to search for, collect,
and appropriately examine a
voluminous amount of distinct records;
or
(iii) The need to consult with another
agency or other agencies that has/have
a substantial interest in the records, or
among two or more Department
components that have a substantial
subject-matter interest therein. In the
majority of requests received by the
Department unusual circumstances exist
due to the need to search in multiple
bureaus/offices/posts located around the
globe.
(c) Form of request and response. A
requester may ask for any information
he or she believes the Department has
in its possession or control. The
requester must describe the records
sought in sufficient detail to enable
Department personnel to locate them
with a reasonable amount of effort. The
more specific the information the
requester furnishes, the more likely that
Department personnel will be able to
locate responsive records if they exist.
Any records provided in response to a
request shall be provided in the form or
format requested if the records are
readily reproducible in that form or
format.
(d) Agreement to pay fees. By making
a FOIA request, the requester shall be
considered to have agreed to pay all
applicable fees up to $25, unless a fee
waiver is granted. IPS will confirm this
agreement in an acknowledgement
letter. When making a request, the
requester may specify a willingness to
pay a greater or lesser amount. If the
Department determines that costs and
fees will exceed the amount agreed to by
the requester, the Department shall
inform the requester of estimated fees
and process up to the amount of the
original agreement, unless a new
agreement is made.
(e) Receipt of request. The Department
is in receipt of a request when it reaches
IPS, OIG, or PPT, depending on which
office is the intended recipient. At that
time, the Department shall send an
acknowledgement letter to the requester
that identifies the date of receipt of the
request in the proper component (IPS,
OIG, or PPT), and the case tracking
number. The Department (IPS, OIG, or
PPT) has 20 working days in which to
determine whether to comply with a
perfected request. Regardless of which
of the three offices authorized to receive
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FOIA requests receives the request
(whether IPS, OIG, or PPT), the
Department shall have no more than 10
working days to direct a request to the
appropriate office (whether IPS, OIG, or
PPT), at which time the 20-day limit for
responding to the request will
commence. The 20-day period shall not
be tolled by the Department except:
(1) The Department may make one
request to the requester for clarifying
information and toll the 20-day period
while waiting for the requester’s
response; or
(2) If necessary to clarify with the
requester issues regarding fees. In either
case, the Department’s receipt of the
information from the requester ends the
tolling period.
(f) Expedited processing. Requests
shall receive expedited processing when
a requester demonstrates that a
‘‘compelling need’’ for the information
exists. A ‘‘compelling need’’ is deemed
to exist where the requester can
demonstrate one of the following:
(1) Failure to obtain requested
information on an expedited basis could
reasonably be expected to pose an
imminent threat to the life or physical
safety of an individual.
(2) The information is urgently
needed by an individual primarily
engaged in disseminating information in
order to inform the public concerning
actual or alleged Federal government
activity. Requesters must demonstrate
that their primary activity involves
publishing or otherwise disseminating
information to the public in general, not
just to a particular segment or group.
(3) Failure to release the information
would impair substantial due process
rights or harm substantial humanitarian
interests.
(4) A request for expedited processing
may be made at the time of the initial
request for records or at any later time.
The request for expedited processing
shall set forth with specificity the facts
on which the request is based. A notice
of the determination whether to grant
expedited processing shall be provided
to the requester within 10 calendar days
of the date of the receipt of the request
in the appropriate office (whether IPS,
OIG, or PPT). A denial of a request for
expedited processing may be appealed
to the Director of IPS within 30 calendar
days of the date of the Department’s
letter denying the request. A decision in
writing on the appeal will be issued
within 10 calendar days of the receipt
of the appeal. See § 171.4 for contact
information.
(g) Time limits. The statutory time
limit for responding to a FOIA request
or to an appeal from a denial of a FOIA
request is 20 working days. Whenever
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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 shall, before expiration of
the 20-day period to respond, notify the
requester in writing of the unusual
circumstances involved and of the date
by which processing of the request can
be expected to be completed. See
§ 171.11(b)(4). Where the extension
exceeds 10 working days, the
Department shall, as described by the
FOIA, provide the requester with an
opportunity to modify the request or
arrange an alternative time period for
processing. The Department shall make
available its designated FOIA contact
and its FOIA Public Liaison for this
purpose.
(h) Multi-track processing. The
Department uses three processing tracks
by distinguishing between simple and
more complex requests based on the
amount of work and/or time needed to
process the request. The Department
also uses a processing track for requests
in which the Department has granted
expedited processing. The Department
may provide requesters in a slower track
an opportunity to limit the scope of
their request in order to qualify for
faster processing.
(i) Tracking requests. Requesters may
contact IPS using the individualized
tracking number provided to the
requester in the acknowledgment letter,
and the Department will provide, at a
minimum, information indicating the
date on which the agency received the
request and an estimated date for
completion.
(j) Cut-off date. 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.
(k) Electronic records. Information
maintained in electronic form shall be
searched and compiled in response to a
request unless such search and
compilation would significantly
interfere with the operation of the
Department’s automated information
systems.
(l) Segregation of records. The
Department will release any reasonably
segregable portion of a record after
redaction of the exempt portions. The
amount of information redacted and the
exemption under which the redaction is
made shall be indicated on the released
portion of the record unless including
that indication would harm an interest
protected by the exemption. If
technically feasible, the amount of
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information redacted and the exemption
under which the redaction is made shall
be indicated at the place in the record
where the redaction was made.
(m) Referrals and consultations. (1) 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 or
Federal government office, it may
consult with the other agency or office
before responding to the request.
(2) Whenever the Department refers
any part of the responsibility for
responding to a request to another
agency, it shall document the referral,
maintain a copy of the record that it
refers, and notify the requester of the
referral.
(3) Agreements regarding
consultations and referrals. The
Department may make agreements with
other agencies to eliminate the need for
consultations or referrals for particular
types of records.
(4) The Department will make efforts
to handle referrals and consultations
according to the date that the referring
agency initially received the FOIA
request.
(5) The standard referral procedure is
not appropriate where disclosure of the
identity of the 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. In such instances, the
Department will coordinate with the
originating agency to seek its views on
the disclosability of the record(s).
(n) Requests for information about
individuals to be processed under the
FOIA—(1) First-party requests. A firstparty request is one that seeks access to
information pertaining to the person
making the request.
(2) Verification of personal identity.
To protect the personal information
found in its files, the Department
recommends that first-party requesters
provide the following information so
that the Department can ensure that
records are disclosed only to the proper
persons: the requester’s full name,
current address, citizenship or legal
permanent resident alien status, and
date and place of birth (city, state, and
country). A first-party request should be
signed, and the requester’s signature
should be either notarized or made
under penalty of perjury pursuant to 28
U.S.C. 1746 as a substitute for
notarization.
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(3) Third-party requests. A third-party
request is one that seeks access to
information pertaining to a third party
(i.e., an individual other than the person
submitting the request). A third-party
requester who is the legal representative
of another person covered under the PA,
and submits all requirements under
subpart C of this part, will be treated as
a first-party requester.
(i) A third-party requester may receive
greater access to requested information
by submitting information about the
subject of the request that is set forth in
paragraph (n)(1) of this section, and
providing proof that that third party is
deceased or the third party’s
authorization to the Department to
release information about him- or
herself to the requester. The third-party
authorization: should take one of the
following forms:
(ii) A signed and notarized
authorization by the third party; or
(iii) A declaration by the third party
made in compliance with the
requirements set forth in 28 U.S.C. 1746
authorizing disclosure pertaining to the
third party to the requester. The thirdparty authorization or declaration
should be dated within six months of
the date of the request. In addition, the
Department’s Certification of Identity
form, DS–4240, can be used to provide
authorization from a third party.
(iv) Please note that if a requester is
seeking information about a third party
and the information is located in a PA
system of records, the requester should
review subpart C of this part. By
providing verification of identity and
authorization under that subpart, the
third party is treated as a first party for
processing purposes. Without providing
the required information listed in that
subpart, the request will still be
processed under the FOIA procedures in
subpart B of this part.
(4) Requests for visa information.
According to the Immigration and
Nationality Act, 222(f) (8 U.S.C.
1202(f)), 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 shall
be considered confidential and shall be
used only for the formulation,
amendment, administration, or
enforcement of the immigration,
nationality, and other laws of the United
States. Other information found in the
visa file, such as information submitted
as part of the application and
information not falling within section
222(f) or another FOIA exemption may
be provided. In order to provide more
information to requesters seeking visa
records, the following information
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should be provided with the FOIA
request for both the petitioner and the
beneficiary: full name, as well as any
aliases used; current address; date and
place of birth (including city, state, and
country); the type of visa (immigrant or
non-immigrant); the country and
Foreign Service post where the visa
application was made; when the visa
application was made; and whether the
visa application was granted or denied;
and if denied, on what grounds.
Providing additional information
regarding the records sought will assist
the Department in properly identifying
the responsive records and in
processing the request. In order to gain
maximum access to any visa records
that exist, attorneys or other legal
representatives requesting visa
information on behalf of a represented
individual should submit a statement
signed by both the petitioner and the
beneficiary authorizing release of the
requested visa information to the
representative. Alternatively, the
Department’s form, DS–4240, may be
used to certify the identity of the
requester and to provide authorization
from the petitioner and the beneficiary
to release the requested information to
the legal representative. Forms created
by other Federal agencies will not be
accepted.
(5) Requests for passport records. All
passport records requests must meet the
requirements found in § 171.22(d). If the
PA requirements are not met, the
requests will be processed under this
subpart and access may be limited.
§ 171.12
Business information.
(a) Definitions. The following
definitions apply for purposes of this
section:
(1) Business information means
commercial or financial or proprietary
intellectual information obtained by the
Department from a submitter that may
be exempt from disclosure as privileged
or confidential under Exemption 4 of
the FOIA.
(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.
(b) Designation of business
information. A submitter of information
must use good-faith efforts to designate,
by appropriate markings, either at the
time of submission or at a reasonable
time thereafter, any portions of its
submission that it considers exempt
from disclosure under FOIA Exemption
4. These designations will expire ten
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years after the date of the submission
unless the submitter requests, and
provides justification for, a longer
designation period.
(c) Notice to submitters. The
Department shall provide a submitter
with prompt written notice of a FOIA
request that seeks its business
information, or of an administrative
appeal of a denial of such a request,
whenever required under paragraph (d)
of this section, except as provided in
paragraph (e) of this section, in order to
give the submitter an opportunity to
object to disclosure of any specified
portion of that information under
paragraph (f) of this section. The notice
shall either describe the information
requested or include copies of the
requested records or record portions
containing the business information.
(d) When notice is required. Notice
shall be given to a submitter whenever:
(1) The information has been
designated in good faith by the
submitter as information considered
exempt from disclosure under
Exemption 4; or
(2) The Department has reason to
believe that the information may be
exempt from disclosure under
Exemption 4, but has not yet
determined whether the information is
protected from disclosure under that
exemption or any other applicable
exemption.
(e) When notice is not required. The
notice requirements of paragraphs (c)
and (d) of this section shall not apply if:
(1) The Department determines that
the information is exempt from
disclosure;
(2) The information lawfully has been
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,
except that, in such a case, the
Department shall, within a reasonable
time prior to a specified disclosure date,
give the submitter written notice of any
final decision to disclose the
information.
(f) Opportunity to object to disclosure.
The Department will allow a submitter
a reasonable time to respond to the
notice described in paragraph (c) of this
section and will specify that time period
in the notice. If a submitter has any
objections to disclosure, it should
provide the component a detailed
written statement that specifies all
grounds for withholding the particular
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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. Information provided by a
submitter under this paragraph may
itself be subject to disclosure under the
FOIA.
(g) Notice of intent to disclose. The
Department shall consider a submitter’s
objections and specific grounds for
nondisclosure in deciding whether to
disclose business information.
Whenever the Department decides to
disclose business information over the
objection of a submitter, it shall give the
submitter written notice, which shall
include:
(1) A statement of the reason(s) why
each of the submitter’s disclosure
objections was not sustained;
(2) A description of the business
information to be disclosed; and
(3) A specified disclosure date, which
shall be a reasonable time subsequent to
the notice.
(h) Notice of lawsuit. Whenever a
requester files a lawsuit seeking to
compel the disclosure of business
information, the Department shall
promptly notify the submitter.
(i) Notice to requester. Whenever the
Department provides a submitter with
notice and an opportunity to object to
disclosure under paragraph (f) of this
section, the Department shall also notify
the requester. Whenever the Department
notifies a submitter of its intent to
disclose requested business information
under paragraph (g) of this section, the
Department shall also notify the
requester. Whenever a submitter files a
lawsuit seeking to prevent the
disclosure of business information, the
Department shall notify the requester.
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§ 171.13 Appeal of denial of request for
records.
(a) Any denial, in whole or in part, of
a request for Department records under
the FOIA may be administratively
appealed to the Appeals Review Panel
of the Department. This appeal right
includes the right to appeal the
determination that no records
responsive to the request exist in
Department files. Appeals must be
postmarked within 60 calendar days of
the date of the Department’s denial
letter and sent to: Appeals Officer,
Appeals Review Panel, Office of
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the address set forth in § 171.4, or faxed
to (202) 261–8571. The time limit for a
response to an appeal is 20 working
days, which may be extended in
unusual circumstances, as defined in
§ 171.11(b). The time limit begins to run
on the day the appeal is received by IPS.
Appeals from denials of requests for
expedited processing and for a fee
reduction or waiver must be postmarked
within 30 calendar days of the date of
the Department’s denial letter. See
§§ 171.11(f)(4) (expedited processing
appeals) and 171.16(e) (fee reduction/
waiver appeals) of this subpart. See also
§ 171.4 for address information.
(b) Requesters may decide to litigate
a request that is in the appeal stage.
Once a summons and complaint is
received by the Department in
connection with a particular request, the
Department will administratively close
any open appeal regarding such request.
(c) Requesters should submit an
administrative appeal, to IPS at the
above address, of any denial, in whole
or in part, of a request for access to
FSGB records under the FOIA. IPS will
assign a tracking number to the appeal
and forward it to the FSGB, which is an
independent body, for adjudication.
(d) Decisions on appeals. A decision
on an appeal must be made in writing.
A decision that upholds the
Department’s determination will
contain a statement that identifies the
reasons for the affirmance, including
any FOIA and Privacy Act exemptions
applied. The decision will provide the
requester with notification of the
statutory right to file a lawsuit and will
inform the requester of the mediation
services offered by the Office of
Government Information Services of the
National Archives and Records
Administration (OGIS) as a nonexclusive alternative to litigation. If the
Department’s decision is remanded or
modified on appeal, the requester will
be notified of that determination in
writing. The Department will thereafter
further process the request in
accordance with that appeal
determination and respond directly to
the requester. When the Department of
State engages in the mediation services
offered by OGIS, it will work in good
faith as a partner to the mediation
process in an attempt to resolve the
dispute. The Department reserves its
right to decide on a case-by-case basis
whether to enter into formal mediation
offered by OGIS.
§ 171.14
Fees to be charged.
(a) In general. The Department shall
charge fees that recoup the full
allowable direct costs it incurs in
processing a FOIA request in
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accordance with the provisions of this
part and with the OMB Guidelines. It
shall use the most efficient and least
costly methods to comply with requests
for records made under the FOIA. The
Department will not charge fees to any
requester, including commercial use
requesters, if the cost of collecting a fee
would be equal to or greater than
$25.00. The Department shall attempt to
notify the requester if fees are estimated
to exceed $25.00. Such notification shall
include a breakdown of the fees for
search, review, or duplication, unless
the requester has expressed a
willingness to pay fees as high as those
anticipated.
(b) Definitions. The following
definitions apply for purposes of this
section:
(1) Direct costs are those costs the
Department incurs in searching for,
duplicating, and, in the case of
commercial use requests, reviewing
records in response to a FOIA request.
The term does not include overhead
expenses.
(2) Search costs are those costs the
Department incurs in looking for,
identifying, and retrieving material, in
paper or electronic form, that is
potentially responsive to a request. The
Department shall attempt to ensure that
searching for material is done in the
most efficient and least expensive
manner so as to minimize costs for both
the Department and the requester. The
Department may charge for time spent
searching even if it does not locate any
responsive record, or if it withholds the
record(s) located as entirely exempt
from disclosure. Further information on
current search fees is available by
visiting the FOIA home page at
www.foia.state.gov and reviewing the
Information Access Guide.
(3) Duplication costs are those costs
the Department incurs in reproducing a
requested record in a form appropriate
for release in response to a FOIA
request.
(4) Review costs are those costs the
Department incurs in examining a
record to determine whether and to
what extent the record is responsive to
a FOIA request and the extent to which
it may be disclosed to the requester,
including the page-by-page or line-byline review of material within records.
It does not include the costs of resolving
general legal or policy issues that may
be raised by a request.
(5) Categories of requesters.
’’Requester fee category’’ means one of
the categories in which a requester will
be placed for the purpose of
determining whether the requester will
be charged fees for search, review, and
duplication. ‘‘Fee waiver’’ (see § 171.16)
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means the waiver or reduction of
processing fees that may be granted if
the requester can demonstrate that
certain statutory standards are satisfied.
There are three categories of requesters:
commercial use requesters, distinct
subcategories of non-commercial
requesters (educational and noncommercial scientific institutions,
representatives of the news media), and
all other requesters.
(i) A commercial use requester is a
person or entity who seeks information
for a use or purpose that furthers the
commercial, trade, or profit interest of
the requester or the person on whose
behalf the request is made. In
determining whether a requester
belongs within this category, the
Department will look at the way in
which the requester intends to use the
information requested. Commercial use
requesters will be charged for search
time, review time, and duplication in
connection with processing their
requests.
(ii) Distinct subcategories of noncommercial requesters. (A) An
educational institution requester is a
person or entity who submits a request
under the authority of a school that
operates a program of scholarly
research. A requester in this category
must show that the records are not
sought for a commercial use and are not
intended to promote any particular
product or industry, but rather are
sought to further scholarly research of
the institution. A signed letter from the
chairperson on an institution’s
letterhead is presumed to be from an
educational institution. A student
seeking inclusion in this subcategory
who makes a request in furtherance of
the completion of a course of instruction
is carrying out an individual research
goal and does not qualify as an
educational institution requester. See a
summary of the OMB Fee Guidelines at:
https://www.justice.gov/oip/foia-guide2004-edition-fees-and-fee-waivers.
Educational institution requesters will
not be charged for search and review
time, and the first 100 pages of
duplication will be provided free of
charge.
(1) Example 1. A request from a professor
of geology at a university for records relating
to soil erosion, written on letterhead of the
Department of Geology, would be presumed
to be from an educational institution.
(2) Example 2. A request from the same
professor of geology seeking drug information
from the Food and Drug Administration in
furtherance of a murder mystery he is writing
would not be presumed to be an institutional
request, regardless of whether it was written
on institutional stationery.
(B) A non-commercial scientific
institution requester is a person or
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entity that submits a request on behalf
of an institution that is not operated on
a ‘‘commercial’’ basis 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. Non-commercial scientific
institution requesters will not be
charged for search and review time, and
the first 100 pages of duplication will be
provided free of charge.
(C) A 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. News media
include television or radio stations
broadcasting to the public at large and
publishers of periodicals (but only in
those instances when they can qualify
as disseminators of ‘‘news’’) who make
their products available to the general
public. ‘‘Freelance’’ journalists shall be
regarded as working for a news media
entity if they can demonstrate a solid
basis for expecting publication through
that entity, such as by a contract or past
publication record. These examples are
not all-inclusive. A representative of the
news media will not be charged for
search and review time, and the first
100 pages of duplication will be
provided free of charge.
(iii) All other requesters are persons
or entities that do not fall into the
requester categories defined above. All
other requesters will be provided the
first two hours of search time and the
first 100 pages of duplication free of
charge, and will not be charged for
review time.
(c) Searches for responsive records.
The Department charges the estimated
direct cost of each search based on the
average current salary rates of the
categories of personnel doing the
searches. Updated search and review
fees are available at www.foia.state.gov
(d) Manual (paper) and computer
searches. For both manual and
computer searches, the Department
shall charge the estimated direct cost of
each search based on the average
current salary rates of the categories of
personnel doing the searches.
(e) Review of records. Only requesters
who are seeking records for commercial
use may be charged for time spent
reviewing records to determine whether
they are responsive, and if so,
releasable. Charges may be assessed for
the initial review only, i.e., the review
undertaken the first time the
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Department analyzes the applicability of
a specific exemption to a particular
record or portion of a record
(f) Duplication of records. Paper
copies of records shall be duplicated at
a rate of $0.15 per page. Other charges
may apply depending on the type of
production required. 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 shall pay the direct
costs associated with scanning those
materials. For other forms of
duplication, the Department shall
charge the direct costs.
(g) Other charges. The Department
shall recover the full costs of providing
services such as those below:
(1) Sending records by special
methods such as express mail, overnight
courier, etc.
(2) Providing records to a requester in
a special format.
(3) Providing duplicate copies of
records already produced to the same
requester in response to the same
request.
(h) Payment. Fees shall be paid by
either personal check or bank draft
drawn on a bank in the United States,
or a postal money order. Remittances
shall be made payable to the order of the
Treasury of the United States and
mailed to the Office of Information
Programs and Services, U.S. Department
of State, State Annex 2 (SA–2), 515
22nd Street NW., Washington, DC,
20522–8100. A receipt for fees paid will
be given upon request.
(i) When certain fees are not charged.
The Department shall not charge search
fees (or in the case of educational and
non-commercial scientific institutions
or representatives of the news media,
duplication fees) when the Department
fails to comply with any time limit
under 5 U.S.C. 552(a)(6), unless unusual
circumstances (see § 171.11(b)) or
exceptional circumstances exist.
Exceptional circumstances cannot
include a delay that results from a
predictable agency workload of requests
unless the agency demonstrates
reasonable progress in reducing its
backlog of pending requests. See 5
U.S.C. 552(a)(6)(C). Apart from the
stated provisions regarding waiver or
reduction of fees, see § 171.16, the
Department retains the administrative
discretion to not assess fees if it is in the
best interests of the government to do
so.
§ 171.15
Miscellaneous fee provisions.
(a) Charging interest. The Department
shall begin assessing interest charges on
an unpaid bill starting on the 31st day
following the day on which the bill was
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sent. 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. Interest will be at the rate
prescribed in 31 U.S.C. 3717 and shall
accrue from the date of the billing.
(b) Charges for unsuccessful search or
if records are withheld. The Department
may assess charges for time spent
searching, even if it fails to locate the
records or if the records located are
determined to be exempt from
disclosure.
(c) Advance payment. The
Department may not require a requester
to make an advance payment, i.e.,
payment before work is commenced or
continued on a request, unless:
(1) It estimates or determines that
allowable charges that a requester may
be required to pay are likely to exceed
$250. In such a case, the Department
shall notify the requester of the likely
cost and obtain satisfactory assurance of
full payment where the requester has a
history of prompt payment of FOIA fees,
or shall, in its discretion, require an
advance payment of an amount up to
the full estimated charges in the case of
requesters with no history of payment;
or
(2) A requester has previously failed
to pay an assessed fee within 30 days of
the date of its billing. In such a case, the
Department shall require the requester
to pay the full amount previously owed
plus any applicable interest and to make
an advance payment of the full amount
of the estimated fee before the
Department begins to process a new or
pending request from that requester.
(3) 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) When the Department acts under
paragraph (c)(1) or (2) of this section,
the administrative time limits
prescribed in the FOIA, 5 U.S.C.
552(a)(6) (i.e., 20 working days from
receipt of initial requests and 20
working days from receipt of appeals,
plus permissible extensions of these
time limits), will begin only after the
Department has received fee payments
described in paragraphs (c)(1) and (2) of
this section.
(d) Aggregating requests. When the
Department reasonably believes that a
requester, or a group of requesters acting
in concert, has submitted multiple
requests involving related matters solely
to avoid payment of fees, the
Department may aggregate those
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requests for purposes of assessing
processing fees.
(e) Effect of the Debt Collection Act of
1982, as amended. The Department
shall comply with provisions of the
Debt Collection Act, including
disclosure to consumer reporting
agencies and use of collection agencies,
where appropriate, to effect repayment.
(f) Itemization of charges. The
Department shall, where possible,
provide the requester with a breakdown
of fees charged indicating how much of
the total charge is for search, review,
and/or duplication for each specific
request.
§ 171.16
Waiver or reduction of fees.
(a) Fees otherwise chargeable in
connection with a request for disclosure
of a record shall be waived or reduced
where the requester seeks a waiver or
reduction of fees and the Department
determines, in its discretion, that
disclosure 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.
(1) In deciding whether disclosure of
the requested information is in the
public interest because it is likely to
contribute significantly to public
understanding of operations or activities
of the government, the Department shall
consider all four of the following
factors:
(i) 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
records must be meaningfully
informative about government
operations or activities in order to be
‘‘likely to contribute’’ to an increased
public understanding of those
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
contribute to such understanding where
nothing new would be added to the
public’s understanding.
(iii) 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. It shall be presumed that a
representative of the news media will
satisfy this consideration.
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(iv) The public’s understanding of the
subject in question must be enhanced by
the disclosure to a significant extent.
(2) In order to determine whether
disclosure of the information is not
primarily in the commercial interest of
the requester, the Department will
consider the following factors:
(i) The existence and magnitude of a
commercial interest, i.e., whether the
requester has a commercial interest that
would be furthered by the requested
disclosure; and, if so,
(ii) The primary interest in disclosure,
i.e., whether disclosure is primarily in
the commercial interest of the requester.
(iii) Requests for purposes of writing
a book, an article, or other publication
will not be considered a commercial
purpose.
(b) The Department may refuse to
consider waiver or reduction of fees for
requesters from whom unpaid fees
remain owed to the Department for
another FOIA request.
(c) Where only some of the records to
be released satisfy the requirements for
a waiver or reduction of fees, a waiver
or reduction shall be granted for only
those records.
(d) 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 shall be required to pay
any costs incurred up to the date the fee
waiver request was received.
(e) The Division Chief of the
Requester Liaison Division in IPS will
issue all initial decisions on whether to
grant or deny requests for a fee waiver.
A decision to refuse to waive or reduce
fees may be appealed to the Director of
IPS within 30 calendar days of the date
of the Department’s refusal letter. See
§ 171.4 for address information. A
decision in writing on the appeal shall
be issued within 20 working days of the
receipt of the appeal.
§ 171.17
Resolving disputes.
The Office of Government Information
Services (OGIS) in the National
Archives and Records Administration is
charged with offering mediation
services to resolve disputes between
persons making FOIA requests and
Federal agencies as a non-exclusive
alternative to litigation. Additionally,
the FOIA directs the Department’s FOIA
Public Liaison to assist in the resolution
of disputes. The Department will inform
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requesters in its agency appeal response
letter of services offered by OGIS and
the FOIA Public Liaison. Requesters
may reach the Department’s FOIA
Public Liaison at Office of Information
Programs and Services, A/GIS/IPS/PP/
LA, U.S. Department of State,
Washington, DC 20522–8100, or at (202)
261–8484. Requesters may contact OGIS
at Office of Government Information
Services (OGIS), National Archives and
Records Administration, 8601 Adelphi
Road, College Park, MD 20740–6001; at
ogis@nara.gov; and at (202) 741–5770,
or toll-free at (877) 684–6448.
§ 171.18
Preservation of records
The Department shall 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 or the
General Records Schedule 14 of the
National Archives and Records
Administration. Records shall not be
disposed of or destroyed while they are
the subject of a pending request, appeal,
or lawsuit under the FOIA.
Subpart C—Privacy Act Provisions
§ 171.20
Purpose and scope.
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This subpart contains the rules that
the Department follows under the
Privacy Act of 1974 (PA), 5 U.S.C. 552a,
as amended. These rules should be read
together with the text of the statute,
which provides additional information
about records maintained on
individuals. 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 for access to or amendment of
PA records.
§ 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.
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(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 finger or 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.
§ 171.22
Request for access to records.
(a) In general. Requests for access to
records under the PA must be made in
writing and mailed to the Office of
Information Programs and Service, the
Office of Passport Services, or the Office
of Inspector General at the addresses
given in § 171.4. The Director of the
Office of Information Programs and
Services (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 26. Once
received by IPS, all processing of PA
requests coming under the jurisdiction
of the Bureau of Consular Affairs/Visa
Services Office 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 (FSGB) are handled by
those bureaus or offices instead of IPS.
(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
data 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
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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 Office’s 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
the Passport Office’s passport records
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
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.
(1) Parents and guardians of minor
children. Upon presentation of
acceptable documentation of the
parental or guardian relationship, a
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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.
(2) Guardians. 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.
(3) Authorized representatives or
designees. When an individual wishes
to authorize another person or persons
access to his or her records, the
individual may 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. 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.
§ 171.23 Request to amend or correct
records.
(a) An individual has the right to
request that the Department amend a
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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
the Office of Information Programs and
Services at the address given in § 171.4,
with ATTENTION: PRIVACY ACT
AMENDMENT REQUEST written on the
envelope. IPS will coordinate the review
of the request with the appropriate
offices of the Department. The
Department will require verification of
personal identity as provided in section
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
§ 171.25.
§ 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
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that the Department has made to
another person, organization, or agency
of any record about an individual. 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
particular record in question and may
be made by writing directly to the Office
of Information Programs and Services at
the address given in § 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.
§ 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 to the Appeals Review
Panel. Any such appeal must be
postmarked within 60 working days of
the date of the Department’s denial
letter and sent to: Appeals Officer,
Appeals Review Panel, Office of
Information Programs and Services, at
the address set forth in § 171.4.
(b) 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 IPS at
the above address. IPS will assign a
tracking number to the appeal and
forward it to the FSGB, which is an
independent body, for adjudication.
(c) The Appeals Review Panel will
decide appeals from denials of PA
amendment requests within 30 business
days, unless the Panel extends that
period for good cause shown, from the
date when it is received by the Panel.
(d) Appeals Review Panel 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 of the Panel
represents the final decision of the
Department and of the right to seek
judicial review of the Panel’s decision,
when applicable.
(e) If the Panel’s decision is that a
record shall be amended in accordance
with the appellant’s request, the
Chairman shall direct the office
responsible for the record to amend the
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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.
(f) If the Panel’s decision is that the
amendment request is denied, in
addition to the notification required by
paragraph (d) of this section, the
Chairman 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.
(g) If the appellant files a Statement of
Disagreement under paragraph (f) 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.
asabaliauskas on DSK3SPTVN1PROD with RULES
§ 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
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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), 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 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.
PO 00000
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19875
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).
Board of Appellate Review Records.
STATE–02.
Congressional Correspondence.
STATE–43.
Congressional Travel Records.
STATE–44.
Coordinator for the Combating of
Terrorism Records. STATE–06.
External Research Records. STATE–
10.
Extradition Records. STATE–11.
Family Advocacy Case Records.
STATE–75.
Foreign Assistance Inspection
Records. STATE–48.
Human Resources Records. STATE–
31.
Information Access Programs Records.
STATE–35.
Intelligence and Research Records.
STATE–15.
International Organizations Records.
STATE–17.
Law of the Sea Records. STATE–19.
Legal Case Management Records.
STATE–21.
Munitions Control Records. STATE–
42.
Overseas Citizens Services Records.
STATE–05.
Passport Records. STATE–26.
Personality Cross Reference Index to
the Secretariat Automated Data Index.
STATE–28.
Personality Index to the Central
Foreign Policy Records. STATE–29.
Personnel Payroll Records. STATE–
30.
Office of Inspector General
Investigation Management System.
STATE–53.
Records of the Office of the Assistant
Legal Adviser for International Claims
and Investment Disputes. STATE–54.
Risk Analysis and Management
Records. STATE–78.
Rover Records. STATE–41.
Records of Domestic Accounts
Receivable. STATE–23.
Records of the Office of White House
Liaison. STATE–34.
Refugee Records. STATE–59.
Security Records. STATE–36.
Visa Records. STATE–39.
(2) Exempt under 5 U.S.C. 552a(k)(2).
Records contained within the following
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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).
Board of Appellate Review Records.
STATE–02.
Coordinator for the Combating of
Terrorism Records. STATE–06.
Extradition Records. STATE–11.
Family Advocacy Case Records.
STATE–75
Foreign Assistance Inspection
Records. STATE–48.
Garnishment of Wages Records.
STATE–61.
Information Access Program Records.
STATE–35.
Intelligence and Research Records.
STATE–15.
Munitions Control Records. STATE–
42.
Overseas Citizens Services Records.
STATE–05.
Passport Records. STATE–26.
Personality Cross Reference Index to
the Secretariat Automated Data Index.
STATE–28.
Personality Index to the Central
Foreign Policy Records. STATE–29.
Office of Inspector General
Investigation Management System.
STATE–53.
Risk Analysis and Management
Records. STATE–78.
Security Records. STATE–36.
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.
Extradition Records. STATE–11.
Information Access Programs Records.
STATE–35.
Intelligence and Research Records.
STATE–15.
Overseas Citizens Services Records.
STATE–05.
Passport Records. STATE–26.
Personality Cross-Reference Index to
the Secretariat Automated Data Index.
STATE–28.
Personality Index to the Central
Foreign Policy Records. STATE–29.
Security Records. STATE–36.
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.
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Foreign Service Institute Records.
STATE–14.
Human Resources Records. STATE–
31.
Information Access Programs Records.
STATE–35.
Overseas Citizens Services Records,
STATE–05
Personnel Payroll Records. STATE–
30.
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.
Records Maintained by the Office of
Civil Rights. STATE–09.
Foreign Assistance Inspection
Records. STATE–48.
Foreign Service Grievance Board
Records. STATE–13.
Human Resources Records. STATE–
31.
Information Access Programs Records.
STATE–35.
Legal Adviser Attorney Employment
Application Records. STATE–20.
Overseas Citizens Services Records.
STATE–25.
Personality Cross-Reference Index to
the Secretariat Automated Data Index.
STATE–28.
Office of Inspector General
Investigation Management System.
STATE–53.
Records of the Office of White House
Liaison. STATE–34.
Risk Analysis and Management
Records. STATE–78.
Rover Records. STATE–41.
Security Records. STATE–36.
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
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.
Foreign Service Institute Records.
STATE–14.
Human Resources Records. STATE–
31.
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Information Access Programs Records.
STATE–35.
Records Maintained by the Office of
Civil Rights. STATE–09
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.
Overseas Citizens Services Records.
STATE–25.
Human Resources Records. STATE–
31.
Information Access Programs Records.
STATE–35.
Personality Cross-Reference Index to
the Secretariat Automated Data Index.
STATE–28.
Personality Index to the Central
Foreign Policy Records. STATE–29.
Subpart D—Process To Request Public
Financial Disclosure Reports
§ 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.
§ 171.31
Requests.
Requests for access to public financial
disclosure reports filed with the
Department should be made by
submitting a completed Office of
Government Ethics request form, OGE
Form 201, to OGE201Request@state.gov
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 http://www.oge.gov
or writing to the address above.
Dated: March 30, 2016.
Joyce A. Barr,
Assistant Secretary for Administration,
Department of State.
[FR Doc. 2016–07900 Filed 4–5–16; 8:45 am]
BILLING CODE 4710–24–P
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| File Type | application/pdf |
| File Modified | 2023-04-29 |
| File Created | 2023-04-29 |