22 C.F.R. Subpart D—Privacy Act Provisions
Title 22 - Foreign Relations
This subpart contains the rules that the Department follows under the Privacy Act of 1974, 5 U.S.C. 552a. These rules should be read together with the Privacy Act, 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 Privacy Act are found to be exempt from disclosure under that Act, they will be processed for possible disclosure under the Freedom of Information Act (FOIA), 5 U.S.C. 552. No fees shall be charged for access to or amendment of Privacy Act records. As used in this subpart, the following definitions shall apply: (a) Department means the United States Department of State, including its field offices and Foreign Service posts abroad. (b) Individual means a citizen of the United States or an alien lawfully admitted for permanent residence. (c) Maintain includes maintain, collect, use, or disseminate. (d) Record means any item, collection, or grouping of information about an individual that is maintained by the Department, including, but not limited to education, financial transactions, medical history, and criminal or employment history, 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. (e) System of Records means a group of any records under the control of the Department from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to an individual. (f) Control has the meaning set forth in §171.11(f) (g) Information and Privacy Coordinator has the meaning set forth in §171.11(d). (h) DS is the abbreviation for the Bureau of Diplomatic Security of the U.S. Department of State. (i) OIG is the abbreviation for the Office of the Inspector General of the U.S. Department of State. (a) Description of records sought. All requests for access to a record must reasonably describe the System of Records and the individual's record within the system in sufficient detail to permit identification of the requested record. At a minimum, requests should include the individual's full name (including maiden name, if appropriate) and any other names used, present mailing address and ZIP Code, date and place of birth, and any other information that might help in identifying the record. Helpful data includes the approximate time period of the record and the circumstances that give the individual reason to believe that the Department of State maintains a record under the individual's name or personal identifier. In certain instances, it may be necessary for the Department to request additional information from the requester, either to ensure a full search, or to ensure that a record retrieved does in fact pertain to the individual. (b) Verification of personal identity. The Department will require reasonable identification of individuals requesting records under the Privacy Act to ensure that records are disclosed only to the proper persons. Requesters must state their full name, current address, date and place of birth, and, at the requester's option, social security number. The request must be signed, and the requester's signature must be either notarized or submitted under penalty of perjury (28 U.S.C. 1746) as a substitute for notarization. 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. (c) Third party access. The Department shall allow third party access to records under certain conditions: (1) Parents. Upon presentation of documentation of the parental relationship, a parent of a minor (an unmarried person under the age of 18) may, on behalf of the minor, request records pertaining to the minor and the Department may, in its discretion, disclose such records to the parent to the extent determined by the Department to be appropriate in the circumstances of the case. In any case, minors may request such records on their own behalf. (2) Guardians. A guardian of a minor or of an individual who has been declared by a court to be incompetent may act for and on behalf of the minor or 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 shall submit, in addition to the identifying information described in paragraph (b) of this section, a signed statement, either notarized or made under penalty of perjury, authorizing and consenting to access by a designated person or persons. Such requests shall be processed under the FOIA (see §171.12). (d) 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. (e) Time limits. The Department will acknowledge the request promptly and furnish the requested information as soon as possible thereafter. (f) Information on amending records. At the time the Department grants access to a record, it will also furnish guidelines for requesting amendment of a record. These guidelines may also be obtained by writing to the Information and Privacy Coordinator at the address given in §171.5. The guidelines are also available in the reading room described in §171.3 and in the electronic reading room described in §171.4. (a) An individual has the right to request that the Department amend a record pertaining to the individual that the individual believes is not accurate, relevant, timely, or complete. (b) Requests to amend records must be in writing and mailed or delivered to the Information and Privacy Coordinator, at the address given in §171.5, who 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 §171.32(b) before it will initiate action to amend a record. Amendment requests should contain, as 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 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 will be acknowledged within 10 days (excluding Saturdays, Sundays, and legal public holidays). (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, in whole or in part, the individual's amendment request, it shall advise the individual in writing of its decision, of the reason therefore, and of the individual's right to appeal the denial in accordance with §171.52. (a) How made. Except where accountings of disclosures are not required to be kept, as set forth in paragraph (b) of this section, an individual has a right to request an accounting of any disclosure that the Department has made to another person, organization, or agency of any record about 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 Information and Privacy Coordinator at the address given in §171.5. (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; (2) Disclosures required under the FOIA; (3) Disclosures made to another agency or to an instrumentality of any governmental jurisdiction under the control of or within the United States for authorized civil or criminal law enforcement activities pursuant to a written request from such agency or instrumentality specifying the activities for which the disclosures are sought and the portions of the records sought. If the Department denies a request for access to Privacy Act records, for amendment of such records, or for an accounting of disclosure 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 in accordance with §171.52. Systems of records maintained by the Department are authorized to be exempted from certain provisions of the Privacy Act 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 Privacy Act. Where compliance would not appear to 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, e.g., public source materials, 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. (a) General exemptions. (1) Individuals may not have access to records maintained by the Department that were provided by another agency that has determined by regulation that such information is subject to general exemption under 5 U.S.C. 552a(j)(1). If such 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. (2) The systems of records maintained by the Bureau of Diplomatic Security (STATE–36), the Office of the Inspector General (STATE–53), and the Information Access Program Records system (STATE–35) are subject to general exemption under 5 U.S.C. 552a(j)(2). All records contained in record system STATE–36, Security Records, are exempt from all provisions of the Privacy Act except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) to the extent to which they meet the criteria of section (j)(2). These exemptions are necessary to ensure the effectiveness of the investigative, judicial, and protective processes. All records contained in STATE–53, records of the Inspector General and Automated Individual Cross-Reference System, are exempt from all of the provisions of the Privacy Act except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) to the extent to which they meet the criteria of section (j)(2). These exemptions are necessary to ensure the proper functions of the law enforcement activity, to protect confidential sources of information, to fulfill promises of confidentiality, to prevent interference with the enforcement of criminal laws, to avoid the disclosure of investigative techniques, to avoid the endangering of the life and safety of any individual, to avoid premature disclosure of the knowledge of potential criminal activity and the evidentiary bases of possible enforcement actions, and to maintain the integrity of the law enforcement process. All records contained in the Information Access Program Records system (STATE–35) are exempt from all of the provisions of the Privacy Act except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) to the extent to which they meet the criteria of section (j)(2). These exemptions are necessary to ensure the protection of law enforcement information retrieved from various sources in response to information access requests. (b) Specific exemptions. Portions of the following systems of records are exempted 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 (1) Exempt under 5 U.S.C. 552a(k)(1). The reason for invoking this exemption is to protect material required to be kept secret in the interest of national defense and foreign policy. 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. 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. Overseas Records. STATE–25. Passport Records. STATE–26. Personality Cross-Reference Index to the Secretariat Automated Data Index Records. STATE–28. Personality Index to the Central Foreign Policy Records. STATE–29. Personnel Payroll Records. STATE–30. Records of the Inspector General and Automated Individual Cross-Reference System. STATE–53. Records of the Office of the Assistant Legal Adviser for International Claims and Investment Disputes. STATE–54. Rover Records. STATE–41. Records of Domestic Accounts Receivable. STATE–23. Records of the Office of White House Liaison. STATE–34. Board of Appellate Review Records. STATE–02. Refugee Records. STATE–59. Refugee Data Center Processing Records. STATE–60. Security Records. STATE–36. Visa Records. STATE–39. (2) Exempt under 5 U.S.C. 552(a)(k)(2). The reasons for invoking this exemption are to prevent individuals that are the subject of investigation from frustrating the investigatory process, to ensure the proper functioning and integrity of law enforcement activities, to prevent disclosure of investigative techniques, to maintain the confidence of foreign governments in the integrity of the procedures under which privileged or confidential information may be provided, and to fulfill commitments made to sources to protect their identities and the confidentiality of information and to avoid endangering these sources and law enforcement personnel. Board of Appellate Review Records. STATE–02. Coordinator for the Combating of Terrorism Records. STATE–06. Extradition Records. STATE–11. 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. Overseas Records. STATE–25. 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. Records of the Inspector General and Automated Individual Cross-Reference System. STATE–53. Security Records. STATE–36. Visa Records. STATE–39. (3) Exempt under 5 U.S.C. 552(a)(k)(3). The reason for invoking this exemption is to preclude impairment of the Department's effective performance in carrying out its lawful protective responsibilities under 18 U.S.C. 3056 and 22 U.S.C. 4802. Extradition Records. STATE–11. Information Access Programs Records. STATE–35. Intelligence and Research Records. STATE–15. Overseas Citizens Services Records. STATE–05. Overseas Records. STATE–25. 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). The reason for invoking this exemption is to avoid needless review of records that are used solely for statistical purposes and from which no individual determinations are made. Foreign Service Institute Records. STATE–14. Human Resources Records. STATE–31. Information Access Programs Records. STATE–35. Personnel Payroll Records. STATE–30. Security Records. STATE–36. (5) Exempt under 5 U.S.C. 552a(k)(5). The reasons for invoking this exemption are to ensure the proper functioning of the investigatory process, to ensure effective determination of suitability, eligibility, and qualification for employment and to protect the confidentiality of sources of information. Equal Employment Opportunity Records. 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 Records. STATE–25. Personality Cross-Reference Index to the Secretariat Automated Data Index Records. STATE–28. Records of the Inspector General and Automated Individual Cross-Reference System. STATE–53. Records of the Office of White House Liaison. STATE–34. Rover Records. STATE–41. Security Records. STATE–36. Senior Personnel Appointments Records. STATE–47. (6) Exempt under 5 U.S.C. 552(k)(6). The reasons for invoking this exemption are to prevent the compromise of testing or evaluation material used solely to determine individual qualifications for employment or promotion and to avoid giving unfair advantage to individuals by virtue of their having access to such material. Foreign Service Institute Records. STATE–14. Human Resources Records. STATE–31. Information Access Programs Records. STATE–35. Security Records. STATE–36. (7) Exempt under 5 U.S.C. 552a(k)(7). The reason for invoking this exemption is to prevent access to material maintained from time to time by the Department in connection with various military personnel exchange programs. Overseas Records. STATE–25. Human Resources Records. STATE–31. Information Access Programs Records. STATE–35. Personality Cross-Reference Index to the Secretariat Automated Data Index Records. STATE–28. Personality Index to the Central Foreign Policy Records. STATE–29.
Title 22: Foreign Relations
PART 171—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC
Subpart D—Privacy Act Provisions
§ 171.30 Purpose and scope.
§ 171.31 Definitions.
§ 171.32 Request for access to records.
§ 171.33 Request to amend or correct records.
§ 171.34 Request for an accounting of record disclosures.
§ 171.35 Denials of requests; appeals.
§ 171.36 Exemptions.
