80_FR_45042 80 FR 44898 - Public Access to Information

80 FR 44898 - Public Access to Information

DEPARTMENT OF STATE

Federal Register Volume 80, Issue 144 (July 28, 2015)

Page Range44898-44910
FR Document2015-17856

The Department of State proposes to revise its regulations of November 3, 2004 and October 11, 2007 governing the availability to the public of information that is under the control of the Department. There have been several changes in the law and regulations governing disclosure of such information, including the OPEN Government Act of 2007 and the OPEN FOIA Act of 2009. This proposed rule reflects changes in the FOIA and other statutes and consequent changes in the Department's procedures since the last revision of the Department's regulations on this subject.

Federal Register, Volume 80 Issue 144 (Tuesday, July 28, 2015)
[Federal Register Volume 80, Number 144 (Tuesday, July 28, 2015)]
[Proposed Rules]
[Pages 44898-44910]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-17856]


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DEPARTMENT OF STATE

22 CFR Part 171

RIN 1400-AD44
[Public Notice: 9198]


Public Access to Information

AGENCY: Department of State.

ACTION: Proposed rule.

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SUMMARY: The Department of State proposes to revise its regulations of 
November 3, 2004 and October 11, 2007 governing the availability to the 
public of information that is under the control of the Department. 
There have been several changes in the law and regulations governing 
disclosure of such information, including the OPEN Government Act of 
2007 and the OPEN FOIA Act of 2009. This proposed rule reflects changes 
in the 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: The Department will consider comments from the public that are 
received within September 28, 2015.

ADDRESSES: You may make comments by any of the following methods, and 
you must include the RIN in the subject line of your message.
     Mail (paper, disk, or CD-ROM submissions): Director, 
Office of Information Programs and Services, U.S. Department of State, 
State Annex 2 (SA-2), 515 22nd Street NW., Washington, DC 20522-8100.
     Fax: (202) 261-8579.
     Hand Delivery or Courier: State Annex 2 (SA-2), 515 22nd 
Street NW., Washington, DC.
     Persons with access to the Internet may view this rule and 
submit comments by going to www.regulations.gov.
    Inspection of public comments: All comments received before the 
close of the comment period will be available for public inspection, 
including any personally identifiable or confidential business or 
financial information that is included in a comment. The Department of 
State will post all comments received before the close of the comment 
period at www.regulations.gov.

[[Page 44899]]


FOR FURTHER INFORMATION CONTACT: Marianne Manheim, FOIA Public Liaison, 
Office of Information Programs and Services, manheimmj@state.gov, (202) 
261-8359, U.S. Department of State, State Annex 2 (SA-2), 515 22nd 
Street NW., Washington, DC 20522-8100.

SUPPLEMENTARY INFORMATION: This proposed rule updates 22 CFR part 171. 
Notably, the former subpart C pertaining to declassification of 
national security information and access to classified information by 
historical researchers and certain former government personnel has been 
removed from Part 171 and incorporated into 22 CFR part 9 on National 
Security Information (See final rule at 79 FR 35935). The former 
subpart F pertaining to appeals no longer exists, and the information 
formerly contained within that subpart was added to subparts B and C of 
Part 171 and 22 CFR part 9. Additionally, the responsibility for 
responding to requests for public financial disclosure reports has been 
transferred to the Department of State's Office of the Legal Adviser. 
Accordingly, any such requests are processed by the Office of the Legal 
Adviser rather than the Office of Information Programs and Services 
(see subpart D).

Regulatory Findings

    Administrative Procedure Act. The Department of State is publishing 
this proposed rule consistent with the provisions of 5 U.S.C. 553, with 
a 60-day public comment period.
    Regulatory Flexibility Act. The Department of State, in accordance 
with the Regulatory Flexibility Act, 5 U.S.C. 605(b), has reviewed this 
regulation and, by approving it, certifies that this rule will not have 
a significant economic impact on a substantial number of small 
entities.
    Unfunded Mandates Act of 1995. This rule will not result in the 
expenditure by State, local, and tribal governments, in the aggregate, 
or by the private sector, of $100 million or more in any year, and it 
will not significantly or uniquely affect small governments. Therefore, 
no actions were deemed necessary under the provisions of the Unfunded 
Mandates Reform Act of 1995.
    Small Business Regulatory Enforcement Fairness Act of 1996. This 
rule is not a major rule as defined by section 804 of the Small 
Business Regulatory Enforcement Fairness Act of 1996. This rule will 
not result in an annual effect on the economy of $100 million or more; 
a major increase in costs or prices; or significant adverse effects on 
competition, employment, investment, productivity, innovation, or on 
the ability of United States-based companies to compete with foreign-
based companies in domestic and import markets.
    Executive Order 12988--Civil Justice Reform. The Department has 
reviewed this regulation in light of Executive Order 12988 to eliminate 
ambiguity, minimize litigation, establish clear legal standards, and 
reduce burden.
    Executive Orders 12372 and 13132--Federalism. This regulation will 
not have substantial direct effects on the States, on the relationship 
between the national government and the States, or on the distribution 
of power and responsibilities among the various levels of government. 
Therefore, in accordance with Executive Order 13132, it is determined 
that this rule does not have sufficient federalism implications to 
require consultations or warrant the preparation of a federalism 
summary impact statement. The regulations implementing Executive Order 
12372 regarding intergovernmental consultation on Federal programs and 
activities do not apply to this regulation.
    Executive Order 13175--Consultation and Coordination With Indian 
Tribal Governments. The Department has determined that this rulemaking 
will not have tribal implications, will not impose substantial direct 
compliance costs on Indian tribal governments, and will not pre-empt 
tribal law. Accordingly, the requirements of Executive Order 13175 do 
not apply to this rulemaking.
    Executive Orders 12866 and 13563--Improving Regulation and 
Regulatory Review. The Department has considered this proposed 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 record-keeping 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, the Department of State 
proposes to revise 22 CFR part 171 to read as follows:

PART 171--PUBLIC ACCESS TO INFORMATION

Subpart A--General Policy and Procedures
Sec.
171.1 General provisions.
171.2 Types of records maintained.
171.3 Records available on the Department's 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 of denial of PA requests and PA amendment requests.
171.26 Exemptions.
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); the Ethics in Government Act of 1978, Pub. L. 95-521, 92 
Stat. 1824 (codified as amended at 5 U.S.C. app. 101-505); 5 CFR 
part 2634.

Subpart A--General Policy and Procedures


Sec.  171.1  General provisions.

    (a) This 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 172.1-9 
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

[[Page 44900]]

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, 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, Department means the 
United States Department of State, including its field offices and 
Foreign Service posts abroad.


Sec.  171.2  Types of records maintained.

    Most of the records maintained by the Department pertain to the 
formulation and execution of U.S. foreign policy. The Department also 
maintains certain records that pertain to individuals, such as 
applications for U.S. passports, applications for 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.


Sec.  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.


Sec.  171.4  Requests for information--types and how made.

    (a) Requests for records made in accordance with subparts A, B, and 
C 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 is 
available on the Department's Web site: travel.state.gov/content/passports/english/passports/services/obtain-copies-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).
    (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 section 171.11(f) of 
this Part for more information). Multi-tracking of FOIA requests is 
also used to manage requests (see section 171.11(h)).


Sec.  171.5  Archival records.

    The Department ordinarily transfers records designated as 
historically significant to the National Archives when they are 25 
years old. Accordingly, requests for some Department records 25 years 
old or older should be submitted to the National Archives by mail 
addressed to Special Access and FOIA Staff (NWCTF), 8601 Adelphi Road, 
Room 5500, College Park, MD 20740; by fax to (301) 837-1864; or by 
email to

[[Page 44901]]

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


Sec.  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.


Sec.  171.11  Processing requests.

    (a) In general. The Director of the Office of Information Programs 
and 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 section 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.
    (b) 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 record-keeping 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 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 (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 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

[[Page 44902]]

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 section 171.4 of this 
subpart 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 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 22 CFR 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 
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, it may consult with the 
other agency 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 first-party 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.
    (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, 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 subsection 171.11(n)(1), 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 third-party 
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 section. 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.

[[Page 44903]]

    (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 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 subpart C, section 171.22(d). If 
the PA requirements are not met, the requests will be processed under 
this subpart and access may be limited.


Sec.  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 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 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

[[Page 44904]]

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.


Sec.  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 Information 
Programs and Services, at the address set forth in section 171.4 of 
this part, 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.
    (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 as a non-exclusive 
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.


Sec.  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 
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 the fee itself.
    (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-by-line 
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 section 171.16 of this 
subpart) 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 non-commercial 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 non-commercial 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 OMB 
Fee Guidelines, 52 FR at 10014. 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 entity that submits a request on behalf of an

[[Page 44905]]

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 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 
section 171.11(b) of this subpart) 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 22 CFR 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.


Sec.  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 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 (c)(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 requests for 
purposes of assessing processing fees.

[[Page 44906]]

    (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.


Sec.  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.
    (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) 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 section 171.4 of this subpart for 
address information. A decision in writing on the appeal shall be 
issued within 30 working days of the receipt of the appeal.


Sec.  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 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.


Sec.  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


Sec.  171.20  Purpose and scope.

    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.


Sec.  171.21  Definitions.

    As used in this subpart, the following definitions shall apply:
    (a) Individual means a citizen or a legal permanent resident alien 
(LPR) of the United States.
    (b) Maintain includes maintain, collect, use, or disseminate.
    (c) Record means any item, collection, or grouping of information 
about an individual that is maintained by the Department and that 
contains the individual's name or the identifying

[[Page 44907]]

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.


Sec.  171.22  Request for access to records.

    (a) In general. Requests for access to records under the PA must be 
made in writing and 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 section 171.4 of this Part. 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 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 171.22(d).
    (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 
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.


Sec.  171.23  Request to amend or correct records.

    (a) An individual has the right to request that the Department 
amend a record pertaining to the individual that the individual 
believes is not accurate, relevant, timely, or complete.
    (b) Requests to amend records must be in writing and mailed or 
delivered to

[[Page 44908]]

the Office of Information Programs and Services at the address given in 
section 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 Sec.  171.25.


Sec.  171.24  Request for an accounting of record disclosures.

    (a) How made. Except where accountings of disclosures are not 
required to be kept, as set forth in paragraph (b) of this section, 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 Office of Information Programs and Services at the 
address given in Sec.  171.4.
    (b) Where accountings not required. The Department is not required 
to keep an accounting of disclosures in the case of:
    (1) Disclosures made to employees within the Department who have a 
need for the record in the performance of their duties;
    (2) Disclosures required under the FOIA.


Sec.  171.25  Appeals of denials of PA requests and PA amendment 
requests.

    (a) If the Department denies a request for access to PA 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. 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 section 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 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) Decisions on appeals 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 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 
on appeal, 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 these regulations.


Sec.  171.26  Exemptions.

    Systems of records maintained by the Department are authorized to 
be exempt from certain provisions of the PA under both general and 
specific exemptions set forth in the Act. In utilizing these 
exemptions, the Department is exempting only those portions of systems 
that are necessary for the proper functioning of the Department and 
that are consistent with the PA. Where compliance would not interfere 
with or adversely affect the law enforcement process, and/or where it 
may be appropriate to permit individuals to contest the accuracy of the 
information collected, the applicable exemption may be waived, either 
partially or totally, by the Department or the OIG, in the sole 
discretion of the Department or the OIG, as appropriate. Records exempt 
under 5 U.S.C. 552a(j) or (k) by the originator of the record remain 
exempt if subsequently incorporated into any Department system of 
records, provided the reason for the exemption remains valid and 
necessary.

[[Page 44909]]

    (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.
    (iii) Records maintained by the Department in the following systems 
of records are exempt from all of the provisions of the PA except 
paragraphs (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (e)(7), 
(e)(9), (e)(10), and (e)(11), and (i) of 5 U.S.C. 552a to the extent to 
which they meet the criteria of section (j)(2). 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.
    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 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 (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.
    Foreign Service Institute Records. STATE-14.
    Human Resources Records. STATE-31.
    Information Access Programs Records. STATE-35.
    Overseas Citizens Services Records, STATE-05

[[Page 44910]]

    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.
    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


Sec.  171.30  Purpose and scope.

    This subpart sets forth the process by which persons may request 
access to public financial disclosure reports filed with the Department 
in accordance with Sec.  101 and Sec.  103(l) of the Ethics in 
Government Act of 1978, 5 U.S.C. app. 101 and 103(l), as amended by 
Public Law 112-173, 126 Stat. 1310, Public Law 112-178, 126 Stat. 1408, 
and Public Law 113-7, 127 Stat. 438, and 5 CFR 2634.202. The retention, 
public availability, and improper use of these reports are governed by 
5 U.S.C. app. 105 and 5 CFR 2634.603.


Sec.  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: July 13, 2015.
Joyce A. Barr,
Assistant Secretary for Administration, Department of State.
[FR Doc. 2015-17856 Filed 7-27-15; 8:45 am]
 BILLING CODE 4710-24-P



                                                      44898                       Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules

                                                      71.1. The Class D and Class E airspace                         (Lat. 43°02′37″ N., long. 115°52′21″ W.)                 Issued in Seattle, Washington, on July 20,
                                                      designations listed in this document                           That airspace extending upward from the                2015.
                                                      will be published subsequently in the                       surface to and including 5,500 feet MSL                   Christopher Ramirez,
                                                      Order.                                                      within a 5-mile radius of the Mountain Home               Manager, Operations Support Group, Western
                                                         The FAA has determined this                              AFB, and within 2 miles each side of the                  Service Center.
                                                      proposed regulation only involves an                        135° bearing from the airport extending from              [FR Doc. 2015–18338 Filed 7–27–15; 8:45 am]
                                                      established body of technical                               the 5-mile radius to 6.5 miles southeast of the           BILLING CODE 4910–13–P
                                                      regulations for which frequent and                          airport, and within 2 miles each side of the
                                                      routine amendments are necessary to                         315° bearing from the airport extending from
                                                      keep them operationally current.                            the 5-mile radius to 6.5 miles northwest of
                                                                                                                  the airport. This Class D airspace area is                DEPARTMENT OF STATE
                                                      Therefore, this proposed regulation; (1)
                                                                                                                  effective during the specific dates and times
                                                      is not a ‘‘significant regulatory action’’                                                                            22 CFR Part 171
                                                                                                                  established in advance by a Notice to
                                                      under Executive Order 12866; (2) is not
                                                                                                                  Airmen. The effective date and time will                  RIN 1400–AD44
                                                      a ‘‘significant rule’’ under DOT                            thereafter be continuously published in the
                                                      Regulatory Policies and Procedures (44                      Airport/Facility Directory.                               [Public Notice: 9198]
                                                      FR 11034; February 26, 1979); and (3)
                                                      does not warrant preparation of a                           Paragraph 6002 Class E Airspace
                                                                                                                  Designated as Surface Areas.
                                                                                                                                                                            Public Access to Information
                                                      regulatory evaluation as the anticipated
                                                      impact is so minimal. Since this is a                       *      *         *       *       *                        AGENCY:    Department of State.
                                                      routine matter that will only affect air                    ANM ID E2        Mountain Home, ID [Modified]             ACTION:   Proposed rule.
                                                      traffic procedures and air navigation, it
                                                      is certified this proposed rule, when                       Mountain Home AFB, ID                                     SUMMARY:   The Department of State
                                                      promulgated, would not have a                                 (Lat. 43°02′37″ N., long. 115°52′21″ W.)                proposes to revise its regulations of
                                                      significant economic impact on a                              That airspace extending upward from the                 November 3, 2004 and October 11, 2007
                                                      substantial number of small entities                        surface within a 5-mile radius of the                     governing the availability to the public
                                                      under the criteria of the Regulatory                        Mountain Home AFB, and within 2 miles                     of information that is under the control
                                                                                                                  each side of the 135° bearing from the airport            of the Department. There have been
                                                      Flexibility Act.
                                                                                                                  extending from the 5-mile radius to 6.5 miles             several changes in the law and
                                                      Environmental Review                                        southeast of the airport, and within 2 miles              regulations governing disclosure of such
                                                                                                                  each side of the 315° bearing from the airport
                                                         This proposal will be subject to an                                                                                information, including the OPEN
                                                                                                                  extending from the 5-mile radius to 6.5 miles
                                                      environmental analysis in accordance                        northwest of the airport.
                                                                                                                                                                            Government Act of 2007 and the OPEN
                                                      with FAA Order 1050.1E,                                                                                               FOIA Act of 2009. This proposed rule
                                                      ‘‘Environmental Impacts: Policies and                       Paragraph 6004 Class E Airspace Areas                     reflects changes in the FOIA and other
                                                      Procedures’’ prior to any FAA final                         Designated as an Extension to a Class D or                statutes and consequent changes in the
                                                      regulatory action.                                          Class E Surface Area.                                     Department’s procedures since the last
                                                                                                                  *      *         *       *       *                        revision of the Department’s regulations
                                                      List of Subjects in 14 CFR Part 71
                                                                                                                  ANM ID E4        Mountain Home, ID [Removed]              on this subject.
                                                       Airspace, Incorporation by reference,                                                                                DATES: The Department will consider
                                                      Navigation (air).                                           Paragraph 6005+Class E Airspace Areas
                                                                                                                                                                            comments from the public that are
                                                                                                                  Extending Upward From 700 Feet or More
                                                      The Proposed Amendment                                      Above the Surface of the Earth                            received within September 28, 2015.
                                                        Accordingly, pursuant to the                                                                                        ADDRESSES: You may make comments
                                                                                                                  *      *         *       *       *
                                                      authority delegated to me, the Federal                                                                                by any of the following methods, and
                                                                                                                  ANM ID E5        Mountain Home, ID [Modified]             you must include the RIN in the subject
                                                      Aviation Administration proposes to
                                                      amend 14 CFR part 71 as follows:                            Mountain Home AFB, ID                                     line of your message.
                                                                                                                     (Lat. 43°02′37″ N., long. 115°52′21″ W.)                  • Mail (paper, disk, or CD–ROM
                                                      PART 71—DESIGNATION OF CLASS A,                             Mountain Home Municipal Airport                           submissions): Director, Office of
                                                      B, C, D, AND E AIRSPACE AREAS; AIR                             (Lat. 43°07′54″ N., long. 115°43′50″ W.)               Information Programs and Services, U.S.
                                                      TRAFFIC SERVICE ROUTES; AND                                    That airspace extending upward from 700                Department of State, State Annex 2 (SA–
                                                      REPORTING POINTS                                            feet above the surface bounded by a line                  2), 515 22nd Street NW., Washington,
                                                                                                                  beginning at lat. 43°06′48″ N., long.                     DC 20522–8100.
                                                      ■ 1. The authority citation for 14 CFR                      115°28′39″ W.; to lat. 43°02′06″ N., long.                   • Fax: (202) 261–8579.
                                                      part 71 continues to read as follows:                       115°31′12″ W.; to lat. 43°03′25″ N., long.                   • Hand Delivery or Courier: State
                                                                                                                  115°36′21″ W.; to lat. 42°54′24″ N., long.                Annex 2 (SA–2), 515 22nd Street NW.,
                                                        Authority: 49 U.S.C. 106(f), 106(g); 40103,
                                                                                                                  115°48′41″ W.; to lat. 42°54′24″ N., long.                Washington, DC.
                                                      40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR,
                                                      1959–1963 Comp., p. 389.                                    115°56′47″ W.; to lat. 43°00′12″ N., long.                   • Persons with access to the Internet
                                                                                                                  116°04′42″ W.; to lat. 43°06′51″ N., long.
                                                                                                                                                                            may view this rule and submit
                                                      § 71.1       [Amended]                                      116°01′24″ W.; to lat. 43°09′22″ N., long.
                                                                                                                                                                            comments by going to
                                                      ■ 2. The incorporation by reference in                      115°57′57″ W.; to lat. 43°12′54″ N., long.
                                                                                                                  115°42′51″ W., thence to point of beginning.
                                                                                                                                                                            www.regulations.gov.
                                                      14 CFR 71.1 of FAA Order 7400.9Y,                                                                                        Inspection of public comments: All
asabaliauskas on DSK5VPTVN1PROD with PROPOSALS




                                                      Airspace Designations and Reporting                            That airspace extending upward from
                                                                                                                                                                            comments received before the close of
                                                      Points, dated August 6, 2014, and                           1,200 feet above the surface bounded by a
                                                                                                                  line beginning at lat. 43°33′06″ N., long.
                                                                                                                                                                            the comment period will be available for
                                                      effective September 15, 2014, is                                                                                      public inspection, including any
                                                                                                                  116°11′32″ W.; to lat. 42°48′43″ N., long.
                                                      amended as follows:                                                                                                   personally identifiable or confidential
                                                                                                                  115°00′21″ W.; to lat. 42°23′58″ N., long.
                                                      Paragraph 5000:         Class D Airspace.                   115°00′21″ W.; to lat. 42°23′58″ N., long.                business or financial information that is
                                                      *        *      *       *       *                           115°17′55″ W.; thence clockwise along the                 included in a comment. The Department
                                                                                                                  46.0-mile radius of Mountain Home AFB to                  of State will post all comments received
                                                      ANM ID D Mountain Home, ID [Modified]                       lat. 43°09′20″ N., long. 116°54′22″ W.; thence            before the close of the comment period
                                                      Mountain Home AFB, ID                                       to point of beginning.                                    at www.regulations.gov.


                                                 VerDate Sep<11>2014      19:07 Jul 27, 2015   Jkt 235001   PO 00000   Frm 00007       Fmt 4702   Sfmt 4702   E:\FR\FM\28JYP1.SGM   28JYP1


                                                                               Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules                                             44899

                                                      FOR FURTHER INFORMATION CONTACT:                         investment, productivity, innovation, or              PART 171—PUBLIC ACCESS TO
                                                      Marianne Manheim, FOIA Public                            on the ability of United States-based                 INFORMATION
                                                      Liaison, Office of Information Programs                  companies to compete with foreign-
                                                      and Services, manheimmj@state.gov,                       based companies in domestic and                       Subpart A—General Policy and Procedures
                                                      (202) 261–8359, U.S. Department of                       import markets.                                       Sec.
                                                      State, State Annex 2 (SA–2), 515 22nd                       Executive Order 12988—Civil Justice                171.1 General provisions.
                                                      Street NW., Washington, DC 20522–                        Reform. The Department has reviewed                   171.2 Types of records maintained.
                                                      8100.                                                    this regulation in light of Executive                 171.3 Records available on the
                                                                                                               Order 12988 to eliminate ambiguity,                        Department’s Web site.
                                                      SUPPLEMENTARY INFORMATION:      This                                                                           171.4 Requests for information—types and
                                                      proposed rule updates 22 CFR part 171.                   minimize litigation, establish clear legal
                                                                                                                                                                          how made.
                                                      Notably, the former subpart C pertaining                 standards, and reduce burden.                         171.5 Archival records.
                                                      to declassification of national security                    Executive Orders 12372 and 13132—
                                                      information and access to classified                     Federalism. This regulation will not                  Subpart B—Freedom of Information Act
                                                                                                                                                                     Provisions
                                                      information by historical researchers                    have substantial direct effects on the
                                                      and certain former government                            States, on the relationship between the               171.10 Purpose and scope.
                                                      personnel has been removed from Part                     national government and the States, or                171.11 Processing requests.
                                                                                                                                                                     171.12 Business information.
                                                      171 and incorporated into 22 CFR part                    on the distribution of power and
                                                                                                                                                                     171.13 Appeal of denial of request for
                                                      9 on National Security Information (See                  responsibilities among the various                        records.
                                                      final rule at 79 FR 35935). The former                   levels of government. Therefore, in                   171.14 Fees to be charged.
                                                      subpart F pertaining to appeals no                       accordance with Executive Order 13132,                171.15 Miscellaneous fee provisions.
                                                      longer exists, and the information                       it is determined that this rule does not              171.16 Waiver or reduction of fees.
                                                      formerly contained within that subpart                   have sufficient federalism implications               171.17 Resolving disputes.
                                                      was added to subparts B and C of Part                    to require consultations or warrant the               171.18 Preservation of records.
                                                      171 and 22 CFR part 9. Additionally, the                 preparation of a federalism summary                   Subpart C—Privacy Act Provisions
                                                      responsibility for responding to requests                impact statement. The regulations
                                                                                                                                                                     171.20 Purpose and scope.
                                                      for public financial disclosure reports                  implementing Executive Order 12372                    171.21 Definitions.
                                                      has been transferred to the Department                   regarding intergovernmental                           171.22 Request for access to records.
                                                      of State’s Office of the Legal Adviser.                  consultation on Federal programs and                  171.23 Request to amend or correct records.
                                                      Accordingly, any such requests are                       activities do not apply to this regulation.           171.24 Request for an accounting of record
                                                      processed by the Office of the Legal                        Executive Order 13175—Consultation                     disclosures.
                                                      Adviser rather than the Office of                        and Coordination With Indian Tribal                   171.25 Appeals of denial of PA requests
                                                      Information Programs and Services (see                   Governments. The Department has                           and PA amendment requests.
                                                      subpart D).                                                                                                    171.26 Exemptions.
                                                                                                               determined that this rulemaking will
                                                      Regulatory Findings                                      not have tribal implications, will not                Subpart D—Process To Request Public
                                                                                                               impose substantial direct compliance                  Financial Disclosure Reports
                                                         Administrative Procedure Act. The                     costs on Indian tribal governments, and               171.30 Purpose and scope.
                                                      Department of State is publishing this                   will not pre-empt tribal law.                         171.31 Requests.
                                                      proposed rule consistent with the                        Accordingly, the requirements of
                                                      provisions of 5 U.S.C. 553, with a 60-                   Executive Order 13175 do not apply to                   Authority: 22 U.S.C. 2651a; 5 U.S.C. 552,
                                                      day public comment period.                                                                                     552a; E.O. 12600 (52 FR 23781); the Ethics
                                                                                                               this rulemaking.                                      in Government Act of 1978, Pub. L. 95–521,
                                                         Regulatory Flexibility Act. The                          Executive Orders 12866 and 13563—                  92 Stat. 1824 (codified as amended at 5
                                                      Department of State, in accordance with                  Improving Regulation and Regulatory                   U.S.C. app. 101–505); 5 CFR part 2634.
                                                      the Regulatory Flexibility Act, 5 U.S.C.                 Review. The Department has considered
                                                      605(b), has reviewed this regulation                     this proposed rule in light of these                  Subpart A—General Policy and
                                                      and, by approving it, certifies that this                Executive Orders and affirms that this                Procedures
                                                      rule will not have a significant                         regulation is consistent with the
                                                      economic impact on a substantial                                                                               § 171.1    General provisions.
                                                                                                               guidance therein. The benefits of this
                                                      number of small entities.                                rulemaking for the public include, but                  (a) This subpart contains the rules
                                                         Unfunded Mandates Act of 1995. This                   are not limited to, providing an up-to-               that the Department of State and the
                                                      rule will not result in the expenditure                  date procedure for requesting                         Foreign Service Grievance Board
                                                      by State, local, and tribal governments,                 information from the Department. The                  (FSGB), an independent body, follow in
                                                      in the aggregate, or by the private sector,              Department is aware of no cost to the                 processing requests for records under
                                                      of $100 million or more in any year, and                 public from this rulemaking.                          the Freedom of Information Act (FOIA),
                                                      it will not significantly or uniquely                                                                          5 U.S.C. 552, as amended, and the
                                                      affect small governments. Therefore, no                     Paperwork Reduction Act. This rule                 Privacy Act of 1974 (PA), 5 U.S.C. 552a,
                                                      actions were deemed necessary under                      does not impose or revise any reporting               as amended. Records of the Department
                                                      the provisions of the Unfunded                           or record-keeping requirements subject                shall be made available to the public
                                                      Mandates Reform Act of 1995.                             to the Paperwork Reduction Act, 44                    upon request made in compliance with
                                                         Small Business Regulatory                             U.S.C. Chapter 35.                                    the access procedures established in this
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                                                      Enforcement Fairness Act of 1996. This                   List of Subjects in 22 CFR Part 171                   Part, except for any records exempt by
                                                      rule is not a major rule as defined by                                                                         law from disclosure. Regulations at 22
                                                      section 804 of the Small Business                          Administrative practice and                         CFR 172.1–9 govern, inter alia, the
                                                      Regulatory Enforcement Fairness Act of                   procedure, freedom of information,                    service of subpoenas, court orders, and
                                                      1996. This rule will not result in an                    privacy.                                              other demands or requests for official
                                                      annual effect on the economy of $100                       For the reasons set forth in the                    Department information or action, as
                                                      million or more; a major increase in                     preamble, the Department of State                     well as the Department’s response to
                                                      costs or prices; or significant adverse                  proposes to revise 22 CFR part 171 to                 demands or requests for official
                                                      effects on competition, employment,                      read as follows:                                      Department information or action in


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                                                      44900                    Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules

                                                      connection with legal proceedings in                     and the Department’s records                          of records under both the FOIA and the
                                                      the United States to which the                           disposition schedules. Also available on              PA to provide the requester with the
                                                      Department is not a party.                               the FOIA Web site are certain records                 greatest degree of access to the
                                                         (b) Definitions. (1) For purposes of                  released by the Department pursuant to                requester. Such information may be
                                                      subparts A, B, and D, record means                       requests under the FOIA and                           withheld only if it is exempt from
                                                      information regardless of its physical                   compilations of records reviewed and                  access under both laws; if the
                                                      form or characteristics—including                        released in certain special projects. In              information is exempt under only one of
                                                      information created, stored, and                         addition, see 22 CFR part 173 regarding               the laws, it must be released.
                                                      retrievable by electronic means—that is                  materials disseminated abroad by the                     (b) Although no particular format is
                                                      created or obtained by the Department                    Department.                                           required, a request must reasonably
                                                      and under the control of the Department                                                                        describe the Department records that are
                                                                                                               § 171.4 Requests for information—types                sought. To the extent that requests are
                                                      at the time of the request, including
                                                                                                               and how made.
                                                      information maintained for the                                                                                 specific and include all pertinent details
                                                      Department by an entity under                               (a) Requests for records made in                   about the requested information, it will
                                                      Government contract for records                          accordance with subparts A, B, and C                  be easier for the Department to locate
                                                      management purposes. It does not                         must be made in writing and may be                    responsive records. For FOIA requests,
                                                      include records that are not already in                  made by mail addressed to the Office of               such details include the subject,
                                                      existence and that would have to be                      Information Programs and Services                     timeframe, names of any individuals
                                                      created specifically to respond to a                     (IPS), U.S. Department of State, State                involved, a contract number (if
                                                      request. Information available in                        Annex 2 (SA–2), 515 22nd Street NW.,                  applicable), and reasons why the
                                                      electronic form shall be searched and                    Washington, DC 20522–8100, or by fax                  requester believes the Department may
                                                      compiled in response to a request unless                 to (202) 261–8579, or through the                     have records on the subject of the
                                                      such search and compilation would                        Department’s FOIA Web site                            request.
                                                      significantly interfere with the operation               (www.foia.state.gov). PA requests may                    (c) While every effort is made to
                                                      of the Department’s automated                            be made by mail or fax only. IPS does                 guarantee the greatest possible access to
                                                      information systems.                                     not accept requests submitted by email.               all requesters regardless of the statute(s)
                                                         (2) For purposes of subparts A, B, C,                    (1) Requests for passport records that             under which the information is
                                                      and D, Department means the United                       are covered under PA System of Records                requested, the following guidance is
                                                      States Department of State, including its                Notice 26, including passport records                 provided for the benefit of requesters:
                                                      field offices and Foreign Service posts                  issued from 1925 to present, should be                   (1) The Freedom of Information Act
                                                      abroad.                                                  mailed to U.S. Department of State, Law               applies to requests for records
                                                                                                               Enforcement Liaison Division, CA/PPT/                 concerning the general activities of
                                                      § 171.2   Types of records maintained.                   S/L/LE, 44132 Mercure Cir, P.O. Box                   government and of the Department in
                                                         Most of the records maintained by the                 1227, Sterling, VA 20166. Further                     particular (see subpart B of this Part).
                                                      Department pertain to the formulation                    guidance on obtaining passport records                   (2) The Privacy Act applies to requests
                                                      and execution of U.S. foreign policy.                    is available on the Department’s Web                  from U.S. citizens or legal permanent
                                                      The Department also maintains certain                    site: travel.state.gov/content/passports/             resident aliens for records that pertain
                                                      records that pertain to individuals, such                english/passports/services/obtain-                    to them that are maintained by the
                                                      as applications for U.S. passports,                      copies-of-passport-records.html.                      Department in a system of records
                                                      applications for visas to enter the                         (2) Requests for records of the Office             retrievable by the individual’s name or
                                                      United States, records on consular                       of Inspector General (OIG) may be                     personal identifier (see subpart C of this
                                                      assistance given abroad by U.S. Foreign                  submitted to U.S. Department of State,                Part).
                                                      Service posts to U.S citizens and legal                  Office of Inspector General, Office of                   (d) As a general matter, information
                                                      permanent residents, and records on                      General Counsel, Washington, DC                       access requests are processed in the
                                                      Department employees. Further                            20520–0308, ATTN: FOIA officer. In                    order in which they are received.
                                                      information on the types of records                      addition, FOIA requests seeking OIG                   However, if the request is specific and
                                                      maintained by the Department may be                      records may be submitted via email to                 the search can be narrowed, it may be
                                                      obtained by reviewing the Department’s                   oigfoia@state.gov, which is preferred.                processed more quickly. Additionally,
                                                      records disposition schedules, which                     PA requests are accepted by mail only.                FOIA requests granted expedited
                                                      are available on the Department’s Web                    Guidance is available on the OIG’s Web                processing will be placed in the
                                                      site at www.foia.state.gov.                              site: oig.state.gov/foia/index.htm.                   expedited processing queue (see section
                                                                                                                  (3) All other requests for other                   171.11(f) of this Part for more
                                                      § 171.3 Records available on the                         Department records must be submitted                  information). Multi-tracking of FOIA
                                                      Department’s Web site.                                   to the Office of Information Programs                 requests is also used to manage requests
                                                         Information that is required to be                    and Services by one of the means noted                (see section 171.11(h)).
                                                      published in the Federal Register under                  above. The Office of Information
                                                      5 U.S.C. 552(a)(1) is regularly updated                  Programs and Services, the Law                        § 171.5    Archival records.
                                                      by the Department and found on its                       Enforcement Liaison Division of the                     The Department ordinarily transfers
                                                      public Web site: www.state.gov. Records                  Office of Passport Services, and the OIG              records designated as historically
                                                      that are required by the FOIA to be                      are the only Department components                    significant to the National Archives
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                                                      made available for public inspection                     authorized to accept FOIA requests                    when they are 25 years old.
                                                      and copying under 5 U.S.C. 552(a)(2)                     submitted to the Department.                          Accordingly, requests for some
                                                      also are available on the Department’s                      (4) Providing the specific citation to             Department records 25 years old or
                                                      public Web site. Included on the                         the statute under which a requester is                older should be submitted to the
                                                      Department’s FOIA home page,                             requesting information will facilitate the            National Archives by mail addressed to
                                                      www.foia.state.gov, are links to other                   processing of the request by the                      Special Access and FOIA Staff
                                                      sites where Department information                       Department. The Department                            (NWCTF), 8601 Adelphi Road, Room
                                                      may be available, links to the                           automatically processes requests for                  5500, College Park, MD 20740; by fax to
                                                      Department’s PA systems of records,                      information maintained in a PA system                 (301) 837–1864; or by email to


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                                                                               Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules                                           44901

                                                      specialaccess_foia@nara.gov. The                            (1) Control means the Department’s                 applicable fees up to $25, unless a fee
                                                      Department’s Web site,                                   legal authority over a record, taking into            waiver is granted. IPS will confirm this
                                                      www.foia.state.gov, has additional                       account the ability of the Department to              agreement in an acknowledgement
                                                      information regarding archival records.                  use and dispose of the record, the intent             letter. When making a request, the
                                                                                                               of the record’s creator to retain or                  requester may specify a willingness to
                                                      Subpart B—Freedom of Information                         relinquish control over the record, the               pay a greater or lesser amount. If the
                                                      Act Provisions                                           extent to which Department personnel                  Department determines that costs and
                                                                                                               have read or relied upon the record, and              fees will exceed the amount agreed to by
                                                      § 171.10   Purpose and scope.
                                                                                                               the degree to which the record has been               the requester, the Department shall
                                                        This subpart contains the rules that                   integrated into the Department’s record-              inform the requester of estimated fees
                                                      the Department follows under the                         keeping systems or files.                             and process up to the amount of the
                                                      Freedom of Information Act (FOIA), 5                        (2) Urgently needed information. The               original agreement, unless a new
                                                      U.S.C. 552, as amended. The rules                        information has a particular value that               agreement is made.
                                                      should be read together with the FOIA,                   will be lost if not disseminated quickly.                (e) Receipt of request. The Department
                                                      which provides additional information                    Ordinarily this means a breaking news                 is in receipt of a request when it reaches
                                                      about access to records and contains the                 story of general public interest.                     IPS, OIG, or PPT, depending on which
                                                      specific exemptions that are applicable                  Information of historical interest only or            office is the intended recipient. At that
                                                      to withholding information, the                          information sought for litigation or                  time, the Department (IPS, OIG, or PPT)
                                                      Uniform Freedom of Information Fee                       commercial activities would not                       has 20 working days in which to
                                                      Schedule and Guidelines published by                     generally qualify, nor would a news                   determine whether to comply with a
                                                      the Office of Management and Budget                      media publication or broadcast deadline               perfected request. Regardless of which
                                                      (OMB Guidelines), and information                        unrelated to the breaking nature of the               of the three offices authorized to receive
                                                      located at www.foia.state.gov. The                       story.                                                FOIA requests receives the request
                                                      Department processes records                                (3) Actual or alleged Federal                      (whether IPS, OIG, or PPT), the
                                                      maintained in a Privacy Act (PA) system                  government activity. The information                  Department shall have no more than 10
                                                      of records that are determined to be                     concerns actual or alleged actions taken              working days to direct a request to the
                                                      exempt from disclosure under the PA                      or contemplated by the government of                  appropriate office (whether IPS, OIG, or
                                                      under the FOIA as well. As a result,                     the United States, or by one of its                   PPT), at which time the 20-day limit for
                                                      requests that seek such records are also                 components or agencies, including the                 responding to the request will
                                                      subject to this subpart.                                 Congress.                                             commence. The 20-day period shall not
                                                                                                                  (4) Unusual circumstances means:                   be tolled by the Department except:
                                                      § 171.11   Processing requests.                             (i) The need to search for and collect                (1) The Department may make one
                                                                                                               the requested records from Foreign                    request to the requester for clarifying
                                                        (a) In general. The Director of the
                                                                                                               Service posts or Department offices                   information and toll the 20-day period
                                                      Office of Information Programs and
                                                                                                               other than IPS; (ii) the need to search               while waiting for the requester’s
                                                      Services (IPS) is responsible for initial
                                                                                                               for, collect, and appropriately examine               response; or
                                                      action on all FOIA requests for
                                                                                                               a voluminous amount of distinct                          (2) If necessary to clarify with the
                                                      Department records with two
                                                                                                               records; or                                           requester issues regarding fees. In either
                                                      exceptions: Requests submitted directly                     (iii) The need to consult with another
                                                      to the Office of Inspector General (OIG),                                                                      case, the Department’s receipt of the
                                                                                                               agency or other agencies that has/have                information from the requester ends the
                                                      which receives and processes requests                    a substantial interest in the records, or
                                                      for OIG records; and the Office of                                                                             tolling period.
                                                                                                               among two or more Department                             (f) Expedited processing. Requests
                                                      Passport Services in the Bureau of                       components that have a substantial
                                                      Consular Affairs (PPT), which receives                                                                         shall receive expedited processing when
                                                                                                               subject-matter interest therein. In the               a requester demonstrates that a
                                                      and processes requests for passport                      majority of requests received by the
                                                      records (see section 171.4(a)). Once                                                                           ‘‘compelling need’’ for the information
                                                                                                               Department unusual circumstances exist                exists. A ‘‘compelling need’’ is deemed
                                                      received by IPS, all requests for records                due to the need to search in multiple
                                                      coming under the jurisdiction of the                                                                           to exist where the requester can
                                                                                                               bureaus/offices/posts located around the              demonstrate one of the following:
                                                      following bureaus or offices are                         globe.                                                   (1) Failure to obtain requested
                                                      processed by those bureaus, although                        (c) Form of request and response. A                information on an expedited basis could
                                                      IPS may provide review and                               requester may ask for any information                 reasonably be expected to pose an
                                                      coordination support to these bureaus/                   he or she believes the Department has                 imminent threat to the life or physical
                                                      offices in some situations: The Bureau                   in its possession or control. The                     safety of an individual.
                                                      of Consular Affairs’ Office of Visa                      requester must describe the records                      (2) The information is urgently
                                                      Services, Office of Passport Services                    sought in sufficient detail to enable                 needed by an individual primarily
                                                      (except for information identified in                    Department personnel to locate them                   engaged in disseminating information in
                                                      171.4(a)), and Office of Overseas                        with a reasonable amount of effort. The               order to inform the public concerning
                                                      Citizens Services; the Bureau of                         more specific the information the                     actual or alleged Federal government
                                                      Diplomatic Security; the Bureau of                       requester furnishes, the more likely that             activity. Requesters must demonstrate
                                                      Human Resources; the Office of Medical                   Department personnel will be able to                  that their primary activity involves
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                                                      Services; and the Foreign Service                        locate responsive records if they exist.              publishing or otherwise disseminating
                                                      Grievance Board (FSGB). Additionally,                    Any records provided in response to a                 information to the public in general, not
                                                      the FSGB, as an independent body,                        request shall be provided in the form or              just to a particular segment or group.
                                                      processes all FOIA requests seeking                      format requested if the records are                      (3) Failure to release the information
                                                      access to its records and responds                       readily reproducible in that form or                  would impair substantial due process
                                                      directly to requesters.                                  format.                                               rights or harm substantial humanitarian
                                                        (b) Definitions. The following                            (d) Agreement to pay fees. By making               interests.
                                                      definitions apply for purposes of this                   a FOIA request, the requester shall be                   (4) A request for expedited processing
                                                      section:                                                 considered to have agreed to pay all                  may be made at the time of the initial


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                                                      44902                    Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules

                                                      request for records or at any later time.                of initiation of the search for responsive            FOIA—(1) First-party requests. A first-
                                                      The request for expedited processing                     records, unless the requester has                     party request is one that seeks access to
                                                      shall set forth with specificity the facts               specified an earlier cut-off date.                    information pertaining to the person
                                                      on which the request is based. A notice                    (k) Electronic records. Information                 making the request.
                                                      of the determination whether to grant                    maintained in electronic form shall be                   (2) Verification of personal identity.
                                                      expedited processing shall be provided                   searched and compiled in response to a                To protect the personal information
                                                      to the requester within 10 calendar days                 request unless such search and                        found in its files, the Department
                                                      of the date of the receipt of the request                compilation would significantly                       recommends that first-party requesters
                                                      in the appropriate office (whether IPS,                  interfere with the operation of the                   provide the following information so
                                                      OIG, or PPT). A denial of a request for                  Department’s automated information                    that the Department can ensure that
                                                      expedited processing may be appealed                     systems.                                              records are disclosed only to the proper
                                                      to the Director of IPS within 30 calendar                  (l) Segregation of records. The                     persons: The requester’s full name,
                                                      days of the date of the Department’s                     Department will release any reasonably                current address, citizenship or legal
                                                      letter denying the request. A decision in                segregable portion of a record after                  permanent resident alien status, and
                                                      writing on the appeal will be issued                     redaction of the exempt portions. The                 date and place of birth (city, state, and
                                                      within 10 calendar days of the receipt                   amount of information redacted and the                country). A first-party request should be
                                                      of the appeal. See section 171.4 of this                 exemption under which the redaction is                signed, and the requester’s signature
                                                      subpart for contact information.                         made shall be indicated on the released               should be either notarized or made
                                                         (g) Time limits. The statutory time                   portion of the record unless including                under penalty of perjury pursuant to 28
                                                      limit for responding to a FOIA request                   that indication would harm an interest                U.S.C. 1746 as a substitute for
                                                      or to an appeal from a denial of a FOIA                  protected by the exemption. If                        notarization.
                                                      request is 20 working days. Whenever                     technically feasible, the amount of                      (3) Third-party requests. A third-party
                                                      the statutory time limit for processing a                information redacted and the exemption                request is one that seeks access to
                                                      request cannot be met because of                         under which the redaction is made shall               information pertaining to a third party
                                                      ‘‘unusual circumstances’’ as defined in                  be indicated at the place in the record               (i.e., an individual other than the person
                                                      the FOIA, and the Department extends                     where the redaction was made.                         submitting the request). A third-party
                                                      the time limit on that basis, the                          (m) Referrals and consultations. (1) If
                                                                                                                                                                     requester who is the legal representative
                                                      Department shall, before expiration of                   the Department determines that records
                                                                                                                                                                     of another person covered under the PA,
                                                      the 20-day period to respond, notify the                 retrieved as responsive to the request
                                                                                                                                                                     and submits all requirements under
                                                      requester in writing of the unusual                      were created by another agency, it
                                                                                                                                                                     subpart C, will be treated as a first-party
                                                      circumstances involved and of the date                   ordinarily will refer the records to the
                                                                                                                                                                     requester.
                                                      by which processing of the request can                   originating agency for direct response to
                                                                                                                                                                        (i) A third-party requester may receive
                                                      be expected to be completed. See 22                      the requester. If the Department
                                                                                                                                                                     greater access to requested information
                                                      CFR 171.11(b)(4). Where the extension                    determines that Department records
                                                                                                                                                                     by submitting information about the
                                                      exceeds 10 working days, the                             retrieved as responsive to the request
                                                                                                                                                                     subject of the request that is set forth in
                                                      Department shall, as described by the                    are of interest to another agency, it may
                                                                                                                                                                     subsection 171.11(n)(1), and providing
                                                      FOIA, provide the requester with an                      consult with the other agency before
                                                                                                                                                                     proof that that third party is deceased or
                                                      opportunity to modify the request or                     responding to the request.
                                                                                                                 (2) Whenever the Department refers                  the third party’s authorization to the
                                                      arrange an alternative time period for
                                                      processing. The Department shall make                    any part of the responsibility for                    Department to release information about
                                                      available its designated FOIA contact                    responding to a request to another                    him- or herself to the requester. The
                                                      and its FOIA Public Liaison for this                     agency, it shall document the referral,               third-party authorization: Should take
                                                      purpose.                                                 maintain a copy of the record that it                 one of the following forms:
                                                         (h) Multi-track processing. The                       refers, and notify the requester of the                  (ii) A signed and notarized
                                                      Department uses three processing tracks                  referral.                                             authorization by the third party; or
                                                      by distinguishing between simple and                       (3) Agreements regarding                               (iii) A declaration by the third party
                                                      more complex requests based on the                       consultations and referrals. The                      made in compliance with the
                                                      amount of work and/or time needed to                     Department may make agreements with                   requirements set forth in 28 U.S.C. 1746
                                                      process the request. The Department                      other agencies to eliminate the need for              authorizing disclosure pertaining to the
                                                      also uses a processing track for requests                consultations or referrals for particular             third party to the requester. The third-
                                                      in which the Department has granted                      types of records.                                     party authorization or declaration
                                                      expedited processing. The Department                       (4) The Department will make efforts                should be dated within six months of
                                                      may provide requesters in a slower track                 to handle referrals and consultations                 the date of the request. In addition, the
                                                      an opportunity to limit the scope of                     according to the date that the referring              Department’s Certification of Identity
                                                      their request in order to qualify for                    agency initially received the FOIA                    form, DS–4240, can be used to provide
                                                      faster processing.                                       request .                                             authorization from a third party.
                                                         (i) Tracking requests. Requesters may                   (5) The standard referral procedure is                 (iv) Please note that if a requester is
                                                      contact IPS using the individualized                     not appropriate where disclosure of the               seeking information about a third party
                                                      tracking number provided to the                          identity of the agency to which the                   and the information is located in a PA
                                                      requester in the acknowledgment letter,                  referral would be made could harm an                  system of records, the requester should
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                                                      and the Department will provide, at a                    interest protected by an applicable                   review subpart C of this section. By
                                                      minimum, information indicating the                      exemption, such as the exemptions that                providing verification of identity and
                                                      date on which the agency received the                    protect personal privacy or national                  authorization under that subpart, the
                                                      request and an estimated date for                        security interests. In such instances, the            third party is treated as a first party for
                                                      completion.                                              Department will coordinate with the                   processing purposes. Without providing
                                                         (j) Cut-off date. In determining which                originating agency to seek its views on               the required information listed in that
                                                      records are responsive to a request, the                 the disclosability of the record(s).                  subpart, the request will still be
                                                      Department ordinarily will include only                    (n) Requests for information about                  processed under the FOIA procedures in
                                                      records in its possession as of the date                 individuals to be processed under the                 subpart B.


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                                                                               Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules                                            44903

                                                         (4) Requests for visa information.                    intellectual information obtained by the              FOIA) or by a regulation issued in
                                                      According to the Immigration and                         Department from a submitter that may                  accordance with the requirements of
                                                      Nationality Act, 222(f) (8 U.S.C.                        be exempt from disclosure as privileged               Executive Order 12600; or
                                                      1202(f)), the records of the Department                  or confidential under Exemption 4 of                     (4) The designation made by the
                                                      of State and of diplomatic and consular                  the FOIA.                                             submitter under paragraph (b) of this
                                                      offices of the United States pertaining to                  (2) Submitter means any person or                  section appears obviously frivolous,
                                                      the issuance or refusal of visas or                      entity from which the Department                      except that, in such a case, the
                                                      permits to enter the United States shall                 obtains business information, directly or             Department shall, within a reasonable
                                                      be considered confidential and shall be                  indirectly. The term includes                         time prior to a specified disclosure date,
                                                      used only for the formulation,                           corporations, partnerships, and sole                  give the submitter written notice of any
                                                      amendment, administration, or                            proprietorships; state, local, and tribal             final decision to disclose the
                                                      enforcement of the immigration,                          governments; foreign governments,                     information.
                                                      nationality, and other laws of the United                NGOs and educational institutions.                       (f) Opportunity to object to disclosure.
                                                      States. Other information found in the                      (b) Designation of business                        The Department will allow a submitter
                                                      visa file, such as information submitted                 information. A submitter of information               a reasonable time to respond to the
                                                      as part of the application and                           must use good-faith efforts to designate,             notice described in paragraph (c) of this
                                                      information not falling within section                   by appropriate markings, either at the                section and will specify that time period
                                                      222(f) or another FOIA exemption may                     time of submission or at a reasonable                 in the notice. If a submitter has any
                                                      be provided. In order to provide more                    time thereafter, any portions of its                  objections to disclosure, it should
                                                      information to requesters seeking visa                   submission that it considers exempt                   provide the component a detailed
                                                      records, the following information                       from disclosure under FOIA Exemption                  written statement that specifies all
                                                      should be provided with the FOIA                         4. These designations will expire ten                 grounds for withholding the particular
                                                      request for both the petitioner and the                  years after the date of the submission                information under any exemption of the
                                                      beneficiary: Full name, as well as any                   unless the submitter requests, and                    FOIA. In order to rely on Exemption 4
                                                      aliases used; current address; date and                  provides justification for, a longer                  as basis for nondisclosure, the submitter
                                                      place of birth (including city, state, and               designation period.                                   must explain why the information
                                                      country); the type of visa (immigrant or                    (c) Notice to submitters. The                      constitutes a trade secret or commercial
                                                      non-immigrant); the country and                          Department shall provide a submitter                  or financial information that is
                                                      Foreign Service post where the visa                      with prompt written notice of a FOIA                  privileged or confidential. In the event
                                                      application was made; when the visa                      request that seeks its business                       that a submitter fails to respond to the
                                                      application was made; and whether the                    information, or of an administrative                  notice within the time specified in it,
                                                      visa application was granted or denied;                  appeal of a denial of such a request,                 the submitter will be considered to have
                                                      and if denied, on what grounds.                          whenever required under paragraph (d)                 no objection to disclosure of the
                                                      Providing additional information                         of this section, except as provided in                information. Information provided by a
                                                      regarding the records sought will assist                 paragraph (e) of this section, in order to            submitter under this paragraph may
                                                      the Department in properly identifying                   give the submitter an opportunity to                  itself be subject to disclosure under the
                                                      the responsive records and in                            object to disclosure of any specified                 FOIA.
                                                      processing the request. In order to gain                 portion of that information under                        (g) Notice of intent to disclose. The
                                                      maximum access to any visa records                       paragraph (f) of this section. The notice             Department shall consider a submitter’s
                                                      that exist, attorneys or other legal                     shall either describe the information                 objections and specific grounds for
                                                      representatives requesting visa                          requested or include copies of the                    nondisclosure in deciding whether to
                                                      information on behalf of a represented                   requested records or record portions                  disclose business information.
                                                      individual should submit a statement                     containing the business information.                  Whenever the Department decides to
                                                      signed by both the petitioner and the                       (d) When notice is required. Notice                disclose business information over the
                                                      beneficiary authorizing release of the                   shall be given to a submitter whenever:               objection of a submitter, it shall give the
                                                      requested visa information to the                           (1) The information has been                       submitter written notice, which shall
                                                      representative. Alternatively, the                       designated in good faith by the                       include:
                                                      Department’s form, DS–4240, may be                       submitter as information considered                      (1) A statement of the reason(s) why
                                                      used to certify the identity of the                      exempt from disclosure under                          each of the submitter’s disclosure
                                                      requester and to provide authorization                   Exemption 4; or                                       objections was not sustained;
                                                      from the petitioner and the beneficiary                     (2) The Department has reason to                      (2) A description of the business
                                                      to release the requested information to                  believe that the information may be                   information to be disclosed; and
                                                      the legal representative. Forms created                  exempt from disclosure under                             (3) A specified disclosure date, which
                                                      by other Federal agencies will not be                    Exemption 4, but has not yet                          shall be a reasonable time subsequent to
                                                      accepted.                                                determined whether the information is                 the notice.
                                                         (5) Requests for passport records: All                protected from disclosure under that                     (h) Notice of lawsuit. Whenever a
                                                      passport records requests must meet the                  exemption or any other applicable                     requester files a lawsuit seeking to
                                                      requirements found in subpart C,                         exemption.                                            compel the disclosure of business
                                                      section 171.22(d). If the PA                                (e) When notice is not required. The               information, the Department shall
                                                                                                                                                                     promptly notify the submitter.
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                                                      requirements are not met, the requests                   notice requirements of paragraphs (c)
                                                      will be processed under this subpart                     and (d) of this section shall not apply if:              (i) Notice to requester. Whenever the
                                                      and access may be limited.                                  (1) The Department determines that                 Department provides a submitter with
                                                                                                               the information is exempt from                        notice and an opportunity to object to
                                                      § 171.12   Business information.                         disclosure;                                           disclosure under paragraph (f) of this
                                                        (a) Definitions. The following                            (2) The information lawfully has been              section, the Department shall also notify
                                                      definitions apply for purposes of this                   published or has been officially made                 the requester. Whenever the Department
                                                      section:                                                 available to the public;                              notifies a submitter of its intent to
                                                        (1) Business information means                            (3) Disclosure of the information is               disclose requested business information
                                                      commercial or financial or proprietary                   required by statute (other than the                   under paragraph (g) of this section, the


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                                                      44904                    Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules

                                                      Department shall also notify the                         § 171.14   Fees to be charged.                        be granted if the requester can
                                                      requester. Whenever a submitter files a                     (a) In general. The Department shall               demonstrate that certain statutory
                                                      lawsuit seeking to prevent the                           charge fees that recoup the full                      standards are satisfied. There are three
                                                      disclosure of business information, the                  allowable direct costs it incurs in                   categories of requesters: Commercial use
                                                      Department shall notify the requester.                   processing a FOIA request in                          requesters, distinct subcategories of
                                                                                                               accordance with the provisions of this                non-commercial requesters (educational
                                                      § 171.13 Appeal of denial of request for                                                                       and non-commercial scientific
                                                                                                               part and with the OMB Guidelines. It
                                                      records.
                                                                                                               shall use the most efficient and least                institutions, representatives of the news
                                                         (a) Any denial, in whole or in part, of               costly methods to comply with requests                media), and all other requesters.
                                                      a request for Department records under                   for records made under the FOIA. The                     (i) A commercial use requester is a
                                                      the FOIA may be administratively                         Department will not charge fees to any                person or entity who seeks information
                                                      appealed to the Appeals Review Panel                     requester, including commercial use                   for a use or purpose that furthers the
                                                      of the Department. This appeal right                     requesters, if the cost of collecting a fee           commercial, trade, or profit interest of
                                                      includes the right to appeal the                         would be equal to or greater than the fee             the requester or the person on whose
                                                      determination that no records                            itself.                                               behalf the request is made. In
                                                      responsive to the request exist in                          (b) Definitions. The following                     determining whether a requester
                                                      Department files. Appeals must be                        definitions apply for purposes of this                belongs within this category, the
                                                      postmarked within 60 calendar days of                    section:                                              Department will look at the way in
                                                      the date of the Department’s denial                         (1) Direct costs are those costs the               which the requester intends to use the
                                                      letter and sent to: Appeals Officer,                     Department incurs in searching for,                   information requested. Commercial use
                                                      Appeals Review Panel, Office of                          duplicating, and, in the case of                      requesters will be charged for search
                                                      Information Programs and Services, at                    commercial use requests, reviewing                    time, review time, and duplication in
                                                      the address set forth in section 171.4 of                records in response to a FOIA request.                connection with processing their
                                                      this part, or faxed to (202) 261–8571.                   The term does not include overhead                    requests.
                                                      The time limit for a response to an                      expenses.                                                (ii) Distinct subcategories of non-
                                                      appeal is 20 working days, which may                        (2) Search costs are those costs the               commercial requesters.
                                                      be extended in unusual circumstances,                    Department incurs in looking for,                        (A) An educational institution
                                                      as defined in 171.11(b). The time limit                  identifying, and retrieving material, in              requester is a person or entity who
                                                      begins to run on the day the appeal is                   paper or electronic form, that is                     submits a request under the authority of
                                                      received by IPS.                                         potentially responsive to a request. The              a school that operates a program of
                                                         (b) Requesters may decide to litigate                 Department shall attempt to ensure that               scholarly research. A requester in this
                                                      a request that is in the appeal stage.                   searching for material is done in the                 category must show that the records are
                                                      Once a summons and complaint is                          most efficient and least expensive                    not sought for a commercial use and are
                                                      received by the Department in                            manner so as to minimize costs for both               not intended to promote any particular
                                                      connection with a particular request, the                the Department and the requester. The                 product or industry, but rather are
                                                      Department will administratively close                   Department may charge for time spent                  sought to further scholarly research of
                                                      any open appeal regarding such request.                  searching even if it does not locate any              the institution. A signed letter from the
                                                         (c) Requesters should submit an                       responsive record, or if it withholds the             chairperson on an institution’s
                                                      administrative appeal, to IPS at the                     record(s) located as entirely exempt                  letterhead is presumed to be from an
                                                      above address, of any denial, in whole                   from disclosure. Further information on               educational institution. A student
                                                      or in part, of a request for access to                   current search fees is available by                   seeking inclusion in this subcategory
                                                      FSGB records under the FOIA. IPS will                    visiting the FOIA home page at                        who makes a request in furtherance of
                                                      assign a tracking number to the appeal                   www.foia.state.gov and reviewing the                  the completion of a course of instruction
                                                      and forward it to the FSGB, which is an                  Information Access Guide.                             is carrying out an individual research
                                                      independent body, for adjudication.                         (3) Duplication costs are those costs              goal and does not qualify as an
                                                         (d) Decisions on appeals. A decision                  the Department incurs in reproducing a                educational institution requester. See
                                                      on an appeal must be made in writing.                    requested record in a form appropriate                OMB Fee Guidelines, 52 FR at 10014.
                                                      A decision that upholds the                              for release in response to a FOIA                     Educational institution requesters will
                                                      Department’s determination will                          request.                                              not be charged for search and review
                                                      contain a statement that identifies the                     (4) Review costs are those costs the               time, and the first 100 pages of
                                                      reasons for the affirmance, including                    Department incurs in examining a                      duplication will be provided free of
                                                      any FOIA and Privacy Act exemptions                      record to determine whether and to                    charge.
                                                      applied. The decision will provide the                   what extent the record is responsive to                  (1) Example 1. A request from a
                                                      requester with notification of the                       a FOIA request and the extent to which                professor of geology at a university for
                                                      statutory right to file a lawsuit and will               it may be disclosed to the requester,                 records relating to soil erosion, written
                                                      inform the requester of the mediation                    including the page-by-page or line-by-                on letterhead of the Department of
                                                      services offered by the Office of                        line review of material within records.               Geology, would be presumed to be from
                                                      Government Information Services of the                   It does not include the costs of resolving            an educational institution.
                                                      National Archives and Records                            general legal or policy issues that may                  (2) Example 2. A request from the
                                                      Administration as a non-exclusive                        be raised by a request.                               same professor of geology seeking drug
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                                                      alternative to litigation. If the                           (5) Categories of requesters.                      information from the Food and Drug
                                                      Department’s decision is remanded or                     ’’Requester fee category’’ means one of               Administration in furtherance of a
                                                      modified on appeal, the requester will                   the categories in which a requester will              murder mystery he is writing would not
                                                      be notified of that determination in                     be placed for the purpose of                          be presumed to be an institutional
                                                      writing. The Department will thereafter                  determining whether the requester will                request, regardless of whether it was
                                                      further process the request in                           be charged fees for search, review, and               written on institutional stationery.
                                                      accordance with that appeal                              duplication. ‘‘Fee waiver’’ (see section                 (B) A non-commercial scientific
                                                      determination and respond directly to                    171.16 of this subpart) means the waiver              institution requester is a person or entity
                                                      the requester.                                           or reduction of processing fees that may              that submits a request on behalf of an


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                                                                               Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules                                             44905

                                                      institution that is not operated on a                    a specific exemption to a particular                  received by the Department within the
                                                      ‘‘commercial’’ basis and that is operated                record or portion of a record                         thirty-day grace period, even if not
                                                      solely for the purpose of conducting                        (f) Duplication of records. Paper                  processed, shall stay the accrual of
                                                      scientific research, the results of which                copies of records shall be duplicated at              interest. Interest will be at the rate
                                                      are not intended to promote any                          a rate of $0.15 per page. Other charges               prescribed in 31 U.S.C. 3717 and shall
                                                      particular product or industry. Non-                     may apply depending on the type of                    accrue from the date of the billing.
                                                      commercial scientific institution                        production required. Where paper                         (b) Charges for unsuccessful search or
                                                      requesters will not be charged for search                documents must be scanned in order to                 if records are withheld. The Department
                                                      and review time, and the first 100 pages                 comply with a requester’s preference to               may assess charges for time spent
                                                      of duplication will be provided free of                  receive the records in an electronic                  searching, even if it fails to locate the
                                                      charge.                                                  format, the requester shall pay the direct            records or if the records located are
                                                         (C) A representative of the news                      costs associated with scanning those                  determined to be exempt from
                                                      media is any person or entity that                       materials. For other forms of                         disclosure.
                                                      gathers information of potential interest                duplication, the Department shall                        (c) Advance payment. The
                                                      to a segment of the public, uses its                     charge the direct costs.                              Department may not require a requester
                                                      editorial skills to turn the raw materials                  (g) Other charges. The Department                  to make an advance payment, i.e.,
                                                      into a distinct work, and distributes that               shall recover the full costs of providing             payment before work is commenced or
                                                      work to an audience. The term news                       services such as those below:                         continued on a request, unless:
                                                      means information that is about current                     (1) Sending records by special                        (1) It estimates or determines that
                                                      events or that would be of current                       methods such as express mail, overnight               allowable charges that a requester may
                                                      interest to the public. News media                       courier, etc.                                         be required to pay are likely to exceed
                                                      include television or radio stations                        (2) Providing records to a requester in            $250. In such a case, the Department
                                                      broadcasting to the public at large and                  a special format.                                     shall notify the requester of the likely
                                                      publishers of periodicals (but only in                      (3) Providing duplicate copies of                  cost and obtain satisfactory assurance of
                                                      those instances when they can qualify                    records already produced to the same                  full payment where the requester has a
                                                      as disseminators of ‘‘news’’) who make                   requester in response to the same                     history of prompt payment of FOIA fees,
                                                      their products available to the general                  request.                                              or shall, in its discretion, require an
                                                      public. ‘‘Freelance’’ journalists shall be                  (h) Payment. Fees shall be paid by                 advance payment of an amount up to
                                                      regarded as working for a news media                     either personal check or bank draft                   the full estimated charges in the case of
                                                      entity if they can demonstrate a solid                   drawn on a bank in the United States,                 requesters with no history of payment;
                                                      basis for expecting publication through                  or a postal money order. Remittances                  or
                                                      that entity, such as by a contract or past               shall be made payable to the order of the                (2) A requester has previously failed
                                                      publication record. These examples are                   Treasury of the United States and                     to pay an assessed fee within 30 days of
                                                      not all-inclusive. A representative of the               mailed to the Office of Information                   the date of its billing. In such a case, the
                                                      news media will not be charged for                       Programs and Services, U.S. Department                Department shall require the requester
                                                      search and review time, and the first                    of State, State Annex 2 (SA–2), 515                   to pay the full amount previously owed
                                                      100 pages of duplication will be                         22nd Street NW., Washington, DC,                      plus any applicable interest and to make
                                                      provided free of charge.                                 20522–8100. A receipt for fees paid will              an advance payment of the full amount
                                                         (iii) All other requesters are persons or             be given upon request.                                of the estimated fee before the
                                                      entities that do not fall into the                          (i) When certain fees are not charged.             Department begins to process a new or
                                                      requester categories defined above. All                  The Department shall not charge search                pending request from that requester.
                                                      other requesters will be provided the                    fees (or in the case of educational and                  (3) If a requester has failed to pay a
                                                      first two hours of search time and the                   non-commercial scientific institutions                fee properly charged by another U.S.
                                                      first 100 pages of duplication free of                   or representatives of the news media,                 government agency in a FOIA case, the
                                                      charge, and will not be charged for                      duplication fees) when the Department                 Department may require proof that such
                                                      review time.                                             fails to comply with any time limit                   fee has been paid before processing a
                                                         (c) Searches for responsive records.                  under 5 U.S.C. 552(a)(6), unless unusual              new or pending request from that
                                                      The Department charges the estimated                     circumstances (see section 171.11(b) of               requester.
                                                      direct cost of each search based on the                  this subpart) or exceptional                             (4) When the Department acts under
                                                      average current salary rates of the                      circumstances exist. Exceptional                      paragraph (c)(1) or (2) of this section,
                                                      categories of personnel doing the                        circumstances cannot include a delay                  the administrative time limits
                                                      searches. Updated search and review                      that results from a predictable agency                prescribed in the FOIA, 5 U.S.C.
                                                      fees are available at www.foia.state.gov                 workload of requests unless the agency                552(a)(6) (i.e., 20 working days from
                                                         (d) Manual (paper) and computer                       demonstrates reasonable progress in                   receipt of initial requests and 20
                                                      searches. For both manual and                            reducing its backlog of pending                       working days from receipt of appeals,
                                                      computer searches, the Department                        requests. See 5 U.S.C. 552(a)(6)(C).                  plus permissible extensions of these
                                                      shall charge the estimated direct cost of                Apart from the stated provisions                      time limits), will begin only after the
                                                      each search based on the average                         regarding waiver or reduction of fees,                Department has received fee payments
                                                      current salary rates of the categories of                see 22 CFR 171.16, the Department                     described in paragraphs (c)(1) and (c)(2)
                                                      personnel doing the searches.                                                                                  of this section.
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                                                                                                               retains the administrative discretion to
                                                         (e) Review of records. Only requesters                not assess fees if it is in the best                     (d) Aggregating requests. When the
                                                      who are seeking records for commercial                   interests of the government to do so.                 Department reasonably believes that a
                                                      use may be charged for time spent                                                                              requester, or a group of requesters acting
                                                      reviewing records to determine whether                   § 171.15   Miscellaneous fee provisions.              in concert, has submitted multiple
                                                      they are responsive, and if so,                            (a) Charging interest. The Department               requests involving related matters solely
                                                      releasable. Charges may be assessed for                  shall begin assessing interest charges on             to avoid payment of fees, the
                                                      the initial review only, i.e., the review                an unpaid bill starting on the 31st day               Department may aggregate those
                                                      undertaken the first time the                            following the day on which the bill was               requests for purposes of assessing
                                                      Department analyzes the applicability of                 sent. The fact that a fee has been                    processing fees.


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                                                      44906                    Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules

                                                        (e) Effect of the Debt Collection Act of                  (2) In order to determine whether                  LA, U.S. Department of State,
                                                      1982, as amended. The Department                         disclosure of the information is not                  Washington, DC 20522–8100, or at (202)
                                                      shall comply with provisions of the                      primarily in the commercial interest of               261–8484. Requesters may contact OGIS
                                                      Debt Collection Act, including                           the requester, the Department will                    at Office of Government Information
                                                      disclosure to consumer reporting                         consider the following factors:                       Services (OGIS), National Archives and
                                                      agencies and use of collection agencies,                    (i) The existence and magnitude of a               Records Administration, 8601 Adelphi
                                                      where appropriate, to effect repayment.                  commercial interest, i.e., whether the                Road, College Park, MD 20740–6001; at
                                                        (f) Itemization of charges. The                        requester has a commercial interest that              ogis@nara.gov; and at (202) 741–5770,
                                                      Department shall, where possible,                        would be furthered by the requested                   or toll-free at (877) 684–6448.
                                                      provide the requester with a breakdown                   disclosure; and, if so,
                                                      of fees charged indicating how much of                      (ii) The primary interest in disclosure,           § 171.18    Preservation of records
                                                      the total charge is for search, review,                  i.e., whether disclosure is primarily in                 The Department shall preserve all
                                                      and/or duplication for each specific                     the commercial interest of the requester.             correspondence pertaining to the
                                                      request.                                                    (iii) Requests for purposes of writing             requests that it receives under this
                                                                                                               a book, an article, or other publication              subpart, as well as copies of all
                                                      § 171.16   Waiver or reduction of fees.                  will not be considered a commercial                   requested records, until disposition or
                                                         (a) Fees otherwise chargeable in                      purpose.                                              destruction is authorized pursuant to
                                                      connection with a request for disclosure                    (b) The Department may refuse to                   title 44 of the United States Code or the
                                                      of a record shall be waived or reduced                   consider waiver or reduction of fees for              General Records Schedule 14 of the
                                                      where the requester seeks a waiver or                    requesters from whom unpaid fees                      National Archives and Records
                                                      reduction of fees and the Department                     remain owed to the Department for                     Administration. Records shall not be
                                                      determines, in its discretion, that                      another FOIA request.                                 disposed of or destroyed while they are
                                                      disclosure is in the public interest                        (c) Where only some of the records to              the subject of a pending request, appeal,
                                                      because it is likely to contribute                       be released satisfy the requirements for              or lawsuit under the FOIA.
                                                      significantly to public understanding of                 a waiver or reduction of fees, a waiver
                                                      the operations or activities of the                      or reduction shall be granted for only                Subpart C—Privacy Act Provisions
                                                      government and is not primarily in the                   those records.
                                                      commercial interest of the requester.                       (d) Requests for a waiver or reduction             § 171.20    Purpose and scope.
                                                         (1) In deciding whether disclosure of                 of fees should be made when the request                 This subpart contains the rules that
                                                      the requested information is in the                      is first submitted to the Department and              the Department follows under the
                                                      public interest because it is likely to                  should address the criteria referenced                Privacy Act of 1974 (PA), 5 U.S.C. 552a,
                                                      contribute significantly to public                       above. A requester may submit a fee                   as amended. These rules should be read
                                                      understanding of operations or activities                waiver request at a later time so long as             together with the text of the statute,
                                                      of the government, the Department shall                  the underlying record request is                      which provides additional information
                                                      consider all four of the following                       pending or on administrative appeal.                  about records maintained on
                                                      factors:                                                 When a requester who has committed to                 individuals. The rules in this subpart
                                                         (i) The subject of the request must                   pay fees subsequently asks for a waiver               apply to all records in systems of
                                                      concern identifiable operations or                       of those fees and that waiver is denied,              records maintained by the Department
                                                      activities of the Federal Government,                    the requester shall be required to pay                that are retrieved by an individual’s
                                                      with a connection that is direct and                     any costs incurred up to the date the fee             name or personal identifier. They
                                                      clear, not remote or attenuated.                         waiver request was received.                          describe the procedures by which
                                                         (ii) Disclosure of the requested                         (e) A decision to refuse to waive or               individuals may request access to
                                                      records must be meaningfully                             reduce fees may be appealed to the                    records about themselves, request
                                                      informative about government                             Director of IPS, within 30 calendar days              amendment or correction of those
                                                      operations or activities in order to be                  of the date of the Department’s refusal               records, and request an accounting of
                                                      ‘‘likely to contribute’’ to an increased                 letter. See section 171.4 of this subpart             disclosures of those records by the
                                                      public understanding of those                            for address information. A decision in                Department. If any records retrieved
                                                      operations or activities. The disclosure                 writing on the appeal shall be issued                 pursuant to an access request under the
                                                      of information that already is in the                    within 30 working days of the receipt of              PA are found to be exempt from access
                                                      public domain, in either the same or a                   the appeal.                                           under that Act, they will be processed
                                                      substantially identical form, would not                                                                        for possible disclosure under the
                                                      contribute to such understanding where                   § 171.17   Resolving disputes.                        Freedom of Information Act (FOIA), 5
                                                      nothing new would be added to the                           The Office of Government Information               U.S.C. 552, as amended. No fees shall be
                                                      public’s understanding.                                  Services (OGIS) in the National                       charged for access to or amendment of
                                                         (iii) The disclosure must contribute to               Archives and Records Administration is                PA records.
                                                      the understanding of a reasonably broad                  charged with offering mediation
                                                      audience of persons interested in the                    services to resolve disputes between                  § 171.21    Definitions.
                                                      subject, as opposed to the individual                    persons making FOIA requests and                        As used in this subpart, the following
                                                      understanding of the requester. A                        Federal agencies as a non-exclusive                   definitions shall apply:
                                                      requester’s expertise in the subject area                alternative to litigation. Additionally,                (a) Individual means a citizen or a
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                                                      as well as the requester’s ability and                   the FOIA directs the Department’s FOIA                legal permanent resident alien (LPR) of
                                                      intention to effectively convey                          Public Liaison to assist in the resolution            the United States.
                                                      information to the public shall be                       of disputes. The Department will inform                 (b) Maintain includes maintain,
                                                      considered. It shall be presumed that a                  requesters in its agency appeal response              collect, use, or disseminate.
                                                      representative of the news media will                    letter of services offered by OGIS and                  (c) Record means any item, collection,
                                                      satisfy this consideration.                              the FOIA Public Liaison. Requesters                   or grouping of information about an
                                                         (iv) The public’s understanding of the                may reach the Department’s FOIA                       individual that is maintained by the
                                                      subject in question must be enhanced by                  Public Liaison at Office of Information               Department and that contains the
                                                      the disclosure to a significant extent.                  Programs and Services, A/GIS/IPS/PP/                  individual’s name or the identifying


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                                                                               Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules                                             44907

                                                      number, symbol, or other identifying                     records about themselves under the                    U.S. citizen or LPR minors may request
                                                      particular assigned to the individual,                   PA’s access provisions to ensure that                 such records on their own behalf.
                                                      such as a finger or voice print or                       records are only accessed by the proper                 (2) Guardians. A guardian of an
                                                      photograph.                                              persons. Requesters must state their full             individual who has been declared by a
                                                        (d) System of records means a group                    name, current address, citizenship or                 court to be incompetent may act for and
                                                      of any records under the control of the                  legal permanent resident alien status,                on behalf of the incompetent individual
                                                      Department from which information is                     and date and place of birth (city, state,             upon presentation of appropriate
                                                      retrieved by the name of an individual                   and country). The request must be                     documentation of the guardian
                                                      or by some identifying number, symbol,                   signed, and the requester’s signature                 relationship.
                                                      or other identifying particular assigned                 must be either notarized or made under                   (3) Authorized representatives or
                                                      to an individual.                                        penalty of perjury pursuant to 28 U.S.C.              designees. When an individual wishes
                                                                                                               1746. If the requester seeks records                  to authorize another person or persons
                                                      § 171.22   Request for access to records.
                                                                                                               under another name the requester has                  access to his or her records, the
                                                         (a) In general. Requests for access to                used, a statement, under penalty of                   individual may submit, in addition to
                                                      records under the PA must be made in                     perjury, that the requester has also used             the identity verification information
                                                      writing and mailed to the Office of                      the other name must be included.                      described in paragraph (c) or paragraph
                                                      Information Programs and Service, the                    Requesters seeking access to copies of                (d) of this section if the request is for
                                                      Office of Passport Services, or the Office               the Passport Office’s passport records                passport records, a signed statement
                                                      of Inspector General at the addresses                    must meet the requirements in                         from the individual to whom the
                                                      given in section 171.4 of this Part. The                 171.22(d).                                            records pertain, either notarized or
                                                      Director of the Office of Information                       (d) Special requirements for passport              made under penalty of perjury pursuant
                                                      Programs and Services (IPS) is                           records. Given the sensitive nature of                to 28 U.S.C. 1746, giving the
                                                      responsible for acting on all PA requests                passport records and their use,                       Department authorization to release
                                                      for Department records except for                        requesters seeking access to copies of                records about the individual to the third
                                                      requests received directly by the Office                 the Passport Office’s passport records                party. The designated third party must
                                                      of Inspector General, which processes                    under the PA must submit a letter that                submit identity verification information
                                                      its own requests for information, and                    is either notarized or made under                     described in paragraph c. Third party
                                                      the Office of Passport Services within                   penalty of perjury pursuant to 28 U.S.C.              requesters seeking access to copies of
                                                      the Bureau of Consular Affairs which                     1746, which includes the full name at                 the Passport Office’s records must
                                                      receives directly and processes its own                  birth and any subsequent name changes                 submit a clear copy of both sides of a
                                                      PA requests for information as described                 of the individual whose records are                   valid Government-issued photo
                                                      in PA System of Record Notice 26. Once                   being requested (if submitting the                    identification (e.g., a driver’s license) in
                                                      received by IPS, all processing of PA                    request on behalf of a minor, provide                 addition to the other information
                                                      requests coming under the jurisdiction                   the representative’s full name as well);              described above.
                                                      of the Bureau of Consular Affairs/Visa                   the date and place of birth of the                       (f) Referrals and consultations. If the
                                                      Services Office and Overseas Citizens                    individual whose records are being                    Department determines that records
                                                      Services, the Bureau of Diplomatic                       requested; the requester’s current                    retrieved as responsive to the request
                                                      Security, the Bureau of Human                            mailing address; and, if available,                   were created by another agency, it
                                                      Resources, the Office of Medical                         daytime telephone number and email                    ordinarily will refer the records to the
                                                      Services, and the Foreign Service                        address; the date or estimated date the               originating agency for direct response to
                                                      Grievance Board (FSGB) are handled by                    passport(s) was issued; the passport                  the requester. If the Department
                                                      those bureaus or offices instead of IPS.                 number of the person whose records are                determines that Department records
                                                         (b) Description of records sought.                    being sought, if known; and any other                 retrieved as responsive to the request
                                                      Requests for access should describe the                  information that will help to locate the              are of interest to another agency, it may
                                                      requested record(s) in sufficient detail to              records. The requester must also include              consult with the other agency before
                                                      permit identification of the record(s). At               a clear copy of both sides of the                     responding to the request. The
                                                      a minimum, requests should include the                   requester’s valid Government-issued                   Department may make agreements with
                                                      individual’s full name (including                        photo identification, e.g., a driver’s                other agencies to eliminate the need for
                                                      maiden name, if appropriate) and any                     license.                                              consultations or referrals for particular
                                                      other names used, current complete                          (e) Authorized third party access. The             types of records.
                                                      mailing address, and date and place of                   Department shall process all properly                    (g) Records relating to civil actions.
                                                      birth (city, state and country). Helpful                 authorized third party requests, as                   Nothing in this subpart entitles an
                                                      data includes the approximate time                       described in this section, under the PA.              individual to access to any information
                                                      period of the record and the                             In the absence of proper authorization                compiled in reasonable anticipation of a
                                                      circumstances that give the individual                   from the individual to whom the                       civil action or proceeding.
                                                      reason to believe that the Department                    records pertain, the Department will                     (h) Time limits. The Department will
                                                      maintains a record under the                             process third party requests under the                acknowledge the request promptly and
                                                      individual’s name or personal identifier,                FOIA. The Department’s form, DS–4240,                 furnish the requested information as
                                                      and, if known, the system of records in                  may be used to certify identity and                   soon as possible thereafter.
                                                      which the record is maintained. In                       provide third party authorization.
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                                                      certain instances, it may be necessary                      (1) Parents and guardians of minor                 § 171.23 Request to amend or correct
                                                      for the Department to request additional                 children. Upon presentation of                        records.
                                                      information from the requester, either to                acceptable documentation of the                         (a) An individual has the right to
                                                      ensure a full search, or to ensure that a                parental or guardian relationship, a                  request that the Department amend a
                                                      record retrieved does in fact pertain to                 parent or guardian of a U.S. citizen or               record pertaining to the individual that
                                                      the individual.                                          LPR minor (an unmarried person under                  the individual believes is not accurate,
                                                         (c) Verification of personal identity.                the age of 18) may, on behalf of the                  relevant, timely, or complete.
                                                      The Department will require reasonable                   minor, request records under the PA                     (b) Requests to amend records must be
                                                      identification of individuals requesting                 pertaining to the minor. In any case,                 in writing and mailed or delivered to


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                                                      44908                    Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules

                                                      the Office of Information Programs and                   particular record in question and may                 in addition to the notification required
                                                      Services at the address given in section                 be made by writing directly to the Office             by paragraph (d) of this section, the
                                                      171.4, with ATTENTION: PRIVACY                           of Information Programs and Services at               Chairman shall advise the appellant:
                                                      ACT AMENDMENT REQUEST written                            the address given in § 171.4.                            (1) Of the right to file a concise
                                                      on the envelope. IPS will coordinate the                   (b) Where accountings not required.                 Statement of Disagreement stating the
                                                      review of the request with the                           The Department is not required to keep                reasons for disagreement with the
                                                      appropriate offices of the Department.                   an accounting of disclosures in the case              decision of the Department;
                                                      The Department will require verification                 of:                                                      (2) Of the procedures for filing the
                                                      of personal identity as provided in                        (1) Disclosures made to employees                   Statement of Disagreement;
                                                      section 171.22(c) before it will initiate                within the Department who have a need                    (3) That any Statement of
                                                      action to amend a record. Amendment                      for the record in the performance of                  Disagreement that is filed will be made
                                                      requests should contain, at a minimum,                   their duties;                                         available to anyone to whom the record
                                                      identifying information needed to locate                   (2) Disclosures required under the                  is subsequently disclosed, together with,
                                                      the record in question, a description of                 FOIA.                                                 at the discretion of the Department, a
                                                      the specific correction requested, and an                § 171.25 Appeals of denials of PA requests            brief statement by the Department
                                                      explanation of why the existing record                   and PA amendment requests.                            summarizing its reasons for refusing to
                                                      is not accurate, relevant, timely, or                                                                          amend the record;
                                                                                                                  (a) If the Department denies a request
                                                      complete. The request must be signed,                                                                             (4) That prior recipients of the
                                                                                                               for access to PA records, for amendment
                                                      and the requester’s signature must be                                                                          disputed record will be provided a copy
                                                                                                               of such records, or for an accounting of
                                                      either notarized or made under penalty                                                                         of any statement of disagreement, to the
                                                                                                               disclosure of such records, the requester
                                                      of perjury pursuant to 28 U.S.C. 1746.                                                                         extent that an accounting of disclosures
                                                                                                               shall be informed of the reason for the
                                                      The requester should submit as much                                                                            was maintained.
                                                                                                               denial and of the right to appeal the
                                                      pertinent documentation, other                                                                                    (g) If the appellant files a Statement of
                                                                                                               denial to the Appeals Review Panel.
                                                      information, and explanation as                                                                                Disagreement under paragraph (f) of this
                                                                                                               Any such appeal must be postmarked
                                                      possible to support the request for                                                                            section, the Department will clearly
                                                                                                               within 60 working days of the date of
                                                      amendment.                                                                                                     annotate the record so that the fact that
                                                                                                               the Department’s denial letter and sent
                                                         (c) All requests for amendments to                                                                          the record is disputed is apparent to
                                                                                                               to: Appeals Officer, Appeals Review
                                                      records shall be acknowledged within                                                                           anyone who may subsequently access
                                                                                                               Panel, Office of Information Programs
                                                      10 working days.                                                                                               the record. When the disputed record is
                                                         (d) In reviewing a record in response                 and Services, at the address set forth in
                                                                                                               section 171.4.                                        subsequently disclosed, the Department
                                                      to a request to amend, the Department
                                                                                                                  (b) Appellants should submit an                    will note the dispute and provide a copy
                                                      shall review the record to determine if
                                                                                                               administrative appeal of any denial, in               of the Statement of Disagreement. The
                                                      it is accurate, relevant, timely, and
                                                                                                               whole or in part, of a request for access             Department may also include a brief
                                                      complete.
                                                                                                               to FSGB records under the PA to IPS at                summary of the reasons for not
                                                         (e) If the Department agrees with an
                                                                                                               the above address. IPS will assign a                  amending the record. Copies of the
                                                      individual’s request to amend a record,
                                                                                                               tracking number to the appeal and                     Department’s statement shall be treated
                                                      it shall:
                                                         (1) Advise the individual in writing of               forward it to the FSGB, which is an                   as part of the individual’s record for
                                                      its decision;                                            independent body, for adjudication.                   granting access; however, it will not be
                                                         (2) Amend the record accordingly;                        (c) The Panel will decide appeals                  subject to amendment by an individual
                                                      and                                                      from denials of PA amendment requests                 under these regulations.
                                                         (3) If an accounting of disclosure has                within 30 business days, unless the
                                                                                                                                                                     § 171.26    Exemptions.
                                                      been made, advise all previous                           Panel extends that period for good cause
                                                      recipients of the record of the                          shown, from the date when it is                          Systems of records maintained by the
                                                      amendment and its substance.                             received by the Panel.                                Department are authorized to be exempt
                                                         (f) If the Department denies an                          (d) Decisions on appeals will be made              from certain provisions of the PA under
                                                      individual’s request to amend a record,                  in writing, and appellants will receive               both general and specific exemptions set
                                                      it shall advise the individual in writing                notification of the decision. A reversal              forth in the Act. In utilizing these
                                                      of its decision and the reason for the                   will result in reprocessing of the request            exemptions, the Department is
                                                      refusal, and the procedures for the                      in accordance with that decision. An                  exempting only those portions of
                                                      individual to request further review. See                affirmance will include a brief statement             systems that are necessary for the proper
                                                      § 171.25.                                                of the reason for the affirmance and will             functioning of the Department and that
                                                                                                               inform the appellant that the decision of             are consistent with the PA. Where
                                                      § 171.24 Request for an accounting of                    the Panel represents the final decision               compliance would not interfere with or
                                                      record disclosures.                                      of the Department and of the right to                 adversely affect the law enforcement
                                                        (a) How made. Except where                             seek judicial review of the Panel’s                   process, and/or where it may be
                                                      accountings of disclosures are not                       decision, when applicable.                            appropriate to permit individuals to
                                                      required to be kept, as set forth in                        (e) If the Panel’s decision is that a              contest the accuracy of the information
                                                      paragraph (b) of this section, an                        record shall be amended in accordance                 collected, the applicable exemption may
                                                      individual has a right to request an                     with the appellant’s request, the                     be waived, either partially or totally, by
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                                                      accounting of any disclosure that the                    Chairman shall direct the office                      the Department or the OIG, in the sole
                                                      Department has made to another person,                   responsible for the record to amend the               discretion of the Department or the OIG,
                                                      organization, or agency of any record                    record, advise all previous recipients of             as appropriate. Records exempt under 5
                                                      about an individual. This accounting                     the record of the amendment and its                   U.S.C. 552a(j) or (k) by the originator of
                                                      shall contain the date, nature, and                      substance (if an accounting of previous               the record remain exempt if
                                                      purpose of each disclosure as well as                    disclosures has been made), and so                    subsequently incorporated into any
                                                      the name and address of the recipient of                 advise the individual in writing.                     Department system of records, provided
                                                      the disclosure. Any request for                             (f) If the Panel’s decision is that the            the reason for the exemption remains
                                                      accounting should identify each                          amendment request is denied on appeal,                valid and necessary.


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                                                                               Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules                                         44909

                                                         (a) General exemptions. If exempt                     The names of the systems correspond to                subject to the limitations set forth in
                                                      records are the subject of an access                     those published in the Federal Register               (k)(2).
                                                      request, the Department will advise the                  by the Department.                                      Board of Appellate Review Records.
                                                      requester of their existence and of the                    (1) Exempt under 5 U.S.C. 552a(k)(1).               STATE–02.
                                                      name and address of the source agency,                   Records contained within the following                  Coordinator for the Combating of
                                                      unless that information is itself exempt                 systems of records are exempt under                   Terrorism Records. STATE–06.
                                                      from disclosure.                                         this section to the extent that they are                Extradition Records. STATE–11.
                                                         (1) Individuals may not have access to                subject to the provisions of 5 U.S.C.                   Family Advocacy Case Records.
                                                      records maintained by the Department                     552(b)(1).                                            STATE–75
                                                      that are maintained or originated by the                   Board of Appellate Review Records.                    Foreign Assistance Inspection
                                                      Central Intelligence Agency under 5                      STATE–02.                                             Records. STATE–48.
                                                      U.S.C. 552a(j)(1).                                         Congressional Correspondence.                         Garnishment of Wages Records.
                                                         (2) In accordance with 5 U.S.C.                       STATE–43.                                             STATE–61.
                                                      552a(j)(2), individuals may not have                       Congressional Travel Records.                         Information Access Program Records.
                                                      access to records maintained or                          STATE–44.                                             STATE–35.
                                                      originated by an agency or component                       Coordinator for the Combating of                      Intelligence and Research Records.
                                                      thereof that performs as its principal                   Terrorism Records. STATE–06.                          STATE–15.
                                                      function any activity pertaining to the                    External Research Records. STATE–                     Munitions Control Records. STATE–
                                                      enforcement of criminal laws, including                  10.                                                   42.
                                                                                                                 Extradition Records. STATE–11.                        Overseas Citizens Services Records.
                                                      police efforts to prevent, control, or
                                                                                                                 Family Advocacy Case Records.                       STATE–05.
                                                      reduce crime or to apprehend criminals,
                                                                                                               STATE–75.                                               Passport Records. STATE–26.
                                                      and the activities of prosecutors, courts,                                                                       Personality Cross Reference Index to
                                                      correctional, probation, pardon, or                        Foreign Assistance Inspection
                                                                                                                                                                     the Secretariat Automated Data Index.
                                                      parole authorities, and which consists                   Records. STATE–48.
                                                                                                                 Human Resources Records. STATE–                     STATE–28.
                                                      of:                                                                                                              Personality Index to the Central
                                                         (i) Information compiled for the                      31.
                                                                                                                                                                     Foreign Policy Records. STATE–29.
                                                      purpose of identifying individual                          Information Access Programs Records.
                                                                                                                                                                       Office of Inspector General
                                                      criminal offenders and alleged offenders                 STATE–35.
                                                                                                                                                                     Investigation Management System.
                                                      and consisting only of identifying data                    Intelligence and Research Records.
                                                                                                                                                                     STATE–53.
                                                      and notations of arrests, the nature and                 STATE–15.
                                                                                                                                                                       Risk Analysis and Management
                                                      disposition of criminal charges,                           International Organizations Records.
                                                                                                                                                                     Records. STATE–78.
                                                      sentencing, confinement, release, and                    STATE–17.                                               Security Records. STATE–36.
                                                      parole and probation status;                               Law of the Sea Records. STATE–19.                     Visa Records. STATE–39.
                                                         (ii) Information compiled for the                       Legal Case Management Records.                        (3) Exempt under 5 U.S.C. 552a(k)(3).
                                                      purpose of a criminal investigation,                     STATE–21.                                             Records contained within the following
                                                      including reports of informants and                        Munitions Control Records. STATE–                   systems of records are exempt under
                                                      investigators, and associated with an                    42.                                                   this section to the extent that they are
                                                      identifiable individual; or                                Overseas Citizens Services Records.                 maintained in connection with
                                                         (iii) Reports identifiable to an                      STATE–05.                                             providing protective services pursuant
                                                      individual compiled at any stage of the                    Passport Records. STATE–26.
                                                                                                                                                                     to 18 U.S.C. 3056.
                                                      process of enforcement of the criminal                     Personality Cross Reference Index to                  Extradition Records. STATE–11.
                                                      laws from arrest or indictment through                   the Secretariat Automated Data Index.                   Information Access Programs Records.
                                                      release from supervision. The reason for                 STATE–28.                                             STATE–35.
                                                      invoking these exemptions is to ensure                     Personality Index to the Central                      Intelligence and Research Records.
                                                      effective criminal law enforcement                       Foreign Policy Records. STATE–29.                     STATE–15.
                                                      processes.                                                 Personnel Payroll Records. STATE–                     Overseas Citizens Services Records.
                                                         (iii) Records maintained by the                       30.                                                   STATE–05.
                                                      Department in the following systems of                     Office of Inspector General                           Passport Records. STATE–26.
                                                      records are exempt from all of the                       Investigation Management System.                        Personality Cross-Reference Index to
                                                      provisions of the PA except paragraphs                   STATE–53.                                             the Secretariat Automated Data Index.
                                                      (b), (c)(1) and (2), (e)(4)(A) through (F),                Records of the Office of the Assistant              STATE–28.
                                                      (e)(6), (e)(7), (e)(9), (e)(10), and (e)(11),            Legal Adviser for International Claims                  Personality Index to the Central
                                                      and (i) of 5 U.S.C. 552a to the extent to                and Investment Disputes. STATE–54.                    Foreign Policy Records. STATE–29.
                                                      which they meet the criteria of section                    Risk Analysis and Management                          Security Records. STATE–36.
                                                      (j)(2). The names of the systems                         Records. STATE–78.                                      Visa Records. STATE–39.
                                                      correspond to those published in the                       Rover Records. STATE–41.                              (4) Exempt under 5 U.S.C. 552a(k)(4).
                                                      Federal Register by the Department.                        Records of Domestic Accounts                        Records contained within the following
                                                         Office of Inspector General                           Receivable. STATE–23.                                 systems of records are exempt under
                                                      Investigation Management System.                           Records of the Office of White House                this section to the extent that they are
                                                                                                               Liaison. STATE–34.                                    required by statute to be maintained and
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                                                      STATE–53.
                                                         Information Access Program Records.                     Refugee Records. STATE–59.                          are used solely as statistical records.
                                                      STATE–35.                                                  Security Records. STATE–36.                           Foreign Service Institute Records.
                                                         Risk Analysis and Management.                           Visa Records. STATE–39.                             STATE–14.
                                                      STATE–78.                                                  (2) Exempt under 5 U.S.C. 552a(k)(2).                 Human Resources Records. STATE–
                                                         Security Records. STATE–36.                           Records contained within the following                31.
                                                         (b) Specific exemptions. Portions of                  systems of records are exempt under                     Information Access Programs Records.
                                                      the following systems of records are                     this section to the extent that they                  STATE–35.
                                                      exempt from 5 U.S.C. 552a(c)(3), (d),                    consist of investigatory material                       Overseas Citizens Services Records,
                                                      (e)(1), and (4), (G), (H), and (I), and (f).             compiled for law enforcement purposes,                STATE–05


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                                                      44910                    Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Proposed Rules

                                                         Personnel Payroll Records. STATE–                     consist of evaluation material used to                DEPARTMENT OF HOMELAND
                                                      30.                                                      determine potential for promotion in the              SECURITY
                                                         Security Records. STATE–36.                           armed services, but only to the extent
                                                         (5) Exempt under 5 U.S.C. 552a(k)(5).                 that such disclosure would reveal the                 Coast Guard
                                                      Records contained within the following                   identity of a confidential informant.
                                                      systems of records are exempt under                                                                            33 CFR Part 147
                                                      this section to the extent that they                       Overseas Citizens Services Records.
                                                                                                               STATE–25.                                             [Docket No. USCG–2015–0318]
                                                      consist of investigatory material
                                                      compiled solely for the purpose of                         Human Resources Records. STATE–                     RIN 1625–AA00
                                                      determining suitability, eligibility, or                 31.
                                                      qualifications for Federal civilian                                                                            Safety Zone; Turritella FPSO, Walker
                                                                                                                 Information Access Programs Records.                Ridge 551, Outer Continental Shelf on
                                                      employment, military service, Federal                    STATE–35.
                                                      contracts, or access to classified                                                                             the Gulf of Mexico
                                                      information, but only to the extent that                   Personality Cross-Reference Index to
                                                                                                                                                                     AGENCY:   Coast Guard, DHS.
                                                      disclosure of such material would reveal                 the Secretariat Automated Data Index.
                                                                                                               STATE–28.                                             ACTION:   Notice of proposed rulemaking.
                                                      the identity of a confidential informant.
                                                         Records Maintained by the Office of                     Personality Index to the Central                    SUMMARY:    The Coast Guard proposes a
                                                      Civil Rights. STATE–09.                                  Foreign Policy Records. STATE–29.                     safety zone around the Turritella FPSO
                                                         Foreign Assistance Inspection                                                                               system, Walker Ridge 551 on the Outer
                                                      Records. STATE–48.                                       Subpart D—Process to Request Public                   Continental Shelf (OCS) in the Gulf of
                                                         Foreign Service Grievance Board                       Financial Disclosure Reports                          Mexico. The purpose of the safety zone
                                                      Records. STATE–13.                                                                                             is to protect the facility from all vessels
                                                         Human Resources Records. STATE–                       § 171.30   Purpose and scope.                         operating outside the normal shipping
                                                      31.                                                        This subpart sets forth the process by              channels and fairways that are not
                                                         Information Access Programs Records.                  which persons may request access to                   providing services to or working with
                                                      STATE–35.                                                                                                      the facility. Placing a safety zone around
                                                                                                               public financial disclosure reports filed
                                                         Legal Adviser Attorney Employment                                                                           the facility will significantly reduce the
                                                      Application Records. STATE–20.                           with the Department in accordance with
                                                                                                               § 101 and § 103(l) of the Ethics in                   threat of allisions, collisions, security
                                                         Overseas Citizens Services Records.                                                                         breaches, oil spills, releases of natural
                                                      STATE–25.                                                Government Act of 1978, 5 U.S.C. app.
                                                                                                               101 and 103(l), as amended by Public                  gas, and thereby protect the safety of
                                                         Personality Cross-Reference Index to                                                                        life, property, and the environment.
                                                      the Secretariat Automated Data Index.                    Law 112–173, 126 Stat. 1310, Public
                                                                                                               Law 112–178, 126 Stat. 1408, and Public               DATES: Comments and related material
                                                      STATE–28.
                                                                                                               Law 113–7, 127 Stat. 438, and 5 CFR                   must be received by the Coast Guard on
                                                         Office of Inspector General
                                                                                                               2634.202. The retention, public                       or before August 27, 2015.
                                                      Investigation Management System.
                                                      STATE–53.                                                availability, and improper use of these               ADDRESSES: You may submit comments
                                                         Records of the Office of White House                  reports are governed by 5 U.S.C. app.                 identified by docket number USCG–
                                                      Liaison. STATE–34.                                       105 and 5 CFR 2634.603.                               2015–0318 using any one of the
                                                         Risk Analysis and Management                                                                                following methods:
                                                      Records. STATE–78.                                       § 171.31   Requests.                                     (1) Federal eRulemaking Portal:
                                                         Rover Records. STATE–41.                                                                                    http://www.regulations.gov.
                                                                                                                 Requests for access to public financial                (2) Fax: 202–493–2251.
                                                         Security Records. STATE–36.                           disclosure reports filed with the
                                                         Senior Personnel Appointments                                                                                  (3) Mail or Delivery: Docket
                                                                                                               Department should be made by                          Management Facility (M–30), U.S.
                                                      Records. STATE–47.
                                                         (6) Exempt under 5 U.S.C. 552a(k)(6).                 submitting a completed Office of                      Department of Transportation, West
                                                      Records contained within the following                   Government Ethics request form, OGE                   Building Ground Floor, Room W12–140,
                                                      systems of records are exempt under                      Form 201, to OGE201Request@state.gov                  1200 New Jersey Avenue SE.,
                                                      this section to the extent that they                     or the Office of the Assistant Legal                  Washington, DC 20590–0001. Deliveries
                                                      consist of testing or examination                        Adviser for Ethics and Financial                      accepted between 9 a.m. and 5 p.m.,
                                                      material used solely to determine                        Disclosure, U.S. Department of State,                 Monday through Friday, except federal
                                                      individual qualifications for                            2201 C Street NW., Washington, DC                     holidays. The telephone number is 202–
                                                      appointment or promotion in the                          20520. The OGE Form 201 may be                        366–9329.
                                                      Federal service the disclosure of which                  obtained by visiting http://www.oge.gov                  See the ‘‘Public Participation and
                                                      would compromise the objectivity or                      or writing to the address above.                      Request for Comments’’ portion of the
                                                      fairness of the testing or examination                                                                         SUPPLEMENTARY INFORMATION section
                                                                                                                 Dated: July 13, 2015.                               below for instructions on submitting
                                                      process.
                                                                                                               Joyce A. Barr,                                        comments. To avoid duplication, please
                                                         Foreign Service Institute Records.
                                                      STATE–14.                                                Assistant Secretary for Administration,               use only one of these four methods.
                                                         Human Resources Records. STATE–                       Department of State.                                  FOR FURTHER INFORMATION CONTACT: If
                                                      31.                                                      [FR Doc. 2015–17856 Filed 7–27–15; 8:45 am]           you have questions on this proposed
asabaliauskas on DSK5VPTVN1PROD with PROPOSALS




                                                         Information Access Programs Records.                  BILLING CODE 4710–24–P                                rule, call or email Mr. Rusty Wright,
                                                      STATE–35.                                                                                                      U.S. Coast Guard, District Eight
                                                         Records Maintained by the Office of                                                                         Waterways Management Branch;
                                                      Civil Rights. STATE–09                                                                                         telephone 504–671–2138,
                                                         Security Records. STATE–36.                                                                                 rusty.h.wright@uscg.mil. If you have
                                                         (7) Exempt under 5 U.S.C. 552a(k)(7).                                                                       questions on viewing or submitting
                                                      Records contained within the following                                                                         material to the docket, call Cheryl F.
                                                      systems of records are exempt under                                                                            Collins, Program Manager, Docket
                                                      this section to the extent that they                                                                           Operations, telephone (202) 366–9826.


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Document Created: 2018-02-23 09:28:46
Document Modified: 2018-02-23 09:28:46
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionProposed Rules
ActionProposed rule.
DatesThe Department will consider comments from the public that are received within September 28, 2015.
ContactMarianne Manheim, FOIA Public Liaison, Office of Information Programs and Services, [email protected], (202) 261-8359, U.S. Department of State, State Annex 2 (SA-2), 515 22nd Street NW., Washington, DC 20522-8100.
FR Citation80 FR 44898 
RIN Number1400-AD44
CFR AssociatedAdministrative Practice and Procedure; Freedom of Information and Privacy

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